How does an employer document DOT drug or alcohol violations that do not have an official test result, such as a refusal, or actual knowledge?

The Federal Motor Carrier Safety Regulations do not have a prescribed format to document these prohibitions. However, specific data elements must be captured to provide to the CDL Drug and Alcohol Clearinghouse.

For a refusal to test (drug or alcohol), employers are required to report the following information:

• Documentation, including, but not limited to, electronic mail or other contemporaneous record of the time and date the driver was notified to appear at a testing site; and the time, date, and testing site location at which the employee was directed to appear, or an affidavit providing evidence of such notification;
• Documentation, including, but not limited to, electronic mail or other correspondence, or an affidavit, indicating the date the employee was terminated or resigned (if applicable); and
• Documentation, including a certificate of service or other evidence, showing that the employer provided the employee with all documentation reported to the Clearinghouse.

If an owner-operator is using a C/TPA to report the violation, the owner-operator must provide documentation, including, but not limited to, electronic mail or other correspondence, or an affidavit, showing that the C/TPA reporting the violation was designated as a service agent for an employer who employs himself/herself as a driver when the reported refusal occurred .

For actual knowledge, employers must report the following to the Clearinghouse:

• Driver’s name, date of birth, CDL number, and state of issuance;
• Employer name, address, and USDOT number, if applicable;
• Date the employer obtained actual knowledge of the violation;
• Witnesses to the violation, if any, including contact information;
• Description of the violation;
• Evidence supporting each fact alleged in the description of the violation, which may include, but is not limited to, affidavits, photographs, video or audio recordings, employee statements (other than admissions pursuant to 382.121), correspondence, or other documentation; and
• A certificate of service or other evidence showing that the employer provided the employee with all information reported as actual knowledge.