In 1991, the Omnibus Transportation Employee Testing Act created the following DOT Agencies which established drug and alcohol testing regulations to ensure that aircraft, trains, trucks, and buses were operated in a safe and responsible manner. As an employer or individual operating in a “Safety Sensitive” position, it is important to understand how these regulations impact you.

49 CFR Part 40 (commonly known as “part 40”) explains:

• How drug and alcohol testing is conducted
• Who is authorized to participate in the drug and alcohol testing program
• What employees must do before they may return to duty after a drug and/or alcohol violation

Each DOT Agency and the USCG have specific regulations that cover:

• The agency’s prohibitions on drug and alcohol use
• Who is subject to comply with these regulations
• What type of testing is required
• When testing is required
• Consequences of non-compliance

On January 6, 2020, the Federal Motor Carrier Safety Administration (FMCSA) amended its rule that would establish requirements for commercial driver’s license employers and individuals with regards to the drug and alcohol clearing house.

The FMCSA Clearinghouse is a secure online database that will allow employers, the FMCSA, State Driver Licensing Agencies, State Law Enforcement and individual CDL operators to access real time important information about a CDL Driver’s drug and alcohol program violations and the ultimate goal of this database is to enhance safety on our Nation’s public roadways.

For specific requirements, click the appropriate agency listed below in which you or your company is regulated by.

• Federal Aviation Administration (FAA) (14 CFR Part 120)
• United States Coast Guard (USCG) (46 CFR Parts 4,5 and 16)
• Federal Motor Carrier Safety Administration (FMCSA) (49 CFR Part 382)
• Pipeline and Hazardous Materials Safety Administration (PHMSA) (49 CFR Part 199)
• Federal Transit Administration (FTA) (49 CFR Part 655)
• Federal Railroad Administration (FRA) (49 CFR Part 219)

DOT 49 CFR Part 40 Requirements for Safety Sensitive Employees.
(FMCSA-FAA-USCG-FRA-PHMSA-FTA)

• Pre-Employment Tests
• Correct Federal Custody & Control Form (CCF)
• Substance Abuse Professional Process
• Regulations on File
• Random Pool Testing
• *Supervisor Training
• *Written Policy
• Post-Accident Testing Situations
• Previous Employers Checks
• Employee Education
• Record Keeping
• Removal of covered Employee
• Designated Employer Representative

* In addition, any company which employs 2 or more covered employees must have a written drug and alcohol policy and all supervisors must complete the DOT Supervisor Reasonable Suspicion Training.

If a DOT covered employee or company does not have a copy of the original pre-employment drug test with a negative result, then a new DOT pre-employment drug test must be conducted, and the result maintained on file.

The Department of Transportation (DOT) requires that all DOT regulated “safety sensitive” employees have on file a negative DOT pre-employment drug test result and be a member of a DOT approved random selection consortium. In addition, if a DOT regulated company has more than one “safety sensitive” employee, the employer must also have a written DOT drug and alcohol policy and an on-site supervisor must have completed supervisor training for reasonable suspicion of illegal drug use or impairment.

To be compliant with DOT regulations, a company’s DOT drug and alcohol testing program must have the following components. Failing to comply can result in significant fines and penalties.

On January 1, 2018 the Department of Transportation (DOT) issued a new rule altering the DOT 5 panel urine test. Employers and individuals should be aware that the current DOT drug test is still a urine drug test, collected by qualified collectors, analyzed at a SAMHSA certified laboratory and reviewed by a licensed MRO.

DOT 5 panel urine test includes the following:

• Marijuana (THC)
• Cocaine
• Amphetamines
• Opioids**
• Phencyclidine (PCP)

** Special note: ‘Opioids’ was previously called ‘Opiates’ and all DOT drug tests will continue to include confirmation testing for Codeine, Morphine, and 6-AM (heroin) when necessary.

In the January rule change, the Department of Transportation (DOT) also added initial screening and confirmation testing for the semi-synthetic opioids Hydrocodone, Hydromorphone, Oxycodone, and Oxymorphone to this Opioids group

All safety sensitive employees regardless of DOT agency are required for the following drug testing and/or alcohol testing based on each situation:

• Pre-employment
• Random
• Reasonable suspicion
• Return to Duty
• Post-Accident
• Follow Up

As a new hire or a current employee transferring from a non-safety sensitive function into a safety sensitive function (even with the same employer), you are required to submit to a DOT pre employment drug test.

Some employers may conduct pre-employment alcohol testing as well. Once your employer receives a negative pre-employment DOT drug test result (and negative alcohol test result – if administered) you may begin performing in a safety-sensitive capacity.

All safety sensitive employees are subject to unannounced random drug & alcohol testing. Alcohol testing is administered just prior to, during or just after performing safety-sensitive functions. Depending on the industry specific regulations, you may only be subject to random drug testing.

Safety sensitive individuals and employees are required to submit to any test (drug, alcohol or both) that a supervisor requests, based on reasonable suspicion. Reasonable suspicion is described as one or more trained supervisors reasonably believing or suspecting that you are under the influence of drugs or alcohol. Supervisors can NOT require testing based on a hunch or guess alone; their suspicion must be based on observations concerning appearance, behavior, speech and smell that are usually associated with drug or alcohol use

If you have violated the prohibited drug & alcohol testing rules, you are required to take a return to duty drug and/or alcohol test before being allowed to return to a safety-sensitive function for any DOT regulated employer. You may also be subject to unannounced follow-up testing for at least 6 times in the first 12 months following your return to active safety-sensitive service.

Return-to-duty tests must be conducted under direct observation.

If you are involved in an event (accident, crash, etc.) meeting certain criteria of the DOT agency, a post-accident drug test will be required. In most cases you will then have to take a drug and alcohol test if you are involved in a qualifying crash. Each DOT agency may have specific rules with regards to what is a post-accident test.

If you are involved in a qualifying accident, you are required to remain available for this testing and are not permitted to refuse testing.

Remember: Safety-sensitive employees are obligated by law to submit to and cooperate in drug & alcohol testing mandated by DOT regulations.

DOT follow up testing occurs when an individual has violated the drug and alcohol testing rules. The amount of follow-up testing you receive is determined by a Substance Abuse Professional (SAP) and may continue for up to 5 years. This means the SAP will determine how many times you will be tested (at least 6 times in the first year), for how long, and for what substance (i.e. drugs, alcohol, or both). Your employer is responsible for ensuring that follow-up testing is conducted and completed. Follow up testing is in addition to all other DOT required testing and all follow-up tests will be observed.