Marine Employers 

Drug Testing 

Guidance

(What Marine Employers Need 

to Know About Drug Testing)

Prepared by:

U.S. Coast Guard Headquarters

Office of Investigations and Analysis (G-MOA)

Drug and Alcohol Program Manager

June 2005
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Table of Contents

Introduction Page 1

Purpose Page 1

Applicable Code of Federal Regulations (CFR) Page 2

Definitions Page 3

How to Identify and Select Service Agents Page 10

Service Agent General Notes Page 10

SAMHSA Accredited Laboratories Page 11

Medical Review Officer (MRO) Page 11

Specimen Collection Facility Page 13

Substance Abuse Professional (SAP) Page 14

Consortia/Third Party Administrator (C/TPA) Page 14

Contracts Page 15

Step One -- The Written Policy Page 16

Step Two -- The Written Program Page 17

Step Three -- Conducting the Program Page 20

I. Pre-employment Tests

II. Pre-employment Background Checks

III. Random Tests

IV. Serious Marine Incident Tests

V. Reasonable Cause Tests

VI. Periodic Tests

VII. Record Keeping

VIII. Employee Assistance Program (EAP)

IX. Management Information System

X. Return to Duty Process Following a Positive Chemical Test

Frequently Asked Questions Page 33
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ENCLOSURES

Where to Get Information Enclosure 1

Sample Drug and Alcohol Policy Enclosure 2

Sample Positive Drug Test Reporting Letter Enclosure 3

Management Information System (MIS) Report Enclosure 4

CG 2692B - REPORT OF REQUIRED CHEMICAL

DRUG AND ALCOHOL TESTING FOLLOWING

A SERIOUS MARINE INCIDENT Enclosure 5

Drug and Alcohol Program Audit Checklist Enclosure 6

CG 719P - DOT/USCG Periodic Drug Testing Form Enclosure 7
1

Introduction: This booklet is designed to aid the marine employer in the development of a 

company drug and alcohol testing program that meets the requirements of Title 46 Code of 

Federal Regulations (CFR) Part 16; 46 CFR Part 4, and 49 CFR Part 40. In addition to 

reviewing this booklet, marine employers should become familiar with the other federal 

regulations identified in this document. Employers should also consider the advice of their 

insurance carrier and legal staff, before finalizing any policies or procedures regarding a 

company implemented drug and alcohol testing program. This booklet cannot possibly address 

every circumstance and scenario encountered in the maritime drug and alcohol testing field, 

however, it will provide marine employers with an understanding of the federal requirements. 

This Guide will provide guidance of some practical means of complying with the regulations.

Purpose of the U.S. Coast Guard's Drug and Alcohol Testing Program: These regulations 

are to provide a means to deter the illegal use of controlled substances by merchant marine 

personnel and to promote a drug-free and safe work environment for the safe passage of 

embarked passengers and for carriage of cargo on US waterways. Enforcement of these 

regulations by the U.S. Coast Guard is necessary to ensure that marine employers have taken the 

necessary steps to have a safe and drug-free working environment by conducting testing when 

required and in the manner described in the regulations. The marine employer, aided by a Coast 

Guard Drug and Alcohol Program Inspector (DAPI), should be able to develop a program that 

serves as a strong deterrent to the illegal use of controlled substances by covered crewmembers, 

and that promotes a safe, drug-free workplace.
2

Applicable Code of Federal Regulations (CFR)

These citations provide more information on the chemical testing requirements. See 

enclosure 1 for methods of obtaining these regulations.

46 CFR 16 Coast Guard - Chemical Testing: Coast Guard chemical testing 

requirements for the marine employers. Covers test categories, procedures, (when and 

who to test), and management.

46 CFR 4.06 Coast Guard - Mandatory Chemical Testing Following Serious Marine 

Incidents Involving Vessels in Commercial Service.

49 CFR 40 DOT - Procedures for Transportation Workplace Drug Testing Programs: 

procedures for all DOT-regulated drug testing, includes technical regulations for 

collection and testing (how to test).

33 CFR 95 Coast Guard - Operating a Vessel While Intoxicated: sets the standard for 

alcohol intoxication and contains authority for chemical testing, primarily for alcohol. 33 

CFR 95 is not discussed in this guide.

Failure, on the part of a marine employer, to implement or conduct chemical testing for 

dangerous drugs or for evidence of alcohol may result in a civil penalty of up to $5,500.00 per 

day for each violation. Each day of a continuing violation constitutes a separate violation. (46 

United States Code, Section 2115)
3

Definitions: Before getting started, a marine employer must first become familiar with some 

basic terms. Understanding the meaning of these terms is an important part of understanding 

what the regulations are asking of the marine employer. For a more complete list of definitions, 

please refer to 46 CFR 16.105 and 49 CFR Part 40.3. Definitions are listed by function and 

relation, rather than alphabetically.

The following listed terms are the most commonly used by marine employers and DAPIs:

Alcohol Use: The consumption of any beverage, mixture or preparation, including any 

medication, containing alcohol.

Cancelled or Invalid Test: A drug test that has been declared invalid by a Medical 

Review Officer (MRO). A cancelled test is neither a positive nor a negative test. A 

sample that has been rejected for testing by a laboratory is treated the same as a cancelled 

test. 

Chain of Custody: Is the set of procedures to account for the integrity of each urine or 

blood specimen by tracking its handling and storage from point of specimen collection to 

final disposition of the specimen. In drug testing, this requires the use of the appropriate 

drug testing custody and control form, from the time of collection to receipt by the 

laboratory to the final verified report issued by the MRO.

Collection Site: A place designated by the employer where individuals present 

themselves for the purpose of providing a specimen of their urine to be analyzed for the 

presence of drugs. Not to be confused with laboratory.

Commercial Service: includes any type of trade or business involving the transportation 

of goods or individuals.

Consortium/Third Party Administrator (C/TPA): A service agent that provides or 

coordinates the provision of a variety of drug and alcohol testing services to employers. 

C/TPAs typically perform administrative tasks concerning the operation of the 

employers' drug and alcohol testing programs. This term includes, but is not limited to, 

groups of employers who join together to administer, as a single entity, the DOT drug 

and alcohol testing programs of its members. C/TPAs are not "employers" for purposes 

of this part.

One of the major services that C/TPAs provide and manage is the random testing process 

for their clients. Basically, the consortium takes crewmembers from a number of marine 

employers, puts them into a random testing pool, and then ensures that the pool is tested 

at the random rate established by the Coast Guard (50% annually). 

For example, if there are 1,000 covered crewmembers, from 10 employers in the 

random drug testing pool, the consortium, on behalf of the employers, is 

responsible for conducting 500 random tests during the calendar year. It is 

important to note that members of a consortium may not see 50% of their own 

personnel tested in a given year. It is also possible that a consortium member 

may see more than 50% of its personnel tested in a given calendar year.
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Crewmember: An individual who is either;

(a) On board a vessel acting under the authority of a license or merchant 

mariner's document issued under this subchapter, whether or not the 

individual is a member of the vessel's crew.

For example:

License holders - The operator of an uninspected towing vessel, the master 

of a 500 gross ton ocean going vessel, or the operator of an uninspected 

passenger vessel [6-pack];

Merchant Mariner Document - able bodied seaman or tankerman.

(b) Engaged or employed on board a vessel owned in the United States that is 

required by law or regulation to engage, employ, or be operated by an 

individual holding a license, certificate of registry, or merchant mariner's 

document issued under this subchapter.

(Simply stated, if your vessel is required by law to be operated by a USCG 

licensed or documented mariner, personnel operating the vessel, including 

yourself, if self-employed, are subject to drug testing.)

(c) Exceptions: The following personnel are not subject to drug and alcohol 

testing under 46 CFR 16:

(1) Individuals on fish processing vessels who have no duties that directly 

affect the safe operation of the vessel

(2) Scientific personnel on an oceanographic research vessel

(3) Individuals aboard a vessel, not fulfilling a requirement for manning 

under 46 CFR Part 15, who have no duties that directly affect the safe 

operation of the vessel (see "safety sensitive positions")

DAPI: Drug and Alcohol Program Inspector. The DAPI is a Coast Guard representative 

that is specifically trained to check for compliance with the U.S. Coast Guard drug and 

alcohol program regulations and is assigned to a local Marine Safety Office. Marine 

Inspectors also check for compliance with the regulations during vessel inspections.

District DAPI: Is the person in charge of the U.S. Coast Guard drug and alcohol testing 

program for a Coast Guard District. The District DAPI manages the program within 

district boundaries and conduct audits of marine employers' programs. This billet is 

congressionally mandated. Each Coast Guard District has a District DAPI, although the 

Eighth District has two, one for the Gulf Coast, one for the Western Rivers. The District 

DAPIs operate through the authority of the District Commander and under the guidance 

of the Drug and Alcohol Program Manager located at Coast Guard Headquarters, 

Washington, DC.
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Dangerous Drug: A narcotic drug, a controlled substance, or a controlled-substance 

analog (as defined in section 102 of the Comprehensive Drug Abuse and Control Act of 

1970 -- Title 21 United States Code Section 802). For testing purposes, this manual will 

primarily be concerned with:

(a) Amphetamines (speed)

(b) Cocaine

(c) Opiates (morphine, codeine, and heroin)

(d) Marijuana

(e) Phencyclidine (PCP or angel dust)

Drug Test: Means a chemical test of an individual's urine for evidence of dangerous 

drug use. The only acceptable Drug Test per Coast Guard regulations is a Department of 

Transportation (DOT) 5-panel test. These are often referred to as a NIDA 5-panel or 

SAMHSA approved drug test. A marine employer may conduct other types of tests, but 

the DOT 5-panel test, using a Federal CCF, is the only test that will be accepted towards 

showing compliance with the regulations.

If a marine employer conducts testing for more drugs than is permitted by Coast Guard 

regulations, that testing shall be apart from any Coast Guard mandated program, 

including specimen collection.

DOT: Department of Transportation. A Federal cabinet level agency charged with 

responsibility for a safe transportation system for the public. This agency includes the 

following administrations: Federal Aviation Administration (FAA), Federal Motor 

Carrier Safety Administration (FMCSA), Federal Railroad Administration (FRA), 

Federal Transit Administration (FTA), and Research and Special Programs 

Administration (RSPA). The Coast Guard was part of DOT but is now with the 

Department of Homeland Security (DHS), however, the drug test program mandated by 

Coast Guard follows procedures established by DOT 49 CFR part 40.

Federal Drug Testing Custody and Control Form (CCF) (chain of custody): This is the 

form upon which the handling of a drug test is documented. If this form is not completed 

correctly, a urine test may be considered "fatally flawed" and be deemed invalid. The 

collection of DOT required drug tests must be documented on this form only. This form 

is often times referred to as the DOT form.

DER: Designated Employer Representative. An employee authorized by the employer 

to take immediate action(s) to remove employees from safety-sensitive duties, or cause 

employees to be removed from these covered duties, and to make required decisions in 

the testing and evaluation processes. The DER also receives test results and other 

communications for the employer, consistent with the requirements of this part. Service 

agents cannot act as DERs.
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EAP: Employee Assistance Program. This is an awareness program where employees 

are made aware of the dangers of illegal drug use. Part of this program is the training of 

supervisors in recognizing the signs of illegal drug use.

Employer: Is a marine employer or sponsoring organization. As an example, a 

sponsoring organization may be a union that represents employees. Marine employer 

will operate vessels for hire and/or have personnel that perform safety-sensitive duties.

Laboratory: Means a facility that has met the requirements of the National Laboratory 

Certification Program (NLCP) managed by the Department Of Health and Human 

Service (DHHS), Substance Abuse and Mental Health Services Administration 

(SAMHSA). A listing of laboratories that meet the NLCP requirements is published once 

a month in the Federal Register. These labs are charged with the proper handling, 

analysis, and reporting the results of urine samples submitted for testing under the 

Federal Workplace Drug Testing Guidelines. Specimens are to be analyzed by a 

SAMHSA accredited laboratory to be considered a valid test by the U.S. Coast Guard.

Marine Employer: A marine employer is anyone, including the self-employed, who will 

be one of more of the following:

(a) Owner;

(b) Managing operator;

(c) Charterer;

(d) Agent;

(e) Master;

(f) A person in charge of a vessel, other than a recreational vessel (remember 

that a bass boat, when used for a passenger for hire situation, is no longer a 

recreational vessel, it is a commercial vessel)

Medical Review Officer (MRO): Is a licensed physician (MD or Doctor of Osteopathy 

(D.O.)) responsible for receiving laboratory results generated by an 

employer's drug testing program. The MRO has knowledge of substance 

abuse and the training to interpret and evaluate an individual's confirmed 

positive test result together with his or her medical history and any other 

relevant bio-medical information. The MRO shall be qualified in 

accordance with 49 CFR Part 40 before performing MRO duties for 

DOT/USCG regulated companies.

MIS Report: The Management Information System Report is required to be submitted to 

Coast Guard every year. The form is an official Department of Transportation (DOT 

form) and can be submitted to Coast Guard by mail or by submitting the required 

information by the Internet. This form is required to be filled out by the marine employer 

and sent to Coast Guard Headquarters by March 15th of each year. The form details the 

marine employer's drug testing activity for the preceding calendar year. Consortiums 

and Third Party Administrators may submit these on behalf of their clients. The marine 

employer must be able to show that this report has been submitted at the time of vessel 

inspection.

Enclosure 4 is an example of the MIS Report form.
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Operation: Means to:

(a) Navigate

(b) Steer

(c) Direct

(d) Manage, or

(e) Sail a vessel, or to 

(f) Control, monitor, or maintain the vessel's main or auxiliary equipment or 

systems

(g) Determine the vessel's position

(h) Pilot

(i) Direct the vessel along a desired trackline

(j) Keep account of the vessel's progress through the water

(k) Order or execute changes in course, rudder position or speed

(l) Monitor a lookout

(m) Control, operate, monitor, maintain, or test the vessel's

(1) Propulsion and steering systems

(2) Electric power generators

(3) Bilge, ballast fire and cargo pumps

(4) Deck machinery including winches, windlasses, and lifting equipment

(5) Life-saving equipment and appliances

(6) Firefighting systems and equipment

(7) Navigation and communication equipment

(n) Moor, anchor, or handle lines

(o) Load or discharge cargo or fuel

(p) Assemble or disassemble tows

(q) Maintain the vessel's stability and watertight integrity

Passenger for Hire: Means a passenger for whom consideration 

is contributed as a condition of carriage on the vessel 

whether directly or indirectly flowing to the owner, 

charterer, operator, agent, or any other person having an 

interest in the vessel.

Consideration means an economic benefit, inducement, right, or profit, including 

pecuniary payment accruing to an individual, person, or entity, but not including a 

voluntary sharing of the actual expenses of the voyage, by monetary contribution or 

donation of fuel, food, beverage, or other supplies.

Refusal or Refuses to Submit: Happens when a crewmember fails to provide a urine 

sample as required by 49 CFR Part 40, without a genuine inability to provide a specimen 

(as determined by a medical evaluation), after he or she has received notice of the 

requirement to be tested in accordance with the provisions of this part, or engages in 

conduct that clearly obstructs the testing process, such as substitution, intentional

dilution, or adulteration of a sample.
8

Return to Work Letter: This is a letter, issued by an MRO, that verifies that an 

individual who had previously tested positive for drugs, is now considered "drug-free" 

and that the risk of subsequent drug use by the individual is sufficiently low enough to 

warrant the return to work of that individual in a "safety sensitive position." Only the 

MRO has the authority to issue this type of letter. The return to work letter must be 

presented to the marine employer before allowing a mariner that had tested positive, to 

return to work in a safety sensitive position.

Safety Sensitive Duties: Include but are not limited to; 

(a) Directing and mustering passengers in emergencies

(b) Passing out lifejackets

(c) Controlling and operating lifesaving equipment

(d) Controlling and operating firefighting equipment

Safety Sensitive Position: Is any position (billet) aboard a vessel, that requires the 

person filling that position to perform one or more safety sensitive duties or operation of 

a vessel on either a routine or emergency only basis. Examples of this type of 

crewmember may include card dealers, bartenders, game operators and service personnel 

aboard excursion or gaming vessels. Any person filling a safety sensitive position is 

subject to U.S. Coast Guard drug and alcohol testing. All crewmembers, who are 

responsible for the safe handling of passengers, are considered to be filling safety 

sensitive positions as well.

Serious Marine Incident: Is any reportable marine casualty as defined in 46 CFR 4.03-1

and 46 CFR 4.05-1, involving a vessel in commercial service, which results in any of the 

following:

(a) One or more fatalities

(b) 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

(c) Damage to property, as defined in 46 CFR 4.05-1, in excess of $100,000

(d) The actual or constructive total loss of any vessel subject to Coast Guard 

Inspection

(e) The actual or constructive total loss of any self-propelled vessel, not subject to 

inspection by the Coast Guard, of 100 gross tons or more

(f) A discharge of oil of 10,000 gallons or more, into a navigable waterway

(g) A release of a hazardous substance equal to or greater than its reportable 

quantity into the navigable waters of the United States, or into the environment 

of the United States, whether or not the release resulted from a marine casualty.
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Directly Involved in a Serious Marine Incident: A marine employer is responsible for 

determining what personnel were directly involved in a Serious Marine Incident. This 

determination should be based on the operation being performed at the time of the 

accident, and what personnel could have or should have had a role in that operation. A 

guideline is to test any personnel whose negligence cannot be discounted as contributing 

to the serious marine incident. A law enforcement officer has the authority to further 

name personnel as being directly involved in a Serious Marine Incident and as such, 

directing them to submit to alcohol and drug testing.

Service Agent: Any person or entity, other than an employee of the employer, who 

provides services specified under this part to employers and/or employees in connection 

with DOT drug and alcohol testing requirements. This includes, but is not limited to, 

collectors, BATs and STTs, laboratories, MROs, substance abuse professionals, and 

C/TPAs. To act as service agents, persons and organizations must meet the qualifications 

set forth in applicable sections of this part. Service agents are not employers for purposes 

of this part.

Sponsoring Organization: Is any company, consortium, corporation, association, union, 

or other organization with which individuals serving in the marine industry, or their 

employers, are associated.

SAP (Substance Abuse Professional): An individual who has met DOT qualification 

standards that will do an assessment/evaluation of an employee who has a drug test 

violation and will make recommendations concerning education, treatment, follow-up 

testing, and aftercare that will assist these personnel in returning to a DOT safetysensitive position.
10

How to Identify and Locate Qualified Service Agents

 

All marine employers when starting or doing a drug testing program are, by necessity, required 

to do business with a service agent. A service agent is a business entity that will provide one or 

more drug testing service packages to aid employers with compliance. Two primary service 

agents are the SAMHSA accredited labs where the specimen are analyzed and the Medical 

Review Officers (MRO), who have to receive the drug test results from the lab, review the test 

results, conduct interviews as necessary and report the drug test results to an authorized receiving 

individual. A collection site, considered to be a service agent, is where the specimens are 

collected. If an individual tests positive or has a drug test violation, they are required to see a 

Substance Abuse Professional (SAP) who is also a service agent. Another service agent who can 

provide most of the above service is a Consortia/Third Party Administrator (C/TPA).

When you select a service agent, there are several considerations to look for. Some of the 

primary considerations are:

1. What is the service provided?

2. What is the quality of service?

3. What is the level of service being provided?

4. Where is the service provider located?

5. What are the qualifications of the service provider?

6. Do the qualifications meet identified regulatory requirements?

7. Can they meet your needs or requirements?

8. Is the fee for services being given reasonable?

9. What is their reputation from other marine employers?

Service Agent General Notes:

A common misconception is that the Coast Guard approves service agents that provide services 

to the regulated marine employers. The Coast Guard does not approve service agents. There 

are qualification processes for most of the required service agents and other performance 

measurement tools in place that can assist to select service agents that can meet your 

requirements.

The Coast Guard will review programs upon specific request but will not approve nor endorse 

any particular program. If the Coast Guard determines that a program has met identified 

standards, a Letter of Regulatory Compliance (LORC) will be issued to the service agent. This 

LORC is not an approval letter but simply states that the program has been reviewed and has met 

regulatory standards.
11

SAMHSA Accredited Laboratories 

The first service agent most employers are concerned with is the 

laboratory that will be conducting the testing. You as a marine 

employer are restricted to the laboratories that you can use. Any 

lab that you use has to be on the listing of accredited labs 

published by Substance Abuse and Mental Health Services 

Administrator once a month in the Federal Register. A current 

listing is available from your District DAPI or on the Internet at 

http://workplace.samhsa.gov/home.asp. The marine employer 

is responsible for contacting the lab and making arrangements 

for testing. As an alternative, the marine employer may contract for services with a lab 

through a Consortia/Third Party Administrator.

A laboratory that is on the SAMHSA accredited lab list has to meet and maintain certain 

standards to be on that list. It will be dependent upon the marine employer to make the 

final determination based on location, services offered, cost of services and other factors 

that may be important to the marine employer.

Labs, oftentimes, will offer different price packages. The pricing packages are generally 

considered bundled pricing or unbundled pricing.

Bundled pricing means one price is offered for both positive and negative test 

results. A lab may charge additional fees for any additional testing to include 

testing that will determine the validity of a submitted specimen, or for other tests 

to determine if drug(s) are present or not present. Normally labs will recognize a 

3-5% positive rate as a break-even point for the offer of bundled pricing.

Unbundled pricing is the separate pricing for negative tests and non-negative test. 

As a rule, the cost of a negative test will be lower than the bundled test rate. The 

pricing for a positive or non-negative test will be considerably higher than the 

bundled test price. Most labs as part of doing business just offer the bundled test 

pricing as the most cost-effective method of doing business.

Medical Review Officers (MRO)

The MRO is another entity that is required for the drug testing program. 

The MRO is the recipient of the drug test results that are reported from the 

laboratory. The MRO being the recipient of the test results from the 

laboratory has many responsibilities, some of which are:

Verifying that the test result is accurate;

To insure that the test result is correct and not flawed because of chain-ofcustody errors;

Verify that all positive drug test results are the result of illegal use of a 

controlled substance;

To review all test results that are substituted or are adulterated; and

Required to conduct an interview of the specimen donor prior to reporting out any drug 

test result that is a non-negative test result.
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As can be seen in the above, there is a great deal of responsibility for the MRO. It is 

extremely important for the marine employer to select the MRO that will be doing MRO 

services with care. The MRO is who will be reporting verified drug test results to the 

marine employer.

The requirement is for MROs to be qualified in accordance with 49 CFR part 40. Once a 

licensed physician or D.O. is qualified, they are eligible to legitimately receive DOT drug 

tests from a SAMHSA accredited lab. There is a continuing education course 

requirement for the MRO to maintain DOT qualification.

Additionally, it is advisable to let the MRO that you select know that you are a marine 

employer and ask if he/she is aware of the Coast Guard Return-To-Duty requirements 

and the role that the MRO plays in returning a mariner who tests positive back to work. 

If the MRO is not familiar with these unique Coast Guard requirements, it could prove to 

be a problem in the future. On occasion, MROs are reluctant to have marine employers 

as clients because of the unique return to work requirements.

There are some resources to locating a Medical Review Officer for your company. The 

SAMHSA accredited laboratory will not recommend a MRO due to the appearance of a 

potential conflict of interest. Some sources of MROs are those associations that do the 

MRO training and assist the MRO in meeting DOT qualification standards. These 

organizations do maintain lists on the Internet of qualified MROs. They are American 

Association of Medical Review Officers (AAMRO) and Medical Review Officers 

Certification Council (MROCC). The web addresses for both groups is www.aamro.com

for AAMRO and www.mrocc.com for (MROCC). The MRO, upon request, is required 

to present the documentation showing that they have met the DOT qualification 

requirements.

MROs, like the labs, oftentimes, offer bundled pricing, which means that they offer one 

price for both positive and negative test results. Normally MROs will recognize a 5% 

positive rate as a break-even point for the offer of bundled pricing. Unbundled pricing is 

the separate pricing for negative tests and non-negative test. As a rule, the cost of a 

negative test will be lower than the bundled test rate. The pricing for a positive or nonnegative test will be considerably higher than the bundled test price. Many MROs, as 

part of doing business, just offer the bundled test pricing as the most cost-effective 

method of doing business.

There are other factors to consider when selecting an MRO that will do the verification 

process. Some of the factors are:

1. Their in-depth knowledge of the regulations that you operate under;

2. Proximity of their location to your business if you are a small business;

3. 800 telephone number capability;

4. Length of time doing MRO work;

5. Voice mail capability (for split specimen requests);

6. Specimen turnaround time (Length of time to report specimen test results to you);

7. What is the charge for their services; and
13

8. Are there any extra or hidden costs associated with using a particular MRO 

service.

A very important factor is if they are also a specimen collection facility, have they 

separated the MRO functions from the specimen collection functions and so that the same 

person is not doing both jobs. The regulations, 49 CFR part 40.353(b) and (c), do require 

that this be accomplished if a facility (i.e., medical clinic) is doing both functions.

Specimen Collection Facility

The selection of a specimen collection facility is equally important as selecting 

other service agents. It is this facility where your employees will come face to 

face with the testing requirements. It is, oftentimes, where the most errors occur 

during the testing process. There is no other facility or service agent that will 

have the face-to-face contact with the drug testing, the MRO does not and often 

will not have any direct contact, The laboratory is absent and is often located in 

another area of the country. The Consortia is often located in yet a 

completely different geographic area and will have no direct interface with 

you or your employees. For these reasons, it is important a collection facility is used 

that has awareness of the importance of the entire process.

One of the primary things to look for is the qualification of the personnel that are doing the 

collections of the specimens. Before an individual can collect a specimen, it is required that they 

be trained in how to collect specimens and to take and pass an examination. Part of this 

examination is a practical where the individual being trained has to do 5 mock collections (two 

of them problem collections) before they are deemed qualified to DOT collections. These 

individuals should be prepared to present documentation that they have met these requirements 

and that they are current. There is a refresher training requirement every five years.

There are obviously things to look for when reviewing facilities to do the collections. Among 

those items are:

1. Cleanliness of the facility;

2. Treatment of your employees by facility personnel;

3. Facility personnel appearance;

4. What is the responsiveness of the facility to your needs;

5. Time facility is open for business;

6. Facility hours of operation match or closely parallel your operational hours (think of 

serious marine incident testing);

7. Facility personnel qualifications;

8. Facility location to your company location;

9. Facility parking accessibility;

10. Copies of the Chain-of-Custody sent on a timely manner to all parties;

11. If the MRO and collection facility are in the same physical location, are the personnel 

that are handing the collection of the specimens not allowed to see or handle the test 

results; and

12. Copy of current regulations readily available to staff.
14

The above list is not fully comprehensive but can serve as a guide. The marine employer, when 

selecting a facility, should see how comfortable they feel with the facility. It would also be 

advisable to do periodic visits to the facility to see how the facility appears and to judge their 

responsiveness. The marine employer should also encourage employees who experienced a 

problem with the facility to let them know about this problem or what happened, so that 

corrective action can be taken.

Substance Abuse Professional (SAP)

The SAP is the individual who will evaluate employees who have a drug test 

violation, and then make a determination of their eligibility to return to work. 

In addition, the SAP will do an aftercare program and can assist in managing 

the employee that has been identified with a substance abuse problem.

The employer is required to give to the employee that has a drug test 

violation the name and contact information for a SAP. The employer is not required to keep this 

employee employed but can take employment action consistent with what is stated in the policies 

and procedures for the employer.

The employer is required to remove this individual from all safety-sensitive positions and cannot 

return the individual until the requirements of 46 CFR part 16.201 (f), and 49 CFR part 40, 

subpart O (SAP recommendations) have been successfully completed. 

It is important to the marine employer to identify a qualified Substance Abuse Professional 

(SAP). The SAP is the individual who will certify personnel as ready to be returned to a safetysensitive position. There are two key regulatory requirements and they are:

1. Qualified to do SAP functions as stated in 49 CFR part 40; and 

2. Have to be in local area as face-to-face interviews are required.

There are some Internet web sites that can assist in locating a qualified SAP in your area. Some 

of them are:

www.saplist.com www.naadac.org

www.eapassn.org/public/providers www.nbcc.org/

There are, as for the other service providers, qualifications and other criteria that you will want 

the SAP that is selected to provide services, to have or to maintain. Much of the criteria that is 

used to select an MRO or a lab can be used to select an SAP. An additional and important 

qualification would be familiarity of the SAP to deal with the MRO on Coast Guard required 

Return to Work areas of concern.

Consortium/Third Party Administrator C/TPA) Selection

The selection of the C/TPA to assist in the management of your program is probably the most 

important. It is this service agent that you will rely on to keep you in compliance with the drug 

and alcohol testing regulations. 
15

The marine employer, if the decision is made for a C/TPA to handle drug test program 

compliance, should have a certain degree of familiarity with the applicable regulations. The 

marine employer then needs to identify the primary program elements and those elements that 

can be handled in house. The minimum that a marine employer needs to do is to appoint a 

Designated Employer Representative and establish a system of records that can be kept secure. 

The marine employer should also have some expectations of what is expected for minimal 

program compliance.

There are several ways to locate a consortium. One is review the Coast Guard web site: 

www.uscg.mil/hq/gm/moa/dapip.htm. The Coast Guard maintains a list of consortiums that have 

been issued a Letter of Regulatory Compliance (LORC) or are in the LORC application process. 

Another way is to look in the yellow pages of your local phone book under drug testing services 

and see if there are any consortiums listed there. Another method is to ask your fellow marine 

employers if they know of any or if there is a particular one that is providing services to the local 

marine employers.

The regulations are written so that you as the marine employer are responsible for being in 

compliance, not the C/TPA. This is why the proper identification and selection of a C/TPA is 

important. You have to be assured that the C/TPA will keep you in compliance at all times.

When selecting the C/TPA that will provide services, ensure that they can provide compliance 

services during all of your hours of operation. You are dependent upon them to provide services 

in all compliance areas, remote geographic locations, and in many instances, overseas locations.

Contract(s) with Service Agents

It is extremely important that the marine employer have a written contract with all the service 

agents that they are dealing with or have established a business relationship with. The 

regulations do not require a written contract but practical business sense would indicate that 

something in writing be in place that defines the services being provided. It should include the 

how and where these services will be provided, the price for these different service levels, and 

what services that will be provided in order to keep the marine employer in compliance with the 

applicable regulations. If a contract dispute goes to court, a written contract that defines services 

is viewed in a better light than a verbal or handshake type of service contract.

When reviewing the offered contract, review all the services being offered to determine if they 

meet all of your needs and requirements. Exceptions to meeting requirements should be 

identified by either party prior to the signing of the contract. Many of the contracts offered to 

marine employers by C/TPAs state that they will keep the marine employer in compliance with 

applicable regulations and there will be no service exceptions noted. If something goes wrong 

and the marine employer is dependent upon the service agent to provide services and those 

services are not happening, the marine employer’s compliance is left out in the open and is still 

responsible.
16

Getting Started: With a basic understanding of the terms commonly used in discussing drug 

and alcohol testing programs, a marine employer is ready to begin putting together a program. 

The next pages are dedicated to taking a marine employer, step by step, through the process of 

developing a policy and program, and then how to implement the program.

The entire program can be viewed as an equilateral triangle. The first side is the policy, either 

written or oral; the second side is the testing requirements; and the third side is the drug and 

alcohol education awareness program.

STEP ONE -- THE WRITTEN POLICY:

I. 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.
17

STEP TWO -- THE PROGRAM: 

After the marine employer's policy is established, the next step is to develop a program. It is 

suggested that the program be in writing. It can be compared to a spill response plan or 

operations plan. A written program is not a regurgitation of the regulations. Essentially, the 

program details how the marine employer will comply with the regulations.

An easy way to format a program is to briefly paraphrase each section of the regulation and 

directly after each summary, list the company's responsibility, the employee's responsibility, and 

any third party's responsibility as applicable.

I. Testing Program: To be effective, and meet the requirements of the regulations, a plan must 

specifically address the following areas:

A. Designate a primary collection facility.

1. This is the collection facility the marine employer will use for the majority of the 

drug test specimen collections. Obviously other sites may need to be used, but the 

primary facility will likely be the one where all pre-employment testing will be 

conducted, as well as the bulk of random testing.

2. The collection site shall have qualified collection personnel.

3. The designation is the name, address and phone number of the collection facility.

4. The personnel designated to perform collection services shall meet the qualification 

requirements stated in 49 CFR part 40.31

B. Procedures for the collection of specimens. This information is available through the 

primary collection facility, as they are required to have written procedures available to 

their collectors. Simply ask for a copy. Note: If collections will occur aboard vessels, 

ensure collectors have procedures to follow for on scene collections as well. The 

security of the collection site must also be addressed.

C. Designate a DHHS approved laboratory.

1. In most cases, a service agent is being used and has already selected a DHHS lab to 

do business with. All the marine employer needs to do is put it down in writing. The 

marine employer shall ensure that the laboratory is listed by DHHS as an accredited 

laboratory. If the laboratory is delisted by DHHS, ensure that the laboratory has 

procedures to notify affected clients.

2. If the marine employer is running their own program they need to identify the DHHS 

lab that will be providing laboratory services along with the other service providers.

3. The designation is the name, address and phone number of the laboratory. 

D. Designate an MRO.

1. In most cases, a service agent is being used and has already selected a qualified MRO 

to do business with. All the marine employer needs to do is put it down in writing. 

2. If the marine employer is running their own program they need to identify the 

qualified MRO that will be providing MRO services. 

3. The designation is the name, address and phone number of the qualified MRO.

4. The marine employer is to ensure that the medical review officer(s) meets the 

qualification requirements stated in 49 CFR Part 40.121.
18

E. Detail the categories of testing crewmembers will be subject to. These include:

1. Pre-employment (include exemptions)

2. Random (state who will manage the selection process and how the random testing 

process will work.)

3. Post-Accident (state the definition of Serious Marine Incident or "post-accident")

4. Reasonable Cause (state cir cumstances that create reasonable cause)

5. Periodic (address test requirements or exemptions for license/document renewals

F. List the five (5) drugs that will be tested:

1. Amphetamines

2. Cocaine

3. Marijuana

4. Opiates

5. Phencyclidine

Cut off levels is a predetermined level at which a test will be determined to be positive or 

negative for the presence of drugs. The levels for DOT workplace programs have been 

designed to address passive exposure to the controlled substances being tested for.

II. Educational Awareness/Assistance Program.

A. Employee Assistance Program description. This section should describe exactly how 

crewmembers and supervisors will receive their training and education, and should detail 

the assistance numbers that must be posted in the workplace. EAP training is required to 

be documented, and that documentation must be provided to an auditor or USCG 

inspector upon request. Signed attendance rosters and certificates of completion are one 

way to document the training. Supervisory personnel shall have sixty minutes of 

documented EAP training.

B. Designate a Substance Abuse Professional (SAP)

1. In most cases, a service agent is being used and has already selected a qualified SAP 

in the vicinity of the marine employer to do business with. All the marine employer 

needs to do is put it down in writing and disseminate the name and contact 

information to any employee who has a drug test violation.

2. If the marine employer is running their own program they need to identify the 

qualified SAP that will be providing SAP services. 

3. The designation is the name, address and phone number of the qualified SAP.

4. The marine employer is to ensure that the medical review officer(s) meets the 

qualification requirements stated in 49 CFR Part 40.281.

III. MIS reporting requirements. Identify who in the company is responsible for generating 

and filing the report, or, indicate that the report will be filed on the company's behalf by 

either a consortium or TPA. If self-reporting the MIS, there are reporting methods available 

through the Internet at this website: http://damis.dot.gov.

Enclosure 4 is an example of the MIS report.
19

The instructions, including how to get a username and user password, at that site need to be 

followed for successful Internet submission of your drug testing data.

IV. Reporting requirements. Explain that verified positive tests, refusals, and verified 

adulterated, or substituted specimen cases must be reported to the cognizant OCMI, U.S. 

Coast Guard. Enclosure 3 is a sample form letter for marine employers to use to report nonnegative drug tests to the U.S. Coast Guard. A copy of the custody and control form, as 

well as a copy of the MRO/lab report should accompany the letter to the appropriate Coast 

Guard Marine Safety Office.
20

STEP 3 -- CONDUCTING THE PROGRAM:

The following section is a discussion of the practical, day-to-day execution of the marine 

employer's drug and alcohol testing program. Here, we will begin with a new hire and follow 

this crewmember through the entire testing program. The specifics discussed in this section need 

to be written into the program. Refer to the FREQENTLY ASKED QUESTIONS section of this 

booklet for practical answers to common problems associated with the administration of the drug 

and alcohol testing program.

I. The Pre-employment Test: Your company is about to hire a mariner to serve aboard one of 

your vessels, and that particular vessel is, by law, required to be operated by a credential

mariner. The company needs to conduct a pre-employment test on this prospective employee. 

Before conducting the test, the new hire should read and acknowledge the company's drug and 

alcohol testing policy. The company cannot put this person to work in a safety sensitive 

position until the results of the pre-employment test are received. Obviously, a positive test 

result will prohibit your company from placing the individual in a safety sensitive position. 

{reference 46 CFR 16.210(a)}

A. Pre-employment Exemptions: There are two scenarios in which a marine employer may 

waive a pre-employment drug test. 

{reference 46 CFR 16.210 (b)(1)(2)}

1.The mariner has passed a DOT drug test within the previous six (6) months, and has 

had no positive tests within those 6 months. -or2.The mariner has been subject to random drug test program in accordance with Coast 

Guard regulations for at least 60 of the preceding 185 days, did not have any positive 

test results, and did not refuse to take a required test.

Note: In each of these cases, the marine employer is required to obtain documentation 

that supports either of the exemptions. This documentation comes in the form of a letter 

from a previous marine employer or in the form of a drug test result that has been verified 

by a qualified MRO.

B. Record Keeping for Pre-Employment Tests: A negative test result (mariner passed the 

test) needs to be kept on file and readily available for at least the first year of 

employment. After one year of employment has elapsed, the employer will need to 

document that the individual has been subject to random drug testing at a rate of 50% to 

remain eligible for placement in a safety-sensitive position. A DAPI conducting an audit 

will verify compliance with 46 CFR 16.210(a) by asking for proof that the marine 

employer did not "engage or employ any individual to serve as a crewmember unless the 

individual passed a chemical test for dangerous drugs for that employer." 

1.Simply, on any given day, a DAPI should be able to pick any name from your 

company's crew list, and be able to see a pre-employment drug test result or subject to 

random drug testing in accordance with 46 CFR part 16.230. 

2.The only exception is for those crewmembers still serving who were hired prior in 1989 

or earlier, as this is when the drug and alcohol testing regulations took force.

3.Likewise, any documentation supporting an exemption to pre-employment drug testing 

must be retained for as long as the marine employer employs the crewmember.
21

4.A POSITIVE or NON-NEGATIVE test result must be kept on file for five (5) years, no 

matter if the mariner was hired or not. If the mariner holds a license or merchant 

mariners document, the positive or non-negative test result must be reported to the 

U.S. Coast Guard.

II. The Pre-employment Background Check:

As of August 1, 2001, employers will be required to obtain drug and alcohol testing 

information on new hires intending to perform safety sensitive duties. 

As a marine employer you must, after obtaining an employee’s written consent, request the 

information from all previous DOT employers, about the individual, before 30 days has 

passed from the date that they first started performing safety-sensitive duties. The date of 

request is recommended to be documented.

A. The following information must be requested from DOT regulated employers who have 

employed the individual during any period during the two years before the date on the 

employee application or transfer:

1. Alcohol tests with a result of 0.04 or higher (not available from marine employers).

2. Verified positive drug tests.

3. Refusals (including adulterated or substituted samples).

4. Other violations of DOT drug and alcohol testing regulations.

5. If an individual has violated a DOT drug and alcohol regulation, documentation of 

the individual’s successful completion of the DOT return -to-duty requirements.

6. Drug and Alcohol information from previous employers.

B. The results of alcohol tests done in accordance with 33 CFR Part 95 and 46 CFR Part 4 

may be released provided that a disclaimer is added that the alcohol tests were not DOT 

alcohol tests but that the tests were done in accordance with Coast Guard regulations.

1.If information of a DOT drug violation is obtained, the individual may not be employed 

in any safety sensitive position until the DOT return-to-duty requirements are met. 

(Reference 49 CFR 40.25)

a. The release of information under this section must be in written form (e.g. fax, email, letter) that ensures confidentiality.

b. You as a marine employer are obligated to respond to all requests from other 

DOT regulated employers. Before responding, you should make sure that the 

employee’s signature is on the information request. You should respond as soon 

as possible and document the date of your response.

c. If you do not receive a response within 30 days, from previous employers, of the 

individual being placed in a safety-sensitive position, you may continue to employ 

that individual in a safety-sensitive position.

III. The Random Drug Testing Program: Now that we have in hand a negative test result or a 

pre-employment test exemption, for our newly hired mariner, we need to get that mariner 

enrolled in a random drug testing program that meets the requirements of 46 CFR 16.230. Any 
22

person serving aboard a commercial vessel that meets the definition of a crewmember or 

performs a safety sensitive duty, is required to be enrolled in a random drug testing program. On 

excursion vessels or gaming vessels, ask the following question; "Is this person required to 

participate in drills as part of the vessels inspection process?" If the answer is yes, that person is 

subject to all of the provisions of 46 CFR 16 and must be included in your random program. (On 

smaller operations, i.e. 6-packs, it is safe to assume all crewmembers are in safety sensitive 

positions).

EXAMPLE: On a dinner excursion boat, a bartender is required to muster passengers and pass 

out life jackets in case of fire. When the Coast Guard inspected the vessel, the bartender was 

required to perform this function. In this case, the bartender is performing a safety sensitive 

duty and is required to be drug tested.

aA What is a Random Selection: "The selection of crewmembers for random drug testing 

shall be made by a scientifically valid method, such as a random number table or a 

computer based random number generator that is matched with crewmembers' Social 

Security numbers, or other comparable identifying numbers." The random selection 

methodology is an unbiased defensible method of doing random selections. It is 

recommended that the random selections be performed by a third party that has no bias in 

how personnel are selected to take a random test. {Reference: 46 CFR 16.230 (c)}

1.This means there has to be some kind of an impartial selection process. The random 

selection method is required to be scientifically valid. This includes:

(a). Computer program for random selection (often used by human resource 

departments, TPAs and consortiums); or

(b). Random Number Table Generator to match employers SSN or Employer ID 

number.

2.The drawing of names out of a hat or other similar drawing methods is not defensible. 

If that type of random selection is being conducted, a finding of non-compliance will 

be made and with instructions to correct the deficiency by Coast Guard inspectors.

3.In addition, "Each marine employer shall ensure that random drug tests conducted 

under this part are unannounced and that the dates for administering random tests are 

spread reasonably throughout the calendar year [or operating season]." {Reference 46 

CFR 16.230 (h)} 

a. Simply put, if you have to do 12 random tests in a given year, they should not all 

be done on the same day.

b. The idea is that crewmembers should have the feeling that on any given day, they 

could be called up to provide a specimen. This feeling will only happen when 

crewmembers see random testing being conducted throughout the year, with no 

patterns.

c. The use of testing on a particular day, such as payday, the 15th or 1st of the month, 

or to a particular month, such as the 1st or last month of a quarter, develops a 
23

pattern that mariners will pick up on and use to their advantage, if they are already 

so inclined.

B How to determine how many Random tests to conduct in a year: "The minimum annual 

percentage rate for random drug testing shall be 50 percent of covered crewmembers." 

{Reference 46 CFR 16.230 (e)} 

1. This means just what it says, 50 percent of the company's total number of 

crewmembers must be randomly tested each calendar year.

2. Furthermore, "Under the testing frequency and selection process used, each covered 

crewmember shall have an equal chance of being tested each time selections are made 

and an employee's chance of selection shall continue to exist throughout his or her 

employment." {Reference 46 CFR 16.230 (c)}

3. This means that random testing is based on the total number of personnel employed 

as crewmembers, not the number of crewmembers needed to man the company's 

vessels.

4. It also means that all of the crewmember names go into the selection process,

regardless if they have already been selected earlier in the year. That is why it is 

possible to have one person selected several times while another may not be selected 

at all.

EXAMPLE: A marine employer owns 10 tugboats, each tugboat requires 10 crewmembers. The 

marine employer employs 300 mariners to fill the 100 billets. Since "each covered crewmember 

shall have an equal chance of being tested each time selections are made AND an employee's 

chance of selection shall continue to exist throughout his or her employment," the marine 

employer is required to conduct 150 random tests for the calendar year

EXAMPLE: A marine employer owns one offshore supply vessel and employs 40 crewmembers. 

The marine employer is required to conduct 20 random tests for the calendar year.

EXAMPLE: An operator of an uninspected passenger vessel, a fishing guide, is self-employed 

and is the only crewmember. The guide is required to be selected randomly once during the 

calendar year but can be selected during the calendar year on more than one occasion. In this 

case, the selection of an individual owner/operator must be made by a disinterested third party, 

since the random test, as with all random tests, must be, "unannounced."

A practice that sometimes occurs is the termination of a selected crewmember from the 

employee rolls to avoid having to give the test and then to reemploy this same 

crewmember within a short time later is not considered to be good faith compliance of 

applicable regulations.

C. Making the Random Selection: Knowing how many tests need to be conducted in a year 

will help the marine employer decide how often to conduct tests. There are a few 

acceptable methods for making random selections:
24

D. TPA or Consortium. The marine employer provides updated crewlists to the TPA or 

consortium, which in turn enters the names on the crewlist into their database. 

1. Based on customer needs, the TPA or consortium will generally use a computer to 

select a number of mariners for a random test. 

2. In the case of a consortium, it is important to remember that the crewmembers have 

been entered into a much larger pool that includes crewmembers from other 

companies. The consortium must then randomly test 50 percent of the total number 

of crewmembers in the pool. This means that a marine employer may not see 50 

percent of his or her own mariners tested in a given year.

a.In this case, the marine employer's proof of compliance with the random testing 

requirements is covered by presenting a valid contract with a consortium for the 

calendar year in question. Conversely, the marine employer could see more than 

50 percent of their employees tested. A TPA on the other hand, generally 

manages the random process for the marine employer, ensuring that the employer 

will have tested 50 percent of the total number of crewmembers during the course 

of a year.

3. If a C/TPA is providing the random selection, the C/TPA should (but is not required) 

do a letter to all clients that random drug test selections were done to meet the

regulatory requirements. This letter can then be presented to Coast Guard inspecting 

officials upon request.

4. In both cases, drug testing notifications to the marine employer are generally made in 

writing. It then becomes the marine employer's responsibility to contact the 

employees. Employees should not be given more than 24-hours notice for a random 

test.

E. Selection by Vessel: For many companies it may be easier to choose to test by vessel, 

rather than deal with 300 or more names. In this case the marine employer may select 

"one or more vessels and [test] all crewmembers covered by this section, provided that 

each vessel subject to the marine employer's test program remains equally subject to 

selection {reference 46 CFR 16.230

1. Self-Administered Selection by Name : Nothing prohibits a marine employer from 

managing their own random process so long as all of the provisions of 46 CFR 16.230

are met, AND, the person conducting the selection, is not subject to testing. (This 

would not meet the requirement for unannounced). A self-administered random 

selection program must be able to withstand the tightest scrutiny.
25

IV. Serious Marine Incident or Post-Accident Drug and Alcohol Testing: The maritime 

industry accepts a certain amount of risk in its operations, and from time to time, accidents 

happen. Once all of the emergent concerns have been addressed, the marine employers must 

ensure that timely drug and alcohol testing is conducted.

A. When is Testing Required following an Accident: The U.S. Coast Guard requires drug 

and alcohol testing for those personnel directly involved in a Serious Marine Incident. 

{reference 46 CFR 16.240, 46 CFR 4.06-5} A Serious Marine Incident, is any reportable 

marine casualty {reference 46 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 uninspected vessel of 100 gross 

tons or more.

6. A discharge of oil into a navigable water 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.

Note: A marine employer may decide to require post accident testing for less serious 

incidents, however, the employer's definition of an accident, or specific accidents that 

mandate testing, should be spelled out in the drug and alcohol testing program. Marine 

employers should consult their legal staff and insurance carriers when developing this 

portion of the drug and alcohol testing program. 

If a marine employer elects to do testing in the event of an accident that does not rise to 

the level of a Coast Guard mandated SMI or marine casualty, the marine employer is not 

eligible to use a Federal CCF for the drug test, but can do a non-DOT drug test.
26

B. How to Conduct Serious Marine Incident Testing: Federal law now requires alcohol 

testing to be conducted within two (2) hours of a Serious Marine Incident, once emergent 

concerns have been addressed. {reference Section 304 Coast Guard Authorization Act of 

1998, 46 USC 2303(a)}

1. To meet this mandate, it is recommended that marine employers identify, in writing, 

as part of their program, under the heading of post accident testing, resources 

available to them, 24-hours a day, 7 days a week, 365 days a year, in the areas their 

vessels operate. These resources should include how and where tests for drugs and 

alcohol are to be performed. 

2. This section of the written program needs to include the name of the qualified DOT 

collector to be called or used, the physical location of the collection site, and the 

telephone number. If there are multiple areas of vessel operation, a listing for each 

operational area should be identified. 

3. Testing in a post accident environment is generally conducted at the site, conditions 

permitting. It may also be necessary to conduct testing at a hospital. It is the marine 

employer's responsibility to see that the drug and alcohol tests are conducted in 

accordance with federal law and regulations. 

4. Again, only a DOT 5-panel test of a mariner's urine specimen is acceptable. A blood 

test for drugs is unacceptable.

5. For alcohol, the test must be quantitative, therefore, the only acceptable methods are a 

breath test, or a blood test. A urine test for alcohol is not acceptable. 

6. The post accident drug test, or serious marine incident driven drug test, need not be 

done within two (2) hours. Rather, the drug test must be conducted as soon as 

practicable but not more than 24 hours after the accident{reference 46 CFR 4.06-5, 

and 4.06-20}.

Note: Marine employers may want to consider soliciting the assistance of local water 

patrols and law enforcement officers to ensure a timely alcohol test is conducted. This 

assistance can come from local Coast Guard units if equipped with breath alcohol testing 

equipment.

In most circumstances, all parties concerned will usually find it beneficial to conduct the 

tests one after the other, circumstances permitting.

Marine employers are required to make a report of all tests done in accordance with 46 

CFR part 4.06 to the local Coast Guard Officer in Charge of Marine Investigations on 

form CG-2692b (Enclosure C). This is in addition to the report of a marine casualty on 

form CG-2692.

V. Reasonable Cause Drug Testing: Any crewmember engaged or employed aboard a U.S. 

vessel, that is required to be operated by a person holding a license or merchant mariners 

document, who is reasonably suspected of using a dangerous drug, must be chemically tested 

for dangerous drugs. {reference 46 CFR 16.250(a)} Likewise a crewmember suspected of 

being intoxicated, shall be subjected to a breath or blood test for blood alcohol concentration. 

An individual is under the influence of alcohol or a dangerous drug when: 

A. The individual is operating a vessel other than a recreational vessel and has an alcohol 

concentration of .04 percent by weight or more in their blood; or, 
27

B. The individual is operating any vessel and the effect of the intoxicant(s) consumed by the 

individual on the person's manner, disposition, speech, muscular movement, general 

appearance or behavior is apparent by observation. Reference 33 CFR 95.035}

NOTE: No one can be forced to submit to a reasonable cause test. Any refusal should be 

thoroughly documented and reported to the Coast Guard as appropriate. Any crewmember 

suspected of being under the influence of a dangerous drug or alcohol should be removed by 

the marine employer from that safety sensitive position. The company consequences should 

be clearly defined in the company drug and alcohol policy.

A. Making a Reasonable Cause Determination: "The marine employer's decision to test 

must be based on a reasonable and articulable belief that the individual has used a 

dangerous drug based on direct observation of specific, contemporaneous physical, 

behavioral, or performance indicators of probable use. Where practicable, this belief 

should be based on the observation of the individual by two persons in supervisory 

positions." {Reference 46 CFR 16.250 (b)}

1. The practical application of this rule is the "judge test." If you as the marine 

employer or supervisor, would feel confident in your ability to tell a judge exactly 

what physical, behavioral, emotional, or job performance cues indicated to you that a 

mariner needed to be drug or alcohol tested for reasonable cause, then you probably 

have reasonable cause. It is highly recommended that all observations, employee 

discussions, etc., be documented. 

2. On the other hand, if that decision was based on the thought, "Well, I've seen plenty 

of drunks and drug addicts on TV, and he looked like one," you may have a problem. 

3. The best training available to the mariner (masters and licensed operators in charge of 

vessels are supervisors) and the supervisors of licensed operators, is the information 

provided through the Employee Assistance Program (EAP) training, which will be 

discussed in greater detail later. In short, this training lays the foundation for a person 

to recognize the physical and behavioral manifestations of substance abuse or alcohol 

use.

4. When the marine employer requires testing of an individual under the provisions of 

this section, the individual must be informed of that fact and directed to provide a 

urine specimen as soon as practicable. This fact shall be entered in the vessel's 

official log book, if one is required." (See 46 USC 11502 for proper logbook entries). 

{Reference 46 CFR 16.250 (c)} 

B. Expanding the Reasonable Cause Definition: Many marine employers expand the 

definition of a reasonable cause drug test to include a number of situations. Examples 

include, "being reasonably suspected of possessing drugs or alcohol aboard a company 

vessel", "being reasonably suspected of dealing drugs aboard a company vessel", "being 

suspected of having been involved in an accident on company time" and many others. 

1. Marine employers are strongly advised to seek the counsel of their legal staff and 

insurance carriers in the development of reasonable cause test limits. Of course, at a 

minimum, the company drug and alcohol program shall state that reasonable cause 

testing will be conducted in accordance with 46 CFR 16.250. 

2. Should the marine employer decide to broaden the definition, that expanded 

definition must be clearly spelled out in the program as well.
28

VI. Periodic Drug Testing: This category of drug testing centers around the requirements of the 

Regional Examination Centers for the issuance of licenses and merchant mariners 

documents. The marine employer is not responsible for the cost of these tests. The marine 

employer may be asked by a crewmember to provide the REC with documentation that 

would support an exemption to testing for the mariner. For more information and guidance, 

the CG-719P DOT/USCG Periodic Drug Testing Form is enclosure 7 or can be downloaded 

at http://www.uscg.mil/STCW/index.htm. {Reference 46 CFR 16.220}

REMEMBER: The marine employer's written drug and alcohol program must address the 

specific processes, methods, and resources the marine employer intends to use to comply 

with the provisions set forth in the regulations. The written program tells how the company 

will comply with the regulations. The program should avoid legal jargon and be written in 

such a manner that any supervisor could understand it.

VII. Record Keeping: A marine employer's proof that they are complying with the regulations, 

is in the form of hard-copy records. In other words, a company has done all of the required 

testing and is now being audited by the Coast Guard. 

A. To show that they have done the tests as required, the company must be able to produce 

the following documentation:

1. A custody and control form, signed by the MRO, indicating the test is either 

positive or negative or,

2. A lab report (which may have been faxed) that has been signed by the MRO 

indicating that the test is either positive or negative.

3. In most cases, the marine employer receives COPY 7 of the custody and control 

form, which does not bear the MROs signature. This is then followed up with the 

MRO report or lab report signed by the MRO. These two documents should be 

filed together.

4. The signature of the MRO is the only indicator that the test is either a verified 

positive or negative. As such the marine employer is required to maintain the 

records so that they "shall be sufficient to satisfy the requirements of 46 CFR 

16.210(b).

B. These two records (Federal custody and control form and MRO/lab report) are the only 

documents that serve as proof that drug testing has been conducted in accordance with 

federal regulations. From these records an auditor can tell:

1. If the proper custody and control forms were used

2. If only DOT 5-panel tests were conducted

3. If the test dates (random) were spread reasonably throughout the year

4. If pre-employment tests were received by the employer prior to placing a person in a 

safety-sensitive position

5. If a DHHS lab was used to analyze the specimen

6. The name and contact information for the MRO

7. The various account numbers for DHHS lab and MRO

8. Time the test was received at the MRO from the laboratory

9. The time the test result was transmitted to the marine employer

10. The verified test results as reported by the MRO
29

11. If the records support the information provided on the MIS report.

With the information that is provided on the two reports or forms, a drug test can be 

tracked from the date and time of collection to the final report by the marine employer.

In addition, the marine employer is required to maintain records that "identify the total 

number of individuals chemically tested annually for dangerous drugs in each of the 

categories of testing required by this part including the annual number of individuals 

failing chemical tests and the number and types of drugs for which individuals tested 

positive." The MIS report will satisfy this requirement for record keeping. {Reference 46 

CFR 16.260(b)(2)}

C. How Long to Keep Records: Positive drug tests must be kept for a minimum of five (5) 

years. This includes positive pre-employment drug tests for mariners the marine 

employer did not hire as a result of the failed test. Negative drug tests must be kept on 

file for a minimum of one year. Please refer to 49 CFR part 40, Subpart Xand the 

originating source of each record.

Note: It is not necessary to keep negative pre -employment test results for as long as 

the marine employer employs the crewman. After the first 185 days have passed of 

being employed in a safety-sensitive position, the way to show individual employee 

compliance is to document the random testing program and which employees have been 

subject to random testing. 

VIII. Employee Assistance Programs: This is the section of the drug and alcohol testing 

program that causes marine employers the most problems. The majority of the problems 

with compliance documentation arises when an audit or compliance check is performed. 

Oftentimes, the employer is dependent upon the C/TPA for providing compliance service and 

does not know how to ask for the proper compliance services or documentation that the 

service has been provided.

A. Program Intent: The intent of an EAP is to provide mariners with avenues for getting 

assistance, should they decide that they have a substance abuse problem or alcohol abuse 

problem, the mariners know where to go to seek counseling and assistance.

It is up to each marine employer to decide if they want to pay for any rehab or 

counseling. This is another consideration that should be spelled out in the policy or 

program.

B. Program Requirements: There are essentially two parts to the EAP, education and 

training.

1. EAP Education Program: "Each EAP education program must include at least the 

following elements.

a. Display and distribution of informational material

b. Display and distribution of a community service hot-line telephone number for 

crewmember assistance
30

c. Display of the employer's policy regarding drug and alcohol use in the 

workplace." {Reference 46 CFR 16.401(a)}

Simply stated, the marine employer must post their policy and hotline numbers in the 

workplace. Good locations include the galley, bridge, bulletin boards, or by time 

clocks. The material should be posted where the majority of the crew will routinely 

see it. Many employers find it easy to place the assistance hot line numbers on the 

same page as their policy.

Note: The Coast Guard does not provide educational materials or sponsor any hotline 

numbers. Hot line numbers can be found in the yellow pages and materials are available 

through various commercial sources and may be available from TPAs, consortiums, 

MROs, or a national hotline number for substance abuse assistance located at 

http://www.samhsa.gov//treatment/treatment_public_p.aspx

2. EAP training program: "An EAP training program must be conducted for the 

employer's crewmembers and supervisory personnel. The training program must 

include at least the following elements:

a. The effects and consequences of drug and alcohol use onpersonal health; 

personal safety; and work environment

b. The manifestations and behavioral cues that may indicate drug and alcohol 

use and abuse.

c. Documentation of training given to crewmembers and the employer's 

supervisory personnel.

d. Supervisory personnel must receive at least 60 minutes of training.

IX. Management Information System: Marine employers are required to submit to Coast Guard 

Headquarters, an MIS report by March 15th of each year, which documents that employer's 

drug testing activities for the preceding calendar year. Enclosure 4 is an example of the MIS 

Drug Test Reporting form. 

NOTE: Alcohol tests are not required to be submitted on this MIS report as they are reported to 

Coast Guard on a different report form or letter. They are required to be reported at the time of 

the test event.

EXAMPLE: Company XYZ conducted 300 random, 500 pre-employment, 16 post-accident, 

and 0 reasonable cause tests during calendar year 1999. This information, along with the 

numbers of negative and positive results, and the types of drugs detected, will be entered on 

the DOT Form (MIS report) by the marine employer and the report will be mailed to the 

Coast Guard not later than March 15, 2000.

A. Exception to the reporting requirement: Those marine employers with 10 or fewer 

crewmembers are only required to file the MIS report for three consecutive years (post 

1996). If 2000 is the first year such a marine employer is filing a report (to cover 

calendar year 1999), then the marine employer would have to file again in 2001, and 

again in 2002. After 2002, the marine employer would not need to file again. If a marine 

employer has more than 10 covered employees in a safety-sensitive defined position 

during the year, the marine employer is required to submit a report.
31

The marine employer with less then 10 employees, is still required to keep track of the 

information, in accordance with 46 CFR 16.260(2), but would not need to complete the 

MIS report.

The reporting exemption applies only to those marine employers that have 10 or fewer 

crewmembers during the calendar year. If a marine employer has more than 10 

employees in safety-sensitive positions, they are required to file an MIS report. (This 

part is redundant)

B. How are the MIS reports submitted to Coast Guard?

There are two methods for submitting the required reports to Coast Guard. The first 

method is send the report in by U.S. Postal Service or to use an overnight or expedited 

delivery service for getting the information to Coast Guard to the following address:

Commandant (G-MOA) (Rm 2404)

U.S. Coast Guard Headquarters

2100 Second Avenue, SW

Washington, DC 20593-0001

The other method of submitting the MIS report is via use of the Internet. A username and 

user password issued by Coast Guard is required for this method. The step by step 

procedure is:

1. Go to http://www.uscg.mil/hq/gm/moa-dapip.htm

2. Click on the link to Management Information Systems (MIS) report.

3. This will take you to another window where you complete certain information and 

submit via email to Coast Guard your request for a username and user password. When 

you click send, it will automatically get sent to personnel who will respond to the request.

4. Upon receipt of your username and user password via email, you are ready to begin 

the process of submitting your data electronically.

5. Go to http://damis.dot.gov. Once at that site you will need to enter your username and 

user password where indicated. After that point following the instructions for entering 

the data. Review the data that you have entered for completeness and correctness. 

6. Upon completion of data entry, you can print out a copy of the report for your own 

records and as evidence that you have complied with the MIS submission requirements.

X. Return To Duty Process: When a marine employer has had a positive drug test or a drug test 

violation, the mariner, if wanting to return to work in a maritime environment, has to fulfill 

certain requirements. These requirements are identified in 46 CFR part 16.201 and 49 CFR 

part 40. The return to work process is not part of any proceeding where the mariner is 

required to complete requirements to have a Coast Guard issued credential returned.
32

For more information or for a more detailed discussion, please see Frequently Asked 

Questions (FAQs).

1. What happens when one of my crewmembers tests positive? (Page 35)

2. Return to Work Process after testing positive or with a drug test violation? (Page 35)

3. One of my crewmembers tested positive, but he got some counseling and took 

another test and came up negative. Can I put him back to work on my boats? (Page 

36)
33

FREQUENTLY ASKED QUESTIONS

Do I need a chemical-testing program?

A prevailing question that smaller commercial operators (employing only one or two employees) 

often ask is “Do the chemical testing regulations apply to me?” The answer is a big “Yes”. The 

chemical testing regulations apply to most commercial vessel operations regardless of the 

number of employees and regardless of whether the vessel is inspected or uninspected. This 

includes “guide services” and self-employed mariners.

Do “independent contractors” or part time crewmembers need to be part of a marine 

employer’s chemical testing program? 

Again, the answer is “yes”. If an individual meets the definition of a crewmember, as described 

in 46CFR16.105, they must be part of the chemical-testing program, regardless of how short the 

time period they work on board the vessel. 

With bareboat charte rs, who is responsible for ensuring a drug-testing program is in place 

for that chartered vessel (the hired captain, vessel owner, people who chartered the vessel, 

etc.)?

The marine employer is responsible. This can be played out in several ways depending on the 

arrangements/contracts and should probably be looked at on a case-by-case basis. Any one of 

the people listed above can play the part of the marine employer. That person must have a 

chemical-testing program in place. See enclosure 6 for assistance.

I change mates so frequently; do I have to obtain a pre -employment test for each mate?

The pre-employment test may be waived if one of the conditions under 46CFR16.210 is met, 

otherwise you must conduct a pre-employment test for each new-hire, and, must obtain the 

results of the test prior to engaging or employing the mariner aboard your vessel. 

What are the penalties for violating these regulations?

The following enforcement actions may be taken for noncompliance with the Coast Guard 

chemical testing regulations:

1. Certificate of Inspection (COI) may be removed or not issued

2. Civil Penalty may be assessed of up to $5,500.00 per violation, per day.

3. Suspension and Revocation (S & R) proceedings may be initiated against an individual’s 

license, MMD, or COR

4. Captain of the Port (COTP) order may be issued (prohibiting the operation of the vessels 

involved until compliance is gained)

5. Letter of Warning

6. CG-835 (deficiency ticket) may be issued.
34

What about the marine employer who runs a “not-for-profit” or charity operation and the 

crewmember who is a “volunteer”?

In these two cases the financial or payment status is not an issue. The requirements for chemical 

testing still apply.

Are individuals changing positions or ships within a company’s fleet considered “new 

hires” and need a pre -employment test?

No.

Are Breathalyzer devices required onboard?

Yes, but only for inspected vessels certified for unrestricted ocean or restricted overseas routes.

What happens when one of my crewmembers tests positive?

Several things will need to be done by the marine employer. First and foremost, the 

crewmember must be removed from the safety sensitive position. The crewmember may not 

return to work in that, or any other safety sensitive position, until : 1.) Obtaining a "return to 

work" letter from the MRO; and 2.) Completing the requirements of 49 CFR part 40, Subpart O.

Next, the marine employer should provide the crewmember with the name and contact 

information for the SAP provider so that the crewmember can seek assistance.

If the crewmember is the holder of a Coast Guard issued license or merchant mariners 

document, then the marine employer is required to report the positive test to the U.S. 

Coast Guard. (Failure to report positive test results may result in a civil penalty against 

the marine employer.) 

Non-credentialed mariners are removed from safety sensitive positions and cannot return 

to work until they obtain a return to work letter from the MRO and have completed the 

requirements of 49 CFR part 40, subpart O.

Return to Work Process after testing positive or with a drug test violation?

Once the Coast Guard receives the report, an Investigating Officer will be assigned to 

investigate the drug test. This investigation will verify the validity of the test.

If the investigation confirms that the positive test result is valid and the mariner is the 

holder of a Coast Guard issued credential, the Investigating Officer will initiate a 

Suspension and Revocation case against the mariner.

After being served with a complaint for Use of a Dangerous Drug, the mariner has two 

basic choices:

(1) Contest the Complaint. If the mariner contests the allegations made in the 

complaint, the case will be heard by an Administrative Law Judge at a formal 

Suspension and Revocation Hearing. If the Coast Guard proves its case at the 
35

hearing, the Administrative Law Judge will likely revoke the mariners 

document.

(2) Enter into a Consent Agreement. If the mariner does not wish to contest the 

allegations made in the complaint, the case can be settled through a consent 

agreement. For Use of a Dangerous Drug, the standard consent agreement has 

the following sanctions and conditions:

(a) Revocation of the credential, revocation is suspended if the terms of 

the settlement agreement are completed in a timely manner, 12 

months suspension and completion of;

(b) A bona-fide rehab program

(c) 12 months of aftercare, consisting of documented attendance of 

support meetings like AA/NA, (avg. of 4 per month), not less than 6 

unannounced random drug tests in 12 months (all must be negative), 

and obtain a return to work letter from the MRO.

It takes most mariners 12-18 months to complete this process. The mariner’s license is 

suspended during those 12-18 months. The license is reinstated once all of the 

requirements of the agreement are met. Failure to complete the agreement in the 

specified time will result in revocation of the license.

One of my crewmembers tested positive, but he got some counseling and took another test 

and came up negative. Can I put him back to work on my boats?

A mariner who tests positive for a dangerous drug cannot return to work in a safety sensitive 

position until he or she has obtained a return to work letter from the MRO and completes the 

requirements of 49 CFR part 40, Subpart O, regardless of any other treatment, counseling, or 

subsequent drug tests. A marine employer that knowingly returns a mariner to duty without the 

MRO return to work letter and fulfilling the requirements of the Substance Abuse Professional 

(SAP) is subject to a civil penalty of up to $5,500.

What is an "adulterated" specimen?

An adulterated specimen is a urine specimen, submitted for USCG/DOT drug testing, that has 

been found by a DHHS/SAMHSA laboratory, to have substances in the specimen that contains a 

substance that is not expected to be present in human urine, or contains a substance expected to 

be present but is at a concentration so high that it is not consistent with human urine. The 

laboratory report of adulterated will be verified by the MRO before being reported to the 

employer

Can a diluted specimen report be recollected as a direct observation collection?

No, If a report of dilute negative is received by the marine employer from the MRO and the 

creatinine of the specimen is 5.1 mg/dl or greater, the policy of the employer should state 

how this will be treated. The policy may state that all negative dilute tests are to be 

recollected or that requirement may not be in place and all negative dilute tests will be 
36

accepted for employment purposes. This is a decision of the marine employer. Whatever 

policy is adopted by the employer, has to be applied in a non-discriminatory manner.

Yes, if the MRO reports a negative dilute and the creatinine is between 3 2.0 and £ 5.0 mg/dl, 

the directions of the MRO are to be followed immediately with a specimen collected using 

observed collection techniques.

What will the Coast Guard do about a mariner who refuses a test?

A refusal is handled in the same fashion as a positive test result. That does not mean a refusal is 

a positive, it simply means that the Coast Guard will seek the same sanctions against a licensed 

or documented mariner who refuses a test, as that for a licensed or documented mariner who fails 

a drug test. The Coast Guard would initiate Suspension and Revocation proceedings against the 

mariner, seeking the revocation of the license or document.

Refusing to take a test can be an MRO verified report of adulteration or substituted; failure to 

report to the collection facility on time; non-cooperation with the specimen collection; or when 

directed to give another specimen under observed conditions, refusing and leaving the collection 

facility.

All personnel that refuse to test are to be immediately removed from safety-sensitive positions.

What will the Coast Guard do about a substituted or adulterated specimen?

The act of adulterating or substituting urine specimens submitted for drug testing, is by 

definition, a refusal to test. The Coast Guard, upon investigation, will most likely institute 

Suspension and Revocation proceedings against a licensed or documented mariner who 

adulterates or substitutes their specimen, seeking revocation of their license or document. 

Marine employers must report substituted or adulterated specimen incidents to the USCG if a 

licensed or documented mariner is involved.

I am a self-employed fishing guide. Can I conduct my own random selection process?

No. A person subject to testing cannot conduct the random selection and still meet the definition 

of "unannounced" as it pertains to random tests. This does not mean that you need to join a 

consortium, it does however mean that you need to find a disinterested third party to conduct the 

random selection process. This can be done through the services of a Third Party Administrator 

(TPA), such as a collection site manager, or by any other person that has no vested interest in the 

outcome of your test and can ensure that the random selection process is scientifically based.

I belong to a consortium and noticed that only 10% of my crewmembe rs were selected for 

random tests this year. Am I subject to a civil penalty for not testing 50% of my 

crewmembers?

No. By being a member of a consortium, you are meeting your obligations for random testing. 

Your crewmembers are "pooled" together with crewmembers from many other marine 

employers. The consortium , if they state that they are providing services in compliance with the 

DOT and USCG regulations, is responsible to the marine employer that it will test that "pool" of 
37

crewmembers at 50% random testing rate annually. This 50% is completed tests and does not 

count personnel that have been selected for a random test but have not been completed. You 

must however, upon demand, provide a copy of the MIS report submitted for your company, or, 

a letter from the consortium stating an MIS report was filed by the consortium on your 

company's behalf. 

Can the same crewmember be randomly tested more than once in a calendar year, and if 

so, will that count towards the 50%?

Yes, if your selection process is in fact random. Each crewmember must have an equal chance 

of being selected each time a random selection for testing is conducted. Since the selection is 

random, it is reasonable to expect some people to be selected more than once, while others may 

not be selected at all during a given year. If you employ 100 crewmembers, you must select 50 

crewmembers on a random basis for testing. You do not have to select 50 different people, you 

only have to ensure you randomly select 50.

Is the Consortium (C/TPA) or the Marine Employer responsible for ensuring 50% random 

test compliance?

The marine employer is ultimately responsible for ensuring compliance with the chemical testing 

program. The marine employer if contracting out for compliance services to a C/TPA, should be 

able to ensure that all procedures are being followed.

Is there mandatory contract language between a marine employer and a service agent?

Yes, there is. All contracts, agreements, or other contractual documents for services should state 

that all services are being provided in accordance with 49 CFR part 40 and 46 CFR part 16. The 

agreements, contacts, etc., can be verbal or written documents. The smart marine employer will 

have all contractual documentation (agreements, etc) between the employer and service agent(s) 

in writing.

In the event, there is non-compliance on the part of the service agent, there is documentation for 

the services that are being provided and to what level services are being provided. If a 

contractual dispute ends up in a courtroom, it is always best to important documents in writing.

Does the Coast Guard require pre -employment and random alcohol tests?

There is no requirement for pre-employment or random alcohol tests. Alcohol testing is only 

conducted following an SMI performed in accordance with 46 CFR part 4.06 or as a reasonable 

cause test in accordance with 33 CFR part 95.

Can I base the 50% random selection rate on the number of billets I’m trying to fill on my 

vessels?

No. The rate of random testing applies to the total number of crewmembers employed by a 

marine employer. Since every crewmember (not just the ones working on any given day) must 
38

be subject to random testing each time a random selection is made, the 50% must be based on the 

total number of crewmembers.

My company’s positive test rate has been below 1% for the last 3 years. Can we reduce the 

rate at which we randomly test our crewmembers?

No. 46 CFR 16.230(f) clearly states that the random testing rate can only be lowered by the 

Commandant of the Coast Guard, and that the rate may only be lowered when the industry-wide 

positive test rate falls below 1% for two consecutive years.

What is the difference between a collection facility and a lab?

A collection facility is the location where the marine employer sends his or her personnel to 

provide urine samples for drug testing. A lab is a place to which the collection facility ships the 

specimen for testing and analysis.

Are the chemical testing regulations applicable only to inspected vessels?

No. The USCG chemical testing regulations are applicable to commercial vessel crewmembers 

working on both inspected and uninspected vessels.

What are the responsibilities of a master, who is not the owner of the vessel or marine 

employer regarding the chemical testing regulations?

The master may be held accountable if the company policy designates the master with 

responsibilities regarding the marine employer’s chemical testing program. The master could be 

charged with misconduct for violating company policy. Therefore, you as the master should 

confirm that your marine employer knows about the chemical testing regulations.

Are volunteers considered crewmembers and therefore subjected to the chemical testing 

regulations?

Yes, if the volunteer meets the definition of “crewmember.” The payment status of an employee, 

whether he or she is a paid employee or serving as a volunteer, does not change the requirement 

for chemical testing.

For which drugs are urine specimens being tested?

Marijuana, Cocaine, Opiates, Amphetamines, and Phencyclidine (PCP), are the five drugs tested 

for in a 5-panel DOT test.

Can urine samples be tested for alcohol following a Serious Marine Incident?

No. The only acceptable SMI tests for alcohol are blood or breath. 
39

Does the Coast Guard accept hair testing for drugs?

No. The only drug test accepted by the Coast Guard for compliance with 46 CFR part 16 is a 5-

panel urine DOT test, collected and analyzed in accordance with 49 CFR 40. 

What is the legal Blood Alcohol Concentration for crewmembers aboard commercial 

vessels?

A mariner is presumed to be under the influence if his or her BAC is greater than or equal to 

0.040% and they are operating a vessel. The reference is 33 CFR part 95.

Can I count post-accident/Serious Marine Incident drug tests towards my 50% random test 

rate?

No. While accidents are a random occurrence, post accident tests are to be counted only as post 

accident/SMI tests and not as randoms.

I operate a seasonal business. My crewmembers are college students that I hire at the start 

of the season and employ for about 5 months. Are those crewmembers required to be 

chemically tested?

Yes. First, each crewmember will have to be pre-employment tested unless they meet criteria for 

an exemption under 46 CFR 210. Secondly, these crewmembers must be subject to random 

testing during the season. You as the marine employer are then responsible for ensuring that 

50% of all the deckhands you hire are randomly tested. Additionally, you as the marine 

employer, must make sure those tests are spread reasonably throughout the operating season.

Am I as a marine employer responsible for the cost of any split specimen analysis?

Yes, the employer is responsible for all up front costs involved in having a split specimen 

analyzed upon request of the employee, whether the individual is a current employee, discharged 

employee or an individual that was never hired. This does not prohibit the marine employer 

from recovering the cost of this analysis from the individual’s wage, etc., after the analysis has 

been completed.
Enclosure 1

WHERE TO GET INFORMATION ABOUT. . .

SUBSTANCE ABUSE

National Clearinghouse for Alcohol and Drug Information

PO Box 2345

11426-28 Rockville Pike

Rockville, MD 20847-2345 

1-800-729-6686 or (301) 468-2600

You can obtain a free catalog, containing thousands of drug prevention products, by 

calling the toll-free number.

THE DRUG TESTING REGULATIONS

There are several sources available to obtain the regulations.

Website: www.access.gpo.gov/nara/cfr/cfr-retrieve.html

Order charged to credit card: (202) 512-1800 or Order by fax: (202) 512-2250

Order by mail: Superintendent of Documents

Government Printing Office

PO Box 371954

Pittsburgh, PA 15250-7954

Purchases paid by check or money order made payable to Government Printing 

Office.

Ordering information:

[] 46 CFR, Parts 4 and 16 (volume contains parts 1 through 40)

 Order Document No. 869-034-00171-8 Cost: $26.00 each

[] 49 CFR, Part 40 (volume contains parts 1 through 99)

 Order Document No. 869-034-00192-1 Cost: $31.00 each

Internet Download: http://www.gpoaccess.gov/ecfr

US Coast Guard Drug and Alcohol Program Internet Home Page: 

http://www.uscg.mil/hq/gm/moa/dapip.htm

US Department of Transportation - Office of Drug and Alcohol Policy and Compliance: 

http://www.dot.gov/ost/dapc
Enclosure 1

COMMUNITY SERVICE HOTLINE NUMBERS

Your local telephone directory or a national hotline number available at 1-800-662-HELP

Or the Internet at

http://findtreatment.samhsa.gov/facilitylocatordoc.htm

COLLECTION PROCEDURES

A guidebook for specimens collections is available at the Secretary of Transportation's 

Drug Office at (202) 366-3784 or on the Internet at http://www.dot.gov/ost/dapc

CERTIFIED LABORATORIES

At the beginning of each month, the list of DHHS certified laboratories is published in 

the Federal Register.

The current laboratory list may be obtained at: http://workplace.samhsa.gov

MIS FORM

A copy of the current MIS form provided in this guidebook or at.

Website: http://www.uscg.mil/hq/gm/moa/misinstr.htm or

http://www.dot.gov/ost/dapc

The form and its instructions may also be obtained at any Marine Safety/Inspection 

Office.

Letter of Regulatory Compliance for Consortiums and Third Party Administrators 

The Coast Guard will issue a Letter Of Regulatory Compliance (LORC) to companies or 

Consortium/Third Party Administrators (C/TPA) who have submitted their programs for 

review. The programs will be reviewed and if the program has been determined to meet 

the basic requirements of the chemical testing regulations, an LORC will be issued. 

Additional information and submitting standards are available at 

http://www.uscg/mil/hq/gm/moa/dapip.htm. 

The LORC replaces the former Letter of Substantial Compliance (LOSC) which has no 

validity or standing. See the letter at http://www.uscg.mil/hq/gm/moa/dapip.htm

canceling all LOSCs effective March 22, 2002. For further information, please contact 

USCG Drug and Alcohol Program Manager to obtain an updated list of LORC holders or 

for information on how to apply for an LORC. Contact information is 

Rschoening@comdt.uscg.mil and phone 202-267-0684.
Enclosure 1

ASSISTANCE

If a highly technical, legal, or unique problem arises, consult the regulations, the nearest 

Coast Guard Marine Safety/Inspection Office or contact the nearest Drug and Alcohol 

Program Inspector (DAPI): 

District 1 - MSO Providence, RI (401) 435-2383

District 5 - Norfolk, VA (757) 398-6682

District 7 - Miami, FL (305) 415-6867

District 8 - New Orleans (504) 589-4419

District 11 - Alameda, CA (510) 437-2949

District 13 - MSO Portland, OR (503) 240-9310

District 14 - MSO Honolulu, HI (808) 522-8264

District 17 - MSO Anchorage (907) 271-6714

Or contact the Program Manager

Coast Guard Headquarters (Washington, DC) (202)267-0684
Enclosure (2)

SAMPLE 

DRUG AND ALCOHOL POLICY

GENERAL:

The purpose of this policy is to ensure public safety and to maintain a safe, and 

productive work environment for all employees by preventing accidents or other 

dangerous incidents that may result from drug or alcohol use. This policy pertains to all 

employees of the company who have cause to be on company vessel(s) and other 

company owned or leased properties.

POLICY STATEMENT:

The possession, use, or sale of alcohol on company premises during work hours is strictly 

prohibited. Further, the possession, use or sale of illegal drugs is prohibited at any time.

Employees are prohibited from reporting to work under the influence of alcohol or 

detectable levels of controlled substances..

An employee who is taking a prescription drug is required to present to the company a 

statement from the prescribing physician that the prescription drug will not impair the 

employee's work performance.

The company will require drug testing of applicants for employment in safety-sensitive 

positions. Any applicant who refuses to submit to the test will no longer be considered 

eligible for employment.

The company will require drug testing of employees who hold safety-sensitive positions. 

Any employee who refuses to submit to the test will no longer be considered eligible for 

employment.

Drug testing shall be conducted in accordance with DOT/USCG rules and regulations. 

Specifically, individuals will be tested for the presence of controlled substances 

(marijuana, cocaine, opiates, amphetamines, phencyclidine (PCP) and alcohol) and will 

be subject to pre-employment, reasonable cause, periodic, random, and post accident 

drug testing. Such individuals must TEST NEGATIVE for the presence of controlled 

substances.

In the interest of the safety and health of its employees, the company reserves the right to 

inspect and search, at random, unannounced times, all packages, boxes, clothing, or any 

personal belongings carried on or off company property.

 
Enclosure (2)

SAMPLE 

DRUG AND ALCOHOL POLICY

DISCIPLINE:

Employees found to be in violation of this policy either directly possessing or using 

alcohol or drugs, as described above, or through a verified positive drug test or by court 

conviction, will be subject to immediate discharge from employment.

Any employee who fails to cooperate with the requirements set forth in this policy, 

including refusal to test, failure to provide a specimen within a reasonable time, failure to 

report for a scheduled appointment to provide a specimen, adulteration of a specimen, 

will be subject to disciplinary action which may include immediate termination of 

employment.

ADMINISTRATIVE:

The company strictly prohibits the use, possession, sale of illegal drugs, drug 

paraphernalia or unsanctioned use of alcohol aboard company vessel(s) or property. The 

company will cooperate fully with public authorities in the prosecution of anyone in 

violation of said prohibition.

Information concerning drug and/or alcohol test results, or violations of this policy will 

be treated as confidential information. Such information will be released only to 

management representatives who have a need to know. This information will also be 

provided to the Coast Guard or other federal and state agencies where required by law or 

regulation.

Test results or documentation showing the employee has been subject to random drug 

testing shall be provided to that employee or to their designated representative, upon 

written request by the employee.

ALCOHOL AND DRUG POLICY ACKNOWLEDGMENT

I, __________________________, acknowledge that I have read 

the company alcohol/drug policy, and that I fully understand 

that violation of this policy will be grounds for immediate termination of my 

employment.

Signature____________________________________ Date___________________
Enclosure (3)

SAMPLE REPORT TO COAST GUARD

(Fill in areas that are in ALL CAPS and Bolded)

COMPANY LETTERHEAD

DATE

Commanding Officer

Marine Safety Office XXXX

ATTN: Senior Investigating Officer

PO BOX XXXXX

CITY, ST 12345-6789

To : Senior Investigating Officer:

Pursuant to provisions of 46 CFR, Parts 4, 5, and 16, COMPANY NAME, hereby 

notifies you that MARINER’S NAME AND SOCIAL SECURITY NUMBER tested 

positive for DRUG TYPE on a REASON FOR TEST chemical test administered on 

DATE OF TEST and in accordance with the standard set forth in 49 CFR40.

LABORATORY NAME:

LABORATORY ADDRESS:

IDENTIFICATION (CCF) NUMBER:

MEDICAL REVIEW OFFICER (MRO):

MRO ADDRESS:

MRO QUALIFYING ORGANIZATION

MRO REGISTRATION NUMBER:

If there are any question about this report, please telephone or contact me at __________.

Sincerely,

SIGNATURE

NAME OF DESIGNATED REPRESENTATIVE or 

AUTHORIZED AGENT (C/TPA)

TITLE

Enclosure: (1) USCG Merchant Marine License/Document (COPY) (if available)

(2) Drug testing Custody and control Form

(3) Lab report and/or MRO report
Enclosure 4
REPLACE WITH Enclosure (5) 2692B

Enclosure 6 Page 1
Enclo 6 Page 2


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