DOT modes & testing: Different inputs, same result
What’s the formula for success when it comes to DOT drug and alcohol testing? Part 40 is your constant, agency rules are your variables, and compliance is the sum. This is true whether you’re subject to highway, rail, air, pipeline, transit, or maritime testing requirements.
If your operation spans multiple agencies, don’t assume A = B when it comes to DOT drug and alcohol testing. Use the following to aid in balancing your compliance equation.
Common denominators across modes
Several constants are built into 49 CFR Part 40, which contains the procedures for drug and alcohol testing of transportation workers. These constants ensure consistency, fairness, and privacy.
To sum up Part 40, it specifies:
- Privacy and security requirements for collection sites,
- The collection kits, equipment, and forms to use,
- Collector and technician training,
- Steps to perform drug and alcohol tests,
- Approved laboratories,
- Steps to return to duty following a violation,
- Follow-up testing after a return-to-duty program, and
- Credentials and training of:
- Collection site personnel,
- Medical review officers (MROs), and
- Substance abuse professionals (SAPs).
To create this uniformity between modes, Part 40 is referenced by all agencies subject to DOT testing:
- Federal Motor Carrier Safety Administration (FMCSA)
- Federal Aviation Administration (FAA)
- Federal Railroad Administration (FRA)
- Federal Transit Administration (FTA)
- Pipeline and Hazardous Materials Safety Administration (PHMSA)
- United States Coast Guard (USCG)
This means each covered employee will experience the same procedures no matter what agency they operate under, including specimen collection, lab analysis, handling of drug test results, and alcohol testing procedures. Those who violate DOT testing rules are subject to the same evaluation, treatment, and testing requirements.
Part 40 also requires employers to investigate the DOT drug and alcohol history of those applying to or transferring into a safety-sensitive position.
Variables that change the formula
In addition to Part 40, DOT employers and employees must factor in agency-specific rules. For example, FMCSA-regulated employers must follow 49 CFR Part 382, while PHMSA-regulated employers follow 49 CFR Part 199.
Agency rules lay out:
- Which entities are subject
- Who is a covered employee
- What activities are safety-sensitive functions
- When testing is required
- Training of employees and supervisors
- Content of policies and procedures
- Prohibited behavior
- Recordkeeping
- Random testing rates
- Confidentiality
When an agency rule conflicts with Part 40, the company must go with the more stringent of the two. For example, FMCSA requires employers to investigate the past three years of DOT testing history, while Part 40 requires just two. So, FMCSA-regulated employers must pursue three years.
And, of course, many agency-specific requirements must be followed. For instance:
- FMCSA employers must use the Drug and Alcohol Clearinghouse as the sole means of learning of FMCSA testing violations. Other agencies don’t have access to this or any similar database.
- PHMSA only requires random drug tests; random alcohol testing is not permitted.
- Some agencies require the observations of two trained supervisors for reasonable suspicion tests.
Employer2
When the same employer is subject to testing for more than one DOT mode, it’s important that the two remain separate. This means each program must have its own chain of custody forms, alcohol testing forms, lab accounts, and so forth.
Forms. When an employee is sent to a clinic, these dual-mode employers must ensure the clinic personnel know which testing form to use and the appropriate agency box to check. This is especially important when a violation needs to be reported to the Clearinghouse. The MRO will only report those checked as FMCSA.
Policies. Dual-mode employers must have a testing policy for each agency. A single policy does not communicate the modal-specific requirements and definitions. An investigator only wants to see what applies to their agency.
Random testing. If an employer is subject to more than one DOT agency for testing, they have the option of creating separate selections or combining them into a single pool (similar to a consortium). They would test at the highest minimum testing rate represented
Employee2
Employees who are subject to more than one mode under the same employer must be in both agency programs.
These employees are subject to all aspects of each respective agency (e.g., background checks, issuance of each policy, post-accident testing, etc.).
The only exception is random testing. These employees are placed in the random pool for the agency where they perform at least 51 percent of their job functions.
Key to remember: Make sure your DOT testing program adds up. Part 40 plus your agency-specific rules equals total compliance.




















































