**U.S. Department of Transportation**

**Office of the Secretary**

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*Office of Drug and Alcohol Policy and Compliance*

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height="3.1354166666666665in"}

**What Employers Need**

**To Know About**

**DOT Drug and Alcohol Testing**

*\[Guidance and Best Practices\]*

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U.S. Department of Transportation

Office of the Secretary

![](media/image1.jpeg){width="0.375in" height="0.3659722222222222in"}

*Office of Drug and Alcohol Policy and Compliance*

What Employers Need

To Know About

DOT Drug and Alcohol Testing

*\[Guidance and Best Practices\]*

If you employ safety-sensitive workers who must have Department of
Transportation (DOT) drug and alcohol tests, or you manage a DOT drug or
alcohol testing program, this publication can help you understand how to
run an excellent program that meets DOT requirements.

This is not a legal document that adds to or makes any official
interpretations of DOT rules. This publication is for educational
purposes only. This booklet is a companion to our earlier publication
for employees, "What Employees Need to Know About DOT Drug & Alcohol
Testing."

For questions about the rules, please contact the Office of Drug and
Alcohol Policy and Compliance at 202.366.3784 or e-mail us from our
website at <http://www.dot.gov/ost/dapc/question.html> . You can find
contact information about DOT Agency and United States Coast Guard drug
and alcohol program managers on our website at:
<http://www.dot.gov/ost/dapc/oamanagers.html> .

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What Employers Need

To Know About

DOT Drug and Alcohol Testing

*\[Guidance and Best Practices\]*

**U.S. Department of Transportation**

**Office of the Secretary**

**Office of Drug and Alcohol Policy and Compliance**

**Table of Contents**

**Page**

> **4 [Introduction](#Introduction)**
>
> **5 [Overview](#Overview)**
>
> **6 [Section I.](#OLE_LINK1) DOT Program Implementation and
> Regulations**
>
> **8 [Section II.](#OLE_LINK2) Identifying Employees Needing To Be
> Tested**
>
> **9 [Section III.](#OLE_LINK3) Program Policies and Assigning
> Responsibilities**
>
> **11 [Section IV.](#OLE_LINK4) Selecting Service Agents and Their
> Roles**
>
> **14 [Section V.](#OLE_LINK5) Employee and Supervisor Education and
> Training**
>
> **15 [Section VI.](#section-vi.-drug-and-alcohol-testing-requirements)
> Drug and Alcohol Testing Requirements**
>
> **23 [Section VII.](#OLE_LINK7) Employer Actions When Employees
> Violate the Rules**
>
> **30 [Section VIII.](#OLE_LINK8) Record Keeping and Data Collection
> Requirements**
>
> **36 [Section IX.](#OLE_LINK9) Program Compliance and Inspections /
> Audits**
>
> **38 *[Appendix A](#AppendixA) Company DOT Testing Policy
> Requirements***
>
> **48 *[Appendix B](#AppendixB) Collection Site Security and
> Integrity***
>
> **49 *[Appendix C](#AppendixC) Selecting Service Agents***
>
> **53 *[Appendix D](#AppendixD) Post Accident Testing Criteria***
>
> **57 *[Appendix
> E](#appendix-e-prior-testing-history-release-of-information-format)
> Prior Testing History Release of Information Format***
>
> **58 *[Appendix
> F](#appendix-f-dot-uscg-drug-and-alcohol-program-manager-contact-information)
> DOT&USCG Drug and Alcohol Program Manager Contact Information***
>
> **59 *[Appendix
> G](#appendix-g-auditinspectioninvestigationcompliance-records-review)
> Audit/Inspection/Investigation/Compliance Records Review***
>
> ![](media/image1.jpeg){width="0.375in" height="0.3659722222222222in"}
>
> []{#Introduction .anchor}Introduction: "Tell me why this program is so
> important!"

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# ![](media/image15.png){width="5.291666666666667in" height="7.739583333333333in"} 

[]{#Overview .anchor}DOT Guidance and Best Practices Overview

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[]{#OLE_LINK1 .anchor}**Section I.** DOT Program Implementation and
Regulations

*As an employer, do I have to do DOT testing?*

Yes, if you or your employees are subject to the DOT drug and alcohol
testing regulations. The DOT Agencies and U.S. Coast Guard (USCG) have
regulations that require certain employers to comply with drug and
alcohol testing rules. To see if your company is covered, you can go to
a feature on our website called, "Am I Covered?" at:
<http://www.dot.gov/ost/dapc/odapc/v3_slide0001.htm>. The following
chart sets out the general types of employers our rules cover:

+------------+------------------------+---------------+---------------+
|            | **DOT Agency**         | *             | **Industry**  |
|            |                        | *Regulation** |               |
+------------+------------------------+---------------+---------------+
| **FMCSA**  | Federal Motor Carrier  | 49 CFR Part   | Motor Carrier |
|            | Safety Administration  | 382           |               |
+------------+------------------------+---------------+---------------+
| **FAA**    | Federal Aviation       | 14 CFR 121    | Air Carriers  |
|            | Administration         |               | or operators  |
|            |                        | Appendices I  | and certain   |
|            |                        | & J           | contract air  |
|            |                        |               | traffic       |
|            |                        |               | control       |
|            |                        |               | towers        |
+------------+------------------------+---------------+---------------+
| **FRA**    | Federal Railroad       | 49 CFR Part   | Rail          |
|            | Administration         | 219           |               |
+------------+------------------------+---------------+---------------+
| **FTA**    | Federal Transit        | 49 CFR Part   | Public        |
|            | Administration         | 655           | T             |
|            |                        |               | ransportation |
+------------+------------------------+---------------+---------------+
| **PHMSA**  | Pipeline and Hazardous | 49 CFR Part   | Operators of  |
|            | Materials Safety       | 199           | pipeline      |
|            | Administration         |               | facilities    |
|            |                        |               | and           |
|            |                        |               | contractors   |
|            |                        |               | performing    |
|            |                        |               | covered       |
|            |                        |               | functions for |
|            |                        |               | the operator  |
+------------+------------------------+---------------+---------------+
| **USCG**   | US Coast Guard         | 46 CFR Parts  | Maritime      |
|            |                        | 4 & 16        |               |
|            | \[Department of        |               |               |
|            | Homeland Security\]    |               |               |
+------------+------------------------+---------------+---------------+

![](media/image18.png){width="0.375in" height="0.375in"}

You can find these regulations at:
<http://www.dot.gov/ost/dapc/oamanagers.html>.

*What is 49 CFR Part 40 and how is it different from the DOT Agency and
USCG regulations?*

49 CFR Part 40, or "Part 40" as we call it, is a DOT-wide regulation
that states *[how]{.underline}* to conduct testing and
*[how]{.underline}* to return employees to safety-sensitive duties after
they violate a DOT drug and alcohol regulation. Part 40 applies to all
DOT-required testing, regardless of what DOT agency-specific rule
applies to an employer. For example, whether you are an airline covered
by FAA rules or a trucking company covered by FMCSA rules, Part 40
procedures for collecting and testing specimens and reporting of test
results apply to you.

Each DOT Agency-specific regulation spells out *[who]{.underline}* is
subject to testing, *[when]{.underline}* and in *[what]{.underline}*
situations for a particular transportation industry.

*Where can I get a copy of Part 40?*

You can obtain a copy of Part 40 by contacting our office at
202.366.3784 or from our website at:
<http://www.dot.gov/ost/dapc/NEW_DOCS/Part40_complete_20080109.doc>.

*Is there a website that gives me easy access to all the DOT's program
requirements?*

Yes. Most things you and others who help you with your program need to
know about the drug and alcohol testing requirements are available on
our website at: <http://www.dot.gov/ost/dapc>. There is also an
"Employer Page" at: <http://www.dot.gov/ost/dapc/employer.html>.

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[]{#OLE_LINK2 .anchor}**Section II.** Identifying Employees Needing To
Be Tested

# *Who are safety-sensitive employees and why are they tested?*

Pilots, truck drivers, subway operators, ship captains, pipeline
controllers, airline mechanics, locomotive engineers, and bus drivers
are just some of the transportation workers that we depend upon to be as
clear-headed and as alert as possible at all times. As a safety agency,
the DOT can demand nothing less. Use of illegal drugs and misuse of
alcohol are not compatible with performing these vital functions. The
history of our program began with some fatal accidents that illegal drug
use or alcohol misuse helped to cause. Congress passed a law -- the
[Omnibus Transportation Employees Testing Act of 1991]{.underline} --
that requires DOT Agencies to test safety-sensitive transportation
workers.

This table lists the types of safety-sensitive duties subject to DOT
drug and alcohol testing:

+---------------------+------------------------------------------------+
| **Transportation    | **Safety-Sensitive Duties**                    |
| Industry**          |                                                |
+---------------------+------------------------------------------------+
| **Commercial**      | Commercial Drivers License (CDL) holders who   |
|                     | operate a Commercial Motor Vehicle.            |
| **Motor Carriers**  |                                                |
|                     |                                                |
| **(FMCSA)**         |                                                |
+---------------------+------------------------------------------------+
| **Aviation**        | Flight crew, flight attendants, flight         |
|                     | instructors; air traffic controllers at        |
| **(FAA)**           | facilities not operated by the FAA or under    |
|                     | contract to the U.S. military; aircraft        |
|                     | dispatchers; aircraft maintenance or           |
|                     | preventative maintenance personnel; ground     |
|                     | security coordinators and aviation screeners.  |
+---------------------+------------------------------------------------+
| **Railroad**        | Persons who perform duties subject to the      |
|                     | Hours of Service laws; such as, locomotive     |
| **(FRA)**           | engineers, trainmen, conductors, switchmen,    |
|                     | locomotive hostlers/helpers, utility           |
|                     | employees, signalmen, operators and train      |
|                     | dispatchers.                                   |
+---------------------+------------------------------------------------+
| **Public            | Operators of revenue service vehicles,         |
| Transportation**    | CDL-holding operators of non-revenue service   |
|                     | vehicles, vehicle controllers, revenue service |
| **(FTA)**           | vehicle mechanics, firearm-carrying security   |
|                     | personnel.                                     |
+---------------------+------------------------------------------------+
| **Pipeline**        | Persons who perform operations, maintenance,   |
|                     | or emergency response function on a pipeline   |
| **(PHMSA)**         | or LNG facility regulated under part 192, 193, |
|                     | or 195.                                        |
+---------------------+------------------------------------------------+
| **Maritime (USCG)** | Crewmembers operating a commercial vessel.     |
|                     |                                                |
| **\[Follows Part 40 |                                                |
| for drug testing,   |                                                |
| [not]{.underline}   |                                                |
| alcohol             |                                                |
| testing.\]**        |                                                |
+---------------------+------------------------------------------------+

[]{#OLE_LINK3 .anchor}**Section III.** Program Policies and Assigning
Responsibilities

*Do I need to have written policies that explain my program?*

Yes. The DOT Agencies and USCG require employers covered under their
regulations to have policies in place that fully explain their drug and
alcohol program. Not only must you have policies, but you must also make
them available to employees covered under your DOT program.

![](media/image18.png){width="0.375in" height="0.375in"}You can find DOT
Agency and USCG policy requirements at [Appendix A](#AppendixA).

# 

# *What is a DER and what does a DER do?*

The Designated Employer Representative (DER) is your key employee for
many drug and alcohol program functions. The DER must be a company
employee. DERs [cannot]{.underline} be contractors or service agents.
The only exception is when C/TPAs function as DERs for owner-operator
truck drivers.

The DER gets test results from the Medical Review Officer (MRO) and
Breath Alcohol Technician (BAT) and takes immediate action to remove
employees from their safety-sensitive duties when they violate drug and
alcohol testing rules, such as test positive or refuse a test. A company
may have more than one DER to ensure adequate coverage on all shifts and
at all locations, with perhaps a drug and alcohol program manager to
coordinate the entire program and assure consistency among DERs. As an
employer, you must give your service agents the DER contact information
in case they need to speak directly with the DER without delay.

The DER should have knowledge of and authority to make decisions about
the testing process and answer questions about it. Again, the primary
job of the DER is to ensure the appropriate and timely removal of an
employee from safety-sensitive duties.

# *What are my options in administering my DOT drug and alcohol testing program?*

There are three general ways in which you can run your DOT drug and
alcohol testing program:

> **[Option 1]{.underline}**: Administer the program internally. You
> would have on your own staff urine specimen collectors and Screening
> Test Technicians (STTs) / BATs, MROs, and Substance Abuse
> Professionals (SAPs) and support staff to run the program. The testing
> laboratory would be the only part of your program outside your own
> organization.
>
> **[Option 2]{.underline}**: Outsource some of the program functions to
> service agents. For example, you could have your own MRO and SAP but
> contract with urine specimen collectors and STTs / BATs to perform the
> collections, while keeping a support staff to run the program.
>
> **[Option 3]{.underline}**: Outsource all of the program's functions
> to a vendor, called a "consortium" or a "third-party administrator"
> (C/TPA), with only a DER and the DER's support staff, if any,
> remaining in-house.
>
> ![](media/image18.png){width="0.375in" height="0.375in"}NOTE: As an
> owner-operator in the motor carrier industry, FMCSA regulations
> require you to belong to a C/TPA to ensure your compliance with random
> testing.

*Can I have my own company testing program in addition to my DOT testing
program?*

You may have your own "company authority" testing program. Under a
non-DOT program, you could test for other drugs of your choosing.
Therefore, you would not be prohibited by DOT from testing for
additional drugs under your own authority -- under your non-DOT company
policy testing. Nor would DOT prohibit you from using non-urine
specimens under your non-DOT program.

However, you would need to follow Part 40 and the appropriate DOT Agency
and USCG regulations and totally separate your DOT testing from your
non-DOT company policy testing. For example, if you conduct DOT and
non-DOT tests of an employee following an accident, you must ensure that
the DOT urine collection for drugs and DOT test for alcohol are
accomplished first. Then you would let the employee know the DOT portion
was completed and that you will now be conducting a company policy test.
In addition, you must not use the Federal Drug Testing Custody and
Control Form (CCF) or the DOT Alcohol Testing Form (ATF) for your
non-DOT testing. You would use non-Federal and non-DOT forms.

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[]{#OLE_LINK4 .anchor}**Section IV.** Selecting Service Agents and Their
Roles

# *What is a service agent and how can a service agent assist me?*

A service agent is any person outside your company that you use to help
you implement the DOT regulations. These might include a urine
collector, a BAT, an STT, a laboratory, an MRO, a SAP, or a C/TPA in
charge of coordinating your testing services.

You can use a service agent to administer part or all of your DOT drug
and alcohol testing program. If you use a service agent, you should take
a "hands-on" approach, and you should [not]{.underline} assume the
service agent will do everything right.

![](media/image18.png){width="0.375in" height="0.375in"}Are your service
agents qualified? When was the last time you checked their training
records and the quality of work they do?

# 

*Should I enter into a contract with a service agent?*

# It is up to you whether or not to use a service agent. If you use service agents, the rules do not require a written contract, but having a written contract makes good business sense. A contract should include how and where services will be provided, prices, and who will do what and when. To protect yourself, you should include a provision in the contract that allows you to replace the service agent if the service agent isn't providing services that comply with DOT rules.

Be a smart buyer. You should ask questions to make sure the service
agent is providing the kind of service you want and need. For example,
if a C/TPA is providing a network of collection sites, will the C/TPA
verify the qualifications of the collectors and evaluate the integrity
of the collection sites? Will it act as an intermediary in resolving
collection site issues? Will the C/TPA use a scientifically valid way of
making selections for random testing? How often will the C/TPA perform
random selections? How quickly does the C/TPA's MRO provide results
after a test?

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height="1.8340277777777778in"}

# *Who are the service agents and what are their responsibilities in DOT's testing program?*

This chart lists most of the types of service agents that work in the
DOT drug and alcohol testing program and their responsibilities:

+----------------+-----------------------------------+-----------------+
| **Type of      | **Responsibilities**              | **Where can I   |
| Service        |                                   | find their      |
| Agent**        |                                   | qu              |
|                |                                   | alifications?** |
+----------------+-----------------------------------+-----------------+
| **Urine        | Collect urine specimens using     | 49 CFR Part 40  |
| Collector**    | Part 40 procedures, ship the      |                 |
|                | specimens to Department of Health | Section 40.33   |
|                | and Human Services (HHS)          |                 |
|                | certified laboratories for        |                 |
|                | analysis, and distribute copies   |                 |
|                | of the CCF to the laboratory,     |                 |
|                | MRO, employer, and employee in a  |                 |
|                | timely and confidential manner.   |                 |
|                | The collector is required to      |                 |
|                | maintain collection site security |                 |
|                | and integrity (see [**Appendix    |                 |
|                | B**](#AppendixB)).                |                 |
+----------------+-----------------------------------+-----------------+
| **Laboratory** | Receive, analyze, and report      | 49 CFR Part 40  |
|                | laboratory confirmed results      |                 |
|                | [only]{.underline} to MROs. The   | Section 40.81   |
|                | laboratory [must]{.underline} be  |                 |
|                | certified by the HHS.             |                 |
+----------------+-----------------------------------+-----------------+
| **Medical      | Receive laboratory confirmed      | 49 CFR Part 40  |
| Review         | urine drug test results;          |                 |
| Officer**      | determine whether there is a      | Section 40.121  |
|                | legitimate medical explanation    |                 |
| **(MRO)**      | for a laboratory-confirmed        |                 |
|                | positive, adulterated, or         |                 |
|                | substituted result; and review    |                 |
|                | and report a verified result to   |                 |
|                | the employer in a timely and      |                 |
|                | confidential manner.              |                 |
+----------------+-----------------------------------+-----------------+
| **Screening    | Conduct an alcohol screening test | 49 CFR Part 40  |
| Test           | (i.e., the first test given to an |                 |
| Technician     | employee). It can be either a     | Section 40.213  |
| (STT)**        | breath or saliva test. The STT    |                 |
|                | documents the test result on an   |                 |
|                | ATF and transmits the results to  |                 |
|                | the employer in a timely and      |                 |
|                | confidential manner.              |                 |
+----------------+-----------------------------------+-----------------+
| **Breath       | Conduct alcohol screening and     | 49 CFR Part 40  |
| Alcohol        | confirmation tests (i.e., the     |                 |
| Technician     | second test given to an employee  | Section 40.213  |
| (BAT)**        | whose screening test result is    |                 |
|                | .02 or above) by collecting and   |                 |
|                | analyzing breath specimens using  |                 |
|                | an approved screening device and  |                 |
|                | an evidential breath testing      |                 |
|                | (EBT) device, document the        |                 |
|                | results of the test on a DOT ATF, |                 |
|                | and transmit the results to the   |                 |
|                | employer in a timely and          |                 |
|                | confidential manner.              |                 |
+----------------+-----------------------------------+-----------------+

+----------------+-----------------------------------+-----------------+
| **Type of      | **Responsibility**                | **Where can I   |
| Service        |                                   | find their      |
| Agent**        |                                   | qu              |
|                |                                   | alifications?** |
+----------------+-----------------------------------+-----------------+
| **Substance    | Evaluate employees who have       | 49 CFR Part 40  |
| Abuse          | violated DOT drug and alcohol     |                 |
| Professional   | regulations and make              | Section 40.281  |
| (SAP)**        | recommendations concerning        |                 |
|                | education, treatment, follow-up   |                 |
|                | testing, and aftercare. The SAP   |                 |
|                | determines if the employee        |                 |
|                | demonstrates successful           |                 |
|                | compliance with the recommended   |                 |
|                | education and treatment.          |                 |
+----------------+-----------------------------------+-----------------+
| ##             | A service agent who coordinates a | 49 CFR Part 40  |
|                | variety of drug and alcohol       |                 |
| ## **Consor    | testing services for employers.   | Subpart Q       |
| tium / Third P | These services can include random |                 |
| arty Administr | selections; preparation of annual |                 |
| ator (C/TPA)** | Management Information System     |                 |
|                | (MIS) reports; and coordinating   |                 |
|                | urine collections, laboratory     |                 |
|                | testing, MRO services, alcohol    |                 |
|                | testing, and SAP evaluations. A   |                 |
|                | C/TPA must ensure the services it |                 |
|                | provides comply with DOT          |                 |
|                | regulations and that its service  |                 |
|                | agents are qualified.             |                 |
+----------------+-----------------------------------+-----------------+

![](media/image18.png){width="0.375in" height="0.375in"}

For important pointers for selecting service agents, see [Appendix
C](#AppendixC).

![](media/image22.png){width="4.000694444444444in"
height="3.8819444444444446in"}

[]{#OLE_LINK5 .anchor}**Section V**. Employee and Supervisor Education
and Training

# *What educational materials do I need to give to my employees?*

You must provide employees who perform DOT safety-sensitive functions
materials that explain the DOT requirements. You must document that they
received the materials. At the very least, you should include:

-   The name and contact information of persons assigned to answer
    questions about the program.

-   The duties of the employees who are subject to the program.

-   Employee conduct that is prohibited by the regulations.

-   The requirement that employees must be tested for drugs and alcohol.

-   When and under what circumstances employees will be tested.

-   The testing procedures that will be used.

-   An explanation of what constitutes a refusal to test.

-   An explanation of the consequences of refusing a test.

-   The consequences of violating the DOT rules.

-   Information on the effects of drugs and alcohol on a person's
    health, work, and personal life.

-   The signs and symptoms of drug use and alcohol misuse.

-   The name and contact information of an individual or organization
    that can provide counseling and access to treatment programs.

There are also training requirements for [supervisors]{.underline} and
other officials about reasonable suspicion and reasonable cause testing:

+--------------------+-----------+------------------+-----------------+
| **Type of          | **D       | **Documentation  | **Recurring     |
| Training**         | uration** | of training      | training        |
|                    |           | required?**      | required?**     |
+--------------------+-----------+------------------+-----------------+
| **Indicators of    | 1 Hour    | Yes              | Recommended as  |
| Probable**         |           |                  | Best Practice   |
|                    |           |                  |                 |
| **Drug Use**       |           |                  |                 |
+--------------------+-----------+------------------+-----------------+
| **Indicators of    | 1 Hour    | Yes              | Recommended as  |
| Probable Alcohol   |           |                  | Best Practice   |
| Use**              |           |                  |                 |
+--------------------+-----------+------------------+-----------------+

![](media/image18.png){width="0.375in" height="0.375in"}

Employers [must]{.underline} follow other requirements that DOT Agencies
and USCG rules have for employee and supervisor education and training.

# ![](media/image18.png){width="0.375in" height="0.375in"}FRA also requires supervisors to have at least 1 hour of post-accident training. 

# 

# Section VI. Drug and Alcohol Testing Requirements

# *What specimens are collected for DOT drug and alcohol tests?*

DOT drug tests are conducted [only]{.underline} using urine specimens.
DOT alcohol screening tests are conducted using [either]{.underline}
breath or saliva. DOT alcohol confirmation tests must be conducted using
Evidential Breath Testing Devices (EBTs) that [only]{.underline} analyze
breath.

![](media/image18.png){width="0.375in" height="0.375in"}In addition to
urine testing for drugs, the FRA also requires blood specimens for its
[Post-Accident]{.underline} testing.

![](media/image18.png){width="0.375in" height="0.375in"}The USCG permits
collection of blood specimens for its [Serious Marine
Incident]{.underline} (SMI) testing.

*Where must I have DOT urine specimens analyzed?*

DOT urine specimens can [only]{.underline} be tested at drug testing
laboratories certified by the HHS. There are no "point of contact" or
"instant" tests permitted by the DOT. All specimens must be urine.

![](media/image18.png){width="0.375in" height="0.375in"}You can find the
current HHS laboratory listing at:
<http://workplace.samhsa.gov/DrugTesting/Level_1_Pages/CertifiedLabs.aspx>

*For what drugs does DOT require me to test?*

DOT urine specimens are analyzed for the following drugs or drug
metabolites:

-   [Marijuana]{.underline} metabolites / THC

-   [Cocaine]{.underline} metabolites

-   [Phencyclidine]{.underline} (PCP)

-   [Amphetamines]{.underline} and [Methamphetamine]{.underline}

-   [Opiate]{.underline} metabolites \[[Codeine]{.underline},
    [Morphine]{.underline}, and [Heroin\]]{.underline}

# 

#  

# *What types of DOT tests must I conduct?*

You must give employees the following kinds of tests, when called for by
DOT Agency and USCG rules:

-   Pre-employment

-   Random

-   Reasonable Suspicion / Reasonable Cause

-   Post-Accident

-   Return-to-Duty

-   Follow-up

Here are explanations about each type of test:

## **[Pre-Employment]{.underline}**

**Drug Tests**: You are required to: (1) Conduct a pre-employment drug
test; and (2) Receive from the MRO a negative test result on the
pre-employment drug test for a person prior to hiring or prior to using
that person in a safety-sensitive position for the first time. This
requirement also applies when a current employee is transferring from a
non-safety sensitive position to a safely-sensitive job for the first
time.

**Alcohol Tests**: Unless you are regulated by the USCG, you may conduct
pre-employment alcohol testing under DOT authority, but only if two
conditions are met: (1) The pre-employment alcohol testing must be
accomplished for all applicants \[and transfers\], not just some; and
(2) The testing must be conducted as a post-offer requirement -- meaning
you must inform the applicant that he or she has the job if he or she
passes a DOT alcohol test.

![](media/image18.png){width="0.375in" height="0.375in"}The FAA has
specific "prior-to-hire" and "transfer into safety-sensitive function"
requirements. They also require employers to receive MRO written
confirmation of negative pre-employment drug test results. Check FAA
regulations for details.

![](media/image18.png){width="0.375in" height="0.375in"}

The FRA has a one-time pre-employment drug test requirement for each
employee subject to the "Hours of Service" laws. Check FRA regulations
for details.

![](media/image18.png){width="0.375in" height="0.375in"}

The FTA requires employees who have been removed from the random testing
pool and out of work for 90 or more days to have pre-employment tests
upon return.

![](media/image18.png){width="0.375in" height="0.375in"}

The USCG requires employees who have [not]{.underline} been subject to
random drug testing for at least 60 days of the last 185 days to be
pre-employment tested.

## 

## 

## **[Random]{.underline}**

Random tests are the key part of your program since they deter employees
from using drugs and misusing alcohol. Unless you are regulated by FRA,
you don't need to submit a random testing plan to DOT. However, it is a
good idea for you to have a written plan to help you to objectively and
consistently apply your program.

Each DOT Agency sets the random rates for drug and alcohol testing in
the industry it regulates. These testing rates are minimums. You can
choose to set higher random testing rates for your company.

So if a DOT Agency requires a drug testing rate of 50% and an alcohol
testing rate of 10%, then an employer with 100 safety-sensitive
employees would have to ensure that 50 or more random drug tests and 10
or more random alcohol tests were conducted during the calendar year.

This doesn't mean that you necessarily will give random drug tests to 50
different employees or random alcohol tests to 10 different employees.
Some might be picked and tested more than once, and others not at all.
It's just that each time there is a random selection, all employees have
an equal chance to be selected and tested.

That's the [deterrent factor]{.underline}!

What makes random testing so effective is the element of surprise. While
employees know they will be tested, they are never quite sure of when.
Random selections and testing should be performed [at least
quarterly]{.underline}. Some employers are selecting and testing more
frequently. We think that is a good idea.

Employers and C/TPAs subject to more than one DOT Agency drug and
alcohol testing rule may combine covered DOT safety-sensitive employees
into a single random pool (for example, train engineers and truck
drivers). However, companies doing so must test at or above the highest
minimum annual random testing rates established by the DOT Agencies
involved. So, if you have FMCSA regulated- and FRA regulated-employees
in the same pool, and FMCSA has a 50% testing rate and FRA has a 25%
rate, you must test the whole pool at the 50% minimum rate.

It is important to note that PHMSA and USCG do not authorize random
[alcohol]{.underline} testing for employees in the pipeline and maritime
industries. So, if employees perform only pipeline or maritime duties,
they cannot be in any DOT-regulated random alcohol testing pool.

![](media/image18.png){width="0.375in" height="0.375in"}You can find the
current DOT Agency and USCG random testing rates at:
<http://www.dot.gov/ost/dapc/rates.html>.

![](media/image18.png){width="0.375in" height="0.375in"}Check out "Best
Practices for DOT Random Drug and Alcohol Testing" at:

<http://www.dot.gov/ost/dapc/testingpubs/final_random_brochure.pdf>.

## **[Reasonable Suspicion / Reasonable Cause]{.underline}**

You are required to conduct a test for drugs or alcohol \[or both\] if a
trained supervisor or trained company official believes or suspects an
employee is under the influence of drugs or alcohol \[or both\]. The
supervisor or company official must have been trained to recognize the
signs and symptoms of drug and alcohol use. Testing cannot be required
based solely on a guess or hunch or complaint from another person or
phone call tip. The suspicion must be based on specific observations by
the supervisor or company official concerning the employee's current
appearance, behavior, speech, and smell that are usually associated with
drug or alcohol use.

![](media/image18.png){width="0.375in" height="0.375in"}The reasonable
suspicion / reasonable cause observations of the supervisor or company
official [must]{.underline} be documented.

> ![](media/image18.png){width="0.375in" height="0.375in"}The
> [FRA]{.underline} requires two supervisors -- at least one of whom is
> trained and on site -- to make the testing determination.
> [FAA]{.underline} does not require the determination to be

face-to-face.

## **[Post-Accident]{.underline}**

You are required by the DOT Agencies and USCG to conduct drug and
alcohol tests following qualifying accidents. The following table
summarizes post-accident time-frames and specimens that
[must]{.underline} be collected:

+---------------------+-------------------+---------------------------+
| **DOT Agency**      | **Specimen Type** | **Time Frame for          |
|                     |                   | Collection**              |
+---------------------+-------------------+---------------------------+
| **FMCSA, FAA,       | Urine for         | Up to 32 hours from time  |
| FTA,**              | [                 | of event.                 |
|                     | drug]{.underline} |                           |
| **PHMSA, USCG**     | testing.          |                           |
+---------------------+-------------------+---------------------------+
| **FMCSA, FAA,**     | Saliva or breath  | Within 2 hours, but       |
|                     | for [alcohol      | cannot exceed 8 hours     |
| **FTA, PHMSA**      | screen            | from time of event.       |
|                     | ing]{.underline}; |                           |
|                     | breath for        |                           |
|                     | [alcohol          |                           |
|                     | confirma          |                           |
|                     | tion]{.underline} |                           |
|                     | testing.          |                           |
+---------------------+-------------------+---------------------------+
| **FRA**             | Urine for         | Up to 4 hours from time   |
|                     | [                 | of event, but may exceed  |
|                     | drug]{.underline} | time frame to collect     |
|                     | testing.          | specimen -- in every      |
|                     |                   | case, a blood and urine   |
|                     | Blood for         | specimen must be          |
|                     | [                 | collected.                |
|                     | drug]{.underline} |                           |
|                     | and               |                           |
|                     | [alc              |                           |
|                     | ohol]{.underline} |                           |
|                     | testing.          |                           |
+---------------------+-------------------+---------------------------+
| **USCG**            | Breath, Saliva,   | Within 2 hours of the     |
|                     | or Blood for      | event. Up to 8 hours may  |
|                     | [alc              | be allowed if there are   |
|                     | ohol]{.underline} | safety concerns to be     |
|                     | testing.          | addressed.                |
+---------------------+-------------------+---------------------------+

The supervisor at the scene of the accident/event should know the
testing criteria and make a good faith effort decision to test or not
test based on the information available at the time. The supervisor may
consult with others, but the supervisor is the person who has to make
the decision. If the testing cannot happen within the required time, the
supervisor must document the reasons. Any employee required to be tested
but needs medical assistance, must get the needed medical assistance
first.

![](media/image18.png){width="0.375in" height="0.375in"}

You can find the DOT Agency and USCG post-accident testing criteria at
[Appendix D](#AppendixD).

![](media/image18.png){width="0.375in" height="0.375in"}

Railroads must provide FRA the results of any breath alcohol tests that
were accomplished.

![](media/image18.png){width="0.375in" height="0.375in"}

FRA also requires collection of identified tissue and blood specimens
from all employees who die as a result of the qualifying event.

![](media/image18.png){width="0.375in" height="0.375in"}

FAA does not require a supervisor to be on-scene.

## **[Return-to-Duty and Follow-Up]{.underline}**

When an employee tests positive or refuses a test or violates other
provisions of DOT Agency and USCG testing regulations, that employee
cannot work again in DOT safety-sensitive positions until successfully
completing the SAP return-to-duty requirements in Part 40.

After successfully completing the SAP requirements, the employee may be
eligible to return to work. But, before an employer can return the
person to work in a safety-sensitive job, a SAP must determine that the
employee successfully complied with the recommended treatment and
education. The employee must then have a **return-to-duty test** and the
test result must be **negative**.

The SAP will also develop the employee's **follow-up testing** plan --
outlining for the employer the number and frequency of follow-up testing
that will take place.

You are then responsible for ensuring that the employee is tested
according to the SAP's follow-up plan. These tests can be for drugs or
alcohol or both.

The SAP must direct at least 6 follow-up tests in the first 12 months
after the person returns safety-sensitive duties. However, the SAP can
direct more tests and may extend them for up to five years.

![](media/image18.png){width="0.375in" height="0.375in"}Under FRA
regulations, [locomotive engineers]{.underline} are subject to both drug
[and]{.underline} alcohol follow-up tests in the first 12 months.

# *How do I notify employees they have been selected for testing?*

Every employee should be discreetly notified that they have to go for a
test. Testing must be conducted in strict confidence with only a limited
number of company officials having knowledge of the selection. You
should have procedures in place to ensure that each employee receives
[no advanced notice]{.underline} of selection.

***Why?*** Because it helps maintain the element of surprise!

But, be sure to allow enough time before notification for supervisors to
schedule for administration of the test and to ensure that collection
sites are open for testing.

# *After I notify the employees of their selection, how long do I give them to get to the collection site?* 

When an employee is notified, he or she [must proceed
immediately]{.underline} to the collection site. Contrary to the *urban
legends* circulating among some employees, *immediately* does not mean
two hours. *Immediately* means that after notification, all the
employee's actions must lead to an immediate specimen collection.

***Why?*** For the integrity of the testing process!

Many employers develop testing policies that clearly state what
activities are acceptable after notification. For instance, which
safety-sensitive duties DOT Agency regulations may permit them to
complete when selected for a random test. For example, if an employee is
notified of a random test while working "off site" or "on the road,"
your policies should spell-out exactly what the employee must do before
resuming safety-sensitive functions. That way there is no
misunderstanding among employees about what is expected.

![](media/image18.png){width="0.375in" height="0.375in"}Make it clear to
your employees that there are consequences for failing to appear for any
test within a reasonable time.

![](media/image18.png){width="0.375in" height="0.375in"}For
pre-employment and return-to-duty testing, ensure that the applicant or
employee knows the specific date, time, and location of the test.

# *What forms are required for DOT testing and who issues them?*

The *Federal Drug Testing Custody and Control Form* must be used for DOT
drug tests and the *Department of Transportation Alcohol Testing Form*
must be used for DOT alcohol tests. There are various vendors that
supply these forms to employers, collectors, and STTs and BATs.
Laboratories and C/TPAs usually provide forms to collection sites and
manufacturers of alcohol testing devices usually provide forms to STTs
and BATs -- of course, there is a cost associated with printing the
forms.

![](media/image18.png){width="0.375in" height="0.375in"}You can find
CCFs and ATFs at: <http://www.dot.gov/ost/dapc/documents.html>

![](media/image18.png){width="0.375in" height="0.375in"}The FRA requires
the use of a specific form for its [Post-Accident]{.underline} testing.
You can find it at:
<http://www.fra.dot.gov/downloads/safety/F618074.PDF>

![](media/image18.png){width="0.375in" height="0.375in"}The USCG allows
the use of a specific form -- CG-719P -- to report [periodic
test]{.underline} results. You can find it at:
<http://www.uscg.mil/STCW/index.htm>

# *What is split specimen testing and who pays for it?*

At the collection site, a collector will pour an employee's urine into
two separate bottles -- Bottle A \[Primary\] and Bottle B \[Split\]. The
collector sends both to the laboratory where Bottle A gets tested. If
the MRO reports the employee's test result as positive or as a refusal
to test because it was adulterated or substituted, the MRO will offer
the employee an opportunity to have the Bottle B -- the Split -- tested
at another laboratory. The split test is an independent way to determine
if the primary test results were accurate.

The employee has 72 hours to request the split test. Upon getting the
request, the MRO must immediately have the primary laboratory send the
split to another HHS-certified laboratory for testing. Congress gave the
employee the right to have the split tested, so if the employee asks to
have the spilt tested, the test must happen no matter who pays for it.
No one can insist on payment before the test occurs, either. However, it
is between you and the employee who ultimately will pay. It is your
responsibility to get the test accomplished without delay and regardless
of who pays.

Some employers make a decision to pay for the split testing. Others have
agreements to share the cost with the employee. We know of other
employers who agree to pay if the split specimen fails to reconfirm the
primary specimen's results; and the employee pays if the split result
turns out to be same as the primary result. Payment can be also taken
from the employee's paycheck -- even if it's the last paycheck with you.
But under no circumstances can you hold up a split from being tested
while waiting for payment.

# *What are "blind specimens" and am I required to submit them?*

DOT requires you to send quality control specimens -- or blind specimens
-- to the laboratory or laboratories you use as one way of making sure
that testing is accurate. Some blind specimens will have known amounts
of drugs or contaminants in them, and some will contain no drugs or
contaminants. To ensure that laboratories cannot tell a blind specimen
from any other, blinds have to be sealed, identified, and packaged just
like the real thing. Your MRO will compare the known results with the
laboratory results.

You can submit the blind specimens yourself or you can have a service
agent -- such as a C/TPA -- do it for you. Figuring out if you have to
submit blinds and how many to send and when, can be a little difficult.
That is why the DOT does not make employers with less than 2000
safety-sensitive employees send them in. C/TPAs serving less than 2000
total covered employees don't have to send any in, either.

For the rest of you -- employers with, and C/TPAs serving, more than
2000 covered employees -- here are some of the ground-rules for sending
in blind specimens:

-   Don't send them to laboratories that test less than 100 specimens
    annually for you.

-   The number of blinds should equal 1% of the total specimens you send
    to the laboratory.

-   The number of blinds you need to send to any laboratory is capped at
    50 per quarter.

-   75% of your blinds must be certified as negative.

-   15% must be positive for one or more drugs for which DOT required
    you to test.

-   10% must be adulterated and / or substituted.

-   They must be submitted throughout the calendar year.

-   CCFs accompanying blinds to the laboratory must be filled-out like
    any other CCF.

![](media/image18.png){width="0.375in" height="0.5in"}You can find
makers of blind specimens on the HHS website:

<http://workplace.samhsa.gov/DrugTesting/Files_Drug_Testing/Spec_Collectors/listSourcesSamples0907.pdf>

![](media/image23.jpeg){width="3.1145833333333335in"
height="2.6347222222222224in"}

[]{#OLE_LINK7 .anchor}**Section VII.** Employer Actions When Employees
Violate the Rules

# *What must I do when an employee tests positive, or refuses a test, or has some other violation of DOT Agency or USCG regulations?*

You must immediately remove the employee from safety-sensitive functions
[and]{.underline} give the employee a list of qualified SAPs. This list
must have SAPs who are suitable to you and readily available to the
employee. Instead of a list of SAPs, you may provide the name and phone
number of a SAP network that will offer qualified SAPs to the employee
when they contact the employee or the employee calls them.

![](media/image18.png){width="0.375in"
height="0.375in"}[Double-check]{.underline} to make sure your SAP meets
[all]{.underline} the DOT's Part 40 qualification requirments. These
include checking for credentials, training, and examination.

![](media/image18.png){width="0.375in" height="0.375in"}NOTE: When an
applicant fails or refuses a pre-employment DOT test, you cannot let the
applicant perform safety-senstivie duties for you, and you must provide
a SAP listing to the applicant.

![](media/image18.png){width="0.375in" height="0.375in"}

> You cannot charge an applicant or an employee for the SAP list, and
> you may have your TPA or another service agent provide the list.

# *Can I fire an employee who tests positive or refuses a test?*

That's your decision, subject to your policies and applicable legal or
collective bargaining requirements. DOT rules don't decide this for you.
The same goes for other personnel decisions -- like other disciplinary
action, hiring, suspensions, or leaves of absence. What our rules
require is that **no one who violates a rule can perform
safety-sensitive functions again until successfully completing the SAP
return-to-duty process**.

*Other than giving the SAP listing, am I required to provide SAP and
treatment services to employees?*

No. The DOT does not require you to provide SAP evaluation services or
any of the SAP's recommended education or treatment for an employee who
has violated a DOT drug and alcohol regulation.

However, if you offer that employee an opportunity to return to a DOT
safety-sensitive duty following a violation, you [must]{.underline},
before the employee again performs that duty, ensure that the employee
received a SAP evaluation and the employee successfully complied with
the SAP's evaluation recommendations.

*What is involved in an employee's SAP return-to-duty process?*

The SAP makes a face-to-face clinical assessment and evaluation to
figure out what assistance is needed by the employee to resolve problems
with drug use and alcohol misuse. Next, the SAP refers the employee to
an appropriate program for education or treatment, or both. Following
that, the SAP conducts another face-to-face evaluation -- the follow-up
evaluation -- to determine if the employee actively participated in the
program and

has demonstrated successful compliance with the initial assessment and
evaluation recommendations. For this review, the SAP must have conferred
with the education and treatment program and should have any reports and
materials they provided for review.

You should receive from the SAP an initial evaluation letter outlining
the treatment and education recommendations. Your second letter from the
SAP should include the SAP's clinical characterization of the employee's
level of participation in treatment and education and a statement about
whether or not the employee demonstrated successful compliance with the
program. If the employee successfully complied with the SAP's
recommendations, this letter should also contain any plans for aftercare
treatment and a follow-up testing plan.

![](media/image18.png){width="0.375in" height="0.5in"}You can find the
DOT's SAP Guidelines at:
<http://www.dot.gov/ost/dapc/testingpubs/SAP_Guide_200611.doc>.

*Can I confer with a SAP about the employee's testing without having the
employee's permission?*

Yes you can! The DOT authorizes you and the SAP to confer about the
employee's DOT testing-- no employee permission needed. This also
includes the SAP getting information from you even if you fired the
employee. The information the SAP obtains from the employer may help
determine the best course of treatment or education, or both for the
employee.

*Do I need to verify an employee's prior drug and alcohol testing
history?*

Yes! Before you hire or transfer someone into a safety-sensitive
position, you must check the person's DOT drug and alcohol testing
history. You need to check with any DOT-regulated company that employed
the person during the past two years -- unless you are regulated by
FMCSA, FAA, or FRA. [FMCSA]{.underline} requires a
[three-year]{.underline} records check for drivers; [FAA]{.underline}
requires a [five-year]{.underline} records check for pilots; and
[FRA]{.underline} requires a [five-year]{.underline} records check for
locomotive engineers.

You must get the person's written consent to seek the information from
other employers. The person [must]{.underline} list all previous and
current employers within the last two, three, or five years, as
appropriate. If the person doesn't do so, or refuses to sign the consent
form, you cannot allow the person to perform safety-sensitive functions.

Keep in mind that the consent must be a specific release authorizing the
new employer to receive testing information from a specific former or
current employer about a specific employee. It [cannot]{.underline} be a
"blanket" release: For example, it cannot have multiple employers on one
release form; it must be employee-specific; it must be
employer-specific; and it must be time-period specific.

Also, the consent cannot be part of another DOT requirement such as a
motor vehicle check, credit history, or criminal background check. The
consent needs to be an original signed form for each identified DOT
regulated employer needing to provide testing information.

If possible, you must obtain and review the testing history before the
employee first performs safety-sensitive functions for you. If this is
not feasible, you must obtain and review the information as soon as
possible. However, you must [not]{.underline} permit the employee to
perform safety-sensitive functions after 30 days from the date on which
the employee first performed safety-sensitive functions unless you have
obtained, or made and documented a good faith effort to obtain, the
information from previous employers.

If the information you receive shows that the person violated DOT rules,
you must make sure that the employee has successfully completed the DOT
return-to-duty process before permitting the person to perform
safety-sensitive duties.

> ![](media/image18.png){width="0.375in" height="0.375in"}The
> requirements for these releases are in Part 40, at Section 40.25. For
> a sample employee 40.25 consent form, see [Appendix
> E](#appendix-e-prior-testing-history-release-of-information-format).

*Can I use a service agent to help obtain or provide an employee's prior
drug and alcohol testing history?*

Yes. You may use a service agent to help with this information. If you
use a service agent to obtain the information on your behalf, the
service agent must also be identified on the release form along with
your employer identifying information. If you use a service agent to
provide the information to a gaining employer, the service agent cannot
withhold the information pending payment.

> ![](media/image18.png){width="0.375in" height="0.375in"}Service agents
> maintaining testing information for DOT regulated employers cannot
> disclose employee test information to other parties unless the
> employee provides a specific written consent to do so, unless DOT says
> otherwise in Part 40 \[at 40.331\].

![](media/image24.jpeg){width="3.626388888888889in"
height="2.3243055555555556in"}

# *What exactly is a refusal to test and who determines it?*

The DOT regulations outline refusals to test for drugs and alcohol. Some
refusals are determined by MROs and BATs and STTs. For others, the
determination is [your]{.underline} responsibility. All have clear
instructions from DOT. You must base your decisions on these DOT
instructions and [NOT]{.underline} on personal opinions about whether
the employee is a long-time reliable worker; has ever tested positive or
refused a test; was correctly selected for the test; or claims to have
misunderstood the collector's instructions to remain at a collection
site, among others.

Here's a list of Part 40 refusals and the DOT regulation instructions
for handling them:

+--------------------+--------------------+---------------------------+
| **Event**          | **Decision Maker** | **DOT Instructions**      |
+--------------------+--------------------+---------------------------+
| **Fail to appear   | **Employer / DER   | If the employee did not   |
| at a urine         | \***               | get to the site or spent  |
| collection site    |                    | too much time getting     |
| when directed to   | \[after review of  | there, it is a refusal.   |
| report**           | the collector      |                           |
|                    | documentation\]    |                           |
+--------------------+--------------------+---------------------------+
| **Fail to remain   | **Employer / DER   | If the collector reports  |
| at the urine       | \***               | that the employee left    |
| collection site**  |                    | the collection site       |
|                    | \[after review of  | before the testing        |
|                    | the collector      | process was complete, it  |
|                    | documentation\]    | is a refusal.             |
+--------------------+--------------------+---------------------------+
| **Fail to provide  | **Employer / DER   | If the collector reports  |
| a urine specimen** | \***               | that the employee left    |
|                    |                    | the collection site       |
|                    | \[after review of  | before providing a        |
|                    | the collector      | required specimen, it is  |
|                    | documentation\]    | a refusal.                |
+--------------------+--------------------+---------------------------+
| **Fail to permit a | **Employer / DER   | If the employer ordered   |
| monitored or       | \***               | an observed collection or |
| observed urine     |                    | if the collector required |
| collection**       | \[after review of  | the collection to be      |
|                    | the collector      | monitored or observed, it |
|                    | documentation\]    | is a refusal if the       |
|                    |                    | employee does not permit  |
|                    |                    | it to occur.              |
+--------------------+--------------------+---------------------------+
| **Fail to provide  | **MRO**            | If the MRO finds that     |
| a sufficient       |                    | there was no medical      |
| amount of urine**  |                    | reason for the employee   |
|                    |                    | to provide an             |
|                    |                    | insufficient amount of    |
|                    |                    | urine, it is a refusal.   |
+--------------------+--------------------+---------------------------+
| **Fail or decline  | **Employer / DER   | If the employer or        |
| to take an         | \***               | collector directs the     |
| additional drug    |                    | employee to take an       |
| test the employer  | \[after review of  | additional test, as       |
| or collector has   | the collector      | required or permitted by  |
| directed**         | documentation\]    | the DOT, and the employee |
|                    |                    | does not, it is a         |
|                    |                    | refusal.                  |
+--------------------+--------------------+---------------------------+

+--------------------+--------------------+---------------------------+
| **Event**          | **Decision Maker** | **DOT Instructions**      |
+--------------------+--------------------+---------------------------+
| **Fail to undergo  | **MRO**            | If the employee does not  |
| a medical          |                    | go in for a medical       |
| examination or     |                    | evaluation or does not    |
| evaluation the MRO |                    | permit it to occur, it is |
| or employer has    |                    | a refusal.                |
| directed**         |                    |                           |
+--------------------+--------------------+---------------------------+
| **Fail to          | **Employer / DER   | Some examples of failure  |
| cooperate with any | \***               | to cooperate are when the |
| part of the urine  |                    | employee:                 |
| collection         | \[after review of  |                           |
| process**          | the collector      | 1\. Refuses to empty      |
|                    | documentation\]    | pockets when directed;    |
|                    |                    |                           |
|                    |                    | 2\. Behaves in a          |
|                    |                    | confrontational manner    |
|                    |                    | that disrupts the         |
|                    |                    | collection process;       |
|                    |                    |                           |
|                    |                    | 3\. Refuses to remove     |
|                    |                    | hat, coat, gloves,        |
|                    |                    | coveralls when directed;  |
|                    |                    | or                        |
|                    |                    |                           |
|                    |                    | 4\. Fails to wash hands   |
|                    |                    | when directed.            |
+--------------------+--------------------+---------------------------+
| **For an observed  | **Employer / DER   | If the employee does not  |
| collection, fail   | \***               | follow these instructions |
| to follow the      |                    | so that the observer can  |
| instructions to    | \[after review of  | check for prosthetic or   |
| raise and lower    | the collector      | other devices that could  |
| clothing and turn  | documentation\]    | be used to interfere with |
| around**           |                    | the collection process,   |
|                    |                    | it is a refusal.          |
+--------------------+--------------------+---------------------------+
| **Possess or wear  | **Employer / DER   | If the employee is found  |
| a prosthetic or    | \***               | to have or wear a         |
| other device that  |                    | prosthetic or other       |
| could be used to   | \[after review of  | device designed to carry  |
| interfere with the | the collector      | clean urine or a urine    |
| collection         | documentation\]    | substitute, it is a       |
| process**          |                    | refusal.                  |
+--------------------+--------------------+---------------------------+
| **Admit to the     | **Employer / DER   | If the employee, during   |
| collector to       | \***               | the collection process,   |
| having adulterated |                    | admits to having tampered |
| or substituted the | \[after review of  | with his or her specimen, |
| specimen**         | the collector      | it is a refusal           |
|                    | documentation\]    |                           |
+--------------------+--------------------+---------------------------+
| **Adulterate or    | **MRO**            | If the laboratory reports |
| substitute a urine |                    | a confirmed adulterated   |
| specimen**         |                    | or substituted specimen   |
|                    |                    | to the MRO and the MRO    |
|                    |                    | determines there is no    |
|                    |                    | medical reason for the    |
|                    |                    | result, it is a refusal.  |
+--------------------+--------------------+---------------------------+

+--------------------+--------------------+---------------------------+
| **Event**          | **Decision Maker** | **DOT Instructions**      |
+--------------------+--------------------+---------------------------+
| **Admit to the MRO | **MRO**            | If the employee, during a |
| to having          |                    | medical review, admits to |
| adulterated or     |                    | having tampered with his  |
| substituted the    |                    | or her specimen, it is a  |
| specimen**         |                    | refusal.                  |
+--------------------+--------------------+---------------------------+
| **Fail to appear   | **Employer / DER   | If the employee did not   |
| for an alcohol     | \***               | get to the alcohol test   |
| test when directed |                    | site or spent too much    |
| to report**        | \[after review of  | time getting there, it is |
|                    | the STT or BAT     | a refusal.                |
|                    | documentation\]    |                           |
+--------------------+--------------------+---------------------------+
| **Fail to remain   | **Employer / DER   | If the STT or BAT reports |
| at the alcohol     | \***               | that the employee left    |
| test site**        |                    | the collection site       |
|                    | \[after review of  | before the testing        |
|                    | the STT or BAT     | process was complete, it  |
|                    | documentation\]    | is a refusal.             |
+--------------------+--------------------+---------------------------+
| **Fail to provide  | **Employer / DER   | If the STT or BAT reports |
| an adequate amount | \***               | that the employee left    |
| of saliva or       |                    | the alcohol testing site  |
| breath**           | \[after review of  | before providing a        |
|                    | the STT or BAT     | required amount of saliva |
|                    | documentation\]    | or breath, it is a        |
|                    |                    | refusal.                  |
+--------------------+--------------------+---------------------------+
| **Fail to provide  | **Evaluating       | If the evaluating         |
| a sufficient       | Physician**        | physician finds that      |
| breath specimen**  |                    | there was no medical      |
|                    |                    | reason for the employee   |
|                    |                    | to provide an             |
|                    |                    | insufficient amount of    |
|                    |                    | breath, it is a refusal.  |
+--------------------+--------------------+---------------------------+
| **Fail to undergo  | **Employer / DER** | If the employee does not  |
| a medical          |                    | go in for a medical       |
| examination or     |                    | evaluation or does not    |
| evaluation as the  |                    | permit it to occur, it is |
| employer has       |                    | a refusal.                |
| directed as part   |                    |                           |
| of the             |                    |                           |
| insufficient       |                    |                           |
| breath             |                    |                           |
| procedures**       |                    |                           |
+--------------------+--------------------+---------------------------+

+--------------------+--------------------+---------------------------+
| **Event**          | **Decision Maker** | **DOT Instructions**      |
+--------------------+--------------------+---------------------------+
| **Fail to sign the | **Employer / DER   | If the employee does not  |
| certification      | \***               | agree to have a test      |
| statement at Step  |                    | accomplished by signing   |
| 2 of the ATF**     | \[after review of  | Step 2 of the ATF, it is  |
|                    | the STT or BAT     | a refusal.                |
|                    | documentation\]    |                           |
+--------------------+--------------------+---------------------------+
| **Fail to          | **Employer / DER   | One example of failing to |
| cooperate with any | \***               | cooperate is when the     |
| part of the        |                    | employee behaves in a     |
| alcohol testing    | \[after review of  | confrontational manner    |
| process**          | the STT or BAT     | that disrupts the alcohol |
|                    | documentation\]    | testing process.          |
+--------------------+--------------------+---------------------------+

**\**IMPORTANT NOTE:*** When a collector for a drug test, or an STT or
BAT for an alcohol test, [reports]{.underline} a refusal event to the
DER, the ***EMPLOYEE MUST IMMEDIATELY BE REMOVED FROM SAFETY-SENSITIVE
DUTIES***, and after that you \[or the DER\] must verify if the employee
actually refused the test based upon the documentation provided and
DOT's instructions. When you \[or the DER\] determine that there is a
refusal, do not return the employee to safety-sensitive duties until the
SAP return-to-duty process is successfully completed.

In [extremely rare cases]{.underline} for which you \[or the DER\]
determine there is not a refusal, you \[or the DER\] must document your
decision and your [solid reasoning]{.underline} for it. You must
maintain this documentation for a DOT Agency or USCG representative in
the event of an inquiry or inspection.

Remember, your decision could be overturned by the DOT, a DOT Agency, or
the USCG. So, as a safeguard to ensure that you make the correct
determination, you ought to consult with your MRO on collection site
refusals -- the MRO is, after all, the "Gatekeeper" for the drug testing
process.

![](media/image18.png){width="0.375in" height="0.5in"}NOTE: An MRO's
refusal determination is final and not subject to your review. Also, an
evaluating physician's refusal determination for an employee's
insufficient breath is final and not subject to your review.

![](media/image25.jpeg){width="2.939583333333333in"
height="1.9465277777777779in"}

[]{#OLE_LINK8 .anchor}**Section VIII.** Record Keeping and Data
Collection Requirements

# *What drug and alcohol records do I need to keep?*

You have to maintain comprehensive records related to your program. That
way, you can fully account for your program when you are inspected or
audited by DOT Agencies or USCG. In addition, you will have the records
that you might have to produce for court cases and arbitration hearings.
Your service agents can maintain these documents for you. DOT published
the "Employer Record Keeping Requirements for Drug and Alcohol Testing
Information," and it is available on our website. The document goes into
far more detail than we can give you here.

![](media/image18.png){width="0.375in" height="0.5in"}You can find the
employer records keeping document on our website at:

<http://www.dot.gov/ost/dapc/testingpubs/Recordkeeping_20051201.pdf>

The [minimum]{.underline} record keeping requirements are highlighted in
this chart:

+-------------+--------------------------------------------------------+
| *           | **Type of Records**                                    |
| *Schedule** |                                                        |
+-------------+--------------------------------------------------------+
| **Five      | Records of alcohol test results indicating an alcohol  |
| Years**     | concentration of 0.02 or greater;                      |
|             |                                                        |
|             | Records of verified positive drug test results;        |
|             |                                                        |
|             | Documentation of refusals to take required alcohol and |
|             | drug tests (including substituted or adulterated drug  |
|             | test results);                                         |
|             |                                                        |
|             | Annual MIS Report;                                     |
|             |                                                        |
|             | SAP reports; and                                       |
|             |                                                        |
|             | All follow-up tests and schedules for follow-up tests. |
|             |                                                        |
|             | \[**Aviation employers** must keep commercial pilot    |
|             | positive, negative, and refusal records for 5 years    |
|             | because of the Pilot Record Improvement Act            |
|             | [and]{.underline} must keep employee dispute           |
|             | records.\]                                             |
|             |                                                        |
|             | \[**Pipeline operators** and motor carrier companies   |
|             | must maintain EBT calibration records for 5 years.\]   |
+-------------+--------------------------------------------------------+

![](media/image26.jpeg){width="2.435416666666667in" height="1.34375in"}

+-------------+--------------------------------------------------------+
| *           | **Type of Records**                                    |
| *Schedule** |                                                        |
+-------------+--------------------------------------------------------+
| **Three     | Information obtained from previous employers under     |
| Years**     | §40.25 concerning drug and alcohol test results of     |
|             | employees.                                             |
|             |                                                        |
|             | \[**Pipeline operators** must keep supervisor and      |
|             | employee [drug]{.underline} training records; and      |
|             | records related to the drug collection process.\]      |
+-------------+--------------------------------------------------------+
| **Two       | Records of the inspection, maintenance, and            |
| Years**     | calibration of EBTs; and                               |
|             |                                                        |
|             | Records related to the alcohol and drug collection     |
|             | process. These include, documents related to random    |
|             | selections, reasonable suspicion determinations, and   |
|             | post accident determinations; medical evaluations for  |
|             | insufficient amounts of urine and breath; and          |
|             | supervisor and employee education and training         |
|             | records.                                               |
|             |                                                        |
|             | \[**Motor carriers** must keep supervisor, employee,   |
|             | BAT, and STT education and training records for two    |
|             | years [after]{.underline} the person ceases those      |
|             | specific functions.\]                                  |
|             |                                                        |
|             | \[**Railroads** must keep records of negative and      |
|             | cancelled drug test results and alcohol test results   |
|             | with a concentration of less than 0.02 because of FRA  |
|             | regulations [and]{.underline} must keep employee       |
|             | dispute records.\]                                     |
|             |                                                        |
|             | \[**Pipeline operators** must keep supervisor and      |
|             | employer [alcohol]{.underline} training records.\]     |
+-------------+--------------------------------------------------------+
| **One       | Records of negative and cancelled drug test results    |
| Year**      | and alcohol test results with a concentration of less  |
|             | than 0.02.                                             |
|             |                                                        |
|             | \[**Railroads** must keep these records for two        |
|             | years.\]                                               |
+-------------+--------------------------------------------------------+

# *Where and how should I keep my drug and alcohol testing records?*

You should keep testing records in locations with controlled access (for
example, in locked cabinets and in rooms requiring access by sign in,
lock and key or security code). Only employees with an official "need to
know" should have access to these records and be allowed in these areas.
You can keep the records at your place of business or a service agent
may keep them for you.

If you store your records electronically, you must make sure they are
easily accessible, legible, formatted, and stored in an organized and
reviewable manner. If electronic records do not meet these criteria, at
the request of DOT agency or USCG representatives, you must convert them
to printed documentation in a rapid and readily auditable manner.

You must make them available at your principal place of business when
they are requested by the DOT, a DOT Agency, or USCG. For example, if
you are a motor carrier and an FMCSA investigator requests your records,
you must provide them within two business days.

![](media/image18.png){width="0.375in" height="0.5in"}For most DOT
Agencies and USCG, you must keep original copies of CCFs and ATFs even
if you store them electronically.

![](media/image18.png){width="0.375in" height="0.5in"}If your records
are maintained by a service agent who goes out of business, you must
request that they send the records to another service agent of your
choosing or to you -- and they must do so.

# 

# *What are the requirements for sending annual data reports to DOT?*

You might have to send data reports, but it will depend upon on which
regulations you are to follow. The following chart contains the DOT
Agency and USCG specific instructions on submitting the Management
Information System drug and alcohol statistical testing data:

+-----------+----------------------------------------------------------+
| **DOT     | **MIS Submission Requirements**                          |
| Agency**  |                                                          |
+-----------+----------------------------------------------------------+
| **FMCSA** | > Employers must submit upon request from FMCSA.         |
|           | >                                                        |
|           | > \[49 CFR Part 382.403\]                                |
+-----------+----------------------------------------------------------+
| **FAA**   | > Each part 121 certificate holder and each employer     |
|           | > with 50 or more safety-sensitive employees must submit |
|           | > each calendar year; and                                |
|           | >                                                        |
|           | > Employers with 49 or fewer safety-sensitive employees  |
|           | > must submit upon request from FAA.                     |
|           | >                                                        |
|           | > \[14 CFR Part 121 Appendix I, Section X\]              |
|           | >                                                        |
|           | > \[14 CFR Part 121 Appendix J, Section IV.B\]           |
+-----------+----------------------------------------------------------+
| **FRA**   | > Employers with 400,000 or more annual employee hours   |
|           | > must submit each calendar year.                        |
|           | >                                                        |
|           | > \[49 CFR Part 219.800\]                                |
+-----------+----------------------------------------------------------+

+-----------+----------------------------------------------------------+
| **DOT     | **MIS Submission Requirements**                          |
| Agency**  |                                                          |
+-----------+----------------------------------------------------------+
| **FTA**   | > Employers must submit upon request from FTA.           |
|           | >                                                        |
|           | > \[49 CFR Part 655.72\]                                 |
+-----------+----------------------------------------------------------+
| **PHMSA** | > Employers with more than 50 covered employees must     |
|           | > submit                                                 |
|           | >                                                        |
|           | > each calendar year; and                                |
|           | >                                                        |
|           | > Employers with 50 or fewer covered employees must      |
|           | > submit upon request from PHMSA.                        |
|           | >                                                        |
|           | > \[49 CFR Part 199.119 &.229\]                          |
+-----------+----------------------------------------------------------+
| **USCG**  | > Employers must submit each calendar year; and          |
|           | >                                                        |
|           | > C/TPAs may report on behalf of their member clients as |
|           | > an aggregate report.                                   |
|           | >                                                        |
|           | > \[46 CFR Part 16.500\]                                 |
+-----------+----------------------------------------------------------+

The DOT Agencies and USCG would like you to submit the MIS data via the
Internet, if you can.  That way you don't have to submit a hard copy.
Plus, the Internet entry helps you get the math correct.

You may use a service agent to help you complete and submit the MIS
form, but [you]{.underline} must ensure its accuracy.

If you have to submit an MIS report to the DOT Agency or USCG, you must
have it in by March 15^th^. ***For example: If you were required to
submit your company's 2007 drug and alcohol MIS testing data, you would
have until March 15, 2008 to get it in.***

![](media/image18.png){width="0.375in" height="0.5in"}You can find the
MIS form, instructions, and lnternet links for submitting it at:
<http://www.dot.gov/ost/dapc/mis.html>.

![](media/image18.png){width="0.375in" height="0.39305555555555555in"}If
you are covered under the FTA rules, you must complete and maintain MIS
reports every year even if you don't have to send it in.

# 

# *What should I do with the semi-annual statistical summaries I receive from my laboratory or my C/TPA?*

You should expect to get reports directly from laboratories twice a year
about the testing they do for you. If you are served by a C/TPA, your
summary may be going to them first. If so, you need to make sure the
C/TPA forwards it on to you. The laboratory should not be sending C/TPAs
a "lump summary" for all the employers served by the C/TPA, but should
be sending employer-specific reports. This is the report you should
receive. Note that if you conduct fewer than five tests during the
report period, you will not receive a summary.

These laboratory reports are valuable to you. They will provide you with
a window into your drug testing program. You can compare them to your
own statistical reporting, billing records from collectors and MROs, and
CCFs and results reports you receive. Let these laboratory reports work
for you.

This chart shows some examples:

+-----------------------------------+-----------------------------------+
| **Example**                       | **Action**                        |
+-----------------------------------+-----------------------------------+
| **Your laboratory report shows    | Find the reason for the           |
| 480 random tests but your random  | discrepancy and correct any       |
| selection records show that you   | problems to ensure you are in     |
| made 500 selections.**            | compliance with the required      |
|                                   | random testing rate.              |
+-----------------------------------+-----------------------------------+
| **Your laboratory report shows    | Check with your collection site   |
| that you had 100 tests but you    | to see if they billed you         |
| payment records indicate that     | correctly.                        |
| your collector billed you for 110 |                                   |
| tests.**                          |                                   |
+-----------------------------------+-----------------------------------+
| **Your laboratory report shows    | 1\. Check with your MRO to make   |
| one test positive for PCP, but    | sure the PCP test was not         |
| your MRO did not report a         | "downgraded" to negative -- that  |
| verified PCP positive test result | would have been a mistake.        |
| for any employee.**               |                                   |
|                                   | 2\. Check with the MRO to see if  |
|                                   | the PCP test result was cancelled |
|                                   | by the MRO because of a "fatal    |
|                                   | flaw" or because a "correctable   |
|                                   | flaw" was not corrected.          |
+-----------------------------------+-----------------------------------+

+-----------------------------------+-----------------------------------+
| **Example**                       | **Action**                        |
+-----------------------------------+-----------------------------------+
| **Your laboratory report shows 25 | 1\. Check with the MRO to find    |
| cancelled tests because of "fatal | out the reasons for the           |
| flaws" but you were not made      | cancellations.                    |
| aware of any.**                   |                                   |
|                                   | 2\. If they are due to collector  |
|                                   | errors, you must ensure that the  |
|                                   | collector had "error correction   |
|                                   | training."                        |
|                                   |                                   |
|                                   | 3\. Consider changing collection  |
|                                   | services.                         |
+-----------------------------------+-----------------------------------+
| **Your laboratory report shows 10 | 1\. Reiterate with your DER and   |
| negative specimens that were also | your MRO what your policy is for  |
| dilute.**                         | negative dilute specimens.        |
|                                   |                                   |
| > **1. Your policy is to have     | 2\. Because [DOT                  |
| > employees with negative dilute  | requires]{.underline} employees   |
| > results return to collection    | with specific low level           |
| > sites for another collection;   | negative-dilutes to be            |
| > and**                           | recollected under direct          |
| >                                 | observation, check with the MRO   |
| > **2. For low level negative     | to see if any results were in the |
| > dilutes, the DOT requires       | this range. If the results were   |
| > immediate recollection under    | in this range [and]{.underline}   |
| > direct observation.**           | the employees were not            |
|                                   | recollected under direct          |
| **But neither of these            | observation, you must order the   |
| recollections occurred.**         | recollections immediately.        |
+-----------------------------------+-----------------------------------+

# 

![](media/image27.png){width="5.253472222222222in"
height="3.4069444444444446in"}

[]{#OLE_LINK9 .anchor}**Section IX.** Program Compliance and Inspections
/ Audits

# *Who must make sure my program meets DOT requirements?*

Keep in mind that no matter how you decide to manage your DOT required
drug and alcohol program, as the employer, [you are responsible for
compliance]{.underline}. If you use a service agent -- for example, a
collector, BAT, MRO, or SAP -- and the service agent fails to comply
with DOT rules, DOT can take action [against you]{.underline}. Yes, you
can be fined or you can lose your Federal funding. You must be in
compliance with Part 40 as well as the appropriate DOT Agency or USCG
regulation.

# *What can happen to service agents who don't comply with DOT rules?*

If you think a service agent providing services to you isn't complying
with DOT rules, you can fire that service agent and find someone else
who does comply. DOT rules also allow DOT to prohibit a service agent
that makes very serious errors from working for DOT employers. This is
known as the "Public Interest Exclusion," or "PIE," process. And in some
cases, the service agent can be fined for non-compliance.

# *How do I report a service agent who is not complying with Part 40?*

Report the service agent to the program manager of the DOT agency that
regulates you and provide vital information. For example, if you wish to
report a collection site for non-compliance, be prepared to provide the
name and phone number of the collector, the name and location of the
collection site, and what you think they did wrong.

![](media/image18.png){width="0.375in" height="0.375in"}

For a list of DOT Agency and USCG program managers, see [Appendix
F](#appendix-f-dot-uscg-drug-and-alcohol-program-manager-contact-information)
or check out this website: <http://www.dot.gov/ost/dapc/oamanagers.html>

# *What can I expect during a DOT Agency or USCG audit, inspection, investigation, or compliance review?*

The purpose of an audit, inspection, investigation or compliance review
is to verify that you are complying with Part 40 and appropriate DOT
Agency and USCG regulations, and applicable Federal laws. DOT program
evaluators also determine whether your key personnel and service agents
understand the program and implement your program correctly. In order to
identify your program's strengths and weaknesses, program evaluators
will determine:

-   If your program is in compliance with the appropriate DOT testing
    regulations;

-   Whether or not you are appropriately following your DOT company
    policies;

-   How correctly your service agents and program personnel carry-out
    their responsibilities;

-   Whether or not your employees and supervisors receive appropriate
    education and training;

-   Whether employees were removed from performance of duty following
    violations; and

-   Whether or not you and your service agents have maintained adequate
    documentation.

![](media/image18.png){width="0.375in" height="0.5in"}

Check out [Appendix
G](#appendix-g-auditinspectioninvestigationcompliance-records-review).
It highlights most -- but not all -- the records the DOT Agencies and
USCG will likely request and review.

*But, I have more questions?*

ODAPC is available to help answer anyone's questions regarding Part 40.
You can visit our website at: <http://www.dot.gov/ost/dapc> to "Ask
ODAPC" a question or to view frequently asked questions, official
interpretations of the regulations, and regulatory guidelines. Also, a
very comprehensive "Employer Page" is on our website at:
<http://www.dot.gov/ost/dapc/employer.html> .

You can find more specific information about the DOT Agency and USCG
requirements at:
<http://www.dot.gov/ost/dapc/testingpubs/Program_Facts.doc> ; and their
manager contact information is at [Appendix
F](#appendix-f-dot-uscg-drug-and-alcohol-program-manager-contact-information)
and at: <http://www.dot.gov/ost/dapc/oamanagers.html> .

![](media/image28.png){width="4.927083333333333in"
height="4.553472222222222in"}

[]{#AppendixA .anchor}***Appendix A** -- Company DOT Testing Policy
Requirements*

The DOT Agencies and USCG require employers to have written policies for
their DOT testing programs. At a minimum, these policies must contain
specific information required by the appropriate DOT Agency or USCG.
Your policies must clearly delineate between the items and actions which
are required by DOT and which are required by the company or employer.
Here is a listing of DOT Agency and USCG requirements and where you can
find them in the regulations.

+------------+---------------------------------------------------------+
| **DOT      | **Policy Requirements**                                 |
| Agency**   |                                                         |
+------------+---------------------------------------------------------+
| **FMCSA**  | **49 CFR Part 382.601(b)** -- A company's DOT policy    |
|            | must contain the following:                             |
|            |                                                         |
|            | 1\. The identity of the person designated by the        |
|            | employer to answer driver questions about the           |
|            | materials.                                              |
|            |                                                         |
|            | 2\. The categories of drivers who are subject to the    |
|            | provisions of this part.                                |
|            |                                                         |
|            | 3\. Sufficient information about the safety-sensitive   |
|            | functions performed by those drivers to make clear what |
|            | period of the work day the driver is required to be in  |
|            | compliance.                                             |
|            |                                                         |
|            | 4\. Specific information concerning driver conduct that |
|            | is prohibited by Part 382.                              |
|            |                                                         |
|            | 5\. The circumstances under which a driver will be      |
|            | tested for alcohol and/or controlled substances under   |
|            | this part, including post-accident testing under        |
|            | §382.303(d).                                            |
|            |                                                         |
|            | 6\. The procedures that will be used to test for the    |
|            | presence of alcohol and controlled substances, protect  |
|            | the driver and the integrity of the testing processes,  |
|            | safeguard the validity of the test results, and ensure  |
|            | that those results are attributed to the correct        |
|            | driver, including post-accident information, procedures |
|            | and instructions required by §382.303(d).               |
|            |                                                         |
|            | 7\. The requirement that a driver submit to alcohol and |
|            | controlled substances tests administered in accordance  |
|            | with Part 382.                                          |
|            |                                                         |
|            | 8\. An explanation of what constitutes a refusal to     |
|            | submit to an alcohol or controlled substances test and  |
|            | the attendant consequences.                             |
|            |                                                         |
|            | 9\. The consequences for drivers found to have violated |
|            | subpart B of this part, including the requirement that  |
|            | the driver be removed immediately from safety-sensitive |
|            | functions, and the procedures under Part 40, Subpart O. |
|            |                                                         |
|            | 10\. The consequences for drivers found to have an      |
|            | alcohol concentration of 0.02 or greater but less than  |
|            | 0.04.                                                   |
|            |                                                         |
|            | 11\. Information concerning the effects of alcohol and  |
|            | controlled substances use on an individual\'s health,   |
|            | work, and personal life; signs and symptoms of an       |
|            | alcohol or a controlled substances problem (the         |
|            | driver\'s or a co-worker\'s); and available methods of  |
|            | intervening when an alcohol or a controlled substances  |
|            | problem is suspected, including confrontation, referral |
|            | to any employee assistance program and or referral to   |
|            | management.                                             |
|            |                                                         |
|            | **This FMCSA website has suggestions and a checklist    |
|            | for motor carrier policy development:**                 |
|            |                                                         |
|            | <http://www.fmcsa.dot.g                                 |
|            | ov/safety-security/safety-initiatives/drugs/chap03.htm> |
+------------+---------------------------------------------------------+

![](media/image29.png){width="5.120138888888889in"
height="1.6430555555555555in"}

+------------+---------------------------------------------------------+
| **DOT      | **Policy Requirements**                                 |
| Agency**   |                                                         |
+------------+---------------------------------------------------------+
| **FAA**    | **14 CFR Part 121** -- Employers must have a policy on  |
|            | drug use in the workplace and an alcohol misuse policy. |
|            |                                                         |
|            | **Appendix I. VIII. A.**                                |
|            |                                                         |
|            | **Policy on Drug Use in the Workplace**                 |
|            |                                                         |
|            | The employer\'s policy on drug use in the workplace     |
|            | shall include information regarding the consequences    |
|            | under the rule of:                                      |
|            |                                                         |
|            | 1\. Using drugs while performing safety-sensitive       |
|            | functions.                                              |
|            |                                                         |
|            | 2\. Receiving a verified positive drug test result.     |
|            |                                                         |
|            | 3\. Refusing to submit to a drug test required under    |
|            | the rule.                                               |
|            |                                                         |
|            | **Appendix J. VI. A.**                                  |
|            |                                                         |
|            | **Alcohol Misuse Policy**                               |
|            |                                                         |
|            | The employer's policy on alcohol misuse must include a  |
|            | detailed discussion of at least the following:          |
|            |                                                         |
|            | 1\. The identity of the person designated by the        |
|            | employer to answer employee questions about the         |
|            | materials.                                              |
|            |                                                         |
|            | 2\. The categories of employees who are subject to the  |
|            | provisions of these alcohol misuse requirements.        |
|            |                                                         |
|            | 3\. Sufficient information about the safety-sensitive   |
|            | functions performed by those employees to make clear    |
|            | what period of the work day the covered employee is     |
|            | required to be in compliance with these alcohol misuse  |
|            | requirements.                                           |
|            |                                                         |
|            | 4\. Specific information concerning employee conduct    |
|            | that is prohibited by this chapter.                     |
|            |                                                         |
|            | 5\. The circumstances under which a covered employee    |
|            | will be tested for alcohol under this appendix.         |
|            |                                                         |
|            | 6\. The procedures that will be used to test for the    |
|            | presence of alcohol, protect the employee and the       |
|            | integrity of the breath testing process, safeguard the  |
|            | validity of the test results, and ensure that those     |
|            | results are attributed to the correct employee.         |
|            |                                                         |
|            | 7\. The requirement that a covered employee submit to   |
|            | alcohol tests administered in accordance with this      |
|            | appendix.                                               |
|            |                                                         |
|            | 8\. An explanation of what constitutes a refusal to     |
|            | submit to an alcohol test and the attendant             |
|            | consequences.                                           |
|            |                                                         |
|            | 9\. The consequences for covered employees found to     |
|            | have violated the prohibitions in this chapter,         |
|            | including the requirement that the employee be removed  |
|            | immediately from performing safety-sensitive functions, |
|            | and the process in 49 CFR Part 40, subpart O.           |
|            |                                                         |
|            | 10\. The consequences for covered employees found to    |
|            | have an alcohol concentration of 0.02 or greater but    |
|            | less than 0.04.                                         |
|            |                                                         |
|            | 11\. Information concerning the effects of alcohol      |
|            | misuse on an individual\'s health, work, and personal   |
|            | life; signs and symptoms of an alcohol problem; and     |
|            | available methods of evaluating and resolving problems  |
|            | associated with the misuse of alcohol; and intervening  |
|            | when an alcohol problem is suspected, including         |
|            | confrontation, referral to any available employee       |
|            | assistance program, and/or referral to management.      |
|            |                                                         |
|            | **Optional provisions**. The materials supplied to      |
|            | covered employees may also include information on       |
|            | additional employer policies with respect to the use or |
|            | possession of alcohol, including any consequences for   |
|            | an employee found to have a specified alcohol level,    |
|            | that are based on the employer\'s authority independent |
|            | of this appendix. Any such additional policies or       |
|            | consequences must be clearly and obviously described as |
|            | being based on independent authority.                   |
+------------+---------------------------------------------------------+

![](media/image30.png){width="4.920138888888889in"
height="1.3319444444444444in"}

+-------------+--------------------------------------------------------+
| **DOT       | **Policy Requirements**                                |
| Agency**    |                                                        |
+-------------+--------------------------------------------------------+
| **FRA \[1   | ##### 219.23 Railroad policies.                        |
| of 5        |                                                        |
| s           | Whenever a breath or body fluid test is required of an |
| ections\]** | employee under this part, the railroad must provide    |
|             | clear and unequivocal written notice to the employee   |
| **219.23**  | that the test is being required under FRA regulations. |
|             | Use of the mandated DOT form for drug or alcohol       |
|             | testing satisfies these requirements.                  |
|             |                                                        |
|             | Whenever a breath or body fluid test is required of an |
|             | employee under 219, the railroad must provide clear,   |
|             | unequivocal written notice of the basis or bases upon  |
|             | which the test is required (e.g., reasonable           |
|             | suspicion, violation of a specified operating/safety   |
|             | rule enumerated in subpart D of this part, random      |
|             | selection, follow-up, etc.). Completion of the DOT     |
|             | alcohol or drug testing form indicating the basis of   |
|             | the test (prior to providing a copy to the employee)   |
|             | satisfies this requirement. Use of the DOT form for    |
|             | non-Federal tests is prohibited.                       |
|             |                                                        |
|             | Use of approved forms for mandatory post-accident      |
|             | toxicological testing under subpart C of 219 provides  |
|             | the notifications required under this section with     |
|             | respect to such tests. Use of those forms for any      |
|             | other test is prohibited.                              |
|             |                                                        |
|             | Each railroad must provide educational materials that  |
|             | explain the requirements of 219, and the railroad\'s   |
|             | policies and procedures with respect to meeting those  |
|             | requirements.                                          |
|             |                                                        |
|             | 1\. The railroad must ensure that a copy of these      |
|             | materials is distributed to each covered employee      |
|             | prior to the start of alcohol testing under the        |
|             | railroad\'s alcohol misuse prevention program and to   |
|             | each person subsequently hired for or transferred to a |
|             | covered position                                       |
|             |                                                        |
|             | 2\. Each railroad must provide written notice to       |
|             | representatives of employee organizations of the       |
|             | availability of this information.                      |
|             |                                                        |
|             | **Required content.** The materials to be made         |
|             | available to employees must include detailed           |
|             | discussion of at least the following:                  |
|             |                                                        |
|             | 1\. The identity of the person designated by the       |
|             | railroad to answer employee questions about the        |
|             | materials.                                             |
|             |                                                        |
|             | 2\. The classes or crafts of employees who are subject |
|             | to the provisions of this part.                        |
|             |                                                        |
|             | 3\. Sufficient information about the safety-sensitive  |
|             | functions performed by those employees to make clear   |
|             | that the period of the work day the covered employee   |
|             | is required to be in compliance with this part is that |
|             | period when the employee is on duty and is required to |
|             | perform or is available to perform covered service.    |
|             |                                                        |
|             | 4\. Specific information concerning employee conduct   |
|             | that is prohibited under subpart B of this part.       |
|             |                                                        |
|             | 5\. In the case of a railroad utilizing the            |
|             | accident/incident and rule violation reasonable cause  |
|             | testing authority provided by this part, prior notice  |
|             | (which may be combined with the notice required by     |
|             | §§219.601(d)(1) and 219.607(d)(1)), to covered         |
|             | employees of the circumstances under which they will   |
|             | be subject to testing.                                 |
|             |                                                        |
|             | 6\. The circumstances under which a covered employee   |
|             | will be tested under this part.                        |
|             |                                                        |
|             | 7\. The procedures that will be used to test for the   |
|             | presence of alcohol and controlled substances, protect |
|             | the employee and the integrity of the testing          |
|             | processes, safeguard the validity of the test results, |
|             | and ensure that those results are attributed to the    |
|             | correct employee.                                      |
|             |                                                        |
|             | 8\. The requirement that a covered employee submit to  |
|             | alcohol and drug tests administered in accordance with |
|             | this part.                                             |
|             |                                                        |
|             | 9\. An explanation of what constitutes a refusal to    |
|             | submit to an alcohol or drug test and the attendant    |
|             | consequences.                                          |
|             |                                                        |
|             | 10\. The consequences for covered employees found to   |
|             | have violated Subpart B of this part, including the    |
|             | requirement that the employee be removed immediately   |
|             | from covered service, and the procedures under         |
|             | §219.104.                                              |
|             |                                                        |
|             | 11\. The consequences for covered employees found to   |
|             | have an alcohol concentration of .02 or greater but    |
|             | less than .04.                                         |
|             |                                                        |
|             | 12\. Information concerning the effects of alcohol     |
|             | misuse on an individual\'s health, work, and personal  |
|             | life; signs and symptoms of an alcohol problem (the    |
|             | employee\'s or a coworker\'s); and available methods   |
|             | of evaluating and resolving problems associated with   |
|             | the misuse of alcohol, including utilization of the    |
|             | procedures set forth in subpart E of this part and the |
|             | names, addresses, and telephone numbers of substance   |
|             | abuse professionals and counseling and treatment       |
|             | programs.                                              |
|             |                                                        |
|             | **Optional provisions.** The materials supplied to     |
|             | employees may also include information on additional   |
|             | railroad policies with respect to the use or           |
|             | possession of alcohol and drugs, including any         |
|             | consequences for an employee found to have a specific  |
|             | alcohol concentration, that are based on the           |
|             | railroad\'s authority independent of this part. Any    |
|             | such additional policies or consequences must be       |
|             | clearly and obviously described as being based on      |
|             | independent authority.                                 |
+-------------+--------------------------------------------------------+

#####  

##### 

+---------------+-------------------------------------------------------+
| **DOT         | **Policy Requirements**                               |
| Agency**      |                                                       |
+---------------+-------------------------------------------------------+
| **FRA \[2 of  | ##### 219.401 Requirement for policies.               |
| 5             |                                                       |
| sections\]**  | Each railroad must adopt, publish and implement:      |
|               |                                                       |
| **219.401**   | 1\. A policy designed to encourage and facilitate the |
|               | identification of those covered employees who abuse   |
|               | alcohol or drugs as a part of a treatable condition   |
|               | and to ensure that such employees are provided the    |
|               | opportunity to obtain counseling or treatment before  |
|               | those problems manifest themselves in detected        |
|               | violations of 219 hereafter ("voluntary referral      |
|               | policy"); and                                         |
|               |                                                       |
|               | 2\. A policy designed to foster employee              |
|               | participation in preventing violations of this        |
|               | subpart and encourage co-worker participation in the  |
|               | direct enforcement of 219 hereafter, ("co-worker      |
|               | report policy").                                      |
|               |                                                       |
|               | A railroad may comply by adopting, publishing and     |
|               | implementing policies meeting the specific            |
|               | requirements of §§219.403 and 219.405 or by complying |
|               | with §219.407.                                        |
|               |                                                       |
|               | If a railroad complies with 219 by adopting,          |
|               | publishing and implementing policies consistent with  |
|               | §§219.403 and 219.405, the railroad must make such    |
|               | policies, and publications announcing such policies,  |
|               | available for inspection and copying by FRA.          |
|               |                                                       |
|               | Nothing in this section may be construed to---        |
|               |                                                       |
|               | 1\. Require payment of compensation for any period an |
|               | employee is out of service under a voluntary referral |
|               | or co-worker report policy;                           |
|               |                                                       |
|               | 2\. Require a railroad to adhere to a voluntary       |
|               | referral or co-worker report policy in a case where   |
|               | the referral or report is made for the purpose, or    |
|               | with the effect, of anticipating the imminent and     |
|               | probable detection of a rule violation by a           |
|               | supervising employee; or                              |
|               |                                                       |
|               | 3\. Limit the discretion of a railroad to dismiss or  |
|               | otherwise discipline an employee for specific rule    |
|               | violations or criminal offenses, except as            |
|               | specifically provided by this subpart.                |
+---------------+-------------------------------------------------------+

#####  

##### 

+---------------+-------------------------------------------------------+
| **DOT         | **Policy Requirements**                               |
| Agency**      |                                                       |
+---------------+-------------------------------------------------------+
| **FRA \[3 of  | ##### 219.403 Voluntary referral policy.              |
| 5             |                                                       |
| sections\]**  | This section prescribes minimum standards for         |
|               | voluntary referral policies. Nothing in this section  |
| **219.403**   | restricts a railroad from adopting, publishing and    |
|               | implementing a voluntary referral policy that affords |
|               | more favorable conditions to employees troubled by    |
|               | alcohol or drug abuse problems, consistent with the   |
|               | railroad\'s responsibility to prevent violations of   |
|               | §§219.101 and 219.102.                                |
|               |                                                       |
|               | A voluntary referral policy must include the          |
|               | following provisions:                                 |
|               |                                                       |
|               | 1\. A covered employee who is affected by an alcohol  |
|               | or drug use problem may maintain an employment        |
|               | relationship with the railroad if, before the         |
|               | employee is charged with conduct deemed by the        |
|               | railroad sufficient to warrant dismissal, the         |
|               | employee seeks assistance through the railroad for    |
|               | the employee\'s alcohol or drug use problem or is     |
|               | referred for such assistance by another employee or   |
|               | by a representative of the employee\'s collective     |
|               | bargaining unit. The railroad must specify whether,   |
|               | and under what circumstances, its policy provides for |
|               | the acceptance of referrals from other sources,       |
|               | including (at the option of the railroad) supervisory |
|               | employees.                                            |
|               |                                                       |
|               | 2\. Except as may be provided under the optional      |
|               | provisions (below), the railroad treats the referral  |
|               | and subsequent handling, including counseling and     |
|               | treatment, as confidential.                           |
|               |                                                       |
|               | 3\. The railroad will, to the extent necessary for    |
|               | treatment and rehabilitation, grant the employee a    |
|               | leave of absence from the railroad for the period     |
|               | necessary to complete primary treatment and establish |
|               | control over the employee\'s alcohol or drug problem. |
|               | The policy must allow a leave of absence of not less  |
|               | than 45 days, if necessary for the purpose of meeting |
|               | initial treatment needs.                              |
|               |                                                       |
|               | 4\. Except as may be provided under the optional      |
|               | provisions (below), the employee will be returned to  |
|               | service on the recommendation of the substance abuse  |
|               | professional. Approval to return to service may not   |
|               | be unreasonably withheld.                             |
|               |                                                       |
|               | 5\. With respect to a certified locomotive engineer   |
|               | or a candidate for certification, the railroad must   |
|               | meet the requirements of §240.119(e).                 |
|               |                                                       |
|               | **Optional provisions.**                              |
|               |                                                       |
|               | A voluntary referral policy may include any of the    |
|               | following provisions, at the option of the railroad:  |
|               |                                                       |
|               | 1\. The policy may provide that the rule of           |
|               | confidentiality is waived if---                       |
|               |                                                       |
|               | a\. The employee at any time refuses to cooperate in  |
|               | a recommended course of counseling or treatment;      |
|               | and/or                                                |
|               |                                                       |
|               | b\. The employee is later determined, after           |
|               | investigation, to have been involved in an alcohol or |
|               | drug-related disciplinary offense growing out of      |
|               | subsequent conduct.                                   |
|               |                                                       |
|               | 2\. The policy may require successful completion of a |
|               | return-to-service medical examination as a further    |
|               | condition on reinstatement in covered service.        |
|               |                                                       |
|               | 3\. The policy may provide that it does not apply to  |
|               | an employee who has previously been assisted by the   |
|               | railroad under a policy or program substantially      |
|               | consistent with this section or who has previously    |
|               | elected to waive investigation under §219.405         |
|               | (co-worker report policy).                            |
|               |                                                       |
|               | 4\. The policy may provide that, in order to invoke   |
|               | its benefits, the employee must report to the contact |
|               | designated by the railroad either:                    |
|               |                                                       |
|               | a\. During non-duty hours (i.e., at a time when the   |
|               | employee is off duty); or                             |
|               |                                                       |
|               | b\. While unimpaired and otherwise in compliance with |
|               | the railroad\'s alcohol and drug rules consistent     |
|               | with this subpart.                                    |
+---------------+-------------------------------------------------------+

#####  

+---------------+-------------------------------------------------------+
| **DOT         | **Policy Requirements**                               |
| Agency**      |                                                       |
+---------------+-------------------------------------------------------+
| **FRA \[4 of  | ##### 219.405 Co-worker report policy.                |
| 5             |                                                       |
| sections\]**  | This section prescribes minimum standards for         |
|               | co-worker report policies. Nothing in this section    |
| **219.405**   | restricts a railroad from adopting, publishing and    |
|               | implementing a policy that affords more favorable     |
|               | conditions to employees troubled by alcohol or drug   |
|               | abuse problems, consistent with the railroad\'s       |
|               | responsibility to prevent violations of §§219.101 and |
|               | 219.102.                                              |
|               |                                                       |
|               | ***[Employment relationship]{.underline}.*** A        |
|               | co-worker report policy must provide that a covered   |
|               | employee may maintain an employment relationship with |
|               | the railroad following an alleged first offense under |
|               | this part or the railroad\'s alcohol and drug rules,  |
|               | subject to the conditions and procedures contained in |
|               | this section.                                         |
|               |                                                       |
|               | ***[General conditions and                            |
|               | procedures]{.underline}**.*                           |
|               |                                                       |
|               | 1\. The alleged violation must come to the attention  |
|               | of the railroad as a result of a report by a          |
|               | co-worker that the employee was apparently unsafe to  |
|               | work with or was, or appeared to be, in violation of  |
|               | 219 or the railroad\'s alcohol and drug rules.        |
|               |                                                       |
|               | 2\. If the railroad representative determines that    |
|               | the employee is in violation, the railroad may        |
|               | immediately remove the employee from service in       |
|               | accordance with its existing policies and procedures. |
|               |                                                       |
|               | 3\. The employee must elect to waive investigation on |
|               | the rule charge and must contact the substance abuse  |
|               | professional within a reasonable period specified by  |
|               | the policy.                                           |
|               |                                                       |
|               | 4\. The substance abuse professional must schedule    |
|               | necessary interviews with the employee and complete   |
|               | an evaluation within 10 calendar days of the date on  |
|               | which the employee contacts the professional with a   |
|               | request for evaluation under the policy, unless it    |
|               | becomes necessary to refer the employee for further   |
|               | evaluation. In each case, all necessary evaluations   |
|               | must be completed within 20 days of the date on which |
|               | the employee contacts the professional.               |
|               |                                                       |
|               | *[When treatment is required]{.underline}.* If the    |
|               | substance abuse professional determines that the      |
|               | employee is affected by psychological or chemical     |
|               | dependence on alcohol or a drug or by another         |
|               | identifiable and treatable mental or physical         |
|               | disorder involving the abuse of alcohol or drugs as a |
|               | primary manifestation, the following conditions and   |
|               | procedures apply:                                     |
|               |                                                       |
|               | 1\. The railroad must, to the extent necessary for    |
|               | treatment and rehabilitation, grant the employee a    |
|               | leave of absence from the railroad for the period     |
|               | necessary to complete primary treatment and establish |
|               | control over the employee\'s alcohol or drug problem. |
|               | The policy must allow a leave of absence of not less  |
|               | than 45 days, if necessary for the purpose of meeting |
|               | initial treatment needs.                              |
|               |                                                       |
|               | 2\. The employee must agree to undertake and          |
|               | successfully complete a course of treatment deemed    |
|               | acceptable by the substance abuse professional.       |
|               |                                                       |
|               | 3\. The railroad must promptly return the employee to |
|               | service, on recommendation of the substance abuse     |
|               | professional, when the employee has established       |
|               | control over the substance abuse problem. Return to   |
|               | service may also be conditioned on successful         |
|               | completion of a return-to-service medical             |
|               | examination. Approval to return to service may not be |
|               | unreasonably withheld.                                |
|               |                                                       |
|               | 4\. Following return to service, the employee, as a   |
|               | further condition on withholding of discipline, may,  |
|               | as necessary, be required to participate in a         |
|               | reasonable program of follow-up treatment for a       |
|               | period not to exceed 60 months from the date the      |
|               | employee was originally withdrawn from service.       |
|               |                                                       |
|               | ***[When treatment is not required]{.underline}**.*   |
|               | If the substance abuse professional determines that   |
|               | the employee is not affected by an identifiable and   |
|               | treatable mental or physical disorder---              |
|               |                                                       |
|               | 1\. The railroad must return the employee to service  |
|               | within 5 days after completion of the evaluation.     |
|               |                                                       |
|               | 2\. During or following the out-of-service period,    |
|               | the railroad may require the employee to participate  |
|               | in a program of education and training concerning the |
|               | effects of alcohol and drugs on occupational or       |
|               | transportation safety.                                |
|               |                                                       |
|               | ***[Follow-up tests]{.underline}**.* A railroad may   |
|               | conduct return-to-service and/or follow-up tests (as  |
|               | described in §219.104) of an employee who waives      |
|               | investigation and is determined to be ready to return |
|               | to service under this section.                        |
+---------------+-------------------------------------------------------+

#####  

##### 

+---------------+-------------------------------------------------------+
| **DOT         | **Policy Requirements**                               |
| Agency**      |                                                       |
+---------------+-------------------------------------------------------+
| **FRA \[5 of  | ##### 219.407 Alternate policies.                     |
| 5             |                                                       |
| sections\]**  | In lieu of a policy under §219.403 (voluntary         |
|               | referral) or §219.405 (co-worker report), or both, a  |
| **219.407**   | railroad may adopt, publish and implement, with       |
|               | respect to a particular class or craft of covered     |
|               | employees, an alternate policy or policies having as  |
|               | their purpose the prevention of alcohol or drug use   |
|               | in railroad operations, if such policy or policies    |
|               | have the written concurrence of the recognized        |
|               | representatives of such employees.                    |
|               |                                                       |
|               | The concurrence of recognized employee                |
|               | representatives in an alternate policy may be         |
|               | evidenced by a collective bargaining agreement or any |
|               | other document describing the class or craft of       |
|               | employees to which the alternate policy applies. The  |
|               | agreement or other document must make express         |
|               | reference to this part and to the intention of the    |
|               | railroad and employee representatives that the        |
|               | alternate policy applies in lieu of the policy        |
|               | required by §219.403, §219.405, or both.              |
|               |                                                       |
|               | The railroad must file the agreement or other         |
|               | document described in paragraph b with the Associate  |
|               | Administrator for Safety, FRA. If the alternate       |
|               | policy is amended or revoked, the railroad must file  |
|               | a notice of such amendment or revocation at least 30  |
|               | days prior to the effective date of such action.      |
|               |                                                       |
|               | This section does not excuse a railroad from          |
|               | adopting, publishing and implementing the policies    |
|               | required by §§219.403 and 219.405 with respect to any |
|               | group of covered employees not within the coverage of |
|               | an appropriate alternate policy.                      |
+---------------+-------------------------------------------------------+

![](media/image31.jpeg){width="4.81875in" height="1.6493055555555556in"}

+-------------+--------------------------------------------------------+
| **DOT       | **Policy Requirements**                                |
| Agency**    |                                                        |
+-------------+--------------------------------------------------------+
| **FTA**     | **49 CFR Part 655.15** -- The local governing board of |
|             | the employer or operator shall adopt an anti-drug and  |
|             | alcohol misuse policy statement which are made         |
|             | available to employees and contain the following:      |
|             |                                                        |
|             | 1\. The identity of the person, office, branch and/or  |
|             | position designated by the employer to answer employee |
|             | questions about the employer\'s anti-drug use and      |
|             | alcohol misuse programs.                               |
|             |                                                        |
|             | 2\. The categories of employees who are subject to the |
|             | provisions of Part 655.                                |
|             |                                                        |
|             | 3\. Specific information concerning the behavior and   |
|             | conduct prohibited by Part 655.                        |
|             |                                                        |
|             | 4\. The specific circumstances under which a covered   |
|             | employee will be tested for prohibited drugs or        |
|             | alcohol misuse under Part 655.                         |
|             |                                                        |
|             | 5\. The procedures that will be used to test for the   |
|             | presence of illegal drugs or alcohol misuse, protect   |
|             | the employee and the integrity of the drug and alcohol |
|             | testing process, safeguard the validity of the test    |
|             | results, and ensure the test results are attributed to |
|             | the correct covered employee.                          |
|             |                                                        |
|             | 6\. The requirement that a covered employee submit to  |
|             | drug and alcohol testing administered in accordance    |
|             | with Part 655.                                         |
|             |                                                        |
|             | 7\. A description of the kind of behavior that         |
|             | constitutes a refusal to take a drug or alcohol test,  |
|             | and a statement that such a refusal constitutes a      |
|             | violation of the employer\'s policy.                   |
|             |                                                        |
|             | 8\. The consequences for a covered employee who has a  |
|             | verified positive drug or a confirmed alcohol test     |
|             | result with an alcohol concentration of 0.04 or        |
|             | greater, or who refuses to submit to a test under this |
|             | part, including the mandatory requirements that the    |
|             | covered employee be removed immediately from his or    |
|             | her safety-sensitive function and be evaluated by a    |
|             | substance abuse professional, as required by 49 CFR    |
|             | Part 40.                                               |
|             |                                                        |
|             | 9\. The consequences, as set forth in §655.35 of       |
|             | subpart D, for a covered employee who is found to have |
|             | an alcohol concentration of 0.02 or greater but less   |
|             | than 0.04.                                             |
|             |                                                        |
|             | 10\. The re-collection requirements, if any, for       |
|             | dilute specimens.                                      |
|             |                                                        |
|             | **This FTA website shows model transit policies:**     |
|             |                                                        |
|             | <http://transit-safety.volpe.dot.gov/publica           |
|             | tions/safety/BestPractices/BestPractices_Policies.pdf> |
+-------------+--------------------------------------------------------+

![](media/image32.jpeg){width="5.0in" height="1.5319444444444446in"}

+------------+---------------------------------------------------------+
| **DOT      | **Policy Requirements**                                 |
| Agency**   |                                                         |
+------------+---------------------------------------------------------+
| **PHMSA**  | **49 CFR Part 199** -- Operators must have an anti-drug |
|            | plan and an alcohol misuse policy which are made        |
|            | available to employees and contain the following:       |
|            |                                                         |
|            | **199.101 Anti-Drug Plan**                              |
|            |                                                         |
|            | 1\. Methods and procedures for compliance with all the  |
|            | requirements of Part 199, including the employee        |
|            | assistance program.                                     |
|            |                                                         |
|            | 2\. The name and address of each laboratory that        |
|            | analyzes the specimens collected for drug testing.      |
|            |                                                         |
|            | 3\. The name and address of the operator\'s Medical     |
|            | Review Officer, and Substance Abuse Professional.       |
|            |                                                         |
|            | 4\. Procedures for notifying employees of the coverage  |
|            | and provisions of the plan.                             |
|            |                                                         |
|            | **199.239 Misuse of Alcohol Policy**                    |
|            |                                                         |
|            | 1\. The identity of the person designated by the        |
|            | operator to answer covered employee questions about the |
|            | materials.                                              |
|            |                                                         |
|            | 2\. The categories of employees who are subject to the  |
|            | alcohol testing provisions of Part 199.                 |
|            |                                                         |
|            | 3\. Sufficient information about the covered functions  |
|            | performed by those employees to make clear what period  |
|            | of the work day the covered employee is required to be  |
|            | in compliance with the alcohol testing provisions of    |
|            | Part 199.                                               |
|            |                                                         |
|            | 4\. Specific information concerning covered employee    |
|            | conduct that is prohibited by this subpart.             |
|            |                                                         |
|            | 5\. The circumstances under which a covered employee    |
|            | will be tested for alcohol under the alcohol testing    |
|            | provisions of Part 199.                                 |
|            |                                                         |
|            | 6\. The procedures that will be used to test for the    |
|            | presence of alcohol, protect the covered employee and   |
|            | the integrity of the breath testing process, safeguard  |
|            | the validity of the test results, and ensure that those |
|            | results are attributed to the correct employee.         |
|            |                                                         |
|            | 7\. The requirement that a covered employee submit to   |
|            | alcohol tests administered in accordance with the       |
|            | alcohol testing provisions of Part 199.                 |
|            |                                                         |
|            | 8\. An explanation of what constitutes a refusal to     |
|            | submit to an alcohol test and the attendant             |
|            | consequences.                                           |
|            |                                                         |
|            | 9\. The consequences for covered employees found to     |
|            | have violated the prohibitions under this subpart,      |
|            | including the requirement that the employee be removed  |
|            | immediately from covered functions, and the procedures  |
|            | under §199.243.                                         |
|            |                                                         |
|            | 10\. The consequences for covered employees found to    |
|            | have an alcohol concentration of 0.02 or greater but    |
|            | less than 0.04.                                         |
|            |                                                         |
|            | 11\. Information concerning the effects of alcohol      |
|            | misuse on an individual\'s health, work, and personal   |
|            | life; signs and symptoms of an alcohol problem (the     |
|            | employee\'s or a coworker\'s); and including            |
|            | intervening evaluating and resolving problems           |
|            | associated with the misuse of alcohol including         |
|            | intervening when an alcohol problem is suspected,       |
|            | confrontation, referral to any available EAP, and/or    |
|            | referral to management.                                 |
+------------+---------------------------------------------------------+

![](media/image33.png){width="5.061805555555556in"
height="1.7513888888888889in"}

+-------------+--------------------------------------------------------+
| **DOT       | **Policy Requirements**                                |
| Agency**    |                                                        |
+-------------+--------------------------------------------------------+
| **USCG**    | **46 CFR Part 16** -- EAP Education Program            |
|             |                                                        |
|             | 16.401(a) -- The employer must display and distribute  |
|             | the employer's policy regarding drug and alcohol use   |
|             | in the workplace.                                      |
|             |                                                        |
|             | **Marine Employers Drug Testing Guidance:**            |
|             |                                                        |
|             | Each marine employer is recommended to have a written  |
|             | drug and alcohol testing policy.                       |
|             |                                                        |
|             | This policy details a company\'s position regarding    |
|             | their expectations of their crewmembers with regard to |
|             | drug and alcohol testing and actions to be taken as a  |
|             | result of drug testing results.                        |
|             |                                                        |
|             | A. At a minimum, a policy should cover the following   |
|             | topics:                                                |
|             |                                                        |
|             | 1\. That all company personnel, full-time, part-time,  |
|             | year round, seasonal, or contracted, that meet the     |
|             | definition of a crewmember, are subject to U.S. Coast  |
|             | Guard Drug and Alcohol Testing, in accordance with 46  |
|             | CFR Parts 4 and 16.                                    |
|             |                                                        |
|             | 2\. That any crewmember who tests positive or has a    |
|             | drug test violation, will be immediately removed from  |
|             | their safety-sensitive duties.                         |
|             |                                                        |
|             | 3\. Dismissal policy. Nothing in the regulations       |
|             | requires the marine employer to fire a crewmember that |
|             | tests positive or refuses to test, only that they be   |
|             | removed from their safety-sensitive duties. It is up   |
|             | to each individual employer to decide if a positive    |
|             | test or refusal will result in termination. If so, it  |
|             | needs to be stated in the company policy. It is        |
|             | recommended that phrases that are subjective or open   |
|             | to different interpretations be removed from the       |
|             | policy.                                                |
|             |                                                        |
|             | 4\. A referral to a SAP that is used by a marine       |
|             | employer for all drug test violations. The referral    |
|             | shall include the name and contact information for the |
|             | SAP.                                                   |
|             |                                                        |
|             | 5\. Policy regarding alcohol use and possession and    |
|             | the consequences for being found aboard a commercial   |
|             | vessel with a blood alcohol concentration greater than |
|             | or equal to 0.040%.                                    |
|             |                                                        |
|             | B. Many marine employers incorporate their position    |
|             | regarding the possession of drug paraphernalia,        |
|             | illegal drugs, and use of prescription drugs or over   |
|             | the counter medications in their policy. Additionally, |
|             | any other employment actions the company plans to take |
|             | should be spelled out in the policy.                   |
|             |                                                        |
|             | C. It is recommended that each crewmember sign a form  |
|             | stating that they have read and understood the         |
|             | company\'s drug and alcohol testing policy. This       |
|             | signed acknowledgement should remain on file for as    |
|             | long as the company employs the individual.            |
|             |                                                        |
|             | **Note:** It is highly recommended that marine         |
|             | employers have a written policy. The size of the       |
|             |                                                        |
|             | marine employer has no bearing on the recommendation   |
|             | for a written policy.                                  |
|             |                                                        |
|             | **This website offers Guidance to Marine Employers:**  |
|             | <http://www.dot.gov/ost/dapc/tes                       |
|             | tingpubs/Marine_Employers_Drug_Testing_Guide_2005.pdf> |
+-------------+--------------------------------------------------------+

![](media/image34.jpeg){width="5.432638888888889in"
height="1.4979166666666666in"}

[]{#AppendixB .anchor}***Appendix B** -- Collection Site Security and
Integrity*

**DOT's 10 Steps to Collection Site Security and Integrity**

**Office of Drug and Alcohol Policy and Compliance**

**U.S. Department of Transportation**

![](media/image1.jpeg){width="0.375in" height="0.3659722222222222in"}

> 1\. Pay careful attention to employees throughout the collection
> process.
>
> 2\. Ensure that there is no unauthorized access into the collection
> areas and that undetected access (e.g., through a door not in view) is
> not possible.
>
> 3\. Make sure that employees show proper picture ID.
>
> 4\. Make sure employees empty pockets; remove outer garments (e.g.,
> coveralls, jacket, coat, hat); leave briefcases, purses, and bags
> behind; and wash their hands.
>
> 5\. Maintain personal control of the specimen and CCF at all times
> during the collection.
>
> 6\. Secure any water sources or otherwise make them unavailable to
> employees (e.g., turn off water inlet, tape handles to prevent opening
> faucets, secure tank lids).
>
> 7\. Ensure that the water in the toilet and tank (if applicable) has
> bluing (coloring) agent in it. Tape or otherwise secure shut any
> movable toilet tank top, or put bluing in the tank.
>
> 8\. Ensure that no soap, disinfectants, cleaning agents, or other
> possible adulterants are present.
>
> 9\. Inspect the site to ensure that no foreign or unauthorized
> substances are present.
>
> 10\. Secure areas and items (e.g., ledges, trash receptacles, paper
> towel holders, under-sink areas, ceiling tiles) that appear suitable
> for concealing contaminants.

[]{#AppendixC .anchor}***Appendix C** -- Selecting Service Agents*

When selecting service agents, you have to weigh some very important
factors.

-   Can the service agent ensure their compliance with DOT regulations
    and guidelines?

-   Do they have employer references about the quality of their work?

-   Do they provide services during the times and on days you need them?

-   Do their personnel qualifications and training meet DOT
    requirements?

-   Have their services been shown to pass DOT inspections and audits?

-   Are they cost competitive?

-   If you need full services -- for example, you want random
    selections, collections, alcohol testing, laboratory testing, and
    MRO work -- do they offer a total package plan? On the other hand,
    if you need only one service -- for example, you need only
    collections -- do they offer single services?

The following is a list of the most common service agents and some
starting points to help you select them:

## **[Urine Specimen Collectors, BATs, and STTs]{.underline}**

There are a number of things to look for when selecting collectors,
BATs, and STTs.

1.  Ensure they offer the services you want. For example, do they offer
    both urine collections and alcohol testing? Will they come onto your
    worksite if you want them to?

2.  Make sure they are open for business at the times you need them to
    be. Are they open during the times your employees are on duty and
    may need to have tests? Will remain open if their closing time
    coincides with an employee presenting an insufficient amount of
    urine.

3.  Make sure they show you training documentation for their personnel.

4.  Have them explain their procedures for notifying you or the DER of
    test results -- especially refusals, positive alcohol tests, and
    problems with employees.

5.  Check-out their collection sites for being secure and having site
    integrity \[See [Appendix B](#AppendixB)\].

6.  Determine if their facilities are conveniently located, offer
    parking, and are professional looking.

7.  Find out if they have the correct CCFs, ATFs, collection kits, and
    alcohol test equipment.

8.  Ask if they have a fax machine and intend to use it immediately
    after each DOT collection and alcohol test to appropriately
    distribute the paperwork.

9.  Have them explain their procedures for collecting specimens under
    direct observation and whether they have same gender observers
    readily available.

10. Ask if they have DOT's collection guidelines, Part 40, and the DOT
    poster for collection site security and integrity on the premises.

11. See if they have references from other employers and records of DOT
    inspections and audits.

A [best practice]{.underline} is to visit collection facilities from
time to time when your employees are there for tests to see for yourself
how the process is going. You may discover that the site does not ensure
the integrity of the process or you may find if out they do. You should
also talk with your MRO to see how often tests are cancelled because of
collector errors. If collection companies are not doing a good job for
you, look elsewhere for the service. Don't risk being out of compliance
with DOT regulations.

## **[DHHS-Certified Drug Testing Laboratories]{.underline}**

All DOT drug testing must be done at laboratories certified by the
Department of Health and Human Services. So it is your job to contact a
laboratory to arrange testing. The HHS publishes monthly a listing of
certified laboratories.

You can find them at this webpage:
<http://workplace.samhsa.gov/DrugTesting/Level_1_Pages/CertifiedLabs.aspx>

If you are working with a C/TPA, it is very likely that the C/TPA will
arrange laboratory services for you and will come up with a cost for
you. Whether you select the laboratory yourself or have your C/TPA do
it, you will find that laboratories offer a variety of price packages.
The pricing packages are generally considered bundled pricing or
unbundled pricing.

***Bundled*** pricing means one price is offered per specimen no matter
what. Here it gets a little complicated. There are screening tests,
confirmation tests \[if screening tests are positive\], and tests to see
if specimens are adulterated or substituted. There are also tests to see
if methamphetamine positive results are because of legitimate reasons.
So for bundled pricing, all these tests could be rolled up into a
"one-price-fits-all" arrangement.

***Unbundled*** pricing means that you pay as you go with a specimen.
This "a la carte" pricing will cost you for each test the laboratory has
to run. That's the nature of unbundled pricing.

So, you will want to comparison shop. You will also want to find out if
the laboratory will routinely provide CCFs and collection kits to your
collection sites. A laboratory's hours of operation could be important
to you -- some operate 24 hours a day, seven days a week. You will also
want to check to see if they are responsive on critical reporting and
discussion issues -- your MRO may be the best source for this
information.

## **[Medical Review Officer (MRO)]{.underline}**

The MRO is the "gatekeeper" for your drug testing program. So, choose
yours wisely. You will want an MRO who has been certified by one of the
major MRO certification organizations. This means the MRO met the
credential requirements, was trained in MRO practices, and passed a
difficult certification examination.

Two MRO certification organizations make lists of their certified MROs
available on the Internet: Medical Review Officers Certification Counsel
(MROCC) at: <http://www.mrocc.com/index.htm> and the American
Association of Medical Review Officers (AAMRO) at:
<http://www.aamro.com/> .

Other resources could be the American Society of Addiction Medicine
(ASAM) at: <http://www.asam.org/> and the American College of
Occupational and Environmental Medicine (ACOEM) at
<http://www.acoem.org/> . If you are working with a C/TPA, it is very
likely that the C/TPA will arrange MRO services for you and will come up
with a cost for you. If an MRO is part of a C/TPA, you must make certain
the laboratory results go directly to the MRO and not to the C/TPA.

An MRO's hours of operation and whether they have other MROs ready to
stand in during vacations and illness could be important to you. Also
important is how often they provide direct supervision to their
administrative staff who perform important work on negative results or
who may facilitate contacting employees for medical reviews of
non-negative results. You may also want to find out what training the
MRO's staff has received. The MRO and staff do not have to be at the
same location, but this may be important to you. If you have Spanish
speaking employees, you might think a bilingual MRO, or a bilingual
person on the MRO's staff, would be a vital requirement.

So, you will want to comparison shop. And don't forget that like
laboratories, sometimes MROs bundle their services and will charge you
one price per result -- no matter if it is negative or positive or a
refusal. Others may offer unbundled pricing -- for instance, you may be
charged more for review of positive results than for review of negatives
because the process is much more complicated.

## **[Substance Abuse Professional (SAP)]{.underline}**

You have to find qualified SAPs in order to provide a list of them to
employees who violate drug and alcohol rules. Many of the same pointers
we gave you for selecting your laboratory and MRO will be useful in
selecting a SAP. One important factor to keep in mind is the SAP must be
acceptable to you and will need to be readily accessible to your
employees because their evaluation sessions must be in-person,
face-to-face.

To help you find qualified SAPs, we have the SAP training organizations
and national counseling associations on our website at:
<http://www.dot.gov/ost/dapc/testingpubs/SAPExamSources_200708_alpha.doc>
. They are excellent sources for finding qualified SAPs. Simple Internet
searches are also useful for finding the larger SAP networks such as:
American Substance Abuse Professionals, Inc. and National Substance
Abuse Professionals Network. If you are working with a C/TPA, it is very
likely that the C/TPA will arrange SAP services for you.

***Note***: If you are covered under FAA or USCG regulations, make sure
your SAP is knowledgeable about their special return-to-work
requirements.

## **[Consortium/Third Party Administrator (C/TPA)]{.underline}**

When you turn to a C/TPA to operate your program for you, they are being
entrusted with your program's compliance. You will want to ensure that
they select the best possible collection sites, laboratories, MROs, and
SAPs for you. You will also want to ensure that they know how to do the
types of duties laid out in the appropriate DOT Agency or USCG
regulations. You may also want to find out how much they know about your
industry and your company needs.

***Remember***: If the C/TPA is not in compliance with the regulations,
neither are you! Not only that, you will be held accountable for their
non-compliance!

So if you have them do your random selections and they don't do them
correctly, you have a serious problem. And, if you have them do your
urine collections and the collection site does not have measures in
place to ensure the integrity of the collection, you have a serious
problem.

Figuratively speaking, C/TPAs stand in the shoes of the employer.
Therefore, you must ensure they know what they are doing and that the
services they offer not only fit your needs but follow Part 40 and the
appropriate DOT Agency regulations. Tell them, "No short cuts, please!"
You may also want your contract with them to read that they pay for any
fines levied on you by a DOT Agency or USCG for their mistakes.

There are several items to look for when selecting a C/TPA to assist you
in administering your program. For example:

1.  Are they known to systematically review and evaluate the work of
    their service agents, such as collection sites and collectors?

2.  How do they ensure that their service agents have the latest DOT
    regulations and guidance?

3.  Do they maintain the training and qualification records of their
    service agents?

4.  Which testing records will they maintain on your behalf?

5.  If they conduct your random testing program, how often are the
    selections made?

6.  Can they provide you with a random testing plan outlining how the
    program works?

7.  Is their point of contact person available during times and days you
    need?

8.  If you have a question about the regulations, will they have someone
    there to answer?

9.  Do they offer to review your account with you on a monthly basis?

10. Are they willing to discuss concerns you may have with service agent
    performance?

11. Are they willing to conduct reviews of your program before you have
    a DOT inspection?

12. Following a DOT inspection, are they willing to take necessary
    corrective actions?

13. Are records they maintain for you retrievable in short order?

14. How willing are they to be held accountable for serious service
    agent errors?

There are several ways to find a C/TPA.

The USCG publishes "Drug and Alcohol Program Inspectors Drug Testing
Service Agents (State by State Listing." This document provides a
listing of service agents by state and a listing of [C/TPAs that offer
nationwide services]{.underline}. This document is available on the USCG
website at:
[[http://homeport.uscg.mil/mycg/portal/ep/browse.do?channelId=-18374&channelPage=/]{.underline}](http://homeport.uscg.mil/mycg/portal/ep/browse.do?channelId=-18374&channelPage=/)

Just scroll down to "Drug and Alcohol Program" and select "Drug Testing
Service Providers."

You can also check with some of the industry organizations and
associations listed on our website's, "Employer Page" at:
<http://www.dot.gov/ost/dapc/employer.html>. Associations such as the
Substance Abuse Program Administrators Association (SAPAA) and the Drug
and Alcohol Testing Industry Association (DATIA) can direct you to their
member C/TPAs.

Last but certainly not least, another good source is to check with other
transportation employers to see who they use. These employers should be
able to tell you if they are satisfied with the services a particular
C/TPA provides.

![](media/image35.png){width="3.66875in" height="2.9541666666666666in"}

[]{#AppendixD .anchor}***Appendix D** -- Post Accident Testing Criteria*

+-------+----------+-------------------------+------------------------+
| **    | **Regu   | **Testing Criteria**    | **Who Is Tested**      |
| DOT** | lation** |                         |                        |
|       |          |                         |                        |
| **Age |          |                         |                        |
| ncy** |          |                         |                        |
+-------+----------+-------------------------+------------------------+
| **FM  | 49 CFR   | 1\. There is a          | The surviving driver.  |
| CSA** | Part     | fatality; or            |                        |
|       | 382.303  |                         | \[*FMCSA regulations   |
|       |          | 2\. The driver is cited | do not call for        |
|       |          | for a moving violation  | testing of deceased    |
|       |          | AND either:             | drivers.*\]            |
|       |          |                         |                        |
|       |          | > a\) The vehicle is    |                        |
|       |          | > towed from the scene; |                        |
|       |          | > or                    |                        |
|       |          | >                       |                        |
|       |          | > b\) Someone is        |                        |
|       |          | > medically evacuated   |                        |
|       |          | > from the scene.       |                        |
+-------+----------+-------------------------+------------------------+
| **    | 14 CFR   | An occurrence           | Any employee whose     |
| FAA** | Part 121 | associated with the     | performance either     |
|       | Appendix | operation of an         | contributed to or      |
|       | I, §     | aircraft which takes    | could not be           |
|       | V.C. &   | place between the time  | discounted as a        |
|       | Appendix | any person boards the   | contributing factor to |
|       | J,       | aircraft with the       | the accident.          |
|       |          | intention of flight and |                        |
|       | § III.B. | the time all such       |                        |
|       |          | persons have            |                        |
|       |          | disembarked, AND        |                        |
|       |          |                         |                        |
|       |          | in which any person     |                        |
|       |          | suffers death or        |                        |
|       |          | serious injury or in    |                        |
|       |          | which the aircraft      |                        |
|       |          | receives substantial    |                        |
|       |          | damage.                 |                        |
+-------+----------+-------------------------+------------------------+

![](media/image36.png){width="3.045138888888889in"
height="3.348611111111111in"}

+-------+----------+-------------------------+------------------------+
| **    | **Regu   | **Testing Criteria**    | **Who Is Tested**      |
| DOT** | lation** |                         |                        |
|       |          |                         |                        |
| **Age |          |                         |                        |
| ncy** |          |                         |                        |
+-------+----------+-------------------------+------------------------+
| **    | 49 CFR   | [Major Train            | [Major Train           |
| FRA** | Part     | Accident:]{.underline}  | Accident:]{.underline} |
|       | 219.201  |                         |                        |
|       |          | A train accident        | All train and engine   |
|       |          | involving:              | employees (including   |
|       |          |                         | deceased employees)    |
|       |          | a)  a fatality; or      | and any other covered  |
|       |          |                         | employee who had a     |
|       |          | b)  release of          | role in the cause or   |
|       |          |     hazardous lading    | severity of the        |
|       |          |     material; or        | accident.              |
|       |          |                         |                        |
|       |          | c)  damage to railroad  | [Impact                |
|       |          |     property of \$1M or | Accident:]{.underline} |
|       |          |     more                |                        |
|       |          |                         | Any covered employee   |
|       |          | ***FRA's Post-Accident  | who had a role in the  |
|       |          | Testing Flow Chart**    | cause or severity of   |
|       |          | can be viewed at:*      | the accident.          |
|       |          |                         |                        |
|       |          | [*http://www.           | [Fatal Train           |
|       |          | fra.dot.gov/us/content/ | Incident]{.underline}: |
|       |          | 1790*](http://www.fra.d |                        |
|       |          | ot.gov/us/content/1790) | The deceased employee  |
|       |          |                         | and any covered        |
|       |          | [Impact                 | employee who had a     |
|       |          | Accident:]{.underline}  | role in the cause or   |
|       |          |                         | severity of the        |
|       |          | An accident involving   | accident.              |
|       |          | damage in excess of the |                        |
|       |          | reporting threshold and | [Passenger Train       |
|       |          |                         | Accident:]{.underline} |
|       |          | a)  there is a          |                        |
|       |          |     reportable injury,  | Any covered employee   |
|       |          |     or                  | who had a role in the  |
|       |          |                         | cause or severity of   |
|       |          | b)  damage to railroad  | the accident.          |
|       |          |     property of         |                        |
|       |          |     \$150,000 or more   |                        |
|       |          |                         |                        |
|       |          | [Fatal Train            |                        |
|       |          | Incident]{.underline}:  |                        |
|       |          |                         |                        |
|       |          | Fatality on any on-duty |                        |
|       |          | railroad employee       |                        |
|       |          | involved with the       |                        |
|       |          | movement of on-track    |                        |
|       |          | equipment.              |                        |
|       |          |                         |                        |
|       |          | [Passenger Train        |                        |
|       |          | Accident:]{.underline}  |                        |
|       |          |                         |                        |
|       |          | An accident involving   |                        |
|       |          | damage in excess of the |                        |
|       |          | reporting threshold and |                        |
|       |          |                         |                        |
|       |          | a reportable injury to  |                        |
|       |          | any person.             |                        |
|       |          |                         |                        |
|       |          | [Exclusion from Post    |                        |
|       |          | Accident                |                        |
|       |          | Testing:]{.underline}   |                        |
|       |          |                         |                        |
|       |          | Collision between       |                        |
|       |          | railroad on-track       |                        |
|       |          | equipment and a motor   |                        |
|       |          | vehicle or other        |                        |
|       |          | highway conveyance at a |                        |
|       |          | rail/highway grade      |                        |
|       |          | crossing.               |                        |
|       |          |                         |                        |
|       |          | Accidents or incidents  |                        |
|       |          | in which the cause and  |                        |
|       |          | severity are wholly     |                        |
|       |          | attributable to a       |                        |
|       |          | natural cause or to     |                        |
|       |          | vandalism or            |                        |
|       |          | trespasser(s).          |                        |
+-------+----------+-------------------------+------------------------+

+-------+----------+-------------------------+------------------------+
| **    | **Regu   | **Testing Criteria**    | **Who Is Tested**      |
| DOT** | lation** |                         |                        |
|       |          |                         |                        |
| **Age |          |                         |                        |
| ncy** |          |                         |                        |
+-------+----------+-------------------------+------------------------+
| **    | 49 CFR   | [Fatal                  | [Fatal                 |
| FTA** | Part     | Accident:]{.underline}  | Accident:]{.underline} |
|       | 655.44   |                         |                        |
|       |          | Occurrence associated   | Each surviving         |
|       |          | with the operation of a | employee operating the |
|       |          | vehicle where an        | mass transit vehicle   |
|       |          | individual dies.        | at the time of the     |
|       |          |                         | accident. Also, any    |
|       |          | [Non-Fatal              | other covered employee |
|       |          | Accident:]{.underline}  | whose performance      |
|       |          |                         | could have contributed |
|       |          | Occurrence associated   | to the accident.       |
|       |          | with the operation of a |                        |
|       |          | vehicle where:          | \[*FTA testing is not  |
|       |          |                         | required if the        |
|       |          | a)  an individual       | employee is covered    |
|       |          |     receives medical    | under the FMCSA        |
|       |          |     treatment away from | post-accident testing  |
|       |          |     the scene; or       | requirements of        |
|       |          |                         | 382.303.*\]            |
|       |          | b)  the rubber-tired    |                        |
|       |          |     vehicle is towed    | [Non-Fatal             |
|       |          |     from the scene due  | Accident:]{.underline} |
|       |          |     to disabling        |                        |
|       |          |     damage; or          | Each employee          |
|       |          |                         | operating the mass     |
|       |          | c)  the fixed-guideway  | transit vehicle        |
|       |          |     vehicle or vessel   | *unless the employee's |
|       |          |     is removed from     | performance can be     |
|       |          |     operation.          | completely discounted  |
|       |          |                         | as a contributing      |
|       |          |                         | factor*. Also, any     |
|       |          |                         | other covered employee |
|       |          |                         | whose performance      |
|       |          |                         | could have contributed |
|       |          |                         | to the accident.       |
+-------+----------+-------------------------+------------------------+
| **PH  | 49 CFR   | An incident reportable  | Each employee whose    |
| MSA** | Part     | under Part 191          | performance either     |
|       | 199.105  | involving gas pipeline  | contributed to the     |
|       | &        | facilities or LNG       | accident or cannot be  |
|       |          | facilities, or an       | completely discounted  |
|       | 199.225  | accident reportable     | as a contributing      |
|       |          | under Part 195          | factor to the          |
|       |          | involving hazardous     | accident.              |
|       |          | liquid pipeline         |                        |
|       |          | facilities.             |                        |
+-------+----------+-------------------------+------------------------+

+-------+----------+-------------------------+------------------------+
| **    | **Regu   | **Testing Criteria**    | **Who Is Tested**      |
| DOT** | lation** |                         |                        |
|       |          |                         |                        |
| **Age |          |                         |                        |
| ncy** |          |                         |                        |
+-------+----------+-------------------------+------------------------+
| **U   | 46 CFR   | A Serious Marine        | Those personnel        |
| SCG** | Part     | Incident, is any        | directly involved in a |
|       | 16.240   | reportable marine       | Serious Marine         |
|       |          | casualty \[reference 46 | Incident.              |
|       |          | CFR 4.03-1\] that       |                        |
|       |          | results, ***or***, in   |                        |
|       |          | the marine employer\'s  |                        |
|       |          | estimation **may        |                        |
|       |          | result**, in any of the |                        |
|       |          | following:              |                        |
|       |          |                         |                        |
|       |          | 1.  One or more         |                        |
|       |          |     fatalities.         |                        |
|       |          |                         |                        |
|       |          | 2.  An injury to a      |                        |
|       |          |     crewmember,         |                        |
|       |          |     passenger, or other |                        |
|       |          |     person which        |                        |
|       |          |     requires            |                        |
|       |          |     professional        |                        |
|       |          |     medical treatment   |                        |
|       |          |     beyond first aid,   |                        |
|       |          |     and, in the case of |                        |
|       |          |     a person employed   |                        |
|       |          |     on board a vessel   |                        |
|       |          |     in commercial       |                        |
|       |          |     service, which      |                        |
|       |          |     renders the         |                        |
|       |          |     individual unfit to |                        |
|       |          |     perform routine     |                        |
|       |          |     vessel duties.      |                        |
|       |          |                         |                        |
|       |          | 3.  Property damage in  |                        |
|       |          |     excess of           |                        |
|       |          |     \$100,000.          |                        |
|       |          |                         |                        |
|       |          | 4.  Actual or           |                        |
|       |          |     constructive total  |                        |
|       |          |     loss of any         |                        |
|       |          |     inspected vessel.   |                        |
|       |          |                         |                        |
|       |          | 5.  Actual or           |                        |
|       |          |     constructive total  |                        |
|       |          |     loss of any         |                        |
|       |          |     self-propelled      |                        |
|       |          |     un-inspected vessel |                        |
|       |          |     of 100 gross tons   |                        |
|       |          |     or more.            |                        |
|       |          |                         |                        |
|       |          | 6.  A discharge of oil  |                        |
|       |          |     into a navigable    |                        |
|       |          |     water in excess of  |                        |
|       |          |     10,000 gallons.     |                        |
|       |          |                         |                        |
|       |          | 7.  A release of a      |                        |
|       |          |     Hazardous Substance |                        |
|       |          |     greater than or     |                        |
|       |          |     equal to its        |                        |
|       |          |     reportable quantity |                        |
|       |          |     into a navigable    |                        |
|       |          |     water, whether from |                        |
|       |          |     a casualty or not.  |                        |
+-------+----------+-------------------------+------------------------+

# *Appendix E -- Prior Testing History Release of Information Format* 

# \[Note: FMCSA for CMV Drivers -- records for 3 years; FAA for Pilots -- records for 5 years.\]

**[Section I]{.underline}. To be completed by the new employer, signed
by the employee, and transmitted to the previous employer:**

Employee Printed or Typed Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Employee SS or ID Number:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

I hereby authorize release of information from my Department of
Transportation regulated drug and alcohol testing records by my previous
employer, listed in *Section I-B*, to the employer listed in *Section
I-A*. This release is in accordance with DOT Regulation 49 CFR Part 40,
Section 40.25. I understand that information to be released in *Section
II-A* by my previous employer, is limited to the following DOT-regulated
testing items:

1\. Alcohol tests with a result of 0.04 or higher;

2\. Verified positive drug tests;

3\. Refusals to be tested;

4\. Other violations of DOT agency drug and alcohol testing regulations;

5\. Information obtained from previous employers of a drug and alcohol
rule violation;

6\. Documentation, if any, of completion of the return-to-duty process
following a rule violation.

Employee Signature:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**I-A.**

**New** Employer Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Phone #:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Fax #:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Designated Employer Representative:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**I-B.**

**Previous** Employer Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Phone #:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Designated Employer Representative (if known):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Section II]{.underline}. To be completed by the previous employer and
transmitted by mail or fax to the new employer:**

**II-A.** In the two years prior to the date of the employee's signature
(in Section I), for DOT-regulated testing \~

1\. Did the employee have alcohol tests with a result of 0.04 or higher?
**YES \_\_\_\_ NO \_\_\_\_**

2\. Did the employee have verified positive drug tests? **YES \_\_\_\_
NO \_\_\_\_**

3\. Did the employee refuse to be tested? **YES \_\_\_\_ NO \_\_\_\_**

4\. Did the employee have other violations of DOT agency drug and

alcohol testing regulations? **YES \_\_\_\_ NO \_\_\_\_**

5\. Did a previous employer report a drug and alcohol rule

violation to you? **YES \_\_\_\_ NO \_\_\_\_**

6\. If you answered "yes" to any of the above items, did the

employee complete the return-to-duty process? **N/A \_\_\_\_ YES
\_\_\_\_ NO \_\_\_\_**

> NOTE: If you answered "yes" to item 5, you must provide the previous
> employer's report. If you answered "yes" to item 6, you must also
> transmit the appropriate return-to-duty documentation (e.g., SAP
> report(s), follow-up testing record).

**II-B.**

Name of person providing information in *Section II-A*:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Title:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Phone #:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

# *Appendix F -- DOT & USCG Drug and Alcohol Program Manager Contact Information*

The following chart lists each DOT Agency and USCG drug and alcohol
program's contact information:

+-----------------------+-----------------------+-----------------------+
| **DOT Agency**        | **Program Manager     | **Drug and Alcohol    |
|                       | Information**         | Testing Regulations** |
+-----------------------+-----------------------+-----------------------+
| [Federal Motor        | Enforcement &         | For motor carriers    |
| Carrier Safety        | Compliance Office\    | and commercial        |
| Administration**[\    | Room W63-310\         | driver\'s license     |
| ]{.u                  | 1200 New Jersey       | holders (CDL)         |
| nderline}**(FMCSA)](h | Avenue, SE\           |                       |
| ttp://www.fmcsa.dot.g | Washington DC 20590\  | [49 CFR Part          |
| ov/rules-regulations/ | Phone: 202-366-2096\  | 382]                  |
| topics/drug/drug.htm) | Fax: 202-366-7908     | (http://ecfr.gpoacces |
|                       |                       | s.gov/cgi/t/text/text |
|                       |                       | -idx?c=ecfr;sid=7be61 |
|                       |                       | 8c5eb56986bf8b5bd1344 |
|                       |                       | 50b9f3;rgn=div5;view= |
|                       |                       | text;node=49%3A5.1.1. |
|                       |                       | 2.25;idno=49;cc=ecfr) |
+-----------------------+-----------------------+-----------------------+
| [Federal Aviation     | Drug Abatement        | For employers and     |
| Administration**[\    | Division\             | employees in the      |
| ]{.u                  | Room 803 (AAM-800)\   | aviation industry     |
| nderline}**(FAA)](htt | 800 Independence      |                       |
| p://www.faa.gov/about | Avenue, SW\           | [14 CFR Part 121**[\  |
| /office_org/headquart | Washington DC 20591\  | ]{                    |
| ers_offices/avs/offic | Phone: 202-267-8442\  | .underline}**Appendix |
| es/aam/drug_alcohol/) | Fax: 202-267-5200     | I &                   |
|                       |                       | J](http://www.        |
|                       |                       | faa.gov/about/office_ |
|                       |                       | org/headquarters_offi |
|                       |                       | ces/avs/offices/aam/d |
|                       |                       | rug_alcohol/testing/) |
+-----------------------+-----------------------+-----------------------+
| [Federal Railroad     | Office of Safety\     | For employers and     |
| Administration**[\    | 1200 New Jersey       | employees working in  |
| ]{.underline}**(FR    | Avenue, SE\           | the railroad industry |
| A)](http://www.fra.do | W38-330\              |                       |
| t.gov/us/content/504) | Washington DC 20590\  | [49 CFR Part          |
|                       | Phone: 202-493-6313\  | 219](http://ecf       |
|                       | Fax: 202-493-6230     | r.gpoaccess.gov/cgi/t |
|                       |                       | /text/text-idx?c=ecfr |
|                       |                       | &sid=b628008d75b902fc |
|                       |                       | f07626e04524898e&rgn= |
|                       |                       | div5&view=text&node=4 |
|                       |                       | 9:4.1.1.1.14&idno=49) |
+-----------------------+-----------------------+-----------------------+
| [Federal Transit      | Office of Safety &    | For employers and     |
| Administration**[\    | Security\             | employees working in  |
| ]{.underline}**(      | TPM-30, Room E46\     | the mass transit      |
| FTA)](http://transit- | 1200 New Jersey       | industry              |
| safety.volpe.dot.gov/ | Avenue, SE\           |                       |
| Safety/DATesting.asp) | Washington DC 20590\  | [49 CFR Part          |
|                       | Phone: 617-494-2395\  | 655](http://ecf       |
|                       | Fax: 202-366-3394     | r.gpoaccess.gov/cgi/t |
|                       |                       | /text/text-idx?c=ecfr |
|                       |                       | &sid=3c6ce06441033058 |
|                       |                       | 9cc7b36c68100bcb&rgn= |
|                       |                       | div5&view=text&node=4 |
|                       |                       | 9:7.1.1.1.14&idno=49) |
+-----------------------+-----------------------+-----------------------+
| [Pipeline and         | Office of the         | For operators and     |
| Hazardous Materials   | Administrator\        | employees working in  |
| Safety                | PH-3, Room E24-302\   | the pipeline industry |
| Administration**[\    | 1200 New Jersey       |                       |
| ]{                    | Avenue, SE\           | [49 CFR Part          |
| .underline}**(PHMSA)] | Washington DC 20590\  | 199](http://ec        |
| (http://www.phmsa.dot | Phone: 202-366-3844\  | fr.gpoaccess.gov/cgi/ |
| .gov/drug/index.html) | Fax: 202-366-3666     | t/text/text-idx?c=ecf |
|                       |                       | r&sid=b628008d75b902f |
|                       |                       | cf07626e04524898e&rgn |
|                       |                       | =div5&view=text&node= |
|                       |                       | 49:3.1.1.1.9&idno=49) |
+-----------------------+-----------------------+-----------------------+
| [United States Coast  | Office of             | For employer and      |
| Guard**[\             | Investigation &       | employees operating   |
| ]{.underline}**(USCG) | Casualty Analysis     | commercial vessels    |
| ](http://www.uscg.mil | (CG-545)\             |                       |
| /hq/gm/moa/dapip.htm) | Room 2404\            | [46 CFR Part          |
|                       | 2100 2^nd^ Street SW\ | 16](http://ecf        |
|                       | Washington DC         | r.gpoaccess.gov/cgi/t |
|                       | 20593-0001\           | /text/text-idx?c=ecfr |
|                       | Phone: 202-372-1033\  | &sid=58d13003aebd7b6d |
|                       | Fax: 202-372-1907     | 78e8a6dc0f7bf783&rgn= |
|                       |                       | div5&view=text&node=4 |
|                       |                       | 6:1.0.1.2.15&idno=46) |
|                       |                       |                       |
|                       |                       | [46 CFR Part          |
|                       |                       | 4](http://ec          |
|                       |                       | fr.gpoaccess.gov/cgi/ |
|                       |                       | t/text/text-idx?c=ecf |
|                       |                       | r&sid=58d13003aebd7b6 |
|                       |                       | d78e8a6dc0f7bf783&rgn |
|                       |                       | =div5&view=text&node= |
|                       |                       | 46:1.0.1.1.4&idno=46) |
+-----------------------+-----------------------+-----------------------+

This information and manager email addresses are available at:
<http://www.dot.gov/ost/dapc/oamanagers.html>

# 

# *Appendix G -- Audit/Inspection/Investigation/Compliance Records Review*

These represent most of the records a DOT Agency and USCG auditor,
inspector, or investigator will usually request and review during a
program review. Keep in mind, that DOT Agency and USCG regulations may
have additional and more specific record review requirements.

## 

## **[Policies, Plans, and Reports]{.underline}**

-   Alcohol and drug testing policies and instructions for implementing
    your program.

-   Previous two MIS annual reports either submitted to DOT, or prepared
    and retained.

-   Copies of written consent forms you sent to obtain 40.25 drug and
    alcohol information from previous employers, and the responses
    received from those employers.

-   Copies of written consent forms you received from prospective
    employers for 40.25 information, and documentation of your
    responses.

-   Semi-annual statistical summary reports from laboratories.

-   Records of blind specimens sent to laboratories for the previous two
    years.

-   List of all employees hired or transferred into safety-sensitive
    service for the past two years, including documentation of previous
    employer records check.

-   List of all employees with a non-negative test result in the last
    five years.

## **[Employee and Supervisor Training Records]{.underline}**

-   Educational materials for employees.

-   Documentation showing how education materials were made available to
    employees.

-   List of supervisors responsible for making reasonable suspicion and
    reasonable cause determinations.

-   Supervisory training lesson plans and course materials.

-   Attendance lists for supervisors who received this training.

-   Under FRA, supervisor post- accident training lesson plans, course
    materials, and attendance lists.

## **[Random Testing Records]{.underline}**

-   Information about the type of method used to select employees for
    testing.

-   Names of all employees in the random testing pool for each selection
    period that the DOT Agency or USCG will review.

-   Names of all employees selected for testing.

-   Names of all employees actually tested.

-   CCFs and ATFs showing employees were tested within the selection
    period.

-   For each selected employee not tested, documentation showing why the
    collection did not occur.

-   Records of collections by location, by date (or day of the week),
    and by time of the day (or shift).

-   Proof that testing occurred throughout all shifts and all workdays,
    in other words -- testing was unpredictable.

-   For railroads, your approved Drug and Alcohol Random Testing Plan.

## 

## **[Drug Testing Custody and Control Forms for All DOT Tests]{.underline}**

-   Pre-employment.

-   Random.

-   Reasonable suspicion, including supervisor justification
    documentation.

-   Reasonable cause, under FAA, FRA, and PHMSA, including supervisor
    justification documentation.

-   Post-accident, including documentation showing criteria were met.

-   Return-to-duty.

-   Follow-up.

## **[MRO Records]{.underline}**

-   Laboratory confirmed results reports sent to MROs.

-   MRO CCFs.

-   MRO results reports sent to employers.

-   MRO records of review of CCFs.

-   MRO medical review notes and records.

-   MRO downgrades.

-   Split request records.

-   Correctable and non-correctable flaw documentation.

## **[Alcohol Testing Forms for All DOT Tests]{.underline}**

-   Pre-employment, if applicable.

-   Random, under FMCSA, FAA, FRA, and FTA.

-   Reasonable suspicion, including supervisor justification
    documentation.

-   Reasonable cause under FRA, including supervisor justification
    documentation.

-   Post-accident, including documentation showing criteria were met.

-   Return-to-duty.

-   Follow-up.

-   Correctable and non-correctable flaw documentation.

## **[Employee Return to Duty Records]{.underline}**

-   SAP Initial Evaluation reports.

-   SAP Follow-up Evaluation reports, including follow-up testing plans.

-   Employee "Return to Duty" and "Last Chance Agreements," when
    applicable.

-   Return-to-duty and Follow-up testing compliance documentation.

-   Lists of qualified SAPs that you give to those who violate the
    regulations.

## **[Service Agent Documentation]{.underline}** 

-   Lists of service agents and their contact information.

-   Written agreements and contracts with service agents, if applicable.

-   Credentials, training, and examination or proficiency documentation.

**What Employers Need**

**To Know About**

**DOT Drug and Alcohol Testing**

***\[Guidance and Best Practices\]***

**Revised August 25, 2008**

**U.S. Department of Transportation**

**Office of the Secretary**

![](media/image1.jpeg){width="0.375in" height="0.3659722222222222in"}

**Office of Drug and Alcohol Policy and Compliance**

**\
1200 New Jersey Avenue, S.E.**

**W62-300**

**Washington, D.C. 20590**

**202.366.3784**

**202.366.3897 fax**

[www.dot.gov/ost/dapc](http://www.dot.gov/ost/dapc)

<odapcwebmail@dot.gov>

Changes from previous version \[Spring 2008\]:

Page 8: Typos -- "Pilots, truck drivers, subway operators, ship
captains, pipeline controllers, airline mechanics, ***locomotive
engineers***, and bus drivers are just some of the transportation
workers ***that*** we depend upon to ***be*** as clear-headed and as
alert as possible at all times."

Page 18: Chart -- "Saliva or breath for [alcohol screening]{.underline};
breath for [alcohol confirmation]{.underline} testing."

Page 19: Graphic -- "5. Return-to-duty and follow-up drug testing must
be under [direct observation]{.underline}."

Page 21: Typo -- "Congress gave the employee the right to have the split
tested, so ***if*** the employee asks to have the spilt tested, the test
must happen no matter who pays for it."

Pages 26-29: Charts -- Added four (4) additional refusals.