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What Employers Need To Know About DOT Drug and Alcohol Testing [Guidance and Best Practices] - PDF
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1 U.S. Department of Transportation Office of the Secretary Office of Drug and Alcohol Policy and Compliance What Employers Need To Know About DOT Drug and Alcohol Testing [Guidance and Best Practices]
2 U.S. Department of Transportation Office of the Secretary Office of Drug and Alcohol Policy and Compliance What Employers Need To Know About DOT Drug and Alcohol Testing [Guidance and Best Practices] If you employ safety-sensitive workers who must have Department of Transportation (DOT) drug and alcohol tests, or you manage a DOT drug or alcohol testing program, this publication can help you understand how to run an excellent program that meets DOT requirements. This is not a legal document that adds to or makes any official interpretations of DOT rules. This publication is for educational purposes only. This booklet is a companion to our earlier publication for employees, What Employees Need to Know About DOT Drug & Alcohol Testing. For questions about the rules, please contact the Office of Drug and Alcohol Policy and Compliance at or us from our website at You can find contact information about DOT Agency and United States Coast Guard drug and alcohol program managers on our website at: 2
3 Table of Contents Page What Employers Need To Know About DOT Drug and Alcohol Testing [Guidance and Best Practices] U.S. Department of Transportation Office of the Secretary Office of Drug and Alcohol Policy and Compliance 4 Overview DOT Guidance and Best Practices Overview 5 Section I. DOT Program Implementation and Regulations 7 Section II. Identifying Employees Needing To Be Tested 8 Section III. Program Policies and Assigning Responsibilities 10 Section IV. Selecting Service Agents and Their Roles 13 Section V. Employee and Supervisor Education and Training 14 Section VI. Drug and Alcohol Testing Requirements 22 Section VII. Employer Actions When Employees Violate the Rules 29 Section VIII. Record Keeping and Data Collection Requirements 35 Section IX. Program Compliance and Inspections / Audits 37 Appendix A Company DOT Testing Policy Requirements 47 Appendix B Collection Site Security and Integrity 48 Appendix C Selecting Service Agents 52 Appendix D Post Accident Testing Criteria 56 Appendix E Prior Testing History Release of Information Format 57 Appendix F Audit/Inspection/Investigation/Compliance Records Review DOT Guidance and Best Practices Overview 3
4 Section I. DOT Program Implementation and Regulations Section II. Identifying Employees Needing To Be Tested Section III. Program Polices and Assigning Responsibilities Section IV. Selecting Service Agents and Their Roles Collectors Breath Alcohol Technicians Screening Test Technicians Laboratories Section V. Employee and Supervisor Education and Training Medical Review Officers Substance Abuse Professionals Consortia/Third Party Administrators Section VI. Drug and Alcohol Testing Requirements Section VII. Employer Actions When Employees Violate the Rules Section VIII. Record Keeping and Data Collection Requirements Section IX. Program Compliance and Inspections / Audits 4
5 Section I. DOT Program Implementation and Regulations As an employer, do I have to do DOT testing? Yes, if you or your employees are subject to the DOT drug and alcohol testing regulations. The DOT Agencies and U.S. Coast Guard (USCG) have regulations that require certain employers to comply with drug and alcohol testing rules. To see if your company is covered, you can go to a feature on our website called, Am I Covered? at: The following chart sets out the general types of employers our rules cover: DOT Agency Regulation Industry FMCSA Federal Motor Carrier Safety Administration 49 CFR Part 382 Motor Carrier FAA Federal Aviation Administration 14 CFR Part 120 Air Carriers or operators and certain contract air traffic control towers FRA Federal Railroad Administration 49 CFR Part 219 Rail FTA Federal Transit Administration 49 CFR Part 655 Public Transportation PHMSA Pipeline and Hazardous Materials Safety Administration 49 CFR Part 199 Operators of pipeline facilities and contractors performing covered functions for the operator USCG US Coast Guard [Department of Homeland Security] 46 CFR Parts 4 & 16 Maritime You can find these regulations at: 5
6 What is 49 CFR Part 40 and how is it different from the DOT Agency and USCG regulations? 49 CFR Part 40, or Part 40 as we call it, is a DOT-wide regulation that states how to conduct testing and how to return employees to safety-sensitive duties after they violate a DOT drug and alcohol regulation. Part 40 applies to all DOT-required testing, regardless of what DOT agency-specific rule applies to an employer. For example, whether you are an airline covered by FAA rules or a trucking company covered by FMCSA rules, Part 40 procedures for collecting and testing specimens and reporting of test results apply to you. Each DOT Agency-specific regulation spells out who is subject to testing, when and in what situations for a particular transportation industry. Where can I get a copy of Part 40? You can obtain a copy of Part 40 by contacting our office at or from our website at: Is there a website that gives me easy access to all the DOT s program requirements? Yes. Most things you and others who help you with your program need to know about the drug and alcohol testing requirements are available on our website at: There is also an Employer Page at: 6
7 Section II. Identifying Employees Needing To Be Tested Who are safety-sensitive employees and why are they tested? Pilots, truck drivers, subway operators, ship captains, pipeline controllers, airline mechanics, locomotive engineers, and bus drivers are just some of the transportation workers that we depend upon to be as clearheaded and as alert as possible at all times. As a safety agency, the DOT can demand nothing less. Use of illegal drugs and misuse of alcohol are not compatible with performing these vital functions. The history of our program began with some fatal accidents that illegal drug use or alcohol misuse helped to cause. Congress passed a law the Omnibus Transportation Employees Testing Act of 1991 that requires DOT Agencies to test safety-sensitive transportation workers. This table lists the types of safety-sensitive duties subject to DOT drug and alcohol testing: Transportation Industry Commercial Motor Carriers (FMCSA) Aviation (FAA) Railroad (FRA) Public Transportation (FTA) Pipeline (PHMSA) Maritime (USCG) [Follows Part 40 for drug testing, not alcohol testing.] Safety-Sensitive Duties Commercial Drivers License (CDL) holders who operate a Commercial Motor Vehicle. Flight crew, flight attendants, flight instructors; air traffic controllers at facilities not operated by the FAA or under contract to the U.S. military; aircraft dispatchers; aircraft maintenance or preventative maintenance personnel; ground security coordinators, aviation screeners, and operations control specialists. Persons who perform duties subject to the Hours of Service laws; such as, locomotive engineers, trainmen, conductors, switchmen, locomotive hostlers/helpers, utility employees, signalmen, operators and train dispatchers. Operators of revenue service vehicles, CDL-holding operators of nonrevenue service vehicles, vehicle controllers, revenue service vehicle mechanics, firearm-carrying security personnel. Persons who perform operations, maintenance, or emergency response function on a pipeline or LNG facility regulated under part 192, 193, or 195. Crewmembers operating a commercial vessel. 7
8 Section III. Program Policies and Assigning Responsibilities Do I need to have written policies that explain my program? Yes. The DOT Agencies and USCG require employers covered under their regulations to have policies in place that fully explain their drug and alcohol program. Not only must you have policies, but you must also make them available to employees covered under your DOT program. You can find DOT Agency and USCG policy requirements at Appendix A. What is a DER and what does a DER do? The Designated Employer Representative (DER) is your key employee for many drug and alcohol program functions. The DER must be a company employee. DERs cannot be contractors or service agents. The only exception is when C/TPAs function as DERs for owner-operator truck drivers. 1. DERs should be readily available. 2. To ensure good coverage, a best practice is to have multiple DERs. The DER gets test results from the Medical Review Officer (MRO) and Breath Alcohol Technician (BAT) and takes immediate action to remove employees from their safety-sensitive duties when they violate drug and alcohol testing rules, such as test positive or refuse a test. A company may have more than one DER to ensure adequate coverage on all shifts and at all locations, with perhaps a drug and alcohol program manager to coordinate the entire program and assure consistency among DERs. As an employer, you must give your service agents the DER contact information in case they need to speak directly with the DER without delay. The DER should have knowledge of and authority to make decisions about the testing process and answer questions about it. Again, the primary job of the DER is to ensure the appropriate and timely removal of an employee from safety-sensitive duties. What are my options in administering my DOT drug and alcohol testing program? There are three general ways in which you can run your DOT drug and alcohol testing program: Option 1: Administer the program internally. You would have on your own staff urine specimen collectors and Screening Test Technicians (STTs) / BATs, MROs, and Substance Abuse Professionals (SAPs) and support staff to run the program. The testing laboratory would be the only part of your program outside your own organization. Option 2: Outsource some of the program functions to service agents. For example, you could have your own MRO and SAP but contract with urine specimen collectors and STTs / BATs to perform the collections, while keeping a support staff to run the program. 8
9 Option 3: Outsource all of the program s functions to a vendor, called a consortium or a third-party administrator (C/TPA), with only a DER and the DER s support staff, if any, remaining in-house. NOTE: As an owner-operator in the motor carrier industry, FMCSA regulations require you to belong to a C/TPA to ensure your compliance with random testing. Can I have my own company testing program in addition to my DOT testing program? You may have your own company authority testing program. Under a non-dot program, you could test for other drugs of your choosing. Therefore, you would not be prohibited by DOT from testing for additional drugs under your own authority under your non- DOT company policy testing. Nor would DOT prohibit you from using non-urine specimens under your non-dot program. 1. In your drug and alcohol testing policy, you must be very clear about which requirements are under DOT authority and which are under your company authority. 2. You must also keep DOT test records separated from your company-authority test records. However, you would need to follow Part 40 and the appropriate DOT Agency and USCG regulations and totally separate your DOT testing from your non-dot company policy testing. For example, if you conduct DOT and non-dot tests of an employee following an accident, you must ensure that the DOT urine collection for drugs and DOT test for alcohol are accomplished first. Then you would let the employee know the DOT portion was completed and that you will now be conducting a company policy test. In addition, you must not use the Federal Drug Testing Custody and Control Form (CCF) or the DOT Alcohol Testing Form (ATF) for your non-dot testing. You would use non-federal and non-dot forms. 9
10 Section IV. Selecting Service Agents and Their Roles What is a service agent and how can a service agent assist me? A service agent is any person outside your company that you use to help you implement the DOT regulations. These might include a urine collector, a BAT, an STT, a laboratory, an MRO, a SAP, or a C/TPA in charge of coordinating your testing services. You can use a service agent to administer part or all of your DOT drug and alcohol testing program. If you use a service agent, you should take a hands-on approach, and you should not assume the service agent will do everything right. Are your service agents qualified? When was the last time you checked their training records and the quality of work they do? Should I enter into a contract with a service agent? 1. A best practice is to stay in touch with your service agents to make sure they are keeping you in compliance. 2. Another best practice is for you to audit the work of your service agents from time to It is up to you whether or not to use a service agent. If you use service agents, the rules do not require a written contract, but having a written contract makes good business sense. A contract should include how and where services will be provided, prices, and who will do what and when. To protect yourself, you should include a provision in the contract that allows you to replace the service agent if the service agent isn t providing services that comply with DOT rules. Be a smart buyer. You should ask questions to make sure the service agent is providing the kind of service you want and need. For example, if a C/TPA is providing a network of collection sites, will the C/TPA verify the qualifications of the collectors and evaluate the integrity of the collection sites? Will it act as an intermediary in resolving collection site issues? Will the C/TPA use a scientifically valid way of making selections for random testing? How often will the C/TPA perform random selections? How quickly does the C/TPA s MRO provide results after a test? 10
11 Who are the service agents and what are their responsibilities in DOT s testing program? This chart lists most of the types of service agents that work in the DOT drug and alcohol testing program and their responsibilities: Type of Service Agent Urine Collector Laboratory Medical Review Officer (MRO) Screening Test Technician (STT) Breath Alcohol Technician (BAT) Responsibilities Collect urine specimens using Part 40 procedures, ship the specimens to Department of Health and Human Services (HHS) certified laboratories for analysis, and distribute copies of the CCF to the laboratory, MRO, employer, and employee in a timely and confidential manner. The collector is required to maintain collection site security and integrity (see Appendix B and video.) Receive, analyze, and report laboratory confirmed results only to MROs. The laboratory must be certified by the HHS. Receive laboratory confirmed urine drug test results; determine whether there is a legitimate medical explanation for a laboratory-confirmed positive, adulterated, or substituted result; and review and report a verified result to the employer in a timely and confidential manner. Conduct an alcohol screening test (i.e., the first test given to an employee). It can be either a breath or saliva test. The STT documents the test result on an ATF and transmits the results to the employer in a timely and confidential manner. Conduct alcohol screening and confirmation tests (i.e., the second test given to an employee whose screening test result is.02 or above) by collecting and analyzing breath specimens using an approved screening device and an evidential breath testing (EBT) device, document the results of the test on a DOT ATF, and transmit the results to the employer in a timely and confidential manner. Where can I find their qualifications? 49 CFR Part 40 Section CFR Part 40 Section CFR Part 40 Section CFR Part 40 Section CFR Part 40 Section
12 Type of Service Agent Substance Abuse Professional (SAP) Consortium / Third Party Administrator (C/TPA) Responsibility Evaluate employees who have violated DOT drug and alcohol regulations and make recommendations concerning education, treatment, follow-up testing, and aftercare. The SAP determines if the employee demonstrates successful compliance with the recommended education and treatment. A service agent who coordinates a variety of drug and alcohol testing services for employers. These services can include random selections; preparation of annual Management Information System (MIS) reports; and coordinating urine collections, laboratory testing, MRO services, alcohol testing, and SAP evaluations. A C/TPA must ensure the services it provides comply with DOT regulations and that its service agents are qualified. Where can I find their qualifications? 49 CFR Part 40 Section CFR Part 40 Subpart Q For important pointers for selecting service agents, see Appendix C. 12
13 Section V. Employee and Supervisor Education and Training What educational materials do I need to give to my employees? You must provide employees who perform DOT safety-sensitive functions materials that explain the DOT requirements. You must document that they received the materials. At the very least, you should include: The name and contact information of persons assigned to answer questions about the program. The duties of the employees who are subject to the program. Employee conduct that is prohibited by the regulations. The requirement that employees must be tested for drugs and alcohol. When and under what circumstances employees will be tested. The testing procedures that will be used. An explanation of what constitutes a refusal to test. An explanation of the consequences of refusing a test. The consequences of violating the DOT rules. Information on the effects of drugs and alcohol on a person s health, work, and personal life. The signs and symptoms of drug use and alcohol misuse. The name and contact information of an individual or organization that can provide counseling and access to treatment programs. There are also training requirements for supervisors and other officials about reasonable suspicion and reasonable cause testing: Type of Training Duration Documentation of training required? Recurring training required? Indicators of Probable Drug Use 1 Hour Yes Recommended as Best Practice Indicators of Probable Alcohol Use 1 Hour Yes Recommended as Best Practice Employers must follow other requirements that DOT Agencies and USCG rules have for employee and supervisor education and training. FRA also requires supervisors to have at least 1 hour of post-accident training. 13
14 Section VI. Drug and Alcohol Testing Requirements What specimens are collected for DOT drug and alcohol tests? DOT drug tests are conducted only using urine specimens. DOT alcohol screening tests are conducted using either breath or saliva. DOT alcohol confirmation tests must be conducted using Evidential Breath Testing Devices (EBTs) that only analyze breath. In addition to urine testing for drugs, the FRA also requires blood specimens for its Post-Accident testing. The USCG permits collection of blood specimens for its Serious Marine Incident (SMI) testing. Where must I have DOT urine specimens analyzed? DOT urine specimens can only be tested at drug testing laboratories certified by the HHS. There are no point of contact or instant tests permitted by the DOT. All specimens must be urine. You can find the current HHS laboratory listing at: For what drugs does DOT require me to test? DOT urine specimens are analyzed for the following drugs or drug metabolites: Marijuana metabolites / THC Cocaine metabolites Phencyclidine (PCP) Amphetamines, Methamphetamine, and Methylenedioxymethamphetamine (MDMA) Opiate metabolites [Codeine, Morphine, and Heroin] 1. You cannot test for any other drugs using a urine specimen collected for a DOT test. 2. DOT specimens cannot be tested for other purposes either, for example a DNA test. 14
15 What types of DOT tests must I conduct? You must give employees the following kinds of tests, when called for by DOT Agency and USCG rules: Pre-employment Random Reasonable Suspicion / Reasonable Cause Post-Accident Return-to-Duty Follow-up Here are explanations about each type of test: PRE-EMPLOYMENT Drug Tests: You are required to: (1) Conduct a pre-employment drug test; and (2) Receive from the MRO a negative test result on the pre-employment drug test for a person prior to hiring or prior to using that person in a safety-sensitive position for the first time. This requirement also applies when a current employee is transferring from a non-safety sensitive position to a safely-sensitive job for the first time. Alcohol Tests: Unless you are regulated by the USCG, you may conduct pre-employment alcohol testing under DOT authority, but only if two conditions are met: (1) The pre-employment alcohol testing must be accomplished for all applicants [and transfers], not just some; and (2) The testing must be conducted as a postoffer requirement meaning you must inform the applicant that he or she has the job if he or she passes a DOT alcohol test. The FAA has specific prior-to-hire and transfer into safety-sensitive function requirements. They also require employers to receive MRO written confirmation of negative pre-employment drug test results. Check FAA regulations for details. The FRA has a one-time pre-employment drug test requirement for each employee subject to the Hours of Service laws. Check FRA regulations for details. The FTA requires employees who have been removed from the random testing pool and out of work for 90 or more days to have pre-employment tests upon return. The USCG requires employees who have not been subject to random drug testing for at least 60 days of the last 185 days to be pre-employment tested. 15
16 RANDOM Random tests are the key part of your program since they deter employees from using drugs and misusing alcohol. Unless you are regulated by FRA, you don t need to submit a random testing plan to DOT. However, it is a good idea for you to have a written plan to help you to objectively and consistently apply your program. Each DOT Agency sets the random rates for drug and alcohol testing in the industry it regulates. These testing rates are minimums. You can choose to set higher random testing rates for your company. 1. How effective is your random testing program? 2. Are you consistent in implementing it? So if a DOT Agency requires a drug testing rate of 50% and an alcohol testing rate of 10%, then an employer with 100 safetysensitive employees would have to ensure that 50 or more random drug tests and 10 or more random alcohol tests were conducted during the calendar year. This doesn t mean that you necessarily will give random drug tests to 50 different employees or random alcohol tests to 10 different employees. Some might be picked and tested more than once, and others not at all. It s just that each time there is a random selection, all employees have an equal chance to be selected and tested. That s the deterrent factor! What makes random testing so effective is the element of surprise. While employees know they will be tested, they are never quite sure of when. Random selections and testing should be performed at least quarterly. Some employers are selecting and testing more frequently. We think that is a good idea. Employers and C/TPAs subject to more than one DOT Agency drug and alcohol testing rule may combine covered DOT safety-sensitive employees into a single random pool (for example, train engineers and truck drivers). However, companies doing so must test at or above the highest minimum annual random testing rates established by the DOT Agencies involved. So, if you have FMCSA regulated- and FRA regulated-employees in the same pool, and FMCSA has a 50% testing rate and FRA has a 25% rate, you must test the whole pool at the 50% minimum rate. It is important to note that PHMSA and USCG do not authorize random alcohol testing for employees in the pipeline and maritime industries. So, if employees perform only pipeline or maritime duties, they cannot be in any DOT-regulated random alcohol testing pool. You can find the current DOT Agency and USCG random testing rates at: Check out Best Practices for DOT Random Drug and Alcohol Testing at: 16
17 REASONABLE SUSPICION / REASONABLE CAUSE You are required to conduct a test for drugs or alcohol [or both] if a trained supervisor or trained company official believes or suspects an employee is under the influence of drugs or alcohol [or both]. The supervisor or company official must have been trained to recognize the signs and symptoms of drug and alcohol use. Testing cannot be required based solely on a guess or hunch or complaint from another person or phone call tip. The suspicion must be based on specific observations by the supervisor or company official concerning the employee s current appearance, behavior, speech, and smell that are usually associated with drug or alcohol use. The reasonable suspicion / reasonable cause observations of the supervisor or company official must be documented. The FRA requires two supervisors at least one of whom is trained and on site to make the testing determination. FAA does not require the determination to be face-to-face. POST-ACCIDENT You are required by the DOT Agencies and USCG to conduct drug and alcohol tests following qualifying accidents. The following table summarizes post-accident time-frames and specimens that must be collected: DOT Agency Specimen Type Time Frame for Collection FMCSA, FAA, FTA, PHMSA, USCG Urine for drug testing. Up to 32 hours from time of event. FMCSA, FAA, FTA, PHMSA Saliva or breath for alcohol screening; breath for alcohol confirmation testing. Within 2 hours, but cannot exceed 8 hours from time of event. FRA Urine for drug testing. Blood for drug and alcohol testing. Up to 4 hours from time of event, but may exceed time frame to collect specimen in every case, a blood and urine specimen must be collected. USCG Breath, Saliva, or Blood for alcohol testing. Within 2 hours of the event. Up to 8 hours may be allowed if there are safety concerns to be addressed. The supervisor at the scene of the accident/event should know the testing criteria and make a good faith effort decision to test or not test based on the information available at the time. The supervisor may consult with others, but the supervisor is the person who has to make the decision. If the testing cannot happen within the required time, the supervisor must document the reasons. Any employee required to be tested but needs medical assistance, must get the needed medical assistance first. 17
18 You can find the DOT Agency and USCG post-accident testing criteria at Appendix D. Railroads must provide FRA the results of any breath alcohol tests that were accomplished. FRA also requires collection of identified tissue and blood specimens from all employees who die as a result of the qualifying event. FAA does not require a supervisor to be on-scene. RETURN-TO-DUTY AND FOLLOW-UP When an employee tests positive or refuses a test or violates other provisions of DOT Agency and USCG testing regulations, that employee cannot work again in DOT safety-sensitive positions until successfully completing the SAP return-to-duty requirements in Part 40. After successfully completing the SAP requirements, the employee may be eligible to return to work. But, before an employer can return the person to work in a safety-sensitive job, a SAP must determine that the employee successfully complied with the recommended treatment and education. The employee must then have a return-to-duty test and the test result must be negative. The SAP will also develop the employee s follow-up testing plan outlining for the employer the number and frequency of follow-up testing that will take place. 1. Don t forget, these tests are the employer s responsibility to conduct. 2. Follow-up tests must be unannounced. 3. You cannot let the employee know anything about your SAP s plan for follow-up testing. 4. You cannot substitute other tests (such as random testing) for follow-up testing. 5. Return-to-duty and follow-up drug testing must be under direct observation. You are then responsible for ensuring that the employee is tested according to the SAP s follow-up plan. These tests can be for drugs or alcohol or both. The SAP must direct at least 6 follow-up tests in the first 12 months after the person returns safety-sensitive duties. However, the SAP can direct more tests and may extend them for up to five years. Under FRA regulations, locomotive engineers and conductors are subject to both drug and alcohol follow-up tests in the first 12 months. 18
19 How do I notify employees they have been selected for testing? Every employee should be discreetly notified that they have to go for a test. Testing must be conducted in strict confidence with only a limited number of company officials having knowledge of the selection. You should have procedures in place to ensure that each employee receives no advanced notice of selection. Why? Because it helps maintain the element of surprise! But, be sure to allow enough time before notification for supervisors to schedule for administration of the test and to ensure that collection sites are open for testing. After I notify the employees of their selection, how long do I give them to get to the collection site? When an employee is notified, he or she must proceed immediately to the collection site. Contrary to the urban legends circulating among some employees, immediately does not mean two hours. Immediately means that after notification, all the employee s actions must lead to an immediate specimen collection. Why? For the integrity of the testing process! Have best practice procedures in place to make sure the employee reports directly to the collection site without a chance to prepare to cheat on the test: 1. If possible, accompany employees to collection sites. 2. Do not allow employees to go unescorted to their lockers, personal vehicles, or work stations after notification. 3. When possible, arrange to have collectors and BATs come to the work site to collect specimens without alerting employees to their presence. 4. If collections are off site and unescorted, establish an expected time of arrival. Many employers develop testing policies that clearly state what activities are acceptable after notification. For instance, which safety-sensitive duties DOT Agency regulations may permit them to complete when selected for a random test. For example, if an employee is notified of a random test while working off site or on the road, your policies should spell-out exactly what the employee must do before resuming safety-sensitive functions. That way there is no misunderstanding among employees about what is expected. Make it clear to your employees that there are consequences for failing to appear for any test within a reasonable time. 19
20 For pre-employment and return-to-duty testing, ensure that the applicant or employee knows the specific date, time, and location of the test. What forms are required for DOT testing and who issues them? The Federal Drug Testing Custody and Control Form must be used for DOT drug tests and the Department of Transportation Alcohol Testing Form must be used for DOT alcohol tests. There are various vendors that supply these forms to employers, collectors, and STTs and BATs. Laboratories and C/TPAs usually provide forms to collection sites and manufacturers of alcohol testing devices usually provide forms to STTs and BATs of course, there is a cost associated with printing the forms. You can find CCFs and ATFs at: The FRA requires the use of a specific form for its Post-Accident testing. You can find it at: The USCG allows the use of a specific form CG-719P to report periodic test results. You can find it at: What is split specimen testing and who pays for it? At the collection site, a collector will pour an employee s urine into two separate bottles Bottle A [Primary] and Bottle B [Split]. The collector sends both to the laboratory where Bottle A gets tested. If the MRO reports the employee s test result as positive or as a refusal to test because it was adulterated or substituted, the MRO will offer the employee an opportunity to have the Bottle B the Split tested at another laboratory. The split test is an independent way to determine if the primary test results were accurate. 1. Payment arrangements for the split specimen should be worked out in advance. 2. The decision of who pays is left to the employer and employees. 3. But, ultimately it is the employer s responsibility to ensure the split test takes place without delay. The employee has 72 hours to request the split test. Upon getting the request, the MRO must immediately have the primary laboratory send the split to another HHS-certified laboratory for testing. Congress gave the employee the right to have the split tested, so if the employee asks to have the spilt tested, the test must happen no matter who pays for it. No one can insist on payment before the test occurs, either. However, it is between you and the employee who ultimately will pay. It is your responsibility to get the test accomplished without delay and regardless of who pays. Some employers make a decision to pay for the split testing. Others have agreements to share the cost with the employee. We know of other employers who agree to pay if the split specimen fails to reconfirm the primary specimen s results; and the employee pays if the split result turns out to be same as the primary result. Payment can be also taken from the employee s paycheck even if it s the last paycheck with you. But under no circumstances can you hold up a split from being tested while waiting for payment. 20
21 What are blind specimens and am I required to submit them? DOT requires you to send quality control specimens or blind specimens to the laboratory or laboratories you use as one way of making sure that testing is accurate. Some blind specimens will have known amounts of drugs or contaminants in them, and some will contain no drugs or contaminants. To ensure that laboratories cannot tell a blind specimen from any other, blinds have to be sealed, identified, and packaged just like the real thing. Your MRO will compare the known results with the laboratory results. You can submit the blind specimens yourself or you can have a service agent such as a C/TPA do it for you. Figuring out if you have to submit blinds and how many to send and when, can be a little difficult. That is why the DOT does not make employers with less than 2000 safety-sensitive employees send them in. C/TPAs serving less than 2000 total covered employees don t have to send any in, either. For the rest of you employers with, and C/TPAs serving, more than 2000 covered employees here are some of the ground-rules for sending in blind specimens: Don t send them to laboratories that test less than 100 specimens annually for you. The number of blinds should equal 1% of the total specimens you send to the laboratory. The number of blinds you need to send to any laboratory is capped at 50 per quarter. 75% of your blinds must be certified as negative. 15% must be positive for one or more drugs for which DOT required you to test. 10% must be adulterated and / or substituted. They must be submitted throughout the calendar year. CCFs accompanying blinds to the laboratory must be filled-out like any other CCF. You can find makers of blind specimens on the HHS website: 21
22 Section VII. Employer Actions When Employees Violate the Rules What must I do when an employee tests positive, or refuses a test, or has some other violation of DOT Agency or USCG regulations? You must immediately remove the employee from safety-sensitive functions and give the employee a list of qualified SAPs. This list must have SAPs who are suitable to you and readily available to the employee. Instead of a list of SAPs, you may provide the name and phone number of a SAP network that will offer qualified SAPs to the employee when they contact the employee or the employee calls them. Double-check to make sure your SAP meets all the DOT s Part 40 qualification requirments. These include checking for credentials, training, and examination. NOTE: When an applicant fails or refuses a pre-employment DOT test, you cannot let the applicant perform safety-senstivie duties for you, and you must provide a SAP listing to the applicant. You cannot charge an applicant or an employee for the SAP list, and you may have your TPA or another service agent provide the list. Can I fire an employee who tests positive or refuses a test? That s your decision, subject to your policies and applicable legal or collective bargaining requirements. DOT rules don t decide this for you. The same goes for other personnel decisions like other disciplinary action, hiring, suspensions, or leaves of absence. What our rules require is that no one who violates a rule can perform safety-sensitive functions again until successfully completing the SAP return-to-duty process. Other than giving the SAP listing, am I required to provide SAP and treatment services to employees? No. The DOT does not require you to provide SAP evaluation services or any of the SAP s recommended education or treatment for an employee who has violated a DOT drug and alcohol regulation. However, if you offer that employee an opportunity to return to a DOT safety-sensitive duty following a violation, you must, before the employee again performs that duty, ensure that the employee received a SAP evaluation and the employee successfully complied with the SAP s evaluation recommendations. What is involved in an employee s SAP return-to-duty process? The SAP makes a face-to-face clinical assessment and evaluation to figure out what assistance is needed by the employee to resolve problems with drug use and alcohol misuse. Next, the SAP refers the employee to an appropriate program for education or treatment, or both. Following that, the SAP conducts another face-to-face evaluation the follow-up evaluation to determine if the employee actively participated in the program and 22
23 has demonstrated successful compliance with the initial assessment and evaluation recommendations. For this review, the SAP must have conferred with the education and treatment program and should have any reports and materials they provided for review. You should receive from the SAP an initial evaluation letter outlining the treatment and education recommendations. Your second letter from the SAP should include the SAP s clinical characterization of the employee s level of participation in treatment and education and a statement about whether or not the employee demonstrated successful compliance with the program. If the employee successfully complied with the SAP s recommendations, this letter should also contain any plans for aftercare treatment and a follow-up testing plan. 1. The SAP will provide you with reports about the initial evaluation and the follow-up evaluation. 2. The follow-up evaluation report will contain the SAP s plan for follow-up testing. You can find the DOT s SAP Guidelines at: Can I confer with a SAP about the employee s testing without having the employee s permission? Yes you can! The DOT authorizes you and the SAP to confer about the employee s DOT testing no employee permission needed. This also includes the SAP getting information from you even if you fired the employee. The information the SAP obtains from the employer may help determine the best course of treatment or education, or both for the employee. Do I need to verify an employee s prior drug and alcohol testing history? Yes! Before you hire or transfer someone into a safety-sensitive position, you must check the person s DOT drug and alcohol testing history. You need to check with any DOT-regulated company that employed the person during the past two years unless you are regulated by FMCSA, FAA, or FRA. FMCSA requires a three-year records check for drivers; FAA requires a five-year records check for pilots; and FRA requires a fiveyear records check for locomotive engineers and conductors. You must get the person s written consent to seek the information from other employers. The person must list all previous and current employers within the last two, three, or five years, as appropriate. If the person doesn t do so, or refuses to sign the consent form, you cannot allow the person to perform safety-sensitive functions. Keep in mind that the consent must be a specific release authorizing the new employer to receive testing information from a specific former or current employer about a specific employee. It cannot be a blanket release: For example, it cannot have multiple employers on one release form; it must be employee-specific; it must be employer-specific; and it must be time-period specific. 23
24 Also, the consent cannot be part of another DOT requirement such as a motor vehicle check, credit history, or criminal background check. The consent needs to be an original signed form for each identified DOT regulated employer needing to provide testing information. If possible, you must obtain and review the testing history before the employee first performs safety-sensitive functions for you. If this is not feasible, you must obtain and review the information as soon as possible. However, you must not permit the employee to perform safetysensitive functions after 30 days from the date on which the employee first performed safety-sensitive functions unless you have obtained, or made and documented a good faith effort to obtain, the information from previous employers. 1. Blanket releases are not permitted! 2. The release must be employee, employer, and time-period specific. If the information you receive shows that the person violated DOT rules, you must make sure that the employee has successfully completed the DOT return-to-duty process before permitting the person to perform safetysensitive duties. The requirements for these releases are in Part 40, at Section For a sample employee consent form, see Appendix E. Can I use a service agent to help obtain or provide an employee s prior drug and alcohol testing history? Yes. You may use a service agent to help with this information. If you use a service agent to obtain the information on your behalf, the service agent must also be identified on the release form along with your employer identifying information. If you use a service agent to provide the information to a gaining employer, the service agent cannot withhold the information pending payment. Service agents maintaining testing information for DOT regulated employers cannot disclose employee test information to other parties unless the employee provides a specific written consent to do so, unless DOT says otherwise in Part 40 [at ]. 24
25 What exactly is a refusal to test and who determines it? The DOT regulations outline refusals to test for drugs and alcohol. Some refusals are determined by MROs and BATs and STTs. For others, the determination is your responsibility. All have clear instructions from DOT. You must base your decisions on these DOT instructions and NOT on personal opinions about whether the employee is a long-time reliable worker; has ever tested positive or refused a test; was correctly selected for the test; or claims to have misunderstood the collector s instructions to remain at a collection site, among others. Here s a list of Part 40 refusals and the DOT regulation instructions for handling them: Event Decision Maker DOT Instructions Fail to appear at a urine collection site when directed to report Employer / DER * [after review of the collector documentation] If the employee did not get to the site or spent too much time getting there, it is a refusal. Fail to remain at the urine collection site Employer / DER * [after review of the collector documentation] If the collector reports that the employee left the collection site before the testing process was complete, it is a refusal. Fail to provide a urine specimen Employer / DER * [after review of the collector documentation] If the collector reports that the employee left the collection site before providing a required specimen, it is a refusal. Fail to permit a monitored or observed urine collection Employer / DER * [after review of the collector documentation] If the employer ordered an observed collection or if the collector required the collection to be monitored or observed, it is a refusal if the employee does not permit it to occur. Fail to provide a sufficient amount of urine MRO If the MRO finds that there was no medical reason for the employee to provide an insufficient amount of urine, it is a refusal. Fail or decline to take an additional drug test the employer or collector has directed Employer / DER * [after review of the collector documentation] If the employer or collector directs the employee to take an additional test, as required or permitted by the DOT, and the employee does not, it is a refusal. 25
26 Event Decision Maker DOT Instructions Fail to undergo a medical examination or evaluation the MRO or employer has directed MRO If the employee does not go in for a medical evaluation or does not permit it to occur, it is a refusal. Fail to cooperate with any part of the urine collection process Employer / DER * [after review of the collector documentation] Some examples of failure to cooperate are when the employee: 1. Refuses to empty pockets when directed; 2. Behaves in a confrontational manner that disrupts the collection process; 3. Refuses to remove hat, coat, gloves, coveralls when directed; or 4. Fails to wash hands when directed. For an observed collection, fail to follow the instructions to raise and lower clothing and turn around Employer / DER * [after review of the collector documentation] If the employee does not follow these instructions so that the observer can check for prosthetic or other devices that could be used to interfere with the collection process, it is a refusal. Possess or wear a prosthetic or other device that could be used to interfere with the collection process Employer / DER * [after review of the collector documentation] If the employee is found to have or wear a prosthetic or other device designed to carry clean urine or a urine substitute, it is a refusal. Admit to the collector to having adulterated or substituted the specimen Employer / DER * [after review of the collector documentation] If the employee, during the collection process, admits to having tampered with his or her specimen, it is a refusal Adulterate or substitute a urine specimen MRO If the laboratory reports a confirmed adulterated or substituted specimen to the MRO and the MRO determines there is no medical reason for the result, it is a refusal. 26
27 Event Decision Maker DOT Instructions Admit to the MRO to having adulterated or substituted the specimen MRO If the employee, during a medical review, admits to having tampered with his or her specimen, it is a refusal. Fail to appear for an alcohol test when directed to report Employer / DER * [after review of the STT or BAT documentation] If the employee did not get to the alcohol test site or spent too much time getting there, it is a refusal. Fail to remain at the alcohol test site Employer / DER * [after review of the STT or BAT documentation] If the STT or BAT reports that the employee left the collection site before the testing process was complete, it is a refusal. Fail to provide an adequate amount of saliva or breath Employer / DER * [after review of the STT or BAT documentation] If the STT or BAT reports that the employee left the alcohol testing site before providing a required amount of saliva or breath, it is a refusal. Fail to provide a sufficient breath specimen Evaluating Physician If the evaluating physician finds that there was no medical reason for the employee to provide an insufficient amount of breath, it is a refusal. Fail to undergo a medical examination or evaluation as the employer has directed as part of the insufficient breath procedures Employer / DER If the employee does not go in for a medical evaluation or does not permit it to occur, it is a refusal. 27
28 Event Decision Maker DOT Instructions Fail to sign the certification statement at Step 2 of the ATF Employer / DER * [after review of the STT or BAT documentation] If the employee does not agree to have a test accomplished by signing Step 2 of the ATF, it is a refusal. Fail to cooperate with any part of the alcohol testing process Employer / DER * [after review of the STT or BAT documentation] One example of failing to cooperate is when the employee behaves in a confrontational manner that disrupts the alcohol testing process. *IMPORTANT NOTE: When a collector for a drug test, or an STT or BAT for an alcohol test, reports a refusal event to the DER, the EMPLOYEE MUST IMMEDIATELY BE REMOVED FROM SAFETY- SENSITIVE DUTIES, and after that you [or the DER] must verify if the employee actually refused the test based upon the documentation provided and DOT s instructions. When you [or the DER] determine that there is a refusal, do not return the employee to safety-sensitive duties until the SAP return-to-duty process is successfully completed. In extremely rare cases for which you [or the DER] determine there is not a refusal, you [or the DER] must document your decision and your solid reasoning for it. You must maintain this documentation for a DOT Agency or USCG representative in the event of an inquiry or inspection. Remember, your decision could be overturned by the DOT, a DOT Agency, or the USCG. So, as a safeguard to ensure that you make the correct determination, you ought to consult with your MRO on collection site refusals the MRO is, after all, the Gatekeeper for the drug testing process. NOTE: An MRO s refusal determination is final and not subject to your review. Also, an evaluating physician s refusal determination for an employee s insufficient breath is final and not subject to your review. 28