DOT Drug & Alcohol Testing Compliance

Millions of ‘safety sensitive’ workers fall in job classifications that require drug and alcohol testing to ensure compliance with federal and state regulations. If you employ drivers, pilots or other workers in transportation, delivery, aviation, maritime or pipeline related industries, there are specific and complex regulations that you are required to meet. Failure to comply with regulations can be costly, resulting in per infraction fines and penalties that can cost thousands of dollars per day.

DOT Resources

To access any of the following, visit Regulations and Guidance » Safety » Drug and Alcohol » Tools and Resources :

• Requirements checklist
• Forms
• Policy Builder
• Testing requirement and resources.

For additional assistance, contact:  FTA D&A Project Office (617) 494-6336 or  FTA.DAMIS@DOT.GOV

Department of Transportation Drug & Alcohol Testing Employer Compliance Kit

Introduction

The following is designed to provide an online guide for DOT drug and alcohol testing compliance. In addition to providing a step-by-step guide for employers to ensure compliance, the program includes online supervisor and employee training programs, and comprehensive links to additional or source resources.

10 Step Compliance Checklist for Employers for DOT Drug & Alcohol Testing

1. 1. Consult with the DOT to learn if your organization has “safety sensitive” legal obligations.– The federal Department of Transportation (DOT) governs motor carrier industries, but also public transportation, railways, aviation, maritime and pipeline industries, and the manufacture, overhaul and installation of critical parts for engines and transportation related products. If your organization works in any “safety-sensitive” areas related to the above, safety-sensitive employees must be placed in a random pool for drug and alcohol testing, and are required to be tested on a pre-hire, post-accident, and on a reasonable suspicion basis. Additionally, alcohol and drug educational sessions are mandated for employees and supervisors. Employers: Am I covered?Program Overview and Regulations
      • Office of Drug and Alcohol Policy and Compliance – The Office of Drug and Alcohol Policy and Compliance develops policy, provides guidance and offers consultation on drug and alcohol issues within the transportation industry.
      • Glossary of definitions – A list of terms and phrases defined in the context of the DOT Drug and Alcohol Testing regulations.
   2. Develop and distribute a written policy – Specify your organization’s alcohol and drug policies, and spell out which employees are in the random pool for alcohol and drug testing.
   3. Contract with an approved substance abuse testing service.  – The DOT is required by law to follow HHS procedures for the drugs for which it tests and the specimens it tests. Before contracting, check to ensure that any service provider has the ability to randomly select employees via a computerized process. If not, you will need to secure this service separately from another consultant or firm. See the list of HHS-certified laboratories who may conduct drug testing for federal agencies and specific federally regulated industries.
   4. Contract with an Employee Assistance Program – ESI EAP will help you to meet the mandatory DOT educational requirements by providing training programs in alcohol and drug education. ESI‘s Total Care EAP will also process any voluntary or involuntary substance abuse related referrals. Our broad network features federally certified Substance Abuse Professionals (SAPs), who can evaluate, monitor and track employees who test positive. We can also assist you by referring and arranging appropriate substance abuse treatment for your employees, when needed.
   5. Know your hiring obligations – If a prospective new hire previously worked in a safety sensitive position within another organization; you must obtain drug and alcohol testing information from any prior employer(s) for the two previous years. These employers are legally required to provide you with this information. In addition, you must conduct pre-hire drug tests for any employees who will perform in a safety-sensitive role. Your organization also has a legal responsibility to provide drug and alcohol testing information to employers who subsequently hire your former safety-sensitive employees.
   6. Provide employee education – Employers must provide education and training for all safety-sensitive employees and supervisory personnel. Consult your DOT agency for these training and educational requirements.
   7. Provide supervisory trainings – Any supervisors who oversee safety-sensitive work must have supervisory drug and alcohol training. Supervisory training requirements will vary in DOT agencies. Since substance abuse is an important issue for all supervisors, many employers make these trainings mandatory for anyone with managerial or supervisory responsibilities. To be in compliance, all supervisors must be trained before overseeing safety sensitive work. This includes supervisors who do not usually have such responsibilities, but might be called to fill in or assist from time to time. Supervisors who deem it necessary to remove a seemingly impaired employee from a safety sensitive operation MUST be certified to have undergone official DOT supervisory training could be challenged by the employee.
   8.  Be sure that everyone knows who has to be tested and when – All safety-sensitive employees and supervisors must be made aware of the instances when law and the specific location of the testing site mandate substance abuse testing. The instances when testing is mandated include:
      • Pre-hire (drug only)
      • Random (drug and alcohol)
      • Post accident (drug and alcohol)
      • Reasonable suspicion (drug and alcohol)
      • Return to work (drug and alcohol)
      • Follow-up (drug and alcohol)
   9. Keep scrupulous records of all related activities.  – Maintain a comprehensive and confidential file for all your organization’s federal DOT activities and job actions. DOT records must be kept in a separate locked file away from personnel records. Records should include:
      · Test results.
      · Testing process administration.
      · Return-to-duty process administration.
      · Employee training.
      · Supervisor training.
      You may also be required to submit an annual report to a DOT agency regarding testing
      activity and results. How long must I keep records? That depends on the type of transportation industry in which you are operating. Most DOT agencies have similar requirements. See the Code of Federal Regulations on Record Retention.
   10. Monitor regulatory changes – Consult with the DOT on a regular basis or subscribe to an advisory service that can keep you informed of changes within the law (49 CFR Part 40). Helpful resources include DOT Employer Resources and the DOT News and Events page

DOT Employer FAQs

Glossary of Terms