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Drug and alcohol tests are conducted to prevent substance abuse and to detect the root cause of workplace accidents. Managing a drug and alcohol program requires knowing which regulations apply to a business in each situation. Testing drivers covered by federal DOT drug testing requirements must follow the federal law. When employees are not covered by a specific federal drug testing statute, other state and federal laws impact workplace drug and alcohol testing.
The Federal Motor Carrier Safety Regulations (FMCSRs) place strict limits on the use and abuse of alcohol and drugs by those who drive certain commercial motor vehicles. The Federal Motor Carrier Safety Administration (FMCSA) requires those who violate the rules to undergo a referral, evaluation, and treatment program before returning to the wheel. In addition to prohibiting the use of certain substances, the rules include requirements for clinically testing drivers to make sure workers are not using those substances.
The Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol testing standards are found in Part 382. These regulations go hand-in-hand with the Department of Transportation (DOT) testing procedures in Part 40, which apply to all DOT agencies including the FMCSA.
Part 382 addresses the prohibitions and consequences of drug use and alcohol abuse and specifies which tests are required when. Part 40 specifies how those tests are to be conducted and evaluated and how drivers are to complete treatment when they violate the rules.
Employers should check state and federal employment laws for other requirements or regulations that may apply to drug and alcohol testing.
Who is subject to FMCSA testing requirements?
While all commercial motor vehicle (CMV) drivers are subject to certain prohibitions on the use of drugs or alcohol, only drivers who are required to hold a commercial driver’s license (CDL) are subject to the testing requirements. If an employee does not qualify for testing under Part 382 (not performing safety-sensitive functions through operation of a CMV requiring a CDL), DOT drug and/or alcohol testing of the individual is not required. If an employer wants to test employees who are not in a safety-sensitive position, it must be done under company policy in a non-DOT program. Company policy programs must be managed within the confines of state and federal employment laws.
The Federal Motor Carrier Safety Administration (FMCSA) testing requirements include the following key definitions:
Commercial motor vehicle — A motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the vehicle:
Driver — Any person who operates a commercial motor vehicle. This includes, but is not limited to: full-time, regularly employed drivers; casual, intermittent, or occasional drivers; and leased drivers or independent owner-operator contractors.
Employee — Any person who is designated in a Department of Transportation (DOT) agency regulation as subject to drug testing and/or alcohol testing. The term includes individuals currently performing safety-sensitive functions designated in DOT agency regulations and applicants for employment subject to pre-employment testing. For purposes of drug testing under Part 382, the term employee has the same meaning as the term “donor” as found on the chain of custody form and related guidance materials produced by the Department of Health and Human Services.
Employer — A person or entity employing one or more employees (including an individual who is self-employed) subject to DOT agency regulations requiring compliance with Parts 40 and 382. It is interchangeable with the term “motor carrier,” and includes an employer’s officers, representatives, and management personnel. Service agents are not employers.
When considering a Department of Transportation (DOT) drug and alcohol testing program under the Federal Motor Carrier Safety Administration (FMCSA), the first questions employers must ask are:
If a company is required to have a DOT drug and alcohol testing program, it must also look at which drivers must be in a motor carrier’s DOT drug and alcohol testing program.
As part of this consideration, look at the vehicles used for business. If a company operates commercial motor vehicles (CMVs) that require a commercial driver’s license (CDL), the company must set up a DOT drug and alcohol testing program. The term “commercial motor vehicle” used in 382.103, Applicability, is cross-referencing the definition in 382.107, which parallels the description requiring a CDL in Part 383.
Department of Transportation (DOT) drug and alcohol testing under the Federal Motor Carrier Safety Administration (FMCSA) applies to Canadian and Mexican-domiciled carriers that send trucks and buses into the United States that require a license equivalent to the U.S. commercial driver’s license (CDL).
But not all drivers from these carriers are subject to DOT drug and alcohol testing rules, only those entering U.S. commerce with these commercial motor vehicles (CMVs). If the carriers have drivers that remain solely in Canada or Mexico, these drivers do not qualify for DOT drug and alcohol testing, even though employed by a DOT-regulated carrier.
A “safety-sensitive function” is much more than just driving. Safety-sensitive functions include almost all on-duty time, including all time spent:
Some exceptions apply to Part 382 of the Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol testing standards.
Who is not subject to Part 382?
The following employers and drivers, according to 382.103(d), are exempt from the requirements in Part 382:
Exceptions that do not apply to DOT testing requirements
Companies that are excepted from other areas of the Federal Motor Carrier Safety Regulations (FMCSRs) may be subject to DOT drug and alcohol testing. For instance, the exception in 390.3(f) — that excludes certain parties from the bulk of the safety regulations — does not carry over to DOT testing in Part 382.
As a result, intrastate truck and motor coach operations, including those operated by federal, state, and local government agencies, church and civic organizations, Indian tribes, and for-hire and private companies are subject to DOT testing requirements.
Does a staffing service’s program satisfy Part 382?
According to an FMCSA notice, a staffing service is the “employer” for DOT drug and alcohol testing when the driver is assigned to a motor carrier for a period of fewer than 30 consecutive days. The staffing service may create its own Part 382 testing program to include these casual, intermittent, and occasional drivers.
If a leased driver operates — or is expected to operate — for a motor carrier for a period of more than 30 consecutive days, the driver must be included in the motor carrier’s testing program, and the motor carrier must assume full responsibility for the driver under its DOT testing program.
It takes many parties working efficiently together to create a well-run drug and alcohol testing program, including entities from outside the organization who are contracted to carry out specific facets of the process.
The number of drug and alcohol service providers needed depends on the nature of the motor carrier’s program and how many pieces are performed in house.
Department of Transportation (DOT) drug and alcohol testing regulations (Part 40) clearly list who key players must be — collection sites, laboratories, medical review officers, and substance abuse professionals.
Some motor carriers perform the collection site role internally, rather than use a service provider. Others gladly outsource everything — even the management of the program — through a consortium/third-party administrator.
The Department of Transportation (DOT) drug and alcohol program management requirements include the following key definitions:
Alcohol testing site — A place selected by the employer where employees present themselves for the purpose of providing breath or saliva for an alcohol test.
Breath alcohol technician (BAT) — A person who instructs and assists employees in the alcohol testing process and operates an evidential breath testing device.
Collection site — A place selected by the employer where employees present themselves for the purpose of providing a specimen for a drug test.
Collector — A person who instructs and assists employees at a collection site, who receives and makes an initial inspection of the specimen provided by those employees, and who initiates and completes the chain of custody form.
Consortium/third-party administrator (C/TPA) — A service agent that provides or coordinates a variety of drug and alcohol testing services to employers. C/TPAs typically perform administrative tasks concerning the operation of the employers’ drug and alcohol testing programs. This term includes, but is not limited to, groups of employers who join together to administer, as a single entity, the Department of Transportation (DOT) drug and alcohol testing programs of its members. C/TPAs are not “employers” for purposes of Part 40.
Designated employer representative (DER) — An employee authorized by the employer to take immediate action(s) to remove employees from safety-sensitive duties, or cause employees to be removed from these covered duties. The DER will also make required decisions in the testing and evaluation processes and receives test results and other communications for the employer.
Laboratory — Any U.S. laboratory certified by HHS under the National Laboratory Certification Program as meeting the minimum standards set by HHS; or, in the case of foreign laboratories, a laboratory approved for participation by DOT under Part 40.
Medical review officer — A person who is a licensed physician and who is responsible for receiving and reviewing laboratory results generated by an employer’s drug testing program and for evaluating medical explanations for certain drug test results.
Screening test technician — A person who instructs and assists employees in the alcohol testing process and operates alcohol screening devices.
Service agent — Any person or entity, other than an employee of the employer, who provides services to employers and/or employees in connection with DOT drug and alcohol testing requirements. This includes, but is not limited to, collectors, breath alcohol technicians, screening test technicians, laboratories, medical review officers, substance abuse professionals, and consortium/third-party administrators. To act as service agents, persons and organizations must meet DOT qualifications, if applicable.
Substance abuse professional (SAP) — A person who evaluates employees who have violated a DOT drug and alcohol regulation and makes recommendations concerning education, treatment, follow-up testing, and aftercare.
Setting up a Department of Transportation (DOT) drug and alcohol testing program requires the appointment of a designated employer representative (DER). But what is a DER?
Basic job functions
According to 49 CFR Parts 40 and 382, the DER must be an employee of the motor carrier. This means a service provider, e.g., consortium/third-party administrator (C/TPA), cannot take on the role.
The DER is identified as the point of contact for service providers — labs, medical review officer (MRO), collection sites, C/TPA, substance abuse professional (SAP) — to receive communication and is given authority by the company to take action.
Results and problems in testing
The DER is told when a test is negative or canceled, and the individual is the point of contact to receive the news that a driver tested positive, refused to test, or needs a recollection. The DER is contacted when the driver needs a medical explanation for an insufficient amount of specimen, or when the MRO is unable to get a hold of the driver when validating the results of a test.
The DER is called upon to remove a driver from a safety-sensitive function, personally or through delegation, when the situation warrants. Drivers must be notified who the DER is because of the potential interaction. Because the DER is the first to learn of a violation of DOT testing rules, the person needs to make sure the driver is given a list of SAPs. However, the task may be delegated.
The DER is the point person when a driver has completed the initial steps in the DOT return-to-duty process following a drug or alcohol violation. The DER receives the SAP’s report notifying the employer that the driver is ready for a return-to-duty test.
What department is the DER from?
Neither the Federal Motor Carrier Safety Regulations nor general DOT regulations specify a job title or department for the DER. Some companies give the role to someone in Operations or Safety, while others ask someone in Human Resources to communicate with service providers and drivers when necessary. The DER may bring in a driver supervisor to help carry out, for example, removing a driver from a safety-sensitive function.
The role of the DER is often blended with program administrator tasks. The DER is not necessarily the person who performs an in-house random selection or assembles the driver roster for a service provider, although it could be. Also, it may not be the person who notifies the drivers who have been selected for a test, but there is nothing prohibiting the DER from taking on the task.
DER training
There is also no formal training required of the DER, but the party your motor carrier appoints needs to know and understand both Parts 40 and 382. It is pivotal that the DER understand DOT testing protocols, or it could have legal implications.
If someone outside of Safety acts as DER, you should ensure that the individual fully understands the requirements. If your company’s DOT drug and alcohol policy also contains optional provisions or additional ramifications aside from the regulations, the DER needs to consistently enforce the policy and carry out the procedures.
Trained supervisor vs. DER
The DER is not necessarily the supervisor who is trained in reasonable suspicion (382.603). There is nothing prohibiting this dual role if the company so wishes. The regulations do not require specific training of the DER, but the individual must know and apply the DOT drug and alcohol requirements. It would be a good safety management control to make sure the person completely understands Parts 40 and 382 requirements. Basically, is the company able to defend its choice of DER?
DERs who are participating in the DOT program
If the DER is a driver (by definition) and in the random pool, employers need to have someone else on staff who is identified as a backup DER in the event there is a problem in testing. There is nothing prohibiting the carrier from having someone in the pool acting as a DER, but the company would need an alternate DER in the event a service provider needs to communicate with the carrier about a test for the primary DER.
The focal point of any effective DOT drug and alcohol testing program is its designated employer representative (DER).
The following details the roles and responsibilities the DER has, and as you will discover, this motor carrier employee has a lot of responsibility to ensure the letter of the law is carried out.
What are the requirements to be DER?
The DER is a point of contact for both questions and problems that occur during DOT drug and alcohol testing. The regulations are very clear that a service provider cannot take on this role. It must be an employee of the motor carrier. But it should be noted that a consortium/third-party administrator (C/TPA) may receive test results from the medical review officer (MRO) if contracted to do so, so long as the MRO is aware of this relationship. But only the DER may take action to remove the driver from a safety-sensitive function or direct a driver for a mandatory retest.
Roles & responsibilities with service providers
The following is a quick overview of the duties assigned to a company’s DER.
The DER interacts with a variety of service providers:
Interacting with drivers
The DER has the job of tactfully interacting with the drivers. The job of DER requires complete confidentiality.
The DER may, but not necessarily, be the party who notifies the driver of a required test. But the DER will be the party who will receive the call if the driver does not show up or experiences other problems in testing. The DER also receives test results and other communications for the employer from the MRO (or C/TPA if designated to be the go-between). When the driver is subject to a mandatory recollection under direct observation, it is the DER who receives the call directly from the MRO.
When a driver violates the prohibitions in Subpart B of Part 382, the driver needs to be removed from the safety-sensitive function. This is the DER’s responsibility. This may involve contacting a location manager or immediate supervisor of the driver depending on the nature of the organization and the DER’s relationship to the driver. In other instances, the DER communicates directly with the driver.
Due to the sensitive nature of Department of Transportation (DOT) drug and alcohol testing, service providers must be selected carefully. A company’s service providers follow a DOT test from beginning to end and offer services in the event a driver is found to have violated the prohibitions in Part 382.
If a service provider is not qualified or is not following DOT protocols, the motor carrier is held responsible by the DOT since it is the regulated entity, and employees who feel that rights to a fair test have been compromised may hold the employer liable.
Before entering a contract with a vendor, be sure service providers:
A DOT-regulated testing program requires that many service providers meet specific criteria and training. Employers will need to verify that a service provider meets any accreditation and/or training specified 49 CFR Part 40 — before contracting with it. Note that these same training requirements must be applied to company employees performing DOT drug or alcohol tests in house.
Even if employers initially verify the credentials of service providers, a motor carrier must not assume that its vendors remain qualified to perform the same roles throughout the contract. Many key partners in a DOT testing program are required to have refresher training. To ensure the tasks are being performed by knowledgeable and proficient professionals, motor carriers need to ask for documentation. The right to ask for this proof is sprinkled throughout 49 CFR Part 40 (within each of the service provider’s categories).
Motor carriers typically ask for documentation of training at the beginning or renewal of a contract. To ensure contracted parties continue to meet criteria, a company could ask for proof annually or anytime it finds DOT procedures are not being followed.
When a motor carrier establishes and maintains a drug and alcohol program under the authority of the U.S. Department of Transportation (USDOT), it assumes complete responsibility for compliance regardless of the actions of its service providers. This means, in realistic terms, a motor carrier will be the party to receive fines and penalties for violations, which are the result of someone else’s errors such as a collector that USDOT has no authority over.
What is a service agent?
Service agents include businesses and individuals that contract with a motor carrier as part of its DOT drug and alcohol compliance program. They include consortium/third-party administrators (C/TPAs), medical review officers (MROs), collection sites, labs, and substance abuse professionals (SAPs). All except the C/TPAs have minimum requirements in order to act as a service agent. Employers are responsible for ensuring the business meets the minimum criteria to act as an agent.
Consortia/Third-party administrators
This vendor is not one that requires any formal training of its program administrators. The services range from running random selections to full management of programs and auditing and storage of records.
You may wish to ask a potential or current C/TPA about its training, security of records, and vetting of its employees. The information they are handling requires not only a detailed understanding of the regulations, but also the utmost concern for confidentiality and security, as personally identifiable information is on the documents they will be processing.
Contracting with labs
It is easiest to confirm the laboratory’s qualifications to play a role in your DOT program. Only Health and Human Services certified laboratories may process your drivers’ specimens for drug screens. The lists of approved labs appears monthly in the Federal Register via an entry through the Substance Abuse and Mental Health Service Administration (SAMHSA). The updated list appears on SAMHSA’s website.
Labs may be certified to analyze urine and/or saliva for the presence of drugs.
MRO credentials
Only licensed physicians (Doctors of Medicine or Osteopathy) who meet the criteria in 40.121 may act as an MRO. This entails a “basic knowledge” about controlled substances abuse disorders, medical explanations for confirmed drug test results, and issues relating to adulterated and substituted specimens, and an understanding of the “DOT MRO Guidelines.”
MROs must undergo an initial “qualification training” that includes an exam. Once every five years, the MRO must satisfactorily complete “requalification training” followed by successful completion of another exam.
The MRO must maintain documentation of the training and make it readily available to an employer or C/TPA negotiating services.
SAPs training
Similar to MROs, SAPs must be licensed counselors with qualifications that fit within the scope of titles listed in 40.281(a). Plus, SAPs must meet the “basic knowledge” requirements on diagnosis and treatment of alcohol and drug-related disorders and have a good grasp of the document, “DOT SAP Guidelines.”
The SAP must successfully complete “qualification training” on DOT protocols and pass an exam. SAPs must, within three years, partake in continuing education courses. The SAP must maintain documentation of the training and make it readily available to an employer or C/TPA negotiating services.
This is important to employers, since they may be asked by DOT (in the event of an investigation) if they have verified the names on their SAP list. This is the actual list the employer would intend on providing to a driver who tests positive or refuses a DOT test. Employers cannot assume that SAPs have met the continuing education stipulation and should therefore check to make sure SAPs are still qualified.
Collection sites
Both drug collections and alcohol tests require specific training for the personnel. This involves knowledge in basic information and keeping current with changes, qualification training, initial proficiency demonstration, and refresher training once every five years.
In addition, if the collector, breath alcohol technician (BAT), or screening test technician makes a mistake in the testing process that causes the test to be canceled (i.e., fatal flaw or uncorrected flaw), the collector must undergo error correction training. The facility must ensure this take place within 30 days of the date they are notified of the error that led to the need for retraining. The retraining must be documented.
The collection site must maintain documentation and make it readily available to the employer or C/TPA negotiating services.
Some companies perform Department of Transportation (DOT) recordkeeping and random selections themselves. Others may not have the in-house expertise or the available manpower to administer the program as effectively as the company would like and opt to outsource. Management will have to weigh the pros and cons of outsourcing the administrative functions before entering into a contract with a consortium/third-party administrator (C/TPA).
A C/TPA is one common method of reducing an employer’s administrative challenges and associated costs of managing a testing program.
C/TPAs are entities that provide testing services required by the regulations and that act on behalf of the employers. C/TPAs can provide an array of contracted services that otherwise would have to be arranged by the employer. Examples include education and training, specimen collection, laboratory analysis, and medical review officer services.
The C/TPA may also manage the DOT random selection on behalf of the motor carrier. For the motor carrier with relatively few commercial driver’s license (CDL) drivers, the carrier may contract to have the drivers placed in a random selection representing multiple employers. The consortium model allows for a greater pool from which to select names.
Note that owner-operators and other one-driver operations must be placed in a consortium since the Federal Motor Carrier Safety Administration requires a random pool consisting of two or more persons according to 382.103(b).
Company compliance depends on reliable service providers. As employers create and maintain a Department of Transportation (DOT) testing program, one important component is the selection of competent testing facilities.
Remember, any errors that service providers make are still employer mistakes because the company is the DOT-regulated entity. Before creating a contract with a specific facility, consider the following:
Knowledge: By physically visiting a potential collection site, a company will be able to determine the level of understanding its staff has about the collection process, the regulations, and DOT protocols. Don’t underestimate a gut feeling of the collection site’s competency. How collectors respond to questions will reveal an ability to carry out the company’s compliance efforts. Employers have the right to ask about the training and qualifications of the collectors. The collection site is supposed to be prepared to show training documentation to employers wishing to utilize or currently using its services.
Layout: Employers who visit a potential collection site should take note of the physical layout of the facility. Does it meet the requirements for privacy and security set forth in 40.221 and 40.223 for alcohol tests and 40.42, 40.43, 40.47, and 40.48 for drugs? The convenience of the location, distance from the terminal, and hours of operation may play a factor in the company’s selection. A company might inquire about portable services versus fixed locations. This service may be available for both terminal visits and dispatches to post-accident scenes.
Cost and services: A checklist of the items that the company wishes to ask to determine available services, costs associated with each, and price breaks if the company assumes some of the responsibilities will assist in facility selection.
Provided below are some basic questions to pose as you consider your current and/or prospective collection sites:
You also need to make sure they are using the appropriate DOT-approved forms, drug collection kits, and alcohol testing devices. You may wish to ask for the model numbers of the alcohol testing devices and compare them against the official list.
Other questions to ask the collection site:
Handling problems in testing. Even though infrequent, there may be instances in which something out of the ordinary happens during testing. You need to make sure your collection site knows and is following appropriate DOT procedures.
Following are some additional questions to pose to your service providers:
It is important to get the facts before making a decision. Unfortunately, in some rural areas, choices may be limited. Nevertheless, make sure the local clinic or hospital can perform DOT tests in accordance with the regulations. If those facilities are not, a company’s drivers may need to travel a certain distance to reach a facility that has properly trained technicians and properly equipped facilities. This is probably more applicable to alcohol testing since only DOT-approved alcohol equipment may be used.
The intent of the visit is to ensure that DOT procedures, equipment, and privacy stipulations are being followed. You would schedule an appointment for this mock collection; note that a specimen is not actually provided. You need to familiarize yourself with the steps in DOT testing.
Your calendar should be cleared for at least an hour. When you walk in, you will have the “driver” experience. When you arrive, observe the waiting room. Is it crowded? Does it appear as though donors are made to wait?
Someone from the facility should walk you through each step of the process, including the intake process of signing in and showing identification. Personnel should take you to the same room a driver would be led. You can see whether:
By the end of the visit, you should be able to measure the collection site’s performance.
Most motor carriers have experienced some sort of recordkeeping frustration associated with their DOT drug and alcohol testing program, such as minor administrative errors on a chain of custody form (CCF) or not receiving a drug test result. Some of the errors could have been avoided had the motor carrier provided necessary data elements.
Supply 11 key data elements
Did you know that 40.14 requires employers (or consortium/third-party administrator (C/TPA)) to provide collectors with specific information relevant to the drug collection process? The employer must make sure the following information is made available to the collector:
Numbers 3, 4, 6, 7, and 10 may be preprinted on the CCF.
Standing orders on drug-testing method
A standing order is a document created by the employer that clearly identifies when urine or saliva will be the preferred drug testing method. Even if a carrier sticks with urine or goes completely with saliva specimens, it must communicate its decision to the collection site.
The standing order typically reflects the unique nature of each drug testing method:
Carriers may elect to have a hybrid model incorporating in both urine and saliva drug tests. To incorporate both urine and saliva drug tests, the collection site must be alerted via a standing order based on reason for testing, need for direct observation, and instances of insufficient specimens.
Following are a few examples of the standing orders provided to collectors:
After creating a standing order document, the carrier must make ensure its designated employer representative and drivers know when each testing method will be used.
Consequences of incomplete information
If a piece of information is missing or inaccurate, the test may wind up in the great abyss of missing test results. How does this happen? It may be as simple as an incorrect driver’s identification number written on the form, creating a problem in providing the results to the employer.
In some other instances, the collector may not have a CCF with preprinted information, and has to edit one that is on hand. This makeshift CCF may:
Reducing errors
So what’s the solution? Some carriers have found success using a network of collection sites that:
When your driver is subject to a DOT post-accident drug screen in an area with limited options for testing (i.e., outside your network), you might consider having a preprinted CCF in every commercial motor vehicle. The driver simply provides the form to the collector, reducing the chance of a lost test result.
Employers may only use laboratories certified by the Department of Health and Human Services (HHS) for drug testing. Each month an agency within HHS, the Substance Abuse and Mental Health Services Administration (SAMHSA), publishes its list of certified laboratories in the Federal Register. Certified laboratories must follow the procedures in Subpart F of Part 40 when conducting DOT drug tests.
Labs may be certified to process urine and/or oral-fluid (saliva) specimens for DOT drug testing.
Employers may not use labs outside of the HHS list and may not process specimens using on-site testing methods for immediate results. Drug testing specimens must be collected, shipped, processed, and results reviewed in accordance with Part 40 procedures.
The medical review officer’s (MRO) responsibility is a significant function within the testing process. The MRO’s job is to provide a “clinical confirmation” of a presumptive positive as reported by the laboratory.
Essentially, a positive test is initially a scientific conclusion which then must be legitimized by medical considerations made by the MRO. The MRO then determines whether a true positive exists. The laboratory reports the result directly to the MRO for a professional review of the results which will only be reported to the company after a “clinical confirmation” has been achieved by the MRO.
This is likely to be the most critical decision employers make within a testing program. The MRO will have more contact with the company than anyone else within the program. The person will become the company’s “agent” providing final analysis of the total process and representing the company in any challenge litigation that may evolve.
MRO chief duties include:
Seek out only licensed physicians (Doctor of Medicine or osteopaths). MROs must meet the knowledge, training, and education requirements described in 40.121. There are professional bodies which provide certification such as AAMRO (American Association of Medical Review Officers) and MROCC (Medical Review Officer Certification Council). This certification guarantees a knowledgeable and competent MD; it is the assurance a company should demand from a qualified professional. The websites of these organizations include searchable databases of certified MROs to help employers find an acceptable one:
When the Medical Review Officer (MRO) has to speak with the driver about a non-negative drug test result, the MRO has specific protocols to follow before being allowed to make a determination with or without speaking with the driver.
Steps to make contact with the driver
Interestingly, the driver is given six opportunities to speak with the MRO as the verification process plays out.
Step 1.
The MRO calls the driver using the phone numbers on the DOT testing form, making three attempts in a 24-hour period.
Step 2.
The MRO tells the company’s designated employer representative (DER) to contact the driver with instructions to immediately contact the MRO.
Step 3.
DER calls the driver using the phone numbers on the DOT testing form making three attempts in a 24-hour period.
What happens during the driver interview?
The MRO must explain certain things to the driver during the conversation, including the test results and the verification process. The driver must be told that any additional medical evaluation that is requested must be pursued — or it is considered a refusal to test.
For a claim of a legally obtained prescription, the MRO will take all reasonable and necessary steps to verify the authenticity of all medical records the employee provides and even contact the employee’s personal physician or pharmacist. The driver is also told that information will be provided to third parties without the need for consent in accordance with 40.327. If the MRO calls the driver’s fitness for duty into question, the driver will be given the opportunity to change any legally prescribed medication within five days. In other words, the MRO will not contact the third parties right away.
Also, during the MRO’s conversation with the driver, the MRO must communicate the split specimen option and procedures. The employee has 72 hours from the time the MRO provides this notification to request a test of the split specimen. The employee is given instructions on how to contact the MRO to make the request, including phone numbers or other information that will allow the employee to make this request. The MRO must have the ability to receive the employee’s calls at all times during the 72-hour period, which can include an answering machine or voicemail with a time stamp feature.
The MRO must also tell the employee that the employer cannot deny a request made within the 72 hours. In addition, the driver must be told that the employer cannot require payment for the test before the test takes place, but the employer can seek reimbursement later. The MRO will also inform the employee that additional tests on the specimen are prohibited. For example, a driver who claims the specimen belongs to someone else cannot request DNA tests.
What happens if the driver and MRO don’t connect?
There are three circumstances in which the MRO may verify a result without an interview with the employee, including:
After the MRO has verified a test result and reported the result to the DER, the MRO must allow the employee — within 60 days of the verification — to present documentation that serious illness, injury, or other circumstances unavoidably precluded contact with the MRO and/or DER in the times provided. On the basis of such information, the MRO may reopen the verification, allowing the employee to present information concerning whether there is a legitimate medical explanation of the confirmed test result.
To be permitted to act as a substance abuse professional (SAP) in a Department of Transportation (DOT) drug and alcohol testing program, a person must have one of the following credentials:
Knowledge
In order to act as an SAP, the credentialed individual must:
The DOT requires SAPs to keep current on any changes to these materials. SAPs must subscribe to the Office of Drug & Alcohol Policy & Compliance (ODAP) list for email updates. DOT agency regulations, DOT SAP Guidelines, and other materials are also available to the SAP from ODAPC.
Note that an SAP, who is otherwise fully qualified under Part 40, must not perform evaluations outside the geographic jurisdiction for their credential(s). If the SAP who made an evaluation exceeds their geographic jurisdiction, the employee will not be required to seek the evaluation of a second SAP.
SAP’s role
The basic responsibility of the SAP is to:
At the SAP’s discretion, the initial and follow-up evaluations may be performed face-to-face in-person or remotely. If a SAP is not prohibited from using technology within the parameters of the SAP’s state-issued license or other credential(s), a remote evaluation must be must be conducted in accordance with the following criteria:
If the employee is found to need assistance as a result of the assessment, then the SAP recommends a course of treatment with which the employee must comply before returning to safety-sensitive functions. If the employee successfully completes the course of treatment, the SAP will provide the employer with a report with the follow-up program based on the evaluation of the driver.
Employers who are subject to Department of Transportation (DOT) drug and alcohol testing under 49 CFR Part 382 must create a policy. By providing this policy to drivers in safety-sensitive positions, companies can ensure drivers know what is expected under a DOT testing program before employees are ever tested. In addition, specific educational materials on the effects of drug abuse and alcohol misuse must be given to the drivers when the policy is provided.
Motor carriers that are subject to DOT testing requirements must create written policies. If employers operate commercial motor vehicles that require a commercial driver’s license (CDL), the company is subject to the requirements.
A DOT drug and alcohol policing must contain, at minimum, the following elements (found in 382.601(b)):
Element #6 would detail both oral-fluid (saliva) and urine specimen drug-testing procedures. The policy should indicate what standing orders have been provided collection sites for each testing method. In other words, which testing method will be used for each reason for testing, along with any orders to use an alternate testing method under specific circumstances.
Employers must provide a copy of these materials to each driver prior to the start of DOT alcohol and controlled substances testing, including new hires and employees transferring into safety-sensitive positions. The policy must be given to contract workers (e.g., owner-operators, staffing service drivers), not just employees on the company’s payroll.
The driver, upon receiving the policy, must sign a statement certifying receipt of the information (required by 382.601(d)). Employers must retain a copy of this signed receipt.
Any additional company policies based on the discretion of the motor carrier (e.g., zero tolerance) may be interwoven into a DOT policy, but policies still may not violate federal or state law. Additional requirements within policies must be clearly and obviously described as being based upon the company’s independent authority, not DOT testing regulations.
A motor carrier who has a voluntary self-identification program element in its policy will not take disciplinary action against a driver who makes a voluntary admission of alcohol misuse or controlled substance use if:
The driver will be allowed to return to safety-sensitive duties upon successful completion of an education or treatment program, as determined by a drug and alcohol abuse evaluation expert. Also, the driver must undergo:
The policy may incorporate employee monitoring and include non-DOT follow-up testing.
The voluntary self-identification program or policy must be given to the driver in accordance with 382.601, along with the other elements of the company policy, before the driver participates in the DOT random testing program.
If the motor carrier revises its existing DOT drug and alcohol testing policy to include a voluntary self-identification program or policy, it will need to reissue the DOT drug and alcohol testing policy to the drivers. The drivers must sign another receipt of the policy indicating the new date to demonstrate that the drivers were made aware of the revisions. Both receipts of the company policy (original and revised policies) would be retained in accordance with 382.401(b)(4), for the duration of employment plus two years after it ceases.
Educating drivers and training supervisors is essential for a company’s Department of Transportation (DOT) drug and alcohol program to be effective. Employers are required to provide training for supervisors prior to the start of the testing program.
Employers must provide training to all persons who supervise drivers subject to the regulations. This training helps supervisors determine whether reasonable suspicion exists to require a driver to undergo testing.
The supervisor training must include at least 60 minutes on alcohol misuse and 60 minutes on controlled substances use (120 minutes total).
The following key definitions will be useful when training those who supervise drivers subject to the Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol program regulations:
Alcohol — The intoxicating agent in beverage alcohol, ethyl alcohol or other low molecular weight alcohols, including methyl or isopropyl alcohol.
Articulable — Clearly described observations made by a trained supervisor leading to the DOT reasonable suspicion test. Something that cannot be accurately put into words on the supervisor’s report is not articulable.
Contemporaneous — The signs and symptoms of drug or alcohol use occurring as the trained supervisor observes them. Something a supervisor saw, for instance, yesterday is not a contemporaneous observation.
Drugs — Under Department of Transportation (DOT) drug testing regulations, “drugs” are those for which tests are required, including:
Driver — Any person who operates a commercial motor vehicle. This includes, but is not limited to full-time, regularly employed drivers; casual, intermittent, or occasional drivers; and leased drivers or independent owner-operator contractors.
Reasonable suspicion — The employer’s determination — based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the driver — to require the driver to undergo an alcohol and/or drug test. The observations may include indications of the chronic and withdrawal effects of controlled substances.
Supervisor — An employee of a motor carrier who has been designated as a driver supervisor in order to request a DOT reasonable suspicion test. The supervisor must receive the 60-minute training on drug use and an additional 60 minutes of training on alcohol misuse to be qualified to assume a role as a driver supervisor.
Drivers who operate commercial motor vehicles (CMVs) in the United States, requiring a commercial driver’s license (CDL), or Mexican or Canadian equivalent, are subject to Department of Transportation (DOT) drug and alcohol testing.
Drivers include anyone performing a safety-sensitive function under a motor carrier’s authority, including part-time, occasional, or intermittent drivers; owner-operators leased on to the carrier; drivers from staffing services; and drivers borrowed from other motor carriers. CMV drivers are performing safety-sensitive functions based on the nature of the vehicle assigned.
Employees who hold job titles other than driver (e.g., supervisor, technician, yard worker) are subject to DOT testing if the person is called upon to operate a CMV requiring a CDL. It may even be the president of the company. Everyone who is expected to drive this vehicle type must be included in the company training program.
When is DOT driver training required?
After being hired for or transferring into a position requiring a CDL (safety-sensitive position) and prior to the starting of DOT drug and alcohol testing, drivers must be given educational materials that explain the testing requirements.
The regulations do not require refresher training for drivers, but many companies revisit the drug and alcohol topic on a scheduled basis. Some carriers perform training after DOT rules are revised or DOT testing policies are updated.
What topics should employers cover?
Section 382.601(b) of Federal Motor Carrier Safety Regulations (FMCSRs) requires that drivers be given information in the company policy.
What medium may be used to present the topics?
Many of the components that must be covered with drivers may be incorporated into a company’s DOT drug and alcohol policy. But the regulations do not specify that the elements be in the form of a policy.
Section 382.601 uses the term “educational materials.” These may be in the form of a policy, handbook, handouts, and so forth. Whatever format the employer elects to use must be distributed to the drivers.
The FMCSRs do not require formal training such as a class, video, or online tutorial, but many carriers find it beneficial to hold training, in addition to providing the required written materials. By having a class or going over the materials one-on-one with new hires, the employer is ensuring that drivers are instructed on and understand key points of the DOT testing program.
The drivers must sign a statement certifying that workers received a copy of educational materials. If provided in multiple formats, a best practice may be to identify each in the signed receipt (e.g., company policy and a handbook/handouts) or collecting a receipt for each.
Motor carriers are subject to Department of Transportation (DOT) drug and alcohol testing requirements if employees operate commercial motor vehicles requiring a commercial driver’s license (CDL). The operators of these vehicles are performing safety-sensitive functions. One provision within Part 382 is supervisor training. This training in 382.603 is required for the individual who is requesting a DOT reasonable suspicion test (382.307). If someone is not trained, the person is not qualified to request the test based on observations.
Who is a supervisor?
It is important to identify supervisory personnel. In the trucking industry, this is especially difficult because the dispatcher does not have contact with the driver after the truck leaves the terminal and is often not present when the driver returns. The regulations prohibit reasonable suspicion from being based on third-party reports. Therefore, it is important that people who are placed in positions of responsibility for assessing employee fitness be well informed as a part of the training, particularly about the limitations imposed by the regulations.
How can a motor carrier avoid potential safety risks when drivers have so little face-to-face contact with an immediate supervisor? Consider:
How is training performed?
The drug and alcohol testing regulations do not address the medium required to train a supervisor on reasonable suspicion. Options may include classroom training, online courses, computer-based programs, reading materials, and video presentations. The material may be provided by a vendor or created by the employer.
The rules also do not require a facilitator to train the supervisor. The employee could work independently to complete the course materials.
What should be included in supervisor training?
Unlike most of the Federal Motor Carrier Safety Administration’s (FMCSA) regulations — where the requirements are strictly spelled out — the exact content of and degree of detail in the training is left up to the motor carrier.
The FMCSA requires that supervisors have at least one hour of training on controlled substances use and an additional hour of training on alcohol misuse. Based on how the regulation (382.603) is worded, the two topics must be kept separate.
The training must cover the specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the driver that lead a supervisor to approaching the driver and requesting the test type. Those who develop training programs will detail the signs and symptoms of alcohol use and the drugs identified in the DOT definition (40.85) including marijuana, cocaine, amphetamines, opioids, and phencyclidine (PCP).
Recurrent training is not required. In addition, a driver supervisor who received the required reasonable suspicion training does not have to retake the training when the person assumes a driver supervisor role for another carrier. The new employer, however, will need proof of supervisory training in order to forego training at its company.
Department of Transportation (DOT) drug tests require laboratory testing for the following five classes of drugs:
DOT alcohol tests identify alcohol concentration of 0.02 and greater.
All applicants for employment on a permanent or temporary basis to operate commercial motor vehicles (CMVs) requiring a commercial driver’s license (CDL), must be given pre-employment tests for controlled substances. Those existing employees transferring into a safety-sensitive position must also be given a pre-employment test.
The purpose of pre-employment testing is to deter and detect controlled substances abuse by driver-applicants. Pre-employment testing identifies drivers who could bring a controlled substances problem into an organization.
A driver-applicant shall not be allowed to perform as a driver unless the employer has a verified negative controlled substances test result from the medical review officer (MRO) for the driver-applicant.
Whether Department of Transportation (DOT) pre-employment testing must be conducted varies according to the situation. The following scenarios specify when the Federal Motor Carrier Safety Administration (FMCSA) does and does not require testing:
A driver who has recently participated in a Department of Transportation (DOT) testing program under another motor carrier may qualify for the DOT pre-employment drug testing exception (382.301(b)).
To claim the exception to pre-employment testing, the driver must meet the following criteria:
To take advantage of this exception, the motor carrier must contact the previous testing program prior to using the driver and obtain the following information (as required in 382.301(c)):
The motor carrier must provide specific written consent from the driver authorizing release of the information.
A driver is not permitted to perform a safety-sensitive function until the new employer receives the documentation of the exception from the prior testing program.
Using the exception with intermittent drivers
An employer that uses a driver more than once per year — but does not employ the driver (i.e., a trip-lease or loaned driver) — can take advantage of the exception to pre-employment testing explained in the previous section. But the employer must confirm once every six months that the driver participates in a DOT-compliant drug testing program.
For instance, Employer A uses a driver to operate commercial motor vehicles (CMVs) for two or more times in a 365-day period, but the driver is regularly employed by Employer B (and both employers are subject to the DOT’s drug testing rules). Employer A need only check with Employer B once every six months to obtain the pre-employment exception testing information, assuming Employer A does not want to pre-employment test the driver each time. Employer A must obtain specific written consent from the driver authorizing Employer B to release the information to Employer A.
Suppose a driver has a few days off from the regular employer (Employer B) and is asked to deliver a load for another employer (Employer A). Rather than conduct a pre-employment drug test, Employer A decides to use the exception and obtains the required information from Employer B. Employer A uses the driver for the delivery and decides to use the person again in one month and again after four months. Employer A is not required to obtain the driver’s testing records from Employer B for these trips. However, the driver once more returns to perform another delivery seven months after Employer A first obtained test records from Employer B. Before using the driver for this trip, Employer A must again obtain the required testing information from Employer B.
Federal Motor Carrier Safety Administration (FMCSA) pre-employment alcohol testing is not required, but employers may perform optional testing so long as the following conditions are met (382.301(d)):
Random tests aid employers in identifying employees who are engaging in drug use or alcohol misuse that may have otherwise gone undetected. An employee can expect to be tested at any time, and the uncertainty of when a test will be given means an employee cannot simply abstain for a short period of time to pass a test. An employee needs to come to work each day free from the influence of alcohol or illegal drugs or risk the consequences.
Any motor carrier subject to the Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol testing rules (Part 382) must establish a Department of Transportation (DOT) random drug and alcohol testing pool. If a motor carrier wishes to test its non-commercial driver’s license (CDL) drivers and/or other employees, that program must be separate from the DOT testing program.
The motor carrier must follow state and federal employment and drug testing requirements in the management of its non-DOT random program.
How a Department of Transportation (DOT) random selection is managed depends on the organization. Some make the role of selecting drivers for random tests a part of the safety or operations department, since the supervisors are familiar with the Federal Motor Carrier Safety Regulations (FMCSRs). For others, the tasks are removed from the front-line supervisors in these departments and given to human resources — to help counter any claims of bias.
For yet others, the random selection process is outsourced to a consortium/third-party administrator (C/TPA). If a service agent performs the administrative functions of the random selection, the motor carrier must still ensure the selection complies with 382.305 of the FMCSRs, which outlines random testing procedures.
One of the first steps in setting up the random pool is to determine who should be included. A safety-sensitive position refers to anyone who operates, is in readiness to operate, or occasionally operates a commercial motor vehicle (CMV) that requires a commercial driver’s license (CDL).
Although a CDL would be required to perform a safety-sensitive function, applicability is not based on licensing alone. For instance, an employee who holds a CDL, but does not operate a vehicle requiring one, should not be a part of a DOT testing program. Even if this employee operates a non-CDL CMV, the employee is not subject to any test type within Part 382. Any testing of this individual would have to be a part of an employer’s non-DOT testing program, even if the individual is regulated under other areas of the safety regulations.
Employers commonly make the mistake of omitting eligible drivers from the driver master and including drivers who are not subject to the rules under Part 382.
Don’t forget the following individuals on the employer’s driver master for Department of Transportation (DOT) random selections:
A driver must remain in the random selection pool during a leave of absence, long vacation, or layoff, provided the motor carrier is sure the person will return. A temporary, occasional, or intermittent driver must remain in the random pool for as long as the motor carrier expects that the person might be utilized again. If the motor carrier is sure that the driver will not return, the person’s name may be removed from the list of drivers.
Section 382.305(b) requires carriers to test at minimum percentages. Currently, motor carriers are required to test at least 50 percent of the average number of drivers for drugs and 10 percent of the average number of drivers for alcohol. If the Federal Motor Carrier Safety Administration (FMCSA) revises the number of required annual tests, the revision for the coming year would be printed in the Federal Register by December.
A motor carrier may select a higher rate since the percentages in the regulations are minimums. Many carriers do this to make sure that the company makes the minimum percentages by the end of the calendar year.
For example, a canceled random drug or alcohol test may not be used in the annual total of completed tests. If a motor carrier has canceled or missed tests for a variety of reasons, the employer may elect to test at a higher rate throughout the year to meet the numbers without any adjustments.
Scientific method
The names must be selected using a scientifically valid method, such as a random number table or a computer-based random number generator that is matched to a number associated with the driver (e.g., Social Security Number, employee ID number, driver’s license number, etc.). Each driver must have an equal chance of being selected each time. The person’s name must remain in the driver list each testing cycle even if the person was selected previously during the year. In theory, the same person could be selected each time the motor carrier does a random selection.
Testing periods
Some carriers are left speculating how often the company should test. The decision is left up to the motor carrier. However, Department of Transportation (DOT) reference materials suggest that the agency expects to see at least quarterly selections, even though this requirement does not appear in regulatory text. The company will have to decide what schedule meets its needs. The only requirements are that the year is evenly broken up and the tests are completed within the testing period.
For example, if a motor carrier opts to test monthly, it will select fewer names, but the tests must be completed in shorter period of time. The motor carrier will have to decide whether this is feasible based on scheduling. If an employer instead selects quarterly draws, it will have more time to accomplish the tests, but the number of tests to complete will be greater. Again, the employer will have to look at its operation to determine.
An alternative for employers with relatively few drivers is to join a consortium with testing pools large enough so that drivers are always subject to random testing.
Determining the average number of drivers
Fluctuations in employment can skew random numbers if not calculated correctly. The FMCSA testing regulations state that employers must test at least 50 percent (drug) and 10 percent (alcohol) of the average number of driver positions, not necessarily the total number of drivers that were hired, used, or otherwise employed over the course of the year.
For example, suppose a carrier has an average of 100 driver positions for the year, but (due to turnover) actually used or employed a total of 140 drivers during the year. The company would be expected to make random selections based on its average of 100 driver positions, and would have to test 50 drivers for drugs (not 70) and 10 drivers for alcohol (not 14) by December 31. Some individuals may be tested more than once, and some not at all.
An employer conducting random testing more often than once per month (e.g., daily, weekly, bi-weekly) does not need to compute the total number of covered drivers rate more than on a once per month basis.
Following is an outline for a motor carrier that has opted for a quarterly random testing cycle. The example has a slight fluctuation in driver positions from quarter to quarter.
First quarter
First, determine who should be included in the driver master. Let’s suppose the first quarter’s pull has 250 driver positions. Based on this, you know — if nothing changes — that you must have 125 drug tests and 25 alcohol tests completed (at a minimum) by the end of the year. You divide 125 and 25 by 4 (the number of testing cycles) and round up. So the first quarter selection would include 32 names for drugs and 7 names for alcohol.
Second quarter
All of the first quarter tests should have been completed at this point. Let’s look at what has changed since last quarter:
With all of this taken into account, suppose your driver positions spike during the second quarter, and you are now up to 300. You do the same mathematical formula as the first quarter. You take 50 percent of the 300, which is 150, divide by 4 (the number of testing cycles), and round up. You arrive at 38 drug tests. You then take 10 percent of 300, which is 30, divide by 4, and round up to reach 8 as the number of alcohol tests this quarter. If you missed any tests last quarter that you want to make up, you would simply add them to these numbers.
Third quarter
By third quarter, all the second quarter tests should have been completed. You look at the same variables as last quarter when preparing for the pull:
After reviewing these variables, you should arrive at an accurate number of driver positions for the third quarter. Suppose you had a major shift in numbers to 400 driver positions. You would use the same formula based on 400: 200/4 = 50 drug tests this quarter and 40/4 = 10 alcohol tests this quarter (plus any make-up tests for each test type).
Fourth quarter
Fourth quarter is the selection period in which you need to make sure that all your calculations are correct and that all tests are completed.
If you do not draw names at a higher rate than the minimum and therefore do not have a cushion to work with, it is imperative that the holidays, vacations, and the like do not interfere with sending drivers by the end of the year. It is a little-known fact that all tests must be completed and the MRO results received by the end of the calendar year, or the results do not count for compliance in the year the tests were requested. For example, if the driver was sent December 31 for a fourth quarter test, and the results were not officially sent and dated by the MRO until January 2 of the next year, that test cannot be used for compliance for the year. (Even if the test results were reported out on January 1 which is a legal holiday, it still would not count since it crosses into another calendar year.) It will appear on the lab summary for the following year.
On the other hand, you don’t want to end too early in the cycle either because it is the end of the year. Drivers who know that everyone was sent in early December may engage in prohibited behaviors thinking they may not get caught. It is a delicate balance of not too early and not too late. By fourth quarter, all the third quarter tests need to be completed. You look at the same variables as last quarter when preparing for the pull. After factoring in all these variables, you should arrive at an accurate number of driver positions for the fourth quarter. Let’s suppose you drop back to a lower number due to a slow time of year. Your driver roster has 225 driver positions for fourth quarter.
Before you do your last draw, you need to see where you are for numbers:250 + 300 + 400 + 225 = 1175/4 = 294 (the average number of drivers for the year).
Based on this, you must have 147 drug tests and 30 alcohol tests by the end of the year. So far you have: 32 + 38 + 50 = 120 drug tests at the end of the third quarter and 7 + 8 + 10 = 25 alcohol tests.
To accomplish the minimum 147 drug tests, you need at least 27 more tests. To achieve the minimum 30 alcohol tests, you need at least 5 names. If you do not select over the minimum for this quarter, you would need to make sure that all drivers selected go for the tests and that none are canceled. If you do not have results for all the names selected, you may find yourself conducting an emergency selection close to the end of the year to meet your compliance numbers.
Once a random selection has been made, the motor carrier has until the end of the testing period to send the drivers to the testing site.
Any drivers who should have been sent during the testing period but were not, should not be sent once into the next selection period. The reason the test was not performed should be documented by the motor carrier. For example, a driver may have been on a temporary leave of absence.
Element of surprise
The driver must not have any advance notice of being selected for a Department of Transportation (DOT) random alcohol or drug test. Testing regulations refer to this as being “unannounced.” A common myth is that drivers may be given an hour or two to make it to a collection site. Once a driver is notified of a test, the employee must immediately proceed to the collection site. To do otherwise or to arrive later than reasonable travel time is considered a refusal to be tested, which holds the same consequences as a positive test result. Any notice could give a driver time to adulterate or substitute a result.
Evenly distributed tests
The Federal Motor Carrier Safety Administration (FMCSA) testing rules require that the dates for administering random alcohol and controlled substances tests are spread reasonably throughout the calendar year. But the regulations offer little insight into how a motor carrier is to accomplish this.
Spreading the tests reasonably throughout the year may be taken to mean the testing periods evenly divide the calendar year. But the driver notifications within the testing cycles may take one of two approaches:
Alcohol versus drug test notification
A driver may be sent for a DOT drug test at any time. Use of a drug is a violation whether performing a safety-sensitive function that day or not. However, a driver may only be sent for a DOT alcohol test right before, during, or after performing a safety-sensitive function.
This is important to remember for those drivers who hold other positions at the carrier. For example, a manager, dispatcher, mechanic, or warehouse worker who is in the random selection may be sent for alcohol testing only on those days the person operates or is in readiness to operate a commercial motor vehicle (CMV) requiring a commercial driver’s license.
If not performing a safety-sensitive function, the carrier would need to hold on to the notification until the next time the employee performs a safety-sensitive function. But the motor carrier could send the person for the drug test during any shift since there is no stipulation that it must be tied to performing a safety-sensitive function that day.
Handling drivers who are unavailable for testing
If a driver is unavailable for testing due to an extended leave of absence (medical, personal, vacations, layoff, etc.), the motor carrier should hold on to the name (keeping the person’s selection a secret) and notify the driver upon return, providing the driver returns before the next testing cycle. If the driver does not return before the next testing cycle, the motor carrier would simply document why the test was not performed and compensate for the missed test during a future selection to make its annual percentages.
The FMCSA allows for the use of alternates in cases where the original driver selected is unavailable for testing due to a leave of absence and it is known for certain that the driver will not return before the end of the testing cycle. If there is any chance that the driver who was originally selected will return before the end of the testing period, an alternate should not be used. The alternate must be selected using a scientific method, the same as the general pool.
Use of an alternate must be the exception, not the norm, or the FMCSA may investigate whether a designated employer representative is using alternates to keep from testing specific drivers for business reasons (busy seasons) or as a cover for drivers who the motor carrier suspects would not pass the test if sent.
If the employer conducts random testing through a consortium/third-party administrator (C/TPA), the number of drivers to be tested may be calculated for each individual employer (independent pool), or may be based on the total number of subject drivers covered by a consortium (combined pool of many motor carriers). This will mean that a consortium member could have fewer than its required number of random tests conducted if the overall consortium rate equals the required rate. For instance, if Employer A has 20 drivers and the consortium has 500 drivers in the pool covering Employer A, and a 10 percent rate applies for alcohol and 50 percent rate applies for drugs, if Employer A chooses to have the rate based on the consortium, the consortium must conduct at least 50 alcohol tests and 250 drug tests even if Employer A tests fewer than 2 drivers for alcohol and fewer than 10 drivers for drugs.
A consortium that performs selection and/or testing services as agents for the employer must prepare and provide to the employer complete and comprehensive descriptions of the procedures used by the consortium. An employer must have this information readily available for inspection. The consortium, and an employer who does not use a consortium, must include in these descriptions:
Also, documentation must be provided to show that the consortium is testing at the prescribed minimum annual percentage rate for alcohol and/or controlled substances. When contracting with a C/TPA, each employer in the consortium must ensure all testing requirements are met.
A motor carrier or its consortium/third-party administrator (C/TPA) should have some means of tracking the results of random drug and alcohol tests. This could be as simple as a spreadsheet or as complicated as a software package.
The motor carrier may be called upon to show when (or if) each selected driver was sent for a random test and the test result. This recordkeeping allows a Federal Motor Carrier Safety Administration (FMCSA) investigator to determine whether:
Federal Motor Carrier Safety Administration (FMCSA) post-accident drug and alcohol tests apply to commercial drivers who operate a commercial motor vehicle (CMV) requiring a commercial driver’s license (CDL).
FMCSA post-accident testing includes requirements for:
The employer is required to test each surviving driver for alcohol and drugs following an accident involving a commercial motor vehicle (CMV) requiring a commercial driver’s license (CDL) when at least one of the following criteria are met:
When one of these criteria are met, the driver must be tested as soon as practicable.
When a Department of Transportation (DOT) post-accident test meets the criteria for testing, motor carriers should not delay necessary medical attention for an injured driver in order to perform the drug and alcohol tests. Also, the driver is not prohibited from leaving the scene of an accident for the period necessary to obtain assistance in responding to the accident, or to obtain necessary emergency medical care.
Tests performed by law enforcement
In lieu of administering a post-accident test, employers may substitute a test administered by on-site police or public safety officials under separate authority as a part of the accident investigation.
The employer can substitute a blood or breath alcohol test and a urine drug test performed by such local officials, using procedures required by jurisdictions. This may be particularly useful if those tests can be administered before the employer can get to the scene. The employer must obtain a copy of the test results.
However, if an employer is unable to obtain a copy of the results and does not perform the post-accident test(s) itself, this is a violation. This type of violation is common when the result is negative and enforcement does not retain a copy of the results.
Alcohol: A driver who is subject to post-accident testing must remain available for testing and refrain from consuming alcohol for up to eight hours after the accident or until the person submits an alcohol test, whichever occurs first. If the driver doesn’t do these things, the employer may consider the individual to have refused to submit to testing, which is the same as testing positive
Drugs: As noted, a driver who is subject to post-accident testing must remain available for drug testing for 32 hours following the crash, or the employer may consider the driver to have refused to submit to testing.
Companies need to be aware when circumstances surrounding an accident evolve — in some cases, the criteria can be met after the fact. That’s why the driver must remain available for testing.
For instance, if someone dies because of the crash when the driver was not cited, employers must send the driver for the post-accident tests if the company becomes aware of the fatality:
Similarly, if the criterion for an injury requiring immediate treatment away from the scene or towing due to disabling damage to one of the vehicles is met, AND the driver is issued a citation after the crash, the driver must be sent for:
After an initial pre-employment test, a driver might not be called upon to take another test for quite some time, if ever. An employee covered by Department of Transportation (DOT) regulations may be selected for a random test, or may need to take a post-accident test at some point during employment.
But what if a driver is suspected of being under the influence of drugs and/or alcohol? What recourse does the employer have? A driver may be tested when a supervisor has reasonable suspicion that the employee is impaired by alcohol or drug use.
In order to request a reasonable suspicion test of a driver, the employer’s decision must be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the driver. In other words, the observations must be happening in front of the employer now (contemporaneous) and must be explained in detail when documenting the event.
The observations may include indications of the chronic and withdrawal effects of controlled substances.
Who may request the test?
Under the Department of Transportation (DOT) drug testing rules (Part 382), a trained supervisor is required to make the observations to require a test. This supervisor must have received 60 minutes of training on alcohol misuse and additional 60 minutes of training on drug use as required in 382.603.
The driver is required to submit to the alcohol and/or drug test when approached by the trained supervisor about the reasonable suspicion. If driver does not comply, it is considered a refusal to test. A refusal to test holds the same consequences as a positive test result, triggering the DOT return-to-duty process.
Documenting the observations
Documentation of the driver’s conduct must be prepared and signed by the supervisor within 24 hours of the observed behavior, or before the results of the alcohol or drug test are released, whichever is earlier.
The following five-step approach to requesting a DOT reasonable suspicion test will assist driver-supervisors in feeling more comfortable with requesting the test type. Its structure aids in following DOT procedures and is a good best practice to include in your training curriculum.
Step 1: Observe
The person trained in reasonable suspicion must personally observe the unusual/curious behavior displayed by a driver under the trained person’s supervision. If your company has more than one trained individual, the initial supervisor may ask another trained person to help determine if the symptoms being exhibited clearly indicated prohibited drug and/or alcohol activities.
Step 2: Confirm
The supervisor must confirm that the physical, behavioral, speech, and/or performance indicators being observed are consistent with the signs and symptoms of substance misuse. It does not matter whether the supervisor knows what substance may be involved. The supervisor just needs to believe the behavior or physical signs suggest the driver is under the influence.
Step 3: Confront
This is often the hardest step for many assigned the role of supervisor. For some, it may come down to personality and level of confidence. There is also the uncertainty of how the driver may react. Nevertheless, the supervisor must approach and notify the driver of the suspicion.
This entails describing exactly what was observed and why it prompted the ordering of a drug and/or alcohol test. Always stick to the facts, offering objective terms, and showing concern. For drivers who become defensive, simply listen respectively, but repeat the observations and how you are bound by the federal safety regulations to send the driver for the required DOT test. If the driver talks nonstop, the supervisor needs to regain control of the conversation. Also, the conversation needs to be documented.
Note that some medical emergencies or health problems may resemble symptoms of drug or alcohol use and may result in short health assessment at the site (if offered) to rule out medical issues. The driver must be immediately relieved from safety-sensitive functions at this point.
Step 4: Test
The supervisor must immediately order the appropriate test(s). If you have in-house testing, remember that DOT regulations prohibit the supervisor who requests the test from conducting it. In addition, for off-site tests, it may be a wise best practice — since it is not required — to have the supervisor or another company official accompany the driver to the facility. To allow the driver to drive puts the company at risk if the driver is, in fact, impaired.
Step 5: Document
The supervisor must document the observations leading to the alcohol or drug reasonable suspicion test and sign the report within 24 hours of the observed behavior or before the results of the alcohol or controlled substances tests are released, whichever is earlier. It is best to do it as soon as possible to keep the details fresh in your memory.
The report should be detailed and in objective terms. Avoid any “I” statements. For example, instead of saying, “I suspect this driver of using alcohol,” document what was observed. It might read, “The driver had difficulty concentrating, seemed uncoordinated, dropped a logbook twice, and fumbled the pen while writing. The driver, on (enter date), was late for delivery without an explanation. The driver’s breath smelled of alcohol as if the driver had been drinking beer.”
Waiting on test results
After the request of a drug test, it may take up to 72 hours or more to receive the official result. Your company policy would dictate what you do with the driver during this interim. Many companies place the employee on temporary suspension pending the results. To allow the driver to return to driving could open the carrier up to serious litigation in the event this driver is in a crash during this time period.
Other aspects of the reasonable suspicion testing requirements are specific to alcohol testing.
Observations
Alcohol testing is authorized only if the observations are made during, just before, or just after the driver performs safety-sensitive functions.
The mere possession of alcohol does not constitute a need for reasonable suspicion testing. Rather, reasonable suspicion testing must be based on observations concerning the driver’s appearance, behavior, speech, or body odor.
Administering the alcohol test
If a reasonable suspicion alcohol test is not administered within two hours following the observations, the employer shall prepare and maintain on file a record stating the reasons the alcohol test was not administered promptly. If the test was not administered within eight hours, the employer must:
If reasonable suspicion is observed — but a reasonable suspicion test has not yet been administered — a driver may not perform safety-sensitive functions until:
The regulations do not give the employer authority to take any action against a driver, other than those stated above, based solely on the driver’s behavior and appearance with no test result. The employer may take other action independent of Department of Transportation (DOT) regulatory authority. This may include suspending the employee pending test results.
Return-to-duty testing is done according to the procedures in Part 40 after an employee has failed a test or otherwise violated the rules, completed the education and/or treatment requirements specified by a substance abuse professional, and is ready to return to duty. Return-to-duty drug tests must be conducted under direct observation.
Return-to-duty testing is not used for drivers who have been absent from work for a period of time and want to return to duty (work); in such cases, a pre-employment test should be administered.
Unannounced follow-up tests, numbering at least six in the 12 months following the driver’s return to duty, are required after evaluation, treatment, and negative return-to-duty testing, using the procedures in Part 40. A substance abuse professional (SAP) may also require follow-up tests during the 48 months of safety-sensitive duty following this first 12-month period.
Follow-up drug tests must be conducted under direct observation.
Follow-up testing is separate from and in addition to the regular random testing program. Drivers subject to follow-up testing must remain in the standard random pool and must be tested whenever the individual’s name comes up for random testing, even if this means being tested twice in the same day, week, or month.
Follow-up testing for alcohol can be performed only when the driver is performing safety-sensitive functions, or immediately prior to performing or immediately after performing safety-sensitive functions.
The average semi-truck weighs between 40,000 and 80,000 pounds when fully loaded. The force behind these large trucks does not allow drivers much of a margin for error when reacting to other motorists and hazards on the roadways. Drivers needs to be sharp and alert, and any impairment due to drugs or alcohol may increase the likelihood of a crash.
The Federal Motor Carrier Safety Administration (FMCSA) is charged with reducing the number of commercial motor vehicle (CMV) crashes on U.S. highways. As a part of fulfilling its mission, the agency holds drivers operating CMVs requiring a commercial driver’s license (CDL) to a higher standard with regard to drug and alcohol use than the average motorist. Drivers that engage in prohibited behaviors cannot be allowed to operate a CMV until the employees go through the Department of Transportation’s return-to-duty procedures.
The safety of employees, their coworkers, and the general public relies on having a clear mind and the physical capabilities to perform their job functions. Unfortunately, some employees may use controlled substances on and/or off the job or consume alcohol shortly before reporting to work or while on the clock.
You may encounter the attitude of, “What I do on my own time is my business.” But any impairment of a driver, technician, yard jockey, or even a supervisor, is your business and reputation on the line.
Let’s examine the argument of “It’s on my free time.”
A highly regulated industry
Since the legalization of recreational marijuana in several states, you may encounter employees “recreating” in this way. Commercial drivers cannot use the defense that it is a legally obtained and consumed drug. Federal regulations “trump” state laws for highly regulated industries such as trucking. The U. S. Department of Transportation has posted two notices for all modes clearly stating that use of recreational or medical marijuana is strictly prohibited.
Consumption of alcohol, on the other hand, is permissible if consumed no sooner than four hours before coming on duty. However, someone who has been consuming large quantities of alcohol up to the four hours prior to reporting to duty may still be impaired and should not be allowed to drive. For example, suppose a driver was “partying” until to 2:00am and is quite inebriated. The driver is still under the influence when reporting to work at 6:00 a.m. The driver is unable to operate a commercial motor vehicle and the four hours is a moot point.
Other positions at the carrier
Employers, including motor carriers, may opt to have a non-DOT drug and alcohol testing program within the confines of state and federal laws, and even testing for marijuana in states where medical and recreational use are permissible. It may, within the confines of state laws, have a company policy with disciplinary action if the “legal” drug is in the employee’s system.
A word of caution on non-DOT alcohol testing: according to guidance published by the Equal Employment Opportunity Commission (EEOC), employers may not perform random alcohol tests under their independent authority. They must have probable cause in order to request an alcohol test (e.g., post-accident).
Slightly impaired
How long do drugs stay in the body? According to the Department of Labor’s “Drug-Free Workplace Advisor”:
Based on the above list, employees could in theory participate in activities hours or even days prior to punching in and still have traceable amounts in the their system.
While significant impairments are usually present for at least one to two hours following use of the drug, residual effects have been reported up to 24 hours after use. This means, for example, that an employee who smokes marijuana in the evening or during the weekend could still be suffering the effects of such use while at work the next day.
Communication with employees and supervisors
With so much confusion associated with recent state laws, employers need to train employees (regulated and non-regulated positions) on the regulations and company policies. They need to understand that “legal” does not necessarily mean acceptable for your work environment. Your company may have placed certain expectations on them and will enforce corrective actions as provided within the rights granted to it under state and federal employment laws.
The following key definitions are used to describe aspects of driver conduct for those subject to the Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol program regulations:
For alcohol, drivers must never:
Other alcohol-related conduct
A Department of Transportation (DOT) alcohol violation is an alcohol concentration of 0.04 or greater. There may be occasions when a driver is found to have an alcohol concentration of 0.02 or greater but less than 0.04. What are the ramifications?
Since the alcohol concentration is below the minimum of 0.04 to be considered a violation, the event is classified as “other alcohol-related conduct” and the DOT return-to-duty process does not apply. Instead, 382.505 of the Federal Motor Carrier Safety Regulations (FMCSRs) states that the driver cannot perform, or be permitted to perform, safety-sensitive functions for at least 24 hours.
If the employer wishes to take any additional actions against the employee — independent of the regulations — the FMCSRs do not prohibit the employer from doing so. However, any corrective actions must be consistent with other federal and state laws.
For drugs, drivers must never:
Drug tests look for evidence of five specific drugs or classes of drugs:
A driver who denies drug usage after a positive drug test result is often convincing. Claims that the result “had to have been a mistake at the lab” may seem credible, especially when the driver is a good employee. How should a motor carrier handle such claims?
Due process and the official result
Regardless of a driver’s believability, a motor carrier may not take matters into its own hands and ignore an official DOT drug test result.
Since the medical review officer (MRO) should have already contacted the driver before an official result is provided to the employer, the result should not be a surprise to the driver when the carrier’s designated employer representative (DER) approaches the driver. During the MRO’s verification process, the driver was given an opportunity to offer an explanation (e.g., cite a valid prescription) or refute claims through processing the other half of the collection (split specimen) at a new lab. The driver has only 72 hours once notified by the MRO to request the split specimen test, and if the driver did not request it within that time period, there is no second chance. As the driver, carrier, and MRO await the split specimen results, the motor carrier would have to treat it as a positive until proven otherwise.
Messages left
In some instances, the MRO will be unable to make direct contact with the driver. In such a case, the driver may try to claim that no one spoke to them, so the result is not valid.
During the verification process, the MRO will leave messages and then enlist the DER to contact the driver, directing the driver to call the MRO. If all attempts are exhausted as required under the regulations, the MRO can declare the test positive without ever speaking with the driver.
One more layer of due process is built into the regulations for the driver. If the MRO and DER only left messages, and never spoke with the driver, the MRO must allow the employee to present information within 60 days that serious illness, injury, or other circumstances unavoidably precluded contact with the MRO and/or DER in the times provided.
If the driver is able to provide an acceptable reason, the verification process is reopened, and the MRO is open to discussing a legitimate medical explanation of the confirmed test result.
No discretion
Following a reported positive result, the DER is obligated to remove the driver from any safety-sensitive function and present a list of substance abuse professionals (SAPs) to the driver to start the DOT return-to-duty process. The driver cannot resume safety-sensitive functions until the necessary steps are successfully completed, despite any objections by the driver.
Similarly, a motor carrier cannot take a driver applicant’s word over a former employer that communicates a DOT testing violation. If there is a DOT testing violation in the driver’s past without proof of the return-to-duty steps, the carrier’s hands are tied. The driver is required to complete the necessary steps under the new carrier.
When the use of medical marijuana became legal in several states, the Department of Transportation (DOT) Office of Drug and Alcohol Policy and Compliance (ODAPC), the DOT agency that oversees the drug and alcohol testing regulations for all DOT agencies, issued a policy statement dated October 22, 2009. In this statement of policy, the ODAPC stated that Medical Review Officers (MROs) could not verify a drug test with positive lab results as “negative” based upon information that a physician prescribed “medical marijuana” to the driver.
With the recent addition of recreational use in some states, the ODAPC has issued another policy statement clarifying that the use of marijuana by commercial drivers in states that allow medical or recreational use is still not allowed. The notice states that the state initiatives will have no bearing on the DOT’s regulated drug testing program. The DOT’s drug and alcohol testing regulations located in 49 CFR Part 40 do not allow the use of Schedule I drugs, including marijuana, for any reason. Currently, marijuana is still listed as a Schedule I drug at the federal level. As such, it cannot be used by anyone covered by the DOT drug and alcohol testing regulations.
A developing situation
Drivers who use cannabidiol (CBD) oil can get caught up in this as well. If the driver uses CBD oil that is not THC-free, the driver may end up testing positive. As the positive lab results are tied to a drug that is not allowed at the federal level, the MRO will have no option but to verify the results as positive under the guidance provided.
An underlying issue here is that the purity and testing methods used for CBD oil are not up to pharmaceutical standards. While the container may say THC-free, the truth is that it may not be. It’s to a carrier’s benefit to ensure its drivers understand that they may still be risking their livelihood by using CBD oil.
But I’m an intrastate or non-CDL driver
The federal drug and alcohol testing regulations apply to all CDL drivers, interstate or intrastate. Therefore, the situation does not change if the driver is an intrastate driver. Also, 392.4 states that the use of any Schedule I controlled substance — which marijuana is — is prohibited by a driver operating a commercial vehicle. This regulation applies to the drivers of all commercial vehicles, CDL and non-CDL. Therefore, while non-CDL drivers are not covered by your DOT drug and alcohol testing program, they cannot use marijuana either.
Products containing the hemp-derived substance known as cannabidiol have grown in popularity nationwide since 2018 when Congress decided hemp should be treated as an agricultural commodity rather than as marijuana.
However, any hemp product with a concentration of more than 0.3% tetrahydrocannabinol (THC) — the main psychoactive component of marijuana — is treated as a Schedule I substance. This means it cannot legally be prescribed to or used by safety-sensitive employees, including commercial drivers.
THC content is often unknown
The problem with CBD oils is that there is little government oversight or testing to determine just how much THC they contain. Though some states allow use of marijuana and other products with a high THC content, such products remain prohibited under federal law.
Though the DOT tests for the use of marijuana and not hemp, a truck or bus driver who uses any substance with a high THC content will fail a DOT drug test. The consequences will be the same whether the driver purposefully smoked marijuana or inadvertently used a CBD oil containing a high concentration of THC.
Therefore, “buyer beware” with CBD products
The labeling of such products may be misleading, the DOT says, because they could contain higher levels of THC than what the product label states.
The Food and Drug Administration (FDA) does not currently certify the levels of THC in CBD products, so there is no federal oversight to ensure that the labels are accurate.
Inform your drivers of the risks
Drivers should be aware of the risks inherent in taking any product containing CBD, even when the label says the THC content is 0.3% or less. As harmless as some products may seem, avoiding all CBD products may be the only way to ensure that a driver won’t inadvertently fail a drug test and need to be taken off the road and reported to the Drug & Alcohol Clearinghouse.
The legalization of marijuana could pose a problem for border crossing motor carriers if drivers misunderstand their obligations under U.S. laws and regulations.
What does the Canadian law permit?
The Cannabis Act allows for the legal:
The Act also permits individuals to:
The Canadian government is delaying the sale of cannabis edible products and concentrates until the law has been implemented for one year.
Operating motor vehicles in Canada
At this time, commercial drivers — operating solely in Canada — are not subject to drug screens. Nevertheless, drugged-driving is illegal.
Canadian law enforcement officials realize impaired driving, for the entire motoring public, may be an issue after the Cannabis Act is in effect. In preparation, officers received training to detect drug-impaired driving and to administer standard field sobriety testing roadside. Canadian police may use a series of tests and a blood or urine sample for toxicology to determine sobriety. Officers have been given authority to demand an oral fluid or blood sample if they suspect an offense.
DOT-regulated drivers
The Canadian law may create a point of confusion for commercial drivers who reside in Canada, but operate commercial motor vehicles (CMVs) in the United States.
These drivers must adhere to the Federal Motor Carrier Safety Regulations (FMCSRs). The FMCSRs prohibit the use of any Schedule I drug. Schedule I drugs are substances categorized by the Drug Enforcement Administration (DEA) as having no currently accepted medical use and a high potential for abuse. Marijuana appears on the DEA’s Schedule I.
Drivers who are subject to DOT drug testing are unable to offer an excuse that the substance was legally prescribed or purchased in another country. Medical review officers (MROs) cannot take this explanation into account when determining a drug test result. The MRO is instructed in the DOT testing rules to declare the test positive.
All commercial drivers, not just those with a commercial driver’s license (CDL), operating in U.S. commerce cannot use or possess a Schedule I drug. During a roadside inspection, the driver and carrier will be cited under 392.4, and the driver will be placed out of service for 24 hours. But, the consequences don’t end there.
Both driver types will be disqualified from operating a CMV (383.51 and 391.15). The duration of the disqualification depends on whether the driver has any previous disqualifying convictions, that in combination, increase the penalty.
Border crossing
Anyone transporting marijuana (for personal use) across the U.S.-Canada border could be subject to criminal charges. Even if someone, for example, enters from Canada into Washington State (where marijuana is legal), U.S. Customs will not allow entry since marijuana is illegal under U.S. federal law. Crossing the international border or arriving at a U.S. port of entry with marijuana may result in seizure, fines, and/or arrest, and may impact admissibility.
Final thoughts
The topic of legalized marijuana in Canada, and in some U.S. states, should be explained in a manner that leaves no doubt in the minds of drivers. Use is forbidden of commercial drivers, even when consuming as a “tourist.”
Motor carriers should consider formal training to demonstrate the seriousness of the topic, explaining that marijuana use has far reaching impacts. Drivers could lose their livelihood or face jail time depending on the circumstances. And the motor carrier’s reputation is on the line. Use or possession of marijuana discovered during a roadside inspection will lead to a high Compliance, Safety, Accountability drug and alcohol BASIC score.
The result of a DOT urine drug screen came back dilute. What do you do? Your response will depend on a few variables.
Positive dilute
If the test is a positive dilute, it is treated as a positive test result — end of story. The driver is removed from a safety-sensitive function, is given a list of Substance Abuse Professionals (SAPs), and must undergo the DOT return-to-duty process in order to operate a commercial motor vehicle (CMV) again. The violation is reported to the CDL Drug and Alcohol Clearinghouse by the medical review officer (MRO). The test is retained for the minimum five-year period in accordance with 40.333 and 382.401.
Negative dilute with creatinine level of 2mg/dL – 5mg/dL
If a negative dilute has a creatinine level of 2mg/dL to 5mg/dL, the (MRO) will request an immediate recollection under direct observation. The MRO will contact the motor carrier’s designated employer representative (DER) to request this additional test. If the driver refuses this test, it is a refusal to be tested and holds the same consequences as a positive test result. If the driver goes for the retest under direct observation, the results of this test become the result of record.
Negative dilute with creatinine level over 5mg/dL
A negative dilute with a creatinine level over 5mg/dL will not require a retest. The MRO will not contact the carrier requesting action.
According to 40.197, a motor carrier may retest drivers who have a negative dilute result with a creatinine level of over 5mg/dL even though it does not qualify for an MRO-requested recollection. However, the carrier must have this in its company policy. Drivers must know what will be asked of them above and beyond the minimum requirements of the FMCSRs and the consequences. This must take place prior to the driver’s placement in the testing program. This is found in 382.601(a)(1).
In addition, this company policy retest cannot be under direct observation, and the carrier must be consistent and test all drivers under the same circumstances. For example, you could retest based on test type (i.e., all pre-employment tests but no random tests). Even though it is a company policy test, a driver who refuses has just violated DOT drug testing regulations. It holds the same consequences as a positive, even though the test is optional for the carrier’s policy. It is still a DOT test, and the collection site uses a DOT federal drug testing custody and control form.
Retest results
When the retest was directed by the MRO, if it again comes back negative dilute, the test is declared negative.
If the employer-based recollection comes back negative dilute with a creatinine level over 5mg/dL, the driver is not to be retested again. It is deemed a negative result. The process ends here. However, if the test comes back negative dilute with a creatinine level of 2mg/dL - 5mg/dL, the driver will be directed by the MRO to take yet another test immediately under direct observation.
A positive, adulterated, or substituted finding on any retest is the result of record, and the consequences of a drug violation apply.
What causes a dilute specimen?
Many carriers wonder what all the concern is about for dilute specimens. In many cases, a dilute specimen may simply be from drinking excessive water to produce a urine sample. Or it could have more sinister implications: it could be the result of a driver drinking an excessive amount of water to flush out signs of drug use or the result of a drug-masking product.
Refusing to submit to an alcohol or drug test means that a driver:
Once a driver-applicant chooses to go forward with a pre-employment drug test and the testing process begins, the applicant must complete the test.
Employers and drivers who are subject to DOT-regulated drug tests must remember that failing to comply with pre-employment testing procedures is considered a test refusal and has serious consequences.
The U.S. Department of Transportation (DOT) recommends that employers explain the testing process to driver-applicants, including the time commitment involved, and explain that once the testing process has begun, the driver must complete the test regardless of other possible obligations or scheduling conflicts.
If an applicant chooses not to go forward with the hiring process and, therefore, chooses not to undergo the drug test, that’s not a refusal.
Once an applicant refuses a test, that fact will have to be reported to the CDL Drug and Alcohol Clearinghouse and disclosed to future DOT-regulated employers who inquire about the applicant.
The U.S. Department of Transportation (DOT) has guidance explaining when it’s okay to leave a collection site, and when leaving could result in a determination that the driver refused to take the test.
Under DOT regulations in 49 CFR Part 40, a “refusal” holds the same consequences as a positive test. Drivers who refuse testing must stop driving and undergo a lengthy and costly evaluation and treatment process that puts a black mark on the driver’s record and can make future employment difficult.
Part of the confusion that drivers may face is that collection site personnel are not required to warn drivers about the consequences of leaving the site too early.
Am I done yet?
According to the guidance, drivers are only allowed to leave the collection site after:
At that point, collectors are required to tell drivers that they may leave.
If drivers are unable to provide a urine sample, they will be urged to drink up to 40 ounces of water and asked to wait for up to three hours or until they can provide a specimen. If the driver is unable to produce a specimen within three hours, then the testing process is complete and the driver can leave.
The collector must do the following when continuing with an oral-fluid specimen collection under this section:
If the employee has not provided a sufficient specimen within one hour of the first unsuccessful attempt to provide the specimen, the collector must:
The employer’s role
If a driver leaves the collection site too early, it’s not considered a refusal until the employer decides it is. In other words, a driver’s employer plays a key role in deciding whether the driver has refused a drug test, the DOT says.
These are the steps that are supposed to take place after a driver leaves a collection site too early:
Why is documentation important? According to the DOT, if their investigators show up for an audit and discover that the employer didn’t properly document a “refusal” decision, the agency may issue a penalty costing potentially thousands of dollars.
The Part 40 guidance, dated July 2014, is considered “official and authoritative guidance and interpretation” under 40.5. The guidance is associated with 40.73, 40.191, 40.193, 40.333, and 40.355.
Employers having “actual knowledge” that a driver has an alcohol concentration above the limit, is using alcohol or a controlled substance, has used alcohol within the past four hours, or has tested positive or has adulterated or substituted a test specimen for controlled substances, must not allow the driver to perform safety-sensitive functions.
“Actual knowledge” means actual knowledge by an employer that a driver has used alcohol or controlled substances based on:
The Federal Motor Carrier Safety Regulations (FMCSRs) have prohibited drug and alcohol behaviors detailed in:
The regulations are not limited to the operation of commercial motor vehicles (CMVs) requiring commercial driver’s licenses (CDLs). The regulations apply to the operation of any CMV — CDL or non-CDL — engaged in interstate commerce.
Part 392 is relevant to a carrier’s alcohol and drug program, even though drivers are not tested under its provisions. (Note: Part 392 does not mandate referral and treatment.)
Alcohol. The alcohol prohibitions in Part 392 are very similar to Part 382. A driver cannot use alcohol or be under the influence within four hours of coming on duty or operating a CMV. But Part 392 is a little more stringent than Part 382. The regulation prohibits:
An employer cannot require or permit a driver to violate these provisions. The FMCSRs instruct the employer to keep the driver in an off-duty status and keep the person from operating a CMV if it can tell from the driver’s general appearance or conduct that it appears the person used alcohol within four hours of coming on duty.
If the driver is found to be under the influence or in possession of alcohol during a roadside inspection, the person will be placed out of service for 24 hours.
Drugs. The drug prohibitions in Part 392 restrict the use or possession (unless manifested) of any Schedule I drug, amphetamine, narcotic, or any other substance (e.g., over-the-counter medications) which renders the driver incapable of safely operating a motor vehicle. The regulation offers the same exception allowing for the use of a non-Schedule I drug that is legally prescribed by a licensed medical practitioner that advised the driver that its use will not impact the person’s ability to safely operate the CMV.
Drivers who engage in drug and/or alcohol behaviors prohibited by Federal Motor Carrier Safety Regulations (FMCSRs) will face specific consequences.
The regulations require employers to take the following actions:
Drivers cannot return to a safety-sensitive duty until the completion of the return-to-duty process.
The following steps must be taken after a violation:
A rule violation by a commercial driver’s license (CDL)-carrying driver operating a 26,001-pound or greater vehicle in interstate or intrastate commerce means the driver is also prohibited from driving a 10,001-pound or greater vehicle in interstate commerce. In other words, the driver is prohibited from operating any “commercial motor vehicle” as defined in 382.107 and 390.5.
Section 382.119 prohibits companies from removing its drivers from duty based solely on an unconfirmed drug test result. The results must be confirmed before a company acts.
An employee who has tested positive for drugs or alcohol may be given a second chance by an employer. However, this second chance often has strings attached.
For drivers with commercial driver’s licenses (CDLs) who work in safety-sensitive positions, these strings come in the form of regulations. A driver who fails or refuses a DOT drug or alcohol test or otherwise engages in violating the drug and alcohol prohibitions must be monitored after rehabilitation through additional drug and/or alcohol tests to ensure the person remains sober and/or free of drugs.
The return-to-duty and Clearinghouse processes are two separate processes. However, there are several places where the two overlap.
Here is how the combined process would work, starting at the point the prohibited action (failing a drug or alcohol test, refusing a test, etc.) is discovered by the carrier and the driver is removed from all safety-sensitive functions:
A commercial driver’s license (CDL) driver who failed or refused a DOT drug or alcohol test is viewed as a safety risk by the Federal Motor Carrier Safety Administration (FMCSA). The agency requires that the driver seek evaluation and treatment before being allowed to return to a safety-sensitive position.
What qualifies as a DOT testing violation?
Part 382 (Subpart B) details the scenarios that require the return-to-duty process, including:
Once the designated employer representative (DER) learns of a Department of Transportation (DOT) testing violation, the person must:
The SAP facilitates the return-to-duty process so the employee can return to operating a commercial motor vehicle (CMV).
The following steps must be taken before a driver who has violated the DOT’s drug or alcohol rules can return to the performance of safety-sensitive functions:
After the driver returns to a safety-sensitive function, the employer must send the driver for the required number of unannounced follow-ups making sure that the tests do not have any discernible pattern.
A negative return-to-duty test allows a driver to return to performing a safety-sensitive function after engaging in prohibited behavior under a Department of Transportation (DOT)-drug and alcohol rules. However, as noted earlier, this test cannot be performed until the designated employer representative (DER) receives the of substance abuse professional (SAP) report and the SAP enters the completed steps on the driver’s record in the CDL Drug and Alcohol Clearinghouse.
The return-to-duty alcohol and drug test requirements are summarized below:
After an employee is successfully returned to duty, the Department of Transportation (DOT) process requires follow-up testing. The employer must ensure that the driver is subject to unannounced follow-up testing following the person’s return to duty. Follow-up drug tests must be conducted under direct observation.
As with the return-to-duty test, the employer may be directed by the substance abuse professional (SAP) to test the driver for both drugs and alcohol.
The number, frequency, and duration of the tests are to be determined by the SAP. The SAP must direct the employer to conduct at least six tests during the first 12 months following the driver’s return to duty. Follow-up testing may be done for up to 60 months based on the SAP’s judgment. The SAP may not establish the actual dates for the prescribed follow-up tests. The decision on specific dates to test is the employer’s.
The SAP may modify the follow-up testing program that was included in the SAP report. However, the SAP must wait to terminate any testing requirement until after the first year of follow-up testing. The employee must take at least six follow-up tests within the first 12 months after returning to the performance of safety-sensitive functions.
Breaks in employment and new employers
A driver cannot escape the consequences of a DOT drug or alcohol violation by switching employers or leaving the industry temporarily and returning. The return-to-duty process does not end until the very last follow-up test is completed. The same principle applies when a driver is laid off and returns to the same employer. If steps remain in the process, it must continue where it left off.
Part 40 specifies the procedures to be followed for alcohol and drug tests, any problems that arise during testing, and the handling of the test results. The Federal Motor Carrier Safety Administration clearly states in 382.105 that only Part 40 procedures are permitted for DOT testing programs under its authority.
For alcohol testing:
For drug testing:
When determining whether oral-fluid drug testing is right for your operation, consider the following factors:
Finding the right service agents
If oral-fluid drug testing works for your company, you need to make sure your current vendors offer the service or line up new providers.
Company policy & educational materials
Motor carriers must update their DOT drug testing policy and the educational materials to reflect oral-fluid drug testing.
Items to revise include:
Motor carriers must provide the revised materials to every new driver and those transferring into safety-sensitive positions.
But a common practice is to provide at least an addendum of the changes to existing drivers, so they know what policies and procedures have changed and what to expect at the collection site. It’s a good idea to get a new signed receipt from them. This practice demonstrates safety management controls.
Training employees
Everyone involved with your DOT drug and alcohol testing program should receive some sort of training on the new drug testing method.
The designated employer representative (DER) must know:
Drivers must know drug testing procedures for oral-fluid, including:
When considering an optional provision in the safety regulations, such as the oral-fluid drug test, you need to weigh the decision and then make a to-do list if implemented.
Some drivers try to beat the system when sent for a DOT urine drug test.
The methods they use to try to conceal drug use typically fall into one of three categories:
Fortunately, the DOT testing rules have safeguards built into them to help detect drivers who tamper with their specimen.
Thwarting attempts at the collection site
DOT drug collection testing procedures should deter or detect attempts to tamper with the urine specimen.
The collector is required to:
The preliminary steps in the collection process also put up another roadblock to tampering. During a test, the driver is instructed to:
Together, these steps should prevent a driver from interfering with the urine collection.
At the lab
In addition to testing for the prohibited drugs, a certified lab performs validity testing on urine specimens. Validity testing determines whether the specimen is consistent with normal human urine.
The test will catch:
A test is reported as invalid when an unidentified adulterant, interfering substance, or abnormal physical characteristic prevents the lab from completing the test or obtaining a valid test result (positive, negative, adulterated, or substituted). An invalid test without a valid medical explanation from the driver provided to the medical review officer results in recollection under direct observation.
Employer’s role in preventing tampered tests
Employers can take measures to prevent attempts at tampering with urine specimens.
For instance, the carrier must ensure a driver immediately proceeds to the collection site for a random test once notified (as required under regulation). The driver is given a certain amount of time to arrive at the collection site, with no time for a detour for a substitution or adulterant. A scheduled appointment, rather than a walk-in or scheduled window of time, ensures that the driver’s arrival is tracked.
When requesting a reasonable suspicion test, it is always wise to accompany the driver as a matter of policy. If the driver is under the influence, it ensures a safe trip to the collection site and prevents the driver from finding something to use in tampering.
A split specimen is a mandatory step in any DOT collection under 49 CFR Part 40. It is the result of dividing one sample into two testing specimens for the lab. This back-up sample is used in the event the primary specimen is unsuitable for testing or the test result comes back as a positive, substituted, or adulterated test result and the driver wishes to contest the results.
Collection process
A collector automatically knows that a DOT collection requires a split specimen. The collector communicates this to the lab by indicating on Step 2 of the Federal Drug Testing Custody and Control Form (CCF) that it is a split specimen collection.
For urine specimens:
Both specimen bottles are placed in a sealed plastic bag in a shipping container (e.g., courier box) and sent to the lab.
For oral-fluid specimens, the collector follows the manufacturer’s instructions to package the split specimen collections:
Both specimen bottles are placed in a sealed plastic bag in a shipping container (e.g., courier box) and sent to the lab.
Protocols at the lab
Incoming specimens are processed by the lab using the protocols outlined in 40.83.
The lab must inspect each specimen and CCF for the following “fatal flaws:”
When the lab finds a specimen meeting the fatal flaw criteria, it must document the findings and stop the testing process. The result is reported in accordance with 40.97(a)(3).
If the primary specimen cannot be tested because of leakage or a broken seal, the split specimen may be redesignated as the primary specimen to be tested. This is only a possibility if the lab believes a sufficient amount of specimen exists in the split specimen to conduct all the appropriate primary laboratory testing.
If the split specimen was inadvertently labeled as the primary specimen, the laboratory may redesignate the bottles as they should be. In the event the lab accidentally opens the split specimen instead of the primary specimen and the primary specimen’s seal remains in tact, the lab may continue processing the split specimen as the primary providing there is enough of a sample to conduct all the appropriate primary laboratory testing. The original primary specimen is then redesignated as the split specimen.
In any of the above cases, the lab would redesignate the two samples by crossing out A (primary) and marking B (split specimen) and vice versa. The laboratory employee will initial and date the changes on the bottles. The laboratory employee must also make a notation on Copy 1 of the CCF, Step 5a, and on any internal chain of custody documents.
If the split specimen is found to be unavailable for testing or appears to be insufficient, the lab must still process the primary specimen without providing the Medical Review Officer (MRO) details regarding the unavailable split specimen. In the event the MRO instructs the lab to forward the split specimen in these circumstances, the lab would then provide the MRO with the details for the unavailability. How the MRO handles a request for a split specimen analysis in this situation is covered in the MRO results subheading below.
Notification of due process
A Medical Review Officer (MRO) will contact a driver in the event of a positive, adulterated, or substituted result, informing the driver of the right to test the split specimen to prove an error in testing. The driver has 72 hours after being told of this right to request the split specimen.
The MRO will make all attempts to contact the driver so that the option is made available. The MRO will make three reasonable efforts within 24 hours (documenting them).
If the driver cannot be contacted, the MRO will contact the designated employer representative (DER) to get in touch with the driver on the MRO’s behalf. The DER is not told the reason why the MRO needs to speak with the driver personally. If the DER’s documented attempts (three reasonable efforts in another 24-hour period) do not result in a contact, the MRO reports the results as positive.
If the driver does not contact the MRO within 72 hours of being told the verified result, the primary specimen’s test result remains official. There MRO may review an explanation why the driver did not get back to the MRO within the 72 hours. This could include a serious illness, injury, or inability to contact the MRO, lack of actual notice of a verified positive test, or other circumstances unavoidably preventing the driver from contacting the MRO. If the MRO feels the explanation is legitimate, the MRO will direct the analysis of the split specimen be performed. If the there is no legitimate explanation why the driver did not contact the MRO within the 72 hours, then a split specimen does not have to be tested.
If the driver requests an analysis of the split specimen within 72 hours of having been informed of a verified positive result, the MRO directs the laboratory, in writing, to ship the split specimen to another DHHS-certified laboratory for analysis. The specimen must be sent regardless of payment for the testing. The employer may recoup the cost, but cannot refuse the employee of the right to test the split specimen based on payment. Even if the employer never gets reimbursed, the test must be done.
The reporting of the verified positive result is not delayed pending the split-specimen analysis. The employer would still be forced to remove the driver from the safety-sensitive function in accordance with 382.501 once notified of the verified positive on the primary specimen.
Testing of the split specimen
The laboratory that originally received both the primary and split specimens must forward the following items to the second laboratory:
The lab must not send to the second laboratory any information about the identity of the employee. Inadvertent disclosure does not, however, cause a fatal flaw. The regulations do not prescribe who gets to decide which HHS-certified laboratory is used to test the split specimen. That decision is left to the parties involved.
Based on the primary specimen result, the split specimen is processed in the following way:
Lab results
A laboratory responsible for testing the split specimen must report split specimen test results by checking the “Reconfirmed” box or the “Failed to Reconfirm” box (Step 5(b)) on Copy 1 of the CCF and by providing clarifying remarks using current HHS Mandatory Guidelines requirements. The laboratory-certifying scientist signs and dates the CCF.
The lab must report the split specimen results directly to the MRO at the MRO’s place of business. The results will not be reported through a DER or another service agent. The lab must fax, courier, mail, or electronically transmit a legible image or copy of the fully-completed Copy 1 of the CCF, which has been signed by the certifying scientist. It must transmit the laboratory result to the MRO immediately, preferably on the same day or next business day as the result is signed and released.
MRO results
The MRO will receive split specimen results that fall into five categories. The MRO must take the following action, as appropriate, when a laboratory reports split specimen results.
Category 1
The laboratory reconfirmed one or more of the primary specimen results. The MRO must report to DER and the employee the result(s) that was/were reconfirmed.
Category 2
The laboratory failed to reconfirm all of the primary specimen results because, as appropriate:
The MRO must report to the DER and the employee that the test must be canceled. The MRO must inform the DOT of the failure to reconfirm using the format in Appendix F to Part 40.
In a case where the split failed to reconfirm because the substitution criteria were not met and the split specimen creatinine concentration was equal to or greater than 2mg/dL but less than or equal to 5mg/dL, the MRO must, in addition to informing the DOT of the failure to reconfirm, direct the DER to ensure the immediate collection of another specimen from the employee under direct observation, with no notice given to the employee of this collection requirement until immediately before the collection.
In a case where the split failed to reconfirm and the primary specimen’s result was also invalid, the MRO will direct the DER to ensure the immediate collection of another specimen from the employee under direct observation, with no notice given to the employee of this collection requirement until immediately before the collection.
Category 3
The laboratory failed to reconfirm all of the primary specimen results, and also reported that the split specimen was invalid, adulterated, and/or substituted.
In the case where the laboratory failed to reconfirm all of the primary specimen results and the split was reported as invalid, the MRO must:
In the case where the laboratory failed to reconfirm any of the primary specimen results, and the split was reported as adulterated and/or substituted, the MRO must:
If the MRO determines that there is a legitimate medical explanation for the adulterated and/or substituted test result, the MRO reports to the DER and the employee that the test must be canceled and informs ODAPC of the failure to reconfirm using the format in Appendix F to Part 40.
If the MRO determines that there is not a legitimate medical explanation for the adulterated and/or substituted test result, the MRO must take the following steps:
The laboratory that tests the primary specimen to reconfirm the presence of the adulterant found in the split specimen and/or to determine that the primary specimen meets appropriate substitution criteria, it reports the result to the MRO on a photocopy (faxed, mailed, scanned, couriered) of Copy 1 of the CCF.
If the test of the primary specimen reconfirms the adulteration and/or substitution finding of the split specimen, the MRO must report the result as a refusal to test.
If the test of the primary specimen fails to reconfirm the adulteration and/or substitution finding of the split specimen, the MRO must cancel the test.
Category 4
The laboratory failed to reconfirm one or more — but not all of the primary specimen results — and also reported that the split specimen was invalid, adulterated, and/or substituted. The MRO, in the case where the laboratory reconfirmed one or more of the primary specimen result(s), must follow procedures in paragraph 40.187(a) (Category A) and:
Category 5
The split specimen was not available for testing or there was no laboratory available to test the specimen. The MRO must:
MRO Recordkeeping
For all split specimen results, the MRO must:
Part 40 includes requirements for all aspects of the testing process, including requirements for the specimen collection site, collection personnel and devices, forms, testing labs, medical review officers (MROs), substance abuse professionals (SAPs), and so on. Note that:
Do you know what to do if you see an error on a DOT drug or alcohol testing form? Minor errors on testing forms can and do occur. They usually do not invalidate the test, but they often do need to be corrected.
For example:
Don’t ignore the problem
As an employer, you have certain responsibilities when it comes to these types of errors; you cannot just ignore them, even if they weren’t your fault. If they turn up during an audit, you and/or your service providers can be penalized.
You are responsible for the actions of your service providers. You can ask for evidence that they are properly trained and consider switching to a new provider if a pattern of errors emerges.
The DOT testing regulations in 49 CFR Part 40 include specific instructions for correcting errors, both for drug testing and alcohol testing. The following is a summary of those requirements as they relate to the Drug Testing Custody and Control Form (CCF) and Alcohol Testing Form (ATF).
Affidavit required
For the errors listed below, you must notify the person responsible for providing the missing information. That person must then provide a signed written affidavit on the same day. The affidavit must explain the error and the steps taken to prevent future violations.
Keep the affidavit with the CCF or ATF and make sure the form is marked in a way that makes it obvious that the flaw was corrected. Forms should never be “corrected” in a way that makes it appear that the error did not occur. One proper way to make a correction is to use a pen to circle the error, then indicate nearby what the correct information should be. Initialing the correction is also helpful, according to the DOT.
Wrong form
If a non-federal or expired form was used, notify the collector. The collector or a supervisor must provide a signed statement, on the same day, which:
Keep the statement with the testing form and make sure the form is marked in a way that makes it obvious that the statement was provided.
No required actions
These errors don’t require any corrective actions:
Though correction of these problems is not required, it’s a good idea to bring them to the attention of the collector.
‘Fatal’ CCF flaws
Some CCF-related errors are not fixable and result in the medical review officer needing to cancel the test. These include:
As a company manages its drug and alcohol testing program, it will create and receive a variety of documents.
Maintaining the confidentiality of drug and alcohol testing records is critical, so a company must be careful how it handles them. An employee’s reputation may be on the line, and the company could face legal repercussions if documentation is not maintained appropriately.
The Federal Motor Carrier Safety Regulations (FMCSRs) take into account the need for confidentiality for all Department of Transportation (DOT) testing records. The regulations also acknowledge the need to access records at a later date, especially those involving a DOT drug or alcohol testing violation and rehabilitation. Record retention may be up to five years, depending on the circumstances.
Employers must maintain records associated with Department of Transportation (DOT) alcohol and drug programs. The information appearing on the documents contains personal identifiable information, drug or alcohol test results, and rehabilitative information in the event of a DOT testing violation.
The sensitive nature of these documents requires confidentiality. The DOT rules in 382.401 require that records be kept in a secure location with controlled access.
For hard copies, a secure location means a locked file cabinet or office. Documents that are stored electronically should be password protected. For larger organizations with corporate drives, only those who have a need to see the DOT drug and alcohol testing records should be granted access through the company information technology (IT) department.
Who should have access?
A company must decide who needs access to all or some DOT testing program records. It goes without saying that anyone acting as administrator of the program will need access to the files. Employers then need to decide which supervisors and human resources (HR) professionals may need access, and whether workers in these roles need access to all or portions of the information.
Another consideration is a company’s support staff. Are there, for instance, administrative assistants who have been tasked with filing or uploading documents? These individuals will need access to carry out essential job functions, but like any other employee with such access, employees in these roles must understand the potentially sensitive nature of these records and the importance of keeping related information confidential.
Even though much emphasis has been placed on confidentiality of Department of Transportation (DOT) testing records, employers may be called upon to release records to others, including:
Specific written consent
A service agent or employer participating in the DOT drug or alcohol testing process may not release individual test results or medical information about an employee to third parties without the employee’s specific written consent.
A third party is any person or organization to whom the DOT regulations do not explicitly authorize or require the transmission of information in the course of the drug or alcohol testing process. For instance, the driver would not have to sign a specific written consent for the medical review officer to receive the lab result for a DOT drug screen because this is required by the regulations. However, a prospective or new employer who is contacting a former employer for copies of DOT tests must have the driver’s permission through a specific written consent.
“Specific written consent” means a statement signed by the driver that the individual agrees to the release of a particular piece of information (e.g., drug test result) to a particular, explicitly identified person or organization (e.g., a new employer).
While records related to the Department of Transportation’s (DOT’s) drug and alcohol testing regulations must be maintained in a secure location with controlled access, motor carriers have some flexibility concerning the location. The Federal Motor Carrier Safety Administration (FMCSA) specifies that records may be maintained anywhere, e.g., regional office, work reporting location, or any other location of the company’s choosing.
However, the records must be made available for inspection at the employer’s principal place of business within 48 hours (two business days) after an FMCSA request. Requirements for the location of records are found in 390.29.
A company that uses a consortium to administer its testing program can arrange to have the consortium maintain some or all of its records. Under these circumstances, the employer does not have to keep a duplicate set of records. However, proper recordkeeping remains the employer’s obligation — the employer must ensure that records are accurate, current, and fully comply with FMCSA regulations. The consortium must still be able to get documents to the employer within two business days in the case of an FMCSA request.
Specific Department of Transportation (DOT) testing records and the minimum amount of time employers must keep the records have been identified in 382.401 and 40.333. Employers are not prohibited from keeping the records longer than the minimum retention periods. For instance, if a record is needed as a part of a court case, the company attorney may suggest keeping them longer.
The categories of records include:
If a company performs DOT drug or alcohol tests onsite, it must retain the testing site records identified in the regulations.
Motor carriers that are subject to DOT drug and alcohol testing must manage the records associated with the administration of their programs. One such document is the semi-annual statistical summary. Rather than simply “file away” these reports that are received from your contracted laboratories, they might offer an opportunity to perform a self-audit.
Recordkeeping
The semi-annual reports are sent to you or your consortium/third-party administrator (C/TPA) twice a year. If you have performed fewer than five tests in the six months, you will not receive a report.
If your C/TPA receives them first, you need to ensure they are forwarded to your company. Note that the laboratory should not send the C/TPA a large report that combines tests for everyone who they serve. The reports need to be employer-based.
Invaluable data
This six-month window of information offers the motor carrier an opportunity to reconcile its report against internal tracking.
For instance, how do the number of completed tests compare against:
Let’s take a few examples:
Audit issue: The lab summary shows fewer drug tests performed than the number of drivers selected.
Possible action: Find the reason for the discrepancy and correct any problems to keep on track to reach your random test rate.
Audit issue: The lab report shows fewer tests performed than what your collection site billed you.
Possible action: Contact your collection site for clarification to ensure you were not charged for additional tests in error.
Audit issue: The lab shows one test positive for PCP, but the MRO did not report a verified positive test for PCP to you.
Possible action: Dialog with your MRO on the issue. Possible reasons may include a test downgraded to a negative, or the test was canceled by the MRO due to a fatal flaw or a correctable flaw that was not fixed.
Audit issue: The report shows 25 canceled tests due to fatal flaws. Your records do not show any cancellations because they were not communicated to your company.
Possible action: Verify the reasons for the cancellations with your MRO. If you discover it was due to collection site errors, contact your collection site about “error correction training” for the collector(s) in question. Remember, you are responsible for the actions of your service providers, and if it remains a problem or you are not confident in their services, you may need to consider finding another collection site.
Audit issue: The six-month report shows a number of negative dilute specimens. The DOT requires recollections under direct observation for low-level negative based on the MRO’s direction. Your carrier also has a policy of retesting all other negative dilutes (not under direct observation). You see no record of the recollections in the reports.
Possible action: Make sure your designated employer representative (DER) and MRO understand and apply your retest policy. Ask your MRO which tests fall within the scope of DOT-required mandatory retest under direct observation. Any employees who tested within the range and were not retested should be sent immediately, even though it is after the fact.
Employers and service agents are required to retain specific Department of Transportation testing records for varying lengths of time. The chart below outlines set retention periods. Parties may choose to keep records for longer than required.
Document | Retention period |
---|---|
Collection logbooks (if used) | 2 years |
Documents relating to the random selection process | 2 years |
Calibration documentation for evidential breath testing devices (EBTs) | 5 years |
Documentation of reason for reasonable-suspicion testing | 2 years |
Documents generated in connection with decisions on post-accident tests (including why tests were not done promptly) | 2 years |
Documentation verifying a medical explanation for the inability to provide an adequate specimen for testing | 2 years |
Consolidated annual calendar year summaries (if required) | 5 years |
Document | Retention period if negative/canceled | Retention period if positive |
---|---|---|
Employer’s copy of the alcohol test form (all return-to-duty and follow-up test information should be kept for 5 years) | 1 year | 5 years |
Employer’s copy of drug test chain of custody and control form (CCF) (all return-to-duty and follow-up test information should be kept for 5 years) | 1 year | 5 years |
Documents sent to the employer by the medical review officer (MRO) | 1 year | 5 years |
Documentation of any driver’s refusal to submit to a required alcohol or drug test | — | 5 years |
Documents presented by a driver to dispute the results of a test | 1 year | 5 years |
Documentation of previous employer alcohol and drug testing | 3 years | 5 years |
Documentation of any other violations of drug use or alcohol misuse rules | — | 5 years |
Document | Retention period |
---|---|
Records pertaining to a substance abuse professional’s (SAP’s) determination of a driver’s need for assistance | 5 years |
Records concerning a driver’s compliance with an SAP’s recommendations | 5 years |
Return-to-duty drug/alcohol tests | 5 years |
Follow-up drug/alcohol tests | 5 years |
Document | Retention period |
---|---|
Materials on drug and alcohol awareness, including a copy of the employer’s drug and alcohol policy | For duration of employment and for two years after ceasing to perform function |
Documentation of compliance with requirement to provide drivers with educational materials, including the driver’s signed receipt of materials | For duration of employment and for two years after ceasing to perform function |
Documentation of supervisor reasonable-suspicion training | For duration of employment and for two years after ceasing to perform function |
Documentation of training for breath alcohol technicians | For duration of employment and for two years after ceasing to perform function |
Certification that drug/alcohol training complies with all training requirements | For duration of employment and for two years after ceasing to perform function |
Document | Retention period |
---|---|
Agreements with collection site facilities, laboratories, breath alcohol technicians, MROs, and consortia | 5 years |
Names and positions of officials and the role in the employer’s drug and alcohol testing program | 5 years |
Semi-annual statistical summaries of urinalysis received from certified labs (40.111) | 5 years |
Employer’s alcohol and drug testing policy and procedures | 5 years |
Document | Retention period |
---|---|
Safety performance history records request or documented good faith efforts through January 5, 2023. (391.23/391.53) | For duration of employment and for three years after ceasing to perform function |
Beginning January 6, 2020, commercial driver’s license (CDL) Drug and Alcohol Clearinghouse Pre-employment Query (382.701) | 3 years |
Beginning calendar year 2020, CDL Drug and Alcohol Clearinghouse Annual Query (382.701) | 3 years |
A driver’s DOT testing history under a non-FMCSA DOT-regulated former employer | 3 years |
If a motor carrier is notified to do so by the FMCSA, it is required to prepare and maintain an annual calendar-year summary of its alcohol and drug testing program. Many carriers track their test results using a spreadsheet or software, so completion of the DOT Drug and Alcohol Testing Management Information System (MIS) Data Collection Form is simply a matter of transferring their tracking of calendar year data to the required FMCSA document.
Who must complete the MIS data collection form?
Each year in January, the FMCSA will notify a select number of employers to submit a calendar-year summary of alcohol and drug test results on a form provided by the agency. The form is used for all administrations within the Department of Transportation, including the FMCSA.
The form asks for some basic information about the company and its DOT testing program for the previous calendar year, including:
If notified, you must submit the required summary to the FMCSA location specified. It must be received by March 15 of that year. The report must be accurate and must be typed, except for the signature of the certifying official. Forms submitted to the FMCSA when not requested will be discarded.
The FMCSA allows for electronic submission of MIS data.
A consortium or third-party administrator (C/TPA) may prepare annual calendar-year summaries on your behalf, but you must sign and submit the reports and you remain responsible for its accuracy.
If you operate a DOT-regulated drug and alcohol testing program for your drivers, do you audit the testing forms?
It’s not unheard of for collection sites to make errors on the Federal Drug Testing Custody and Control Form (CCF) or the DOT Alcohol Testing Form (ATF). If you simply file the forms as soon as you receive them, you may miss an important mistake — one that could come back to haunt you in the event of an audit or litigation.
Auditing the completed forms when you receive them is an easy way to check up on your collection sites and make sure they’re completing the forms properly (performing more in-depth collection-site audits is recommended, but the forms are a good place to start.) Errors could be a “red flag” that your service providers — including collection site, lab, and/or medical review officer — may be having compliance problems, and that it’s time for a closer look at their handling of the testing process.
The following are some important things to watch for when reviewing a DOT drug or alcohol testing form:
For alcohol tests:
For drug tests:
If you find errors, it may be a good time to converse with the collection site — or even schedule a visit or request additional documentation — to verify that they’re complying with the regulations. It’s your responsibility as a motor carrier to ensure that your service providers are following the rules.
Using a driver who has tested positive for drugs or alcohol and failed to complete the necessary Department of Transportation (DOT) return-to-duty steps consistently appears as one of the top 10 annual acute violations cited in motor carrier investigations.
Through DOT drug and alcohol testing histories, motor carriers may reduce the likelihood of unknowingly assigning a new commercial driver’s license (CDL) driver who needs an evaluation, treatment, and/or follow-up testing to perform safety-sensitive functions.
The Federal Motor Carrier Safety Administration (FMCSA) requires an employer to inquire into a driver’s DOT drug and alcohol history. The inquiry applies to:
Employers are required to obtain Department of Transportation (DOT) drug and alcohol test information from prospective drivers’ previous DOT-regulated employers. This previous-employer check is required in three separate regulations:
Section 40.25(b) applies to DOT drug and alcohol history for employees hired in a safety-sensitive position for any DOT mode requiring testing (highway, air, rail, maritime, transit, and pipeline).
Sections 382.413 and 382.701(a) apply to Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol testing of drivers hired to operate commercial motor vehicles (CMVs) requiring a commercial driver’s license (CDL). These regulations refer to the requirements in 40.25(b). Section 382.701(a) is effective for all FMCSA safety-sensitive position applicants beginning January 6, 2020.
As of January 6, 2023, motor carriers must use the CDL Drug and Alcohol Clearinghouse in accordance with 382.701(a) as the sole means of complying with the requirements of 40.25 with respect to FMCSA-regulated employers.
The safety performance history records request (391.23) no longer contains the DOT drug and alcohol history as of January 6, 2023. However, a new or prospective employer who is subject to Part 382 is not in violation if they ask a previous motor carrier employer about a prospective driver’s drug and alcohol history. FMCSA does not prohibit this inquiry. This is an instance when it is permissible for an employer to go above the minimum regulatory requirements. The prospective employer is not limited to checking the Clearinghouse. However, any response from the former FMCSA employer to a new or prospective FMCSA employer is voluntary.
However, when an employee who is subject to follow-up testing has not successfully completed all follow-up tests, employers must request the employee’s follow-up testing plan directly from the previous employer in accordance with 40.25(b)(5).
If an applicant was subject to an alcohol and controlled substance testing program under the requirements of a DOT Agency other than FMCSA, the employer must request the alcohol and controlled substances information required under this section and 40.25 directly from those employers regulated by a DOT Agency other than FMCSA. A DOT testing violation under a mode other than FMCSA follows the driver to the highway mode and restricts the driver from operating a CMV until the necessary return-to-duty steps are completed. See 382.501.
Previous employers must provide the responses to the questions asked or copies of DOT testing records requested by prospective employers after receiving the driver’s consent to release it.
Requests from non-FMCSA (Federal Motor Carrier Safety Administration) DOT employers to former FMCSA employers may include records of DOT testing violations. Non-FMCSA employers do not have acess to the CDL Drug and Alcohol Clearinghouse.
Requests from FMCSA employers to non-FMCSA DOT employers are covered under 40.25. Even though the former DOT-regulated employer is not subject to the FMCSA inquiry in 382.413, it is obligated to respond to three years’ worth of history because the driver signed a specific written consent.
If you are the recipient of a request for a driver’s FMCSA testing history from another motor carrier, and it includes the driver’s specific written consent for release, any response is voluntary since the inquiry is a best practice on the part of the prospective employer.
Employers that receive requests for DOT testing history on current or former employees must keep records of those requests and the responses. Specifically, employers must keep the following for one year:
This demonstrates Department of Transportation (DOT) compliance if the former employer’s recordkeeping comes into question or if the driver wishes to contest the information presented to the new or prospective employer.
If the employer learns from a previous employer that the driver tested positive for drugs, had an alcohol test result of 0.04 or greater, or refused to be tested, the driver cannot perform safety-sensitive functions until the employer has evidence that the driver has met the return-to-duty requirements.
The employer must have evidence that the driver was evaluated by a substance abuse professional (SAP), completed the required treatment, and passed a return-to-duty test. For a a violation occurring under the Federal Motor Carrier Safety Regulations, 49 CFR Part 382, since January 6, 2020, this information should be on the driver's CDL Drug and Alcohol Clearinghouse query.
If the driver completed the return-to-duty process and it is noted on the driver’s Clearinghouse record, the new employer must also investigate whether the SAP’s follow-up testing plan was completed. If the Clearinghouse does not show a completed follow-up program, the SAP report along with information on remaining follow-up tests must be learned by contacting former employers.
An employer may obtain from any previous employer of a driver — provided the driver has given specific written consent — any information concerning the driver’s participation in an alcohol or drug testing program.
An applicant or someone transferring into a safety-sensitive position must be asked about pre-employment testing in the past two years. The driver must address any instances of:
If the employee admits to such a scenario, the motor carrier must not use the employee to perform safety-sensitive functions until it receives documented proof of successful completion of the return-to-duty process.
Note that violations occurring under Part 382 should be captured in the CDL Drug and Alcohol Clearinghouse, but you must nevertheless still ask the driver the question to satisfy 40.25(j). Violations occurring under another DOT mode will not be in the database, but these pre-employment testing violations follow the driver to the highway mode and must be addressed.
The Commercial Driver’s License (CDL) Drug and Alcohol Clearinghouse is an online Federal Motor Carrier Safety Administration (FMCSA) database containing information about CDL drivers who have violated Department of Transportation (DOT) drug or alcohol testing standards. The Clearinghouse went live on January 6, 2020. For all drivers who are subject to FMCSA-mandated drug and alcohol testing under Part 382, motor carriers and other parties must report certain violations and test results into the Clearinghouse and must query the database both before hiring a CDL driver and annually for each existing CDL driver. Anyone using the Clearinghouse must first register online.
Drivers who have a drug or alcohol violation listed in the Clearinghouse and who have failed to complete the return-to-duty process cannot be allowed to drive a commercial motor vehicle until completing that process.
Note that motor carriers may authorize a third party to perform most of the Clearinghouse responsibilities.
Motor carriers are not solely responsible for reporting all drug and alcohol violations to the Clearinghouse. Reporting is a shared responsibility among employers (and/or the company’s service agents), medical review officers (MROs), and substance abuse professionals (SAPs). Note that violations occurring before January 6, 2020, must NOT be reported to the Clearinghouse.
Only violations occurring under a motor carrier’s Part 382 program qualify to be reported to the Clearinghouse. Violations occurring under another Department of Transportation (DOT) agency are not provided to the database. In addition, non-DOT test results cannot be reported to the Clearinghouse.
Motor carriers are responsible for reporting the following test results or violations by the close of the third business day following the date on which the information was obtained:
*Only reported if the violation that led to the need for the test occurred on or after January 6, 2020.
SAPs must report the following, if the underlying violation occurred on or after January 6, 2020:
Motor carriers must educate drivers about the information that will be reported into the Clearinghouse (382.601(b)(12)).
In most cases, a driver’s Clearinghouse record will not be “cleared” until the Federal Motor Carrier Safety Administration (FMCSA) is notified that the driver has completed treatment and has passed a return-to-duty test and all follow-up tests, and five years have passed since the date of the violation.
Being listed as “prohibited” in the Clearinghouse is a serious matter for any commercial driver. That’s why it’s critical for employers to know when they should — and should NOT — report a violation to the Clearinghouse. The violations that employers must report to the Clearinghouse are listed in 49 CFR 382.705.
Don’t report these
The following types of infractions may have consequences of their own, but they should NOT result in a violation report to the Drug & Alcohol Clearinghouse:
Use caution when entering violations
In addition to the above, use caution when entering violations in the Clearinghouse, because entering wrong information can have long-lasting consequences.
For example, suppose you mistakenly try to enter a positive drug test result that your MRO has already reported. You don’t see an option to select a positive drug test (since employers cannot report those) so you pick alcohol instead. This will result in a separate violation in the system, unnecessarily penalizing the driver for a violation that never happened.
Many of the problems in requesting queries, entering data, or creating a driver's personal Clearinghouse account revolve around the commercial driver’s license (CDL) number, since that’s how drivers are identified and tied to their Clearinghouse records.
The license number that a driver, motor carrier, or medical review officer enters into the system must be an exact match with the number on file at the driver licensing agency where the driver is licensed.
If there’s a mismatch, the system will not work as intended. For example, you may enter a driver’s CDL number to conduct a new-hire query, only to discover later that the driver never received notice of your request. This can cause both delays and frustration.
There are steps you or your drivers can take to fix the problem, depending on the reason for the mismatch.
The CDL number being entered incorrectly
This is the most common problem. If the CDL number has special characters such as spaces, dashes, or leading zeros, first try entering the CDL number without these characters. If that doesn’t work, try adding them. There is no uniform standard among the states, unfortunately, so it may take several tries to get the right match.
A broken link (pointer) in the national driver database
A broken “pointer” can result when a driver obtains a new license in a different state and that state’s licensing agency fails to connect (point) the driver’s new license to the existing driving record. A pointer can remain broken for years until someone discovers it.
With a broken pointer, even if a driver’s license number is entered properly in the Clearinghouse, the FMCSA will be unable to make the connection to the driver’s record. The FMCSA does not get involved in fixing broken pointers; it’s left up to the states. If a driver calls their state driver licensing agency to figure out what’s wrong, however, the state may not see any obvious problem and blame it on the Clearinghouse.
A broken pointer can be tough to diagnose and correct. If you or a driver suspects a broken pointer, the driver should be persistent in contacting the driver licensing agency and making sure the broken pointer gets fixed.
Drivers should first ‘verify’ their CDLs
The best place to start diagnosing a problem is in the driver’s personal Clearinghouse account, making sure the Clearinghouse has “verified” the driver’s CDL. If it hasn’t, there will be a message on the driver’s online dashboard, possibly indicating a broken pointer or a problem with the way the CDL information was entered.
Once the CDL is verified, the driver’s employer(s) — when running a query — should enter the CDL information exactly the same way the driver did.
If you confirm that a driver’s CDL has been verified but the driver still doesn’t see a pending consent request from your company, try canceling the request and submitting a new one, entering the CDL information exactly as the driver did.
Employers must purchase each commercial driver’s license (CDL) employee’s Clearinghouse record (if any) at the following times:
As of March 8, 2023, the FMCSA will notify a motor carrier via email if a driver they’ve queried in the Drug & Alcohol Clearinghouse has new information (such as an update in return-to-duty status, a removed violation, or a new violation) added to their Clearinghouse record within 12 months of the last query (whether that was a pre-employment or annual query). This closes a loophole that resulted in employers waiting for up to a year (between queries) to learn of a change in a driver’s Clearinghouse record.
Drivers will be:
The regulations do not specify the contents or format of the written consent needed for a limited query. Such a consent form:
Consent for a full query is done within the Clearinghouse portal. A full query can only be accessed by the motor carrier if the driver has a Clearinghouse account. When a motor carrier requests a full query, the driver must log into a personal Clearinghouse account and give consent to the report.
This is the part in the process where slowdowns can occur. Drivers are encouraged to register for the Clearinghouse so they can respond to requests for consent quickly. If drivers are not registered, requests and responses must be handled via regular mail using the address on the driver’s license, which will delay the process.
The FMCSA requires state driver’s licensing agencies (SDLAs) to access the Clearinghouse data to deny commercial driver’s license (CDL) and commercial learner’s permit (CLP) issuance, renewal, upgrade, or transfer for any driver that has an unresolved violation in the Drug and Alcohol Clearinghouse. Additionally, existing CDL and CLP holders will have their licenses downgraded while they are in prohibited status in the Clearinghouse. Drivers can have their prohibited status removed by completing the return-to-duty process, which includes being evaluated by a substance abuse professional, completing required education and/or treatment, and having a negative return-to-duty drug and/or alcohol test.
Previously, it was up to employers to ensure that drivers with drug or alcohol violations weren’t driving CDL CMVs, but FMCSA has found through their auditing and investigation processes that some employers were choosing to ignore violations and allow prohibited drivers to continue driving. States are required to comply by November 18, 2024.
Access by roadside enforcement
Traffic enforcement and roadside inspectors, although accessing information in different ways, have the same objective — to remove drivers with an unresolved violation under Part 382 from operating a commercial motor vehicle.
State-based MCSAP (Motor Carrier Safety Assistance Program) enforcement personnel have electronic access to a CDL or CLP driver’s Clearinghouse status during a roadside intervention. A driver found to be in a prohibited status is placed out of service.
A non-MCSAP traffic enforcement officer will be able see whether the driver can lawfully operate a commercial motor vehicle due to a downgraded CDL or CLP on the driver’s motor vehicle record. The downgrade would be the result of an unresolved testing violation. This information will be available to traffic enforcement once a driver’s SDLA has processes in place for the downgrade. This downgrading process must be in place no later than November 18, 2024.
The Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol testing standards are found in Part 382. These regulations go hand-in-hand with the Department of Transportation (DOT) testing procedures in Part 40, which apply to all DOT agencies including the FMCSA.
Part 382 addresses the prohibitions and consequences of drug use and alcohol abuse and specifies which tests are required when. Part 40 specifies how those tests are to be conducted and evaluated and how drivers are to complete treatment when they violate the rules.
Employers should check state and federal employment laws for other requirements or regulations that may apply to drug and alcohol testing.
Who is subject to FMCSA testing requirements?
While all commercial motor vehicle (CMV) drivers are subject to certain prohibitions on the use of drugs or alcohol, only drivers who are required to hold a commercial driver’s license (CDL) are subject to the testing requirements. If an employee does not qualify for testing under Part 382 (not performing safety-sensitive functions through operation of a CMV requiring a CDL), DOT drug and/or alcohol testing of the individual is not required. If an employer wants to test employees who are not in a safety-sensitive position, it must be done under company policy in a non-DOT program. Company policy programs must be managed within the confines of state and federal employment laws.
The Federal Motor Carrier Safety Administration (FMCSA) testing requirements include the following key definitions:
Commercial motor vehicle — A motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the vehicle:
Driver — Any person who operates a commercial motor vehicle. This includes, but is not limited to: full-time, regularly employed drivers; casual, intermittent, or occasional drivers; and leased drivers or independent owner-operator contractors.
Employee — Any person who is designated in a Department of Transportation (DOT) agency regulation as subject to drug testing and/or alcohol testing. The term includes individuals currently performing safety-sensitive functions designated in DOT agency regulations and applicants for employment subject to pre-employment testing. For purposes of drug testing under Part 382, the term employee has the same meaning as the term “donor” as found on the chain of custody form and related guidance materials produced by the Department of Health and Human Services.
Employer — A person or entity employing one or more employees (including an individual who is self-employed) subject to DOT agency regulations requiring compliance with Parts 40 and 382. It is interchangeable with the term “motor carrier,” and includes an employer’s officers, representatives, and management personnel. Service agents are not employers.
When considering a Department of Transportation (DOT) drug and alcohol testing program under the Federal Motor Carrier Safety Administration (FMCSA), the first questions employers must ask are:
If a company is required to have a DOT drug and alcohol testing program, it must also look at which drivers must be in a motor carrier’s DOT drug and alcohol testing program.
As part of this consideration, look at the vehicles used for business. If a company operates commercial motor vehicles (CMVs) that require a commercial driver’s license (CDL), the company must set up a DOT drug and alcohol testing program. The term “commercial motor vehicle” used in 382.103, Applicability, is cross-referencing the definition in 382.107, which parallels the description requiring a CDL in Part 383.
Department of Transportation (DOT) drug and alcohol testing under the Federal Motor Carrier Safety Administration (FMCSA) applies to Canadian and Mexican-domiciled carriers that send trucks and buses into the United States that require a license equivalent to the U.S. commercial driver’s license (CDL).
But not all drivers from these carriers are subject to DOT drug and alcohol testing rules, only those entering U.S. commerce with these commercial motor vehicles (CMVs). If the carriers have drivers that remain solely in Canada or Mexico, these drivers do not qualify for DOT drug and alcohol testing, even though employed by a DOT-regulated carrier.
A “safety-sensitive function” is much more than just driving. Safety-sensitive functions include almost all on-duty time, including all time spent:
The Federal Motor Carrier Safety Administration (FMCSA) testing requirements include the following key definitions:
Commercial motor vehicle — A motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the vehicle:
Driver — Any person who operates a commercial motor vehicle. This includes, but is not limited to: full-time, regularly employed drivers; casual, intermittent, or occasional drivers; and leased drivers or independent owner-operator contractors.
Employee — Any person who is designated in a Department of Transportation (DOT) agency regulation as subject to drug testing and/or alcohol testing. The term includes individuals currently performing safety-sensitive functions designated in DOT agency regulations and applicants for employment subject to pre-employment testing. For purposes of drug testing under Part 382, the term employee has the same meaning as the term “donor” as found on the chain of custody form and related guidance materials produced by the Department of Health and Human Services.
Employer — A person or entity employing one or more employees (including an individual who is self-employed) subject to DOT agency regulations requiring compliance with Parts 40 and 382. It is interchangeable with the term “motor carrier,” and includes an employer’s officers, representatives, and management personnel. Service agents are not employers.
When considering a Department of Transportation (DOT) drug and alcohol testing program under the Federal Motor Carrier Safety Administration (FMCSA), the first questions employers must ask are:
If a company is required to have a DOT drug and alcohol testing program, it must also look at which drivers must be in a motor carrier’s DOT drug and alcohol testing program.
As part of this consideration, look at the vehicles used for business. If a company operates commercial motor vehicles (CMVs) that require a commercial driver’s license (CDL), the company must set up a DOT drug and alcohol testing program. The term “commercial motor vehicle” used in 382.103, Applicability, is cross-referencing the definition in 382.107, which parallels the description requiring a CDL in Part 383.
Department of Transportation (DOT) drug and alcohol testing under the Federal Motor Carrier Safety Administration (FMCSA) applies to Canadian and Mexican-domiciled carriers that send trucks and buses into the United States that require a license equivalent to the U.S. commercial driver’s license (CDL).
But not all drivers from these carriers are subject to DOT drug and alcohol testing rules, only those entering U.S. commerce with these commercial motor vehicles (CMVs). If the carriers have drivers that remain solely in Canada or Mexico, these drivers do not qualify for DOT drug and alcohol testing, even though employed by a DOT-regulated carrier.
A “safety-sensitive function” is much more than just driving. Safety-sensitive functions include almost all on-duty time, including all time spent:
Some exceptions apply to Part 382 of the Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol testing standards.
Who is not subject to Part 382?
The following employers and drivers, according to 382.103(d), are exempt from the requirements in Part 382:
Exceptions that do not apply to DOT testing requirements
Companies that are excepted from other areas of the Federal Motor Carrier Safety Regulations (FMCSRs) may be subject to DOT drug and alcohol testing. For instance, the exception in 390.3(f) — that excludes certain parties from the bulk of the safety regulations — does not carry over to DOT testing in Part 382.
As a result, intrastate truck and motor coach operations, including those operated by federal, state, and local government agencies, church and civic organizations, Indian tribes, and for-hire and private companies are subject to DOT testing requirements.
Does a staffing service’s program satisfy Part 382?
According to an FMCSA notice, a staffing service is the “employer” for DOT drug and alcohol testing when the driver is assigned to a motor carrier for a period of fewer than 30 consecutive days. The staffing service may create its own Part 382 testing program to include these casual, intermittent, and occasional drivers.
If a leased driver operates — or is expected to operate — for a motor carrier for a period of more than 30 consecutive days, the driver must be included in the motor carrier’s testing program, and the motor carrier must assume full responsibility for the driver under its DOT testing program.
It takes many parties working efficiently together to create a well-run drug and alcohol testing program, including entities from outside the organization who are contracted to carry out specific facets of the process.
The number of drug and alcohol service providers needed depends on the nature of the motor carrier’s program and how many pieces are performed in house.
Department of Transportation (DOT) drug and alcohol testing regulations (Part 40) clearly list who key players must be — collection sites, laboratories, medical review officers, and substance abuse professionals.
Some motor carriers perform the collection site role internally, rather than use a service provider. Others gladly outsource everything — even the management of the program — through a consortium/third-party administrator.
The Department of Transportation (DOT) drug and alcohol program management requirements include the following key definitions:
Alcohol testing site — A place selected by the employer where employees present themselves for the purpose of providing breath or saliva for an alcohol test.
Breath alcohol technician (BAT) — A person who instructs and assists employees in the alcohol testing process and operates an evidential breath testing device.
Collection site — A place selected by the employer where employees present themselves for the purpose of providing a specimen for a drug test.
Collector — A person who instructs and assists employees at a collection site, who receives and makes an initial inspection of the specimen provided by those employees, and who initiates and completes the chain of custody form.
Consortium/third-party administrator (C/TPA) — A service agent that provides or coordinates a variety of drug and alcohol testing services to employers. C/TPAs typically perform administrative tasks concerning the operation of the employers’ drug and alcohol testing programs. This term includes, but is not limited to, groups of employers who join together to administer, as a single entity, the Department of Transportation (DOT) drug and alcohol testing programs of its members. C/TPAs are not “employers” for purposes of Part 40.
Designated employer representative (DER) — An employee authorized by the employer to take immediate action(s) to remove employees from safety-sensitive duties, or cause employees to be removed from these covered duties. The DER will also make required decisions in the testing and evaluation processes and receives test results and other communications for the employer.
Laboratory — Any U.S. laboratory certified by HHS under the National Laboratory Certification Program as meeting the minimum standards set by HHS; or, in the case of foreign laboratories, a laboratory approved for participation by DOT under Part 40.
Medical review officer — A person who is a licensed physician and who is responsible for receiving and reviewing laboratory results generated by an employer’s drug testing program and for evaluating medical explanations for certain drug test results.
Screening test technician — A person who instructs and assists employees in the alcohol testing process and operates alcohol screening devices.
Service agent — Any person or entity, other than an employee of the employer, who provides services to employers and/or employees in connection with DOT drug and alcohol testing requirements. This includes, but is not limited to, collectors, breath alcohol technicians, screening test technicians, laboratories, medical review officers, substance abuse professionals, and consortium/third-party administrators. To act as service agents, persons and organizations must meet DOT qualifications, if applicable.
Substance abuse professional (SAP) — A person who evaluates employees who have violated a DOT drug and alcohol regulation and makes recommendations concerning education, treatment, follow-up testing, and aftercare.
Setting up a Department of Transportation (DOT) drug and alcohol testing program requires the appointment of a designated employer representative (DER). But what is a DER?
Basic job functions
According to 49 CFR Parts 40 and 382, the DER must be an employee of the motor carrier. This means a service provider, e.g., consortium/third-party administrator (C/TPA), cannot take on the role.
The DER is identified as the point of contact for service providers — labs, medical review officer (MRO), collection sites, C/TPA, substance abuse professional (SAP) — to receive communication and is given authority by the company to take action.
Results and problems in testing
The DER is told when a test is negative or canceled, and the individual is the point of contact to receive the news that a driver tested positive, refused to test, or needs a recollection. The DER is contacted when the driver needs a medical explanation for an insufficient amount of specimen, or when the MRO is unable to get a hold of the driver when validating the results of a test.
The DER is called upon to remove a driver from a safety-sensitive function, personally or through delegation, when the situation warrants. Drivers must be notified who the DER is because of the potential interaction. Because the DER is the first to learn of a violation of DOT testing rules, the person needs to make sure the driver is given a list of SAPs. However, the task may be delegated.
The DER is the point person when a driver has completed the initial steps in the DOT return-to-duty process following a drug or alcohol violation. The DER receives the SAP’s report notifying the employer that the driver is ready for a return-to-duty test.
What department is the DER from?
Neither the Federal Motor Carrier Safety Regulations nor general DOT regulations specify a job title or department for the DER. Some companies give the role to someone in Operations or Safety, while others ask someone in Human Resources to communicate with service providers and drivers when necessary. The DER may bring in a driver supervisor to help carry out, for example, removing a driver from a safety-sensitive function.
The role of the DER is often blended with program administrator tasks. The DER is not necessarily the person who performs an in-house random selection or assembles the driver roster for a service provider, although it could be. Also, it may not be the person who notifies the drivers who have been selected for a test, but there is nothing prohibiting the DER from taking on the task.
DER training
There is also no formal training required of the DER, but the party your motor carrier appoints needs to know and understand both Parts 40 and 382. It is pivotal that the DER understand DOT testing protocols, or it could have legal implications.
If someone outside of Safety acts as DER, you should ensure that the individual fully understands the requirements. If your company’s DOT drug and alcohol policy also contains optional provisions or additional ramifications aside from the regulations, the DER needs to consistently enforce the policy and carry out the procedures.
Trained supervisor vs. DER
The DER is not necessarily the supervisor who is trained in reasonable suspicion (382.603). There is nothing prohibiting this dual role if the company so wishes. The regulations do not require specific training of the DER, but the individual must know and apply the DOT drug and alcohol requirements. It would be a good safety management control to make sure the person completely understands Parts 40 and 382 requirements. Basically, is the company able to defend its choice of DER?
DERs who are participating in the DOT program
If the DER is a driver (by definition) and in the random pool, employers need to have someone else on staff who is identified as a backup DER in the event there is a problem in testing. There is nothing prohibiting the carrier from having someone in the pool acting as a DER, but the company would need an alternate DER in the event a service provider needs to communicate with the carrier about a test for the primary DER.
The focal point of any effective DOT drug and alcohol testing program is its designated employer representative (DER).
The following details the roles and responsibilities the DER has, and as you will discover, this motor carrier employee has a lot of responsibility to ensure the letter of the law is carried out.
What are the requirements to be DER?
The DER is a point of contact for both questions and problems that occur during DOT drug and alcohol testing. The regulations are very clear that a service provider cannot take on this role. It must be an employee of the motor carrier. But it should be noted that a consortium/third-party administrator (C/TPA) may receive test results from the medical review officer (MRO) if contracted to do so, so long as the MRO is aware of this relationship. But only the DER may take action to remove the driver from a safety-sensitive function or direct a driver for a mandatory retest.
Roles & responsibilities with service providers
The following is a quick overview of the duties assigned to a company’s DER.
The DER interacts with a variety of service providers:
Interacting with drivers
The DER has the job of tactfully interacting with the drivers. The job of DER requires complete confidentiality.
The DER may, but not necessarily, be the party who notifies the driver of a required test. But the DER will be the party who will receive the call if the driver does not show up or experiences other problems in testing. The DER also receives test results and other communications for the employer from the MRO (or C/TPA if designated to be the go-between). When the driver is subject to a mandatory recollection under direct observation, it is the DER who receives the call directly from the MRO.
When a driver violates the prohibitions in Subpart B of Part 382, the driver needs to be removed from the safety-sensitive function. This is the DER’s responsibility. This may involve contacting a location manager or immediate supervisor of the driver depending on the nature of the organization and the DER’s relationship to the driver. In other instances, the DER communicates directly with the driver.
Due to the sensitive nature of Department of Transportation (DOT) drug and alcohol testing, service providers must be selected carefully. A company’s service providers follow a DOT test from beginning to end and offer services in the event a driver is found to have violated the prohibitions in Part 382.
If a service provider is not qualified or is not following DOT protocols, the motor carrier is held responsible by the DOT since it is the regulated entity, and employees who feel that rights to a fair test have been compromised may hold the employer liable.
Before entering a contract with a vendor, be sure service providers:
A DOT-regulated testing program requires that many service providers meet specific criteria and training. Employers will need to verify that a service provider meets any accreditation and/or training specified 49 CFR Part 40 — before contracting with it. Note that these same training requirements must be applied to company employees performing DOT drug or alcohol tests in house.
Even if employers initially verify the credentials of service providers, a motor carrier must not assume that its vendors remain qualified to perform the same roles throughout the contract. Many key partners in a DOT testing program are required to have refresher training. To ensure the tasks are being performed by knowledgeable and proficient professionals, motor carriers need to ask for documentation. The right to ask for this proof is sprinkled throughout 49 CFR Part 40 (within each of the service provider’s categories).
Motor carriers typically ask for documentation of training at the beginning or renewal of a contract. To ensure contracted parties continue to meet criteria, a company could ask for proof annually or anytime it finds DOT procedures are not being followed.
When a motor carrier establishes and maintains a drug and alcohol program under the authority of the U.S. Department of Transportation (USDOT), it assumes complete responsibility for compliance regardless of the actions of its service providers. This means, in realistic terms, a motor carrier will be the party to receive fines and penalties for violations, which are the result of someone else’s errors such as a collector that USDOT has no authority over.
What is a service agent?
Service agents include businesses and individuals that contract with a motor carrier as part of its DOT drug and alcohol compliance program. They include consortium/third-party administrators (C/TPAs), medical review officers (MROs), collection sites, labs, and substance abuse professionals (SAPs). All except the C/TPAs have minimum requirements in order to act as a service agent. Employers are responsible for ensuring the business meets the minimum criteria to act as an agent.
Consortia/Third-party administrators
This vendor is not one that requires any formal training of its program administrators. The services range from running random selections to full management of programs and auditing and storage of records.
You may wish to ask a potential or current C/TPA about its training, security of records, and vetting of its employees. The information they are handling requires not only a detailed understanding of the regulations, but also the utmost concern for confidentiality and security, as personally identifiable information is on the documents they will be processing.
Contracting with labs
It is easiest to confirm the laboratory’s qualifications to play a role in your DOT program. Only Health and Human Services certified laboratories may process your drivers’ specimens for drug screens. The lists of approved labs appears monthly in the Federal Register via an entry through the Substance Abuse and Mental Health Service Administration (SAMHSA). The updated list appears on SAMHSA’s website.
Labs may be certified to analyze urine and/or saliva for the presence of drugs.
MRO credentials
Only licensed physicians (Doctors of Medicine or Osteopathy) who meet the criteria in 40.121 may act as an MRO. This entails a “basic knowledge” about controlled substances abuse disorders, medical explanations for confirmed drug test results, and issues relating to adulterated and substituted specimens, and an understanding of the “DOT MRO Guidelines.”
MROs must undergo an initial “qualification training” that includes an exam. Once every five years, the MRO must satisfactorily complete “requalification training” followed by successful completion of another exam.
The MRO must maintain documentation of the training and make it readily available to an employer or C/TPA negotiating services.
SAPs training
Similar to MROs, SAPs must be licensed counselors with qualifications that fit within the scope of titles listed in 40.281(a). Plus, SAPs must meet the “basic knowledge” requirements on diagnosis and treatment of alcohol and drug-related disorders and have a good grasp of the document, “DOT SAP Guidelines.”
The SAP must successfully complete “qualification training” on DOT protocols and pass an exam. SAPs must, within three years, partake in continuing education courses. The SAP must maintain documentation of the training and make it readily available to an employer or C/TPA negotiating services.
This is important to employers, since they may be asked by DOT (in the event of an investigation) if they have verified the names on their SAP list. This is the actual list the employer would intend on providing to a driver who tests positive or refuses a DOT test. Employers cannot assume that SAPs have met the continuing education stipulation and should therefore check to make sure SAPs are still qualified.
Collection sites
Both drug collections and alcohol tests require specific training for the personnel. This involves knowledge in basic information and keeping current with changes, qualification training, initial proficiency demonstration, and refresher training once every five years.
In addition, if the collector, breath alcohol technician (BAT), or screening test technician makes a mistake in the testing process that causes the test to be canceled (i.e., fatal flaw or uncorrected flaw), the collector must undergo error correction training. The facility must ensure this take place within 30 days of the date they are notified of the error that led to the need for retraining. The retraining must be documented.
The collection site must maintain documentation and make it readily available to the employer or C/TPA negotiating services.
Some companies perform Department of Transportation (DOT) recordkeeping and random selections themselves. Others may not have the in-house expertise or the available manpower to administer the program as effectively as the company would like and opt to outsource. Management will have to weigh the pros and cons of outsourcing the administrative functions before entering into a contract with a consortium/third-party administrator (C/TPA).
A C/TPA is one common method of reducing an employer’s administrative challenges and associated costs of managing a testing program.
C/TPAs are entities that provide testing services required by the regulations and that act on behalf of the employers. C/TPAs can provide an array of contracted services that otherwise would have to be arranged by the employer. Examples include education and training, specimen collection, laboratory analysis, and medical review officer services.
The C/TPA may also manage the DOT random selection on behalf of the motor carrier. For the motor carrier with relatively few commercial driver’s license (CDL) drivers, the carrier may contract to have the drivers placed in a random selection representing multiple employers. The consortium model allows for a greater pool from which to select names.
Note that owner-operators and other one-driver operations must be placed in a consortium since the Federal Motor Carrier Safety Administration requires a random pool consisting of two or more persons according to 382.103(b).
Company compliance depends on reliable service providers. As employers create and maintain a Department of Transportation (DOT) testing program, one important component is the selection of competent testing facilities.
Remember, any errors that service providers make are still employer mistakes because the company is the DOT-regulated entity. Before creating a contract with a specific facility, consider the following:
Knowledge: By physically visiting a potential collection site, a company will be able to determine the level of understanding its staff has about the collection process, the regulations, and DOT protocols. Don’t underestimate a gut feeling of the collection site’s competency. How collectors respond to questions will reveal an ability to carry out the company’s compliance efforts. Employers have the right to ask about the training and qualifications of the collectors. The collection site is supposed to be prepared to show training documentation to employers wishing to utilize or currently using its services.
Layout: Employers who visit a potential collection site should take note of the physical layout of the facility. Does it meet the requirements for privacy and security set forth in 40.221 and 40.223 for alcohol tests and 40.42, 40.43, 40.47, and 40.48 for drugs? The convenience of the location, distance from the terminal, and hours of operation may play a factor in the company’s selection. A company might inquire about portable services versus fixed locations. This service may be available for both terminal visits and dispatches to post-accident scenes.
Cost and services: A checklist of the items that the company wishes to ask to determine available services, costs associated with each, and price breaks if the company assumes some of the responsibilities will assist in facility selection.
Provided below are some basic questions to pose as you consider your current and/or prospective collection sites:
You also need to make sure they are using the appropriate DOT-approved forms, drug collection kits, and alcohol testing devices. You may wish to ask for the model numbers of the alcohol testing devices and compare them against the official list.
Other questions to ask the collection site:
Handling problems in testing. Even though infrequent, there may be instances in which something out of the ordinary happens during testing. You need to make sure your collection site knows and is following appropriate DOT procedures.
Following are some additional questions to pose to your service providers:
It is important to get the facts before making a decision. Unfortunately, in some rural areas, choices may be limited. Nevertheless, make sure the local clinic or hospital can perform DOT tests in accordance with the regulations. If those facilities are not, a company’s drivers may need to travel a certain distance to reach a facility that has properly trained technicians and properly equipped facilities. This is probably more applicable to alcohol testing since only DOT-approved alcohol equipment may be used.
The intent of the visit is to ensure that DOT procedures, equipment, and privacy stipulations are being followed. You would schedule an appointment for this mock collection; note that a specimen is not actually provided. You need to familiarize yourself with the steps in DOT testing.
Your calendar should be cleared for at least an hour. When you walk in, you will have the “driver” experience. When you arrive, observe the waiting room. Is it crowded? Does it appear as though donors are made to wait?
Someone from the facility should walk you through each step of the process, including the intake process of signing in and showing identification. Personnel should take you to the same room a driver would be led. You can see whether:
By the end of the visit, you should be able to measure the collection site’s performance.
Most motor carriers have experienced some sort of recordkeeping frustration associated with their DOT drug and alcohol testing program, such as minor administrative errors on a chain of custody form (CCF) or not receiving a drug test result. Some of the errors could have been avoided had the motor carrier provided necessary data elements.
Supply 11 key data elements
Did you know that 40.14 requires employers (or consortium/third-party administrator (C/TPA)) to provide collectors with specific information relevant to the drug collection process? The employer must make sure the following information is made available to the collector:
Numbers 3, 4, 6, 7, and 10 may be preprinted on the CCF.
Standing orders on drug-testing method
A standing order is a document created by the employer that clearly identifies when urine or saliva will be the preferred drug testing method. Even if a carrier sticks with urine or goes completely with saliva specimens, it must communicate its decision to the collection site.
The standing order typically reflects the unique nature of each drug testing method:
Carriers may elect to have a hybrid model incorporating in both urine and saliva drug tests. To incorporate both urine and saliva drug tests, the collection site must be alerted via a standing order based on reason for testing, need for direct observation, and instances of insufficient specimens.
Following are a few examples of the standing orders provided to collectors:
After creating a standing order document, the carrier must make ensure its designated employer representative and drivers know when each testing method will be used.
Consequences of incomplete information
If a piece of information is missing or inaccurate, the test may wind up in the great abyss of missing test results. How does this happen? It may be as simple as an incorrect driver’s identification number written on the form, creating a problem in providing the results to the employer.
In some other instances, the collector may not have a CCF with preprinted information, and has to edit one that is on hand. This makeshift CCF may:
Reducing errors
So what’s the solution? Some carriers have found success using a network of collection sites that:
When your driver is subject to a DOT post-accident drug screen in an area with limited options for testing (i.e., outside your network), you might consider having a preprinted CCF in every commercial motor vehicle. The driver simply provides the form to the collector, reducing the chance of a lost test result.
Employers may only use laboratories certified by the Department of Health and Human Services (HHS) for drug testing. Each month an agency within HHS, the Substance Abuse and Mental Health Services Administration (SAMHSA), publishes its list of certified laboratories in the Federal Register. Certified laboratories must follow the procedures in Subpart F of Part 40 when conducting DOT drug tests.
Labs may be certified to process urine and/or oral-fluid (saliva) specimens for DOT drug testing.
Employers may not use labs outside of the HHS list and may not process specimens using on-site testing methods for immediate results. Drug testing specimens must be collected, shipped, processed, and results reviewed in accordance with Part 40 procedures.
The medical review officer’s (MRO) responsibility is a significant function within the testing process. The MRO’s job is to provide a “clinical confirmation” of a presumptive positive as reported by the laboratory.
Essentially, a positive test is initially a scientific conclusion which then must be legitimized by medical considerations made by the MRO. The MRO then determines whether a true positive exists. The laboratory reports the result directly to the MRO for a professional review of the results which will only be reported to the company after a “clinical confirmation” has been achieved by the MRO.
This is likely to be the most critical decision employers make within a testing program. The MRO will have more contact with the company than anyone else within the program. The person will become the company’s “agent” providing final analysis of the total process and representing the company in any challenge litigation that may evolve.
MRO chief duties include:
Seek out only licensed physicians (Doctor of Medicine or osteopaths). MROs must meet the knowledge, training, and education requirements described in 40.121. There are professional bodies which provide certification such as AAMRO (American Association of Medical Review Officers) and MROCC (Medical Review Officer Certification Council). This certification guarantees a knowledgeable and competent MD; it is the assurance a company should demand from a qualified professional. The websites of these organizations include searchable databases of certified MROs to help employers find an acceptable one:
When the Medical Review Officer (MRO) has to speak with the driver about a non-negative drug test result, the MRO has specific protocols to follow before being allowed to make a determination with or without speaking with the driver.
Steps to make contact with the driver
Interestingly, the driver is given six opportunities to speak with the MRO as the verification process plays out.
Step 1.
The MRO calls the driver using the phone numbers on the DOT testing form, making three attempts in a 24-hour period.
Step 2.
The MRO tells the company’s designated employer representative (DER) to contact the driver with instructions to immediately contact the MRO.
Step 3.
DER calls the driver using the phone numbers on the DOT testing form making three attempts in a 24-hour period.
What happens during the driver interview?
The MRO must explain certain things to the driver during the conversation, including the test results and the verification process. The driver must be told that any additional medical evaluation that is requested must be pursued — or it is considered a refusal to test.
For a claim of a legally obtained prescription, the MRO will take all reasonable and necessary steps to verify the authenticity of all medical records the employee provides and even contact the employee’s personal physician or pharmacist. The driver is also told that information will be provided to third parties without the need for consent in accordance with 40.327. If the MRO calls the driver’s fitness for duty into question, the driver will be given the opportunity to change any legally prescribed medication within five days. In other words, the MRO will not contact the third parties right away.
Also, during the MRO’s conversation with the driver, the MRO must communicate the split specimen option and procedures. The employee has 72 hours from the time the MRO provides this notification to request a test of the split specimen. The employee is given instructions on how to contact the MRO to make the request, including phone numbers or other information that will allow the employee to make this request. The MRO must have the ability to receive the employee’s calls at all times during the 72-hour period, which can include an answering machine or voicemail with a time stamp feature.
The MRO must also tell the employee that the employer cannot deny a request made within the 72 hours. In addition, the driver must be told that the employer cannot require payment for the test before the test takes place, but the employer can seek reimbursement later. The MRO will also inform the employee that additional tests on the specimen are prohibited. For example, a driver who claims the specimen belongs to someone else cannot request DNA tests.
What happens if the driver and MRO don’t connect?
There are three circumstances in which the MRO may verify a result without an interview with the employee, including:
After the MRO has verified a test result and reported the result to the DER, the MRO must allow the employee — within 60 days of the verification — to present documentation that serious illness, injury, or other circumstances unavoidably precluded contact with the MRO and/or DER in the times provided. On the basis of such information, the MRO may reopen the verification, allowing the employee to present information concerning whether there is a legitimate medical explanation of the confirmed test result.
To be permitted to act as a substance abuse professional (SAP) in a Department of Transportation (DOT) drug and alcohol testing program, a person must have one of the following credentials:
Knowledge
In order to act as an SAP, the credentialed individual must:
The DOT requires SAPs to keep current on any changes to these materials. SAPs must subscribe to the Office of Drug & Alcohol Policy & Compliance (ODAP) list for email updates. DOT agency regulations, DOT SAP Guidelines, and other materials are also available to the SAP from ODAPC.
Note that an SAP, who is otherwise fully qualified under Part 40, must not perform evaluations outside the geographic jurisdiction for their credential(s). If the SAP who made an evaluation exceeds their geographic jurisdiction, the employee will not be required to seek the evaluation of a second SAP.
SAP’s role
The basic responsibility of the SAP is to:
At the SAP’s discretion, the initial and follow-up evaluations may be performed face-to-face in-person or remotely. If a SAP is not prohibited from using technology within the parameters of the SAP’s state-issued license or other credential(s), a remote evaluation must be must be conducted in accordance with the following criteria:
If the employee is found to need assistance as a result of the assessment, then the SAP recommends a course of treatment with which the employee must comply before returning to safety-sensitive functions. If the employee successfully completes the course of treatment, the SAP will provide the employer with a report with the follow-up program based on the evaluation of the driver.
Employers who are subject to Department of Transportation (DOT) drug and alcohol testing under 49 CFR Part 382 must create a policy. By providing this policy to drivers in safety-sensitive positions, companies can ensure drivers know what is expected under a DOT testing program before employees are ever tested. In addition, specific educational materials on the effects of drug abuse and alcohol misuse must be given to the drivers when the policy is provided.
Motor carriers that are subject to DOT testing requirements must create written policies. If employers operate commercial motor vehicles that require a commercial driver’s license (CDL), the company is subject to the requirements.
A DOT drug and alcohol policing must contain, at minimum, the following elements (found in 382.601(b)):
Element #6 would detail both oral-fluid (saliva) and urine specimen drug-testing procedures. The policy should indicate what standing orders have been provided collection sites for each testing method. In other words, which testing method will be used for each reason for testing, along with any orders to use an alternate testing method under specific circumstances.
Employers must provide a copy of these materials to each driver prior to the start of DOT alcohol and controlled substances testing, including new hires and employees transferring into safety-sensitive positions. The policy must be given to contract workers (e.g., owner-operators, staffing service drivers), not just employees on the company’s payroll.
The driver, upon receiving the policy, must sign a statement certifying receipt of the information (required by 382.601(d)). Employers must retain a copy of this signed receipt.
Any additional company policies based on the discretion of the motor carrier (e.g., zero tolerance) may be interwoven into a DOT policy, but policies still may not violate federal or state law. Additional requirements within policies must be clearly and obviously described as being based upon the company’s independent authority, not DOT testing regulations.
A motor carrier who has a voluntary self-identification program element in its policy will not take disciplinary action against a driver who makes a voluntary admission of alcohol misuse or controlled substance use if:
The driver will be allowed to return to safety-sensitive duties upon successful completion of an education or treatment program, as determined by a drug and alcohol abuse evaluation expert. Also, the driver must undergo:
The policy may incorporate employee monitoring and include non-DOT follow-up testing.
The voluntary self-identification program or policy must be given to the driver in accordance with 382.601, along with the other elements of the company policy, before the driver participates in the DOT random testing program.
If the motor carrier revises its existing DOT drug and alcohol testing policy to include a voluntary self-identification program or policy, it will need to reissue the DOT drug and alcohol testing policy to the drivers. The drivers must sign another receipt of the policy indicating the new date to demonstrate that the drivers were made aware of the revisions. Both receipts of the company policy (original and revised policies) would be retained in accordance with 382.401(b)(4), for the duration of employment plus two years after it ceases.
Educating drivers and training supervisors is essential for a company’s Department of Transportation (DOT) drug and alcohol program to be effective. Employers are required to provide training for supervisors prior to the start of the testing program.
Employers must provide training to all persons who supervise drivers subject to the regulations. This training helps supervisors determine whether reasonable suspicion exists to require a driver to undergo testing.
The supervisor training must include at least 60 minutes on alcohol misuse and 60 minutes on controlled substances use (120 minutes total).
The following key definitions will be useful when training those who supervise drivers subject to the Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol program regulations:
Alcohol — The intoxicating agent in beverage alcohol, ethyl alcohol or other low molecular weight alcohols, including methyl or isopropyl alcohol.
Articulable — Clearly described observations made by a trained supervisor leading to the DOT reasonable suspicion test. Something that cannot be accurately put into words on the supervisor’s report is not articulable.
Contemporaneous — The signs and symptoms of drug or alcohol use occurring as the trained supervisor observes them. Something a supervisor saw, for instance, yesterday is not a contemporaneous observation.
Drugs — Under Department of Transportation (DOT) drug testing regulations, “drugs” are those for which tests are required, including:
Driver — Any person who operates a commercial motor vehicle. This includes, but is not limited to full-time, regularly employed drivers; casual, intermittent, or occasional drivers; and leased drivers or independent owner-operator contractors.
Reasonable suspicion — The employer’s determination — based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the driver — to require the driver to undergo an alcohol and/or drug test. The observations may include indications of the chronic and withdrawal effects of controlled substances.
Supervisor — An employee of a motor carrier who has been designated as a driver supervisor in order to request a DOT reasonable suspicion test. The supervisor must receive the 60-minute training on drug use and an additional 60 minutes of training on alcohol misuse to be qualified to assume a role as a driver supervisor.
Drivers who operate commercial motor vehicles (CMVs) in the United States, requiring a commercial driver’s license (CDL), or Mexican or Canadian equivalent, are subject to Department of Transportation (DOT) drug and alcohol testing.
Drivers include anyone performing a safety-sensitive function under a motor carrier’s authority, including part-time, occasional, or intermittent drivers; owner-operators leased on to the carrier; drivers from staffing services; and drivers borrowed from other motor carriers. CMV drivers are performing safety-sensitive functions based on the nature of the vehicle assigned.
Employees who hold job titles other than driver (e.g., supervisor, technician, yard worker) are subject to DOT testing if the person is called upon to operate a CMV requiring a CDL. It may even be the president of the company. Everyone who is expected to drive this vehicle type must be included in the company training program.
When is DOT driver training required?
After being hired for or transferring into a position requiring a CDL (safety-sensitive position) and prior to the starting of DOT drug and alcohol testing, drivers must be given educational materials that explain the testing requirements.
The regulations do not require refresher training for drivers, but many companies revisit the drug and alcohol topic on a scheduled basis. Some carriers perform training after DOT rules are revised or DOT testing policies are updated.
What topics should employers cover?
Section 382.601(b) of Federal Motor Carrier Safety Regulations (FMCSRs) requires that drivers be given information in the company policy.
What medium may be used to present the topics?
Many of the components that must be covered with drivers may be incorporated into a company’s DOT drug and alcohol policy. But the regulations do not specify that the elements be in the form of a policy.
Section 382.601 uses the term “educational materials.” These may be in the form of a policy, handbook, handouts, and so forth. Whatever format the employer elects to use must be distributed to the drivers.
The FMCSRs do not require formal training such as a class, video, or online tutorial, but many carriers find it beneficial to hold training, in addition to providing the required written materials. By having a class or going over the materials one-on-one with new hires, the employer is ensuring that drivers are instructed on and understand key points of the DOT testing program.
The drivers must sign a statement certifying that workers received a copy of educational materials. If provided in multiple formats, a best practice may be to identify each in the signed receipt (e.g., company policy and a handbook/handouts) or collecting a receipt for each.
Motor carriers are subject to Department of Transportation (DOT) drug and alcohol testing requirements if employees operate commercial motor vehicles requiring a commercial driver’s license (CDL). The operators of these vehicles are performing safety-sensitive functions. One provision within Part 382 is supervisor training. This training in 382.603 is required for the individual who is requesting a DOT reasonable suspicion test (382.307). If someone is not trained, the person is not qualified to request the test based on observations.
Who is a supervisor?
It is important to identify supervisory personnel. In the trucking industry, this is especially difficult because the dispatcher does not have contact with the driver after the truck leaves the terminal and is often not present when the driver returns. The regulations prohibit reasonable suspicion from being based on third-party reports. Therefore, it is important that people who are placed in positions of responsibility for assessing employee fitness be well informed as a part of the training, particularly about the limitations imposed by the regulations.
How can a motor carrier avoid potential safety risks when drivers have so little face-to-face contact with an immediate supervisor? Consider:
How is training performed?
The drug and alcohol testing regulations do not address the medium required to train a supervisor on reasonable suspicion. Options may include classroom training, online courses, computer-based programs, reading materials, and video presentations. The material may be provided by a vendor or created by the employer.
The rules also do not require a facilitator to train the supervisor. The employee could work independently to complete the course materials.
What should be included in supervisor training?
Unlike most of the Federal Motor Carrier Safety Administration’s (FMCSA) regulations — where the requirements are strictly spelled out — the exact content of and degree of detail in the training is left up to the motor carrier.
The FMCSA requires that supervisors have at least one hour of training on controlled substances use and an additional hour of training on alcohol misuse. Based on how the regulation (382.603) is worded, the two topics must be kept separate.
The training must cover the specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the driver that lead a supervisor to approaching the driver and requesting the test type. Those who develop training programs will detail the signs and symptoms of alcohol use and the drugs identified in the DOT definition (40.85) including marijuana, cocaine, amphetamines, opioids, and phencyclidine (PCP).
Recurrent training is not required. In addition, a driver supervisor who received the required reasonable suspicion training does not have to retake the training when the person assumes a driver supervisor role for another carrier. The new employer, however, will need proof of supervisory training in order to forego training at its company.
The Department of Transportation (DOT) drug and alcohol program management requirements include the following key definitions:
Alcohol testing site — A place selected by the employer where employees present themselves for the purpose of providing breath or saliva for an alcohol test.
Breath alcohol technician (BAT) — A person who instructs and assists employees in the alcohol testing process and operates an evidential breath testing device.
Collection site — A place selected by the employer where employees present themselves for the purpose of providing a specimen for a drug test.
Collector — A person who instructs and assists employees at a collection site, who receives and makes an initial inspection of the specimen provided by those employees, and who initiates and completes the chain of custody form.
Consortium/third-party administrator (C/TPA) — A service agent that provides or coordinates a variety of drug and alcohol testing services to employers. C/TPAs typically perform administrative tasks concerning the operation of the employers’ drug and alcohol testing programs. This term includes, but is not limited to, groups of employers who join together to administer, as a single entity, the Department of Transportation (DOT) drug and alcohol testing programs of its members. C/TPAs are not “employers” for purposes of Part 40.
Designated employer representative (DER) — An employee authorized by the employer to take immediate action(s) to remove employees from safety-sensitive duties, or cause employees to be removed from these covered duties. The DER will also make required decisions in the testing and evaluation processes and receives test results and other communications for the employer.
Laboratory — Any U.S. laboratory certified by HHS under the National Laboratory Certification Program as meeting the minimum standards set by HHS; or, in the case of foreign laboratories, a laboratory approved for participation by DOT under Part 40.
Medical review officer — A person who is a licensed physician and who is responsible for receiving and reviewing laboratory results generated by an employer’s drug testing program and for evaluating medical explanations for certain drug test results.
Screening test technician — A person who instructs and assists employees in the alcohol testing process and operates alcohol screening devices.
Service agent — Any person or entity, other than an employee of the employer, who provides services to employers and/or employees in connection with DOT drug and alcohol testing requirements. This includes, but is not limited to, collectors, breath alcohol technicians, screening test technicians, laboratories, medical review officers, substance abuse professionals, and consortium/third-party administrators. To act as service agents, persons and organizations must meet DOT qualifications, if applicable.
Substance abuse professional (SAP) — A person who evaluates employees who have violated a DOT drug and alcohol regulation and makes recommendations concerning education, treatment, follow-up testing, and aftercare.
Setting up a Department of Transportation (DOT) drug and alcohol testing program requires the appointment of a designated employer representative (DER). But what is a DER?
Basic job functions
According to 49 CFR Parts 40 and 382, the DER must be an employee of the motor carrier. This means a service provider, e.g., consortium/third-party administrator (C/TPA), cannot take on the role.
The DER is identified as the point of contact for service providers — labs, medical review officer (MRO), collection sites, C/TPA, substance abuse professional (SAP) — to receive communication and is given authority by the company to take action.
Results and problems in testing
The DER is told when a test is negative or canceled, and the individual is the point of contact to receive the news that a driver tested positive, refused to test, or needs a recollection. The DER is contacted when the driver needs a medical explanation for an insufficient amount of specimen, or when the MRO is unable to get a hold of the driver when validating the results of a test.
The DER is called upon to remove a driver from a safety-sensitive function, personally or through delegation, when the situation warrants. Drivers must be notified who the DER is because of the potential interaction. Because the DER is the first to learn of a violation of DOT testing rules, the person needs to make sure the driver is given a list of SAPs. However, the task may be delegated.
The DER is the point person when a driver has completed the initial steps in the DOT return-to-duty process following a drug or alcohol violation. The DER receives the SAP’s report notifying the employer that the driver is ready for a return-to-duty test.
What department is the DER from?
Neither the Federal Motor Carrier Safety Regulations nor general DOT regulations specify a job title or department for the DER. Some companies give the role to someone in Operations or Safety, while others ask someone in Human Resources to communicate with service providers and drivers when necessary. The DER may bring in a driver supervisor to help carry out, for example, removing a driver from a safety-sensitive function.
The role of the DER is often blended with program administrator tasks. The DER is not necessarily the person who performs an in-house random selection or assembles the driver roster for a service provider, although it could be. Also, it may not be the person who notifies the drivers who have been selected for a test, but there is nothing prohibiting the DER from taking on the task.
DER training
There is also no formal training required of the DER, but the party your motor carrier appoints needs to know and understand both Parts 40 and 382. It is pivotal that the DER understand DOT testing protocols, or it could have legal implications.
If someone outside of Safety acts as DER, you should ensure that the individual fully understands the requirements. If your company’s DOT drug and alcohol policy also contains optional provisions or additional ramifications aside from the regulations, the DER needs to consistently enforce the policy and carry out the procedures.
Trained supervisor vs. DER
The DER is not necessarily the supervisor who is trained in reasonable suspicion (382.603). There is nothing prohibiting this dual role if the company so wishes. The regulations do not require specific training of the DER, but the individual must know and apply the DOT drug and alcohol requirements. It would be a good safety management control to make sure the person completely understands Parts 40 and 382 requirements. Basically, is the company able to defend its choice of DER?
DERs who are participating in the DOT program
If the DER is a driver (by definition) and in the random pool, employers need to have someone else on staff who is identified as a backup DER in the event there is a problem in testing. There is nothing prohibiting the carrier from having someone in the pool acting as a DER, but the company would need an alternate DER in the event a service provider needs to communicate with the carrier about a test for the primary DER.
The focal point of any effective DOT drug and alcohol testing program is its designated employer representative (DER).
The following details the roles and responsibilities the DER has, and as you will discover, this motor carrier employee has a lot of responsibility to ensure the letter of the law is carried out.
What are the requirements to be DER?
The DER is a point of contact for both questions and problems that occur during DOT drug and alcohol testing. The regulations are very clear that a service provider cannot take on this role. It must be an employee of the motor carrier. But it should be noted that a consortium/third-party administrator (C/TPA) may receive test results from the medical review officer (MRO) if contracted to do so, so long as the MRO is aware of this relationship. But only the DER may take action to remove the driver from a safety-sensitive function or direct a driver for a mandatory retest.
Roles & responsibilities with service providers
The following is a quick overview of the duties assigned to a company’s DER.
The DER interacts with a variety of service providers:
Interacting with drivers
The DER has the job of tactfully interacting with the drivers. The job of DER requires complete confidentiality.
The DER may, but not necessarily, be the party who notifies the driver of a required test. But the DER will be the party who will receive the call if the driver does not show up or experiences other problems in testing. The DER also receives test results and other communications for the employer from the MRO (or C/TPA if designated to be the go-between). When the driver is subject to a mandatory recollection under direct observation, it is the DER who receives the call directly from the MRO.
When a driver violates the prohibitions in Subpart B of Part 382, the driver needs to be removed from the safety-sensitive function. This is the DER’s responsibility. This may involve contacting a location manager or immediate supervisor of the driver depending on the nature of the organization and the DER’s relationship to the driver. In other instances, the DER communicates directly with the driver.
The focal point of any effective DOT drug and alcohol testing program is its designated employer representative (DER).
The following details the roles and responsibilities the DER has, and as you will discover, this motor carrier employee has a lot of responsibility to ensure the letter of the law is carried out.
What are the requirements to be DER?
The DER is a point of contact for both questions and problems that occur during DOT drug and alcohol testing. The regulations are very clear that a service provider cannot take on this role. It must be an employee of the motor carrier. But it should be noted that a consortium/third-party administrator (C/TPA) may receive test results from the medical review officer (MRO) if contracted to do so, so long as the MRO is aware of this relationship. But only the DER may take action to remove the driver from a safety-sensitive function or direct a driver for a mandatory retest.
Roles & responsibilities with service providers
The following is a quick overview of the duties assigned to a company’s DER.
The DER interacts with a variety of service providers:
Interacting with drivers
The DER has the job of tactfully interacting with the drivers. The job of DER requires complete confidentiality.
The DER may, but not necessarily, be the party who notifies the driver of a required test. But the DER will be the party who will receive the call if the driver does not show up or experiences other problems in testing. The DER also receives test results and other communications for the employer from the MRO (or C/TPA if designated to be the go-between). When the driver is subject to a mandatory recollection under direct observation, it is the DER who receives the call directly from the MRO.
When a driver violates the prohibitions in Subpart B of Part 382, the driver needs to be removed from the safety-sensitive function. This is the DER’s responsibility. This may involve contacting a location manager or immediate supervisor of the driver depending on the nature of the organization and the DER’s relationship to the driver. In other instances, the DER communicates directly with the driver.
Due to the sensitive nature of Department of Transportation (DOT) drug and alcohol testing, service providers must be selected carefully. A company’s service providers follow a DOT test from beginning to end and offer services in the event a driver is found to have violated the prohibitions in Part 382.
If a service provider is not qualified or is not following DOT protocols, the motor carrier is held responsible by the DOT since it is the regulated entity, and employees who feel that rights to a fair test have been compromised may hold the employer liable.
Before entering a contract with a vendor, be sure service providers:
A DOT-regulated testing program requires that many service providers meet specific criteria and training. Employers will need to verify that a service provider meets any accreditation and/or training specified 49 CFR Part 40 — before contracting with it. Note that these same training requirements must be applied to company employees performing DOT drug or alcohol tests in house.
Even if employers initially verify the credentials of service providers, a motor carrier must not assume that its vendors remain qualified to perform the same roles throughout the contract. Many key partners in a DOT testing program are required to have refresher training. To ensure the tasks are being performed by knowledgeable and proficient professionals, motor carriers need to ask for documentation. The right to ask for this proof is sprinkled throughout 49 CFR Part 40 (within each of the service provider’s categories).
Motor carriers typically ask for documentation of training at the beginning or renewal of a contract. To ensure contracted parties continue to meet criteria, a company could ask for proof annually or anytime it finds DOT procedures are not being followed.
When a motor carrier establishes and maintains a drug and alcohol program under the authority of the U.S. Department of Transportation (USDOT), it assumes complete responsibility for compliance regardless of the actions of its service providers. This means, in realistic terms, a motor carrier will be the party to receive fines and penalties for violations, which are the result of someone else’s errors such as a collector that USDOT has no authority over.
What is a service agent?
Service agents include businesses and individuals that contract with a motor carrier as part of its DOT drug and alcohol compliance program. They include consortium/third-party administrators (C/TPAs), medical review officers (MROs), collection sites, labs, and substance abuse professionals (SAPs). All except the C/TPAs have minimum requirements in order to act as a service agent. Employers are responsible for ensuring the business meets the minimum criteria to act as an agent.
Consortia/Third-party administrators
This vendor is not one that requires any formal training of its program administrators. The services range from running random selections to full management of programs and auditing and storage of records.
You may wish to ask a potential or current C/TPA about its training, security of records, and vetting of its employees. The information they are handling requires not only a detailed understanding of the regulations, but also the utmost concern for confidentiality and security, as personally identifiable information is on the documents they will be processing.
Contracting with labs
It is easiest to confirm the laboratory’s qualifications to play a role in your DOT program. Only Health and Human Services certified laboratories may process your drivers’ specimens for drug screens. The lists of approved labs appears monthly in the Federal Register via an entry through the Substance Abuse and Mental Health Service Administration (SAMHSA). The updated list appears on SAMHSA’s website.
Labs may be certified to analyze urine and/or saliva for the presence of drugs.
MRO credentials
Only licensed physicians (Doctors of Medicine or Osteopathy) who meet the criteria in 40.121 may act as an MRO. This entails a “basic knowledge” about controlled substances abuse disorders, medical explanations for confirmed drug test results, and issues relating to adulterated and substituted specimens, and an understanding of the “DOT MRO Guidelines.”
MROs must undergo an initial “qualification training” that includes an exam. Once every five years, the MRO must satisfactorily complete “requalification training” followed by successful completion of another exam.
The MRO must maintain documentation of the training and make it readily available to an employer or C/TPA negotiating services.
SAPs training
Similar to MROs, SAPs must be licensed counselors with qualifications that fit within the scope of titles listed in 40.281(a). Plus, SAPs must meet the “basic knowledge” requirements on diagnosis and treatment of alcohol and drug-related disorders and have a good grasp of the document, “DOT SAP Guidelines.”
The SAP must successfully complete “qualification training” on DOT protocols and pass an exam. SAPs must, within three years, partake in continuing education courses. The SAP must maintain documentation of the training and make it readily available to an employer or C/TPA negotiating services.
This is important to employers, since they may be asked by DOT (in the event of an investigation) if they have verified the names on their SAP list. This is the actual list the employer would intend on providing to a driver who tests positive or refuses a DOT test. Employers cannot assume that SAPs have met the continuing education stipulation and should therefore check to make sure SAPs are still qualified.
Collection sites
Both drug collections and alcohol tests require specific training for the personnel. This involves knowledge in basic information and keeping current with changes, qualification training, initial proficiency demonstration, and refresher training once every five years.
In addition, if the collector, breath alcohol technician (BAT), or screening test technician makes a mistake in the testing process that causes the test to be canceled (i.e., fatal flaw or uncorrected flaw), the collector must undergo error correction training. The facility must ensure this take place within 30 days of the date they are notified of the error that led to the need for retraining. The retraining must be documented.
The collection site must maintain documentation and make it readily available to the employer or C/TPA negotiating services.
Some companies perform Department of Transportation (DOT) recordkeeping and random selections themselves. Others may not have the in-house expertise or the available manpower to administer the program as effectively as the company would like and opt to outsource. Management will have to weigh the pros and cons of outsourcing the administrative functions before entering into a contract with a consortium/third-party administrator (C/TPA).
A C/TPA is one common method of reducing an employer’s administrative challenges and associated costs of managing a testing program.
C/TPAs are entities that provide testing services required by the regulations and that act on behalf of the employers. C/TPAs can provide an array of contracted services that otherwise would have to be arranged by the employer. Examples include education and training, specimen collection, laboratory analysis, and medical review officer services.
The C/TPA may also manage the DOT random selection on behalf of the motor carrier. For the motor carrier with relatively few commercial driver’s license (CDL) drivers, the carrier may contract to have the drivers placed in a random selection representing multiple employers. The consortium model allows for a greater pool from which to select names.
Note that owner-operators and other one-driver operations must be placed in a consortium since the Federal Motor Carrier Safety Administration requires a random pool consisting of two or more persons according to 382.103(b).
Company compliance depends on reliable service providers. As employers create and maintain a Department of Transportation (DOT) testing program, one important component is the selection of competent testing facilities.
Remember, any errors that service providers make are still employer mistakes because the company is the DOT-regulated entity. Before creating a contract with a specific facility, consider the following:
Knowledge: By physically visiting a potential collection site, a company will be able to determine the level of understanding its staff has about the collection process, the regulations, and DOT protocols. Don’t underestimate a gut feeling of the collection site’s competency. How collectors respond to questions will reveal an ability to carry out the company’s compliance efforts. Employers have the right to ask about the training and qualifications of the collectors. The collection site is supposed to be prepared to show training documentation to employers wishing to utilize or currently using its services.
Layout: Employers who visit a potential collection site should take note of the physical layout of the facility. Does it meet the requirements for privacy and security set forth in 40.221 and 40.223 for alcohol tests and 40.42, 40.43, 40.47, and 40.48 for drugs? The convenience of the location, distance from the terminal, and hours of operation may play a factor in the company’s selection. A company might inquire about portable services versus fixed locations. This service may be available for both terminal visits and dispatches to post-accident scenes.
Cost and services: A checklist of the items that the company wishes to ask to determine available services, costs associated with each, and price breaks if the company assumes some of the responsibilities will assist in facility selection.
Provided below are some basic questions to pose as you consider your current and/or prospective collection sites:
You also need to make sure they are using the appropriate DOT-approved forms, drug collection kits, and alcohol testing devices. You may wish to ask for the model numbers of the alcohol testing devices and compare them against the official list.
Other questions to ask the collection site:
Handling problems in testing. Even though infrequent, there may be instances in which something out of the ordinary happens during testing. You need to make sure your collection site knows and is following appropriate DOT procedures.
Following are some additional questions to pose to your service providers:
It is important to get the facts before making a decision. Unfortunately, in some rural areas, choices may be limited. Nevertheless, make sure the local clinic or hospital can perform DOT tests in accordance with the regulations. If those facilities are not, a company’s drivers may need to travel a certain distance to reach a facility that has properly trained technicians and properly equipped facilities. This is probably more applicable to alcohol testing since only DOT-approved alcohol equipment may be used.
The intent of the visit is to ensure that DOT procedures, equipment, and privacy stipulations are being followed. You would schedule an appointment for this mock collection; note that a specimen is not actually provided. You need to familiarize yourself with the steps in DOT testing.
Your calendar should be cleared for at least an hour. When you walk in, you will have the “driver” experience. When you arrive, observe the waiting room. Is it crowded? Does it appear as though donors are made to wait?
Someone from the facility should walk you through each step of the process, including the intake process of signing in and showing identification. Personnel should take you to the same room a driver would be led. You can see whether:
By the end of the visit, you should be able to measure the collection site’s performance.
Most motor carriers have experienced some sort of recordkeeping frustration associated with their DOT drug and alcohol testing program, such as minor administrative errors on a chain of custody form (CCF) or not receiving a drug test result. Some of the errors could have been avoided had the motor carrier provided necessary data elements.
Supply 11 key data elements
Did you know that 40.14 requires employers (or consortium/third-party administrator (C/TPA)) to provide collectors with specific information relevant to the drug collection process? The employer must make sure the following information is made available to the collector:
Numbers 3, 4, 6, 7, and 10 may be preprinted on the CCF.
Standing orders on drug-testing method
A standing order is a document created by the employer that clearly identifies when urine or saliva will be the preferred drug testing method. Even if a carrier sticks with urine or goes completely with saliva specimens, it must communicate its decision to the collection site.
The standing order typically reflects the unique nature of each drug testing method:
Carriers may elect to have a hybrid model incorporating in both urine and saliva drug tests. To incorporate both urine and saliva drug tests, the collection site must be alerted via a standing order based on reason for testing, need for direct observation, and instances of insufficient specimens.
Following are a few examples of the standing orders provided to collectors:
After creating a standing order document, the carrier must make ensure its designated employer representative and drivers know when each testing method will be used.
Consequences of incomplete information
If a piece of information is missing or inaccurate, the test may wind up in the great abyss of missing test results. How does this happen? It may be as simple as an incorrect driver’s identification number written on the form, creating a problem in providing the results to the employer.
In some other instances, the collector may not have a CCF with preprinted information, and has to edit one that is on hand. This makeshift CCF may:
Reducing errors
So what’s the solution? Some carriers have found success using a network of collection sites that:
When your driver is subject to a DOT post-accident drug screen in an area with limited options for testing (i.e., outside your network), you might consider having a preprinted CCF in every commercial motor vehicle. The driver simply provides the form to the collector, reducing the chance of a lost test result.
Employers may only use laboratories certified by the Department of Health and Human Services (HHS) for drug testing. Each month an agency within HHS, the Substance Abuse and Mental Health Services Administration (SAMHSA), publishes its list of certified laboratories in the Federal Register. Certified laboratories must follow the procedures in Subpart F of Part 40 when conducting DOT drug tests.
Labs may be certified to process urine and/or oral-fluid (saliva) specimens for DOT drug testing.
Employers may not use labs outside of the HHS list and may not process specimens using on-site testing methods for immediate results. Drug testing specimens must be collected, shipped, processed, and results reviewed in accordance with Part 40 procedures.
The medical review officer’s (MRO) responsibility is a significant function within the testing process. The MRO’s job is to provide a “clinical confirmation” of a presumptive positive as reported by the laboratory.
Essentially, a positive test is initially a scientific conclusion which then must be legitimized by medical considerations made by the MRO. The MRO then determines whether a true positive exists. The laboratory reports the result directly to the MRO for a professional review of the results which will only be reported to the company after a “clinical confirmation” has been achieved by the MRO.
This is likely to be the most critical decision employers make within a testing program. The MRO will have more contact with the company than anyone else within the program. The person will become the company’s “agent” providing final analysis of the total process and representing the company in any challenge litigation that may evolve.
MRO chief duties include:
Seek out only licensed physicians (Doctor of Medicine or osteopaths). MROs must meet the knowledge, training, and education requirements described in 40.121. There are professional bodies which provide certification such as AAMRO (American Association of Medical Review Officers) and MROCC (Medical Review Officer Certification Council). This certification guarantees a knowledgeable and competent MD; it is the assurance a company should demand from a qualified professional. The websites of these organizations include searchable databases of certified MROs to help employers find an acceptable one:
When the Medical Review Officer (MRO) has to speak with the driver about a non-negative drug test result, the MRO has specific protocols to follow before being allowed to make a determination with or without speaking with the driver.
Steps to make contact with the driver
Interestingly, the driver is given six opportunities to speak with the MRO as the verification process plays out.
Step 1.
The MRO calls the driver using the phone numbers on the DOT testing form, making three attempts in a 24-hour period.
Step 2.
The MRO tells the company’s designated employer representative (DER) to contact the driver with instructions to immediately contact the MRO.
Step 3.
DER calls the driver using the phone numbers on the DOT testing form making three attempts in a 24-hour period.
What happens during the driver interview?
The MRO must explain certain things to the driver during the conversation, including the test results and the verification process. The driver must be told that any additional medical evaluation that is requested must be pursued — or it is considered a refusal to test.
For a claim of a legally obtained prescription, the MRO will take all reasonable and necessary steps to verify the authenticity of all medical records the employee provides and even contact the employee’s personal physician or pharmacist. The driver is also told that information will be provided to third parties without the need for consent in accordance with 40.327. If the MRO calls the driver’s fitness for duty into question, the driver will be given the opportunity to change any legally prescribed medication within five days. In other words, the MRO will not contact the third parties right away.
Also, during the MRO’s conversation with the driver, the MRO must communicate the split specimen option and procedures. The employee has 72 hours from the time the MRO provides this notification to request a test of the split specimen. The employee is given instructions on how to contact the MRO to make the request, including phone numbers or other information that will allow the employee to make this request. The MRO must have the ability to receive the employee’s calls at all times during the 72-hour period, which can include an answering machine or voicemail with a time stamp feature.
The MRO must also tell the employee that the employer cannot deny a request made within the 72 hours. In addition, the driver must be told that the employer cannot require payment for the test before the test takes place, but the employer can seek reimbursement later. The MRO will also inform the employee that additional tests on the specimen are prohibited. For example, a driver who claims the specimen belongs to someone else cannot request DNA tests.
What happens if the driver and MRO don’t connect?
There are three circumstances in which the MRO may verify a result without an interview with the employee, including:
After the MRO has verified a test result and reported the result to the DER, the MRO must allow the employee — within 60 days of the verification — to present documentation that serious illness, injury, or other circumstances unavoidably precluded contact with the MRO and/or DER in the times provided. On the basis of such information, the MRO may reopen the verification, allowing the employee to present information concerning whether there is a legitimate medical explanation of the confirmed test result.
To be permitted to act as a substance abuse professional (SAP) in a Department of Transportation (DOT) drug and alcohol testing program, a person must have one of the following credentials:
Knowledge
In order to act as an SAP, the credentialed individual must:
The DOT requires SAPs to keep current on any changes to these materials. SAPs must subscribe to the Office of Drug & Alcohol Policy & Compliance (ODAP) list for email updates. DOT agency regulations, DOT SAP Guidelines, and other materials are also available to the SAP from ODAPC.
Note that an SAP, who is otherwise fully qualified under Part 40, must not perform evaluations outside the geographic jurisdiction for their credential(s). If the SAP who made an evaluation exceeds their geographic jurisdiction, the employee will not be required to seek the evaluation of a second SAP.
SAP’s role
The basic responsibility of the SAP is to:
At the SAP’s discretion, the initial and follow-up evaluations may be performed face-to-face in-person or remotely. If a SAP is not prohibited from using technology within the parameters of the SAP’s state-issued license or other credential(s), a remote evaluation must be must be conducted in accordance with the following criteria:
If the employee is found to need assistance as a result of the assessment, then the SAP recommends a course of treatment with which the employee must comply before returning to safety-sensitive functions. If the employee successfully completes the course of treatment, the SAP will provide the employer with a report with the follow-up program based on the evaluation of the driver.
When a motor carrier establishes and maintains a drug and alcohol program under the authority of the U.S. Department of Transportation (USDOT), it assumes complete responsibility for compliance regardless of the actions of its service providers. This means, in realistic terms, a motor carrier will be the party to receive fines and penalties for violations, which are the result of someone else’s errors such as a collector that USDOT has no authority over.
What is a service agent?
Service agents include businesses and individuals that contract with a motor carrier as part of its DOT drug and alcohol compliance program. They include consortium/third-party administrators (C/TPAs), medical review officers (MROs), collection sites, labs, and substance abuse professionals (SAPs). All except the C/TPAs have minimum requirements in order to act as a service agent. Employers are responsible for ensuring the business meets the minimum criteria to act as an agent.
Consortia/Third-party administrators
This vendor is not one that requires any formal training of its program administrators. The services range from running random selections to full management of programs and auditing and storage of records.
You may wish to ask a potential or current C/TPA about its training, security of records, and vetting of its employees. The information they are handling requires not only a detailed understanding of the regulations, but also the utmost concern for confidentiality and security, as personally identifiable information is on the documents they will be processing.
Contracting with labs
It is easiest to confirm the laboratory’s qualifications to play a role in your DOT program. Only Health and Human Services certified laboratories may process your drivers’ specimens for drug screens. The lists of approved labs appears monthly in the Federal Register via an entry through the Substance Abuse and Mental Health Service Administration (SAMHSA). The updated list appears on SAMHSA’s website.
Labs may be certified to analyze urine and/or saliva for the presence of drugs.
MRO credentials
Only licensed physicians (Doctors of Medicine or Osteopathy) who meet the criteria in 40.121 may act as an MRO. This entails a “basic knowledge” about controlled substances abuse disorders, medical explanations for confirmed drug test results, and issues relating to adulterated and substituted specimens, and an understanding of the “DOT MRO Guidelines.”
MROs must undergo an initial “qualification training” that includes an exam. Once every five years, the MRO must satisfactorily complete “requalification training” followed by successful completion of another exam.
The MRO must maintain documentation of the training and make it readily available to an employer or C/TPA negotiating services.
SAPs training
Similar to MROs, SAPs must be licensed counselors with qualifications that fit within the scope of titles listed in 40.281(a). Plus, SAPs must meet the “basic knowledge” requirements on diagnosis and treatment of alcohol and drug-related disorders and have a good grasp of the document, “DOT SAP Guidelines.”
The SAP must successfully complete “qualification training” on DOT protocols and pass an exam. SAPs must, within three years, partake in continuing education courses. The SAP must maintain documentation of the training and make it readily available to an employer or C/TPA negotiating services.
This is important to employers, since they may be asked by DOT (in the event of an investigation) if they have verified the names on their SAP list. This is the actual list the employer would intend on providing to a driver who tests positive or refuses a DOT test. Employers cannot assume that SAPs have met the continuing education stipulation and should therefore check to make sure SAPs are still qualified.
Collection sites
Both drug collections and alcohol tests require specific training for the personnel. This involves knowledge in basic information and keeping current with changes, qualification training, initial proficiency demonstration, and refresher training once every five years.
In addition, if the collector, breath alcohol technician (BAT), or screening test technician makes a mistake in the testing process that causes the test to be canceled (i.e., fatal flaw or uncorrected flaw), the collector must undergo error correction training. The facility must ensure this take place within 30 days of the date they are notified of the error that led to the need for retraining. The retraining must be documented.
The collection site must maintain documentation and make it readily available to the employer or C/TPA negotiating services.
Some companies perform Department of Transportation (DOT) recordkeeping and random selections themselves. Others may not have the in-house expertise or the available manpower to administer the program as effectively as the company would like and opt to outsource. Management will have to weigh the pros and cons of outsourcing the administrative functions before entering into a contract with a consortium/third-party administrator (C/TPA).
A C/TPA is one common method of reducing an employer’s administrative challenges and associated costs of managing a testing program.
C/TPAs are entities that provide testing services required by the regulations and that act on behalf of the employers. C/TPAs can provide an array of contracted services that otherwise would have to be arranged by the employer. Examples include education and training, specimen collection, laboratory analysis, and medical review officer services.
The C/TPA may also manage the DOT random selection on behalf of the motor carrier. For the motor carrier with relatively few commercial driver’s license (CDL) drivers, the carrier may contract to have the drivers placed in a random selection representing multiple employers. The consortium model allows for a greater pool from which to select names.
Note that owner-operators and other one-driver operations must be placed in a consortium since the Federal Motor Carrier Safety Administration requires a random pool consisting of two or more persons according to 382.103(b).
Company compliance depends on reliable service providers. As employers create and maintain a Department of Transportation (DOT) testing program, one important component is the selection of competent testing facilities.
Remember, any errors that service providers make are still employer mistakes because the company is the DOT-regulated entity. Before creating a contract with a specific facility, consider the following:
Knowledge: By physically visiting a potential collection site, a company will be able to determine the level of understanding its staff has about the collection process, the regulations, and DOT protocols. Don’t underestimate a gut feeling of the collection site’s competency. How collectors respond to questions will reveal an ability to carry out the company’s compliance efforts. Employers have the right to ask about the training and qualifications of the collectors. The collection site is supposed to be prepared to show training documentation to employers wishing to utilize or currently using its services.
Layout: Employers who visit a potential collection site should take note of the physical layout of the facility. Does it meet the requirements for privacy and security set forth in 40.221 and 40.223 for alcohol tests and 40.42, 40.43, 40.47, and 40.48 for drugs? The convenience of the location, distance from the terminal, and hours of operation may play a factor in the company’s selection. A company might inquire about portable services versus fixed locations. This service may be available for both terminal visits and dispatches to post-accident scenes.
Cost and services: A checklist of the items that the company wishes to ask to determine available services, costs associated with each, and price breaks if the company assumes some of the responsibilities will assist in facility selection.
Provided below are some basic questions to pose as you consider your current and/or prospective collection sites:
You also need to make sure they are using the appropriate DOT-approved forms, drug collection kits, and alcohol testing devices. You may wish to ask for the model numbers of the alcohol testing devices and compare them against the official list.
Other questions to ask the collection site:
Handling problems in testing. Even though infrequent, there may be instances in which something out of the ordinary happens during testing. You need to make sure your collection site knows and is following appropriate DOT procedures.
Following are some additional questions to pose to your service providers:
It is important to get the facts before making a decision. Unfortunately, in some rural areas, choices may be limited. Nevertheless, make sure the local clinic or hospital can perform DOT tests in accordance with the regulations. If those facilities are not, a company’s drivers may need to travel a certain distance to reach a facility that has properly trained technicians and properly equipped facilities. This is probably more applicable to alcohol testing since only DOT-approved alcohol equipment may be used.
The intent of the visit is to ensure that DOT procedures, equipment, and privacy stipulations are being followed. You would schedule an appointment for this mock collection; note that a specimen is not actually provided. You need to familiarize yourself with the steps in DOT testing.
Your calendar should be cleared for at least an hour. When you walk in, you will have the “driver” experience. When you arrive, observe the waiting room. Is it crowded? Does it appear as though donors are made to wait?
Someone from the facility should walk you through each step of the process, including the intake process of signing in and showing identification. Personnel should take you to the same room a driver would be led. You can see whether:
By the end of the visit, you should be able to measure the collection site’s performance.
Most motor carriers have experienced some sort of recordkeeping frustration associated with their DOT drug and alcohol testing program, such as minor administrative errors on a chain of custody form (CCF) or not receiving a drug test result. Some of the errors could have been avoided had the motor carrier provided necessary data elements.
Supply 11 key data elements
Did you know that 40.14 requires employers (or consortium/third-party administrator (C/TPA)) to provide collectors with specific information relevant to the drug collection process? The employer must make sure the following information is made available to the collector:
Numbers 3, 4, 6, 7, and 10 may be preprinted on the CCF.
Standing orders on drug-testing method
A standing order is a document created by the employer that clearly identifies when urine or saliva will be the preferred drug testing method. Even if a carrier sticks with urine or goes completely with saliva specimens, it must communicate its decision to the collection site.
The standing order typically reflects the unique nature of each drug testing method:
Carriers may elect to have a hybrid model incorporating in both urine and saliva drug tests. To incorporate both urine and saliva drug tests, the collection site must be alerted via a standing order based on reason for testing, need for direct observation, and instances of insufficient specimens.
Following are a few examples of the standing orders provided to collectors:
After creating a standing order document, the carrier must make ensure its designated employer representative and drivers know when each testing method will be used.
Consequences of incomplete information
If a piece of information is missing or inaccurate, the test may wind up in the great abyss of missing test results. How does this happen? It may be as simple as an incorrect driver’s identification number written on the form, creating a problem in providing the results to the employer.
In some other instances, the collector may not have a CCF with preprinted information, and has to edit one that is on hand. This makeshift CCF may:
Reducing errors
So what’s the solution? Some carriers have found success using a network of collection sites that:
When your driver is subject to a DOT post-accident drug screen in an area with limited options for testing (i.e., outside your network), you might consider having a preprinted CCF in every commercial motor vehicle. The driver simply provides the form to the collector, reducing the chance of a lost test result.
Employers may only use laboratories certified by the Department of Health and Human Services (HHS) for drug testing. Each month an agency within HHS, the Substance Abuse and Mental Health Services Administration (SAMHSA), publishes its list of certified laboratories in the Federal Register. Certified laboratories must follow the procedures in Subpart F of Part 40 when conducting DOT drug tests.
Labs may be certified to process urine and/or oral-fluid (saliva) specimens for DOT drug testing.
Employers may not use labs outside of the HHS list and may not process specimens using on-site testing methods for immediate results. Drug testing specimens must be collected, shipped, processed, and results reviewed in accordance with Part 40 procedures.
The medical review officer’s (MRO) responsibility is a significant function within the testing process. The MRO’s job is to provide a “clinical confirmation” of a presumptive positive as reported by the laboratory.
Essentially, a positive test is initially a scientific conclusion which then must be legitimized by medical considerations made by the MRO. The MRO then determines whether a true positive exists. The laboratory reports the result directly to the MRO for a professional review of the results which will only be reported to the company after a “clinical confirmation” has been achieved by the MRO.
This is likely to be the most critical decision employers make within a testing program. The MRO will have more contact with the company than anyone else within the program. The person will become the company’s “agent” providing final analysis of the total process and representing the company in any challenge litigation that may evolve.
MRO chief duties include:
Seek out only licensed physicians (Doctor of Medicine or osteopaths). MROs must meet the knowledge, training, and education requirements described in 40.121. There are professional bodies which provide certification such as AAMRO (American Association of Medical Review Officers) and MROCC (Medical Review Officer Certification Council). This certification guarantees a knowledgeable and competent MD; it is the assurance a company should demand from a qualified professional. The websites of these organizations include searchable databases of certified MROs to help employers find an acceptable one:
When the Medical Review Officer (MRO) has to speak with the driver about a non-negative drug test result, the MRO has specific protocols to follow before being allowed to make a determination with or without speaking with the driver.
Steps to make contact with the driver
Interestingly, the driver is given six opportunities to speak with the MRO as the verification process plays out.
Step 1.
The MRO calls the driver using the phone numbers on the DOT testing form, making three attempts in a 24-hour period.
Step 2.
The MRO tells the company’s designated employer representative (DER) to contact the driver with instructions to immediately contact the MRO.
Step 3.
DER calls the driver using the phone numbers on the DOT testing form making three attempts in a 24-hour period.
What happens during the driver interview?
The MRO must explain certain things to the driver during the conversation, including the test results and the verification process. The driver must be told that any additional medical evaluation that is requested must be pursued — or it is considered a refusal to test.
For a claim of a legally obtained prescription, the MRO will take all reasonable and necessary steps to verify the authenticity of all medical records the employee provides and even contact the employee’s personal physician or pharmacist. The driver is also told that information will be provided to third parties without the need for consent in accordance with 40.327. If the MRO calls the driver’s fitness for duty into question, the driver will be given the opportunity to change any legally prescribed medication within five days. In other words, the MRO will not contact the third parties right away.
Also, during the MRO’s conversation with the driver, the MRO must communicate the split specimen option and procedures. The employee has 72 hours from the time the MRO provides this notification to request a test of the split specimen. The employee is given instructions on how to contact the MRO to make the request, including phone numbers or other information that will allow the employee to make this request. The MRO must have the ability to receive the employee’s calls at all times during the 72-hour period, which can include an answering machine or voicemail with a time stamp feature.
The MRO must also tell the employee that the employer cannot deny a request made within the 72 hours. In addition, the driver must be told that the employer cannot require payment for the test before the test takes place, but the employer can seek reimbursement later. The MRO will also inform the employee that additional tests on the specimen are prohibited. For example, a driver who claims the specimen belongs to someone else cannot request DNA tests.
What happens if the driver and MRO don’t connect?
There are three circumstances in which the MRO may verify a result without an interview with the employee, including:
After the MRO has verified a test result and reported the result to the DER, the MRO must allow the employee — within 60 days of the verification — to present documentation that serious illness, injury, or other circumstances unavoidably precluded contact with the MRO and/or DER in the times provided. On the basis of such information, the MRO may reopen the verification, allowing the employee to present information concerning whether there is a legitimate medical explanation of the confirmed test result.