DOT-Mandated Employers – Learn More about Record Keeping Requirements
DOT-mandated employers who manage safety-sensitive employees are required to ensure those employees are drug and/or alcohol free. This helps ensure the safety of not only the employees, but the public at large. DOT-mandated employers must develop and administer workplace drug and alcohol programs that clarify policies, make provisions for education and training, drug and alcohol testing procedures, and refer employees for evaluation and treatment, if a drug and/or alcohol test is failed. This means you must always stay updated on regulations, guidelines, and publications regarding drug and alcohol policies.
DOT-Mandated Employer Responsibilities for Failed Tests
If a safety-sensitive employee fails a drug or alcohol test he or she cannot be allowed to perform safety-sensitive duties. The violation information includes:
- Alcohol tests with a .04 alcohol concentration or higher
- Verified positive drug tests
- All refusals to take drug and/or alcohol tests
- Any DOT violations of drug and alcohol testing policies
When a DOT-mandated employee fails a drug and/or alcohol test, the employer is responsible for providing that employee with a SAP list or a service agent referral.
Employer Record-Keeping Requirements for Drug and Alcohol Testing
DOT-mandated employers must keep accurate records of the testing program for their specific industry. While many of the requirements are similar from mode to mode, the specific record requirements are below:
FMCSA Requirements for DOT-mandated Employers
1 Year – Negative drug test results, alcohol test results less than .02.
2 Years – Records related to the alcohol and drug collection process.
3 Years – Previous employer records.
5 Years – Annual MIS reports, employee evaluation and referrals to SAPs, follow-up tests and follow-up schedules, refusals to test, alcohol test results .02 or greater, verified positive drug test results, EBT calibration documentation.
FTA Requirements for DOT-mandated Employers
1 Year – Negative drug test results, alcohol test results less than 0.02.
2 Years – Education and training records, records related to the alcohol and drug collection process.
3 Years – Previous employer records.
5 Years – Annual MIS reports, employee evaluation and referrals to SAPs, follow-up tests and follow-up schedules, refusals to test, alcohol test results 0.02 or greater, verified positive drug test results.
FAA Requirements for DOT-mandated Employers
1 Year – Negative drug test results (except for pilot records), alcohol test results less than 0.02(except for pilot records).
2 Years – Education and training records, records related to the alcohol and drug collection process.
3 Years – Previous employer records.
5 Years – Annual MIS reports, employee evaluation and referrals to SAPs, follow-up tests and follow-up schedules, refusals to test, alcohol test results 0.02 or greater, verified positive drug test results, employee dispute records, negative drug test results for pilots, alcohol test results less than 0.02 for pilots.
PHMSA Requirements for DOT-mandated Employers
1 Year – Negative drug test results, alcohol test results less than 0.02.
2 Years – Training records (alcohol only), records related to the alcohol and drug collection process.
3 Years – Previous employer records, training records (drug only).
5 Years – Annual MIS reports, employee evaluation and referrals to SAPs, follow-up tests (and follow-up schedules), refusals to test, alcohol test results 0.02 or greater, verified positive drug test results, EBT calibration documentation.
FRA Requirements for DOT-mandated Employers
2 Year – Negative drug test results, alcohol test results less than 0.02, education and training records, records related to the alcohol and drug collection process, employee dispute records.
3 Years – Previous employer records.
5 Years – Annual MIS reports, employee evaluation and referrals to SAPs, follow-up tests and follow-up schedules, refusals to test, alcohol test results 0.02 or greater, verified positive drug test results.
USCG Requirements for DOT-mandated Employers
1 Year – Negative drug test results, alcohol test results less than 0.02.
2 Years – Records related to the alcohol and drug collection process.
3 Years – Previous employer records.
5 Years – Employee evaluation and referrals to SAPs, follow-up tests and follow-up schedules, refusals to test, alcohol test results 0.02 or greater, verified positive drug test results.
DOT-mandated Employers: SAP list or Service Agent Referral
While an employer may feel that either will do the job, partnering with a service agent can be much easier for the employer and employee. Using a SAP list can be a very time-consuming, as well as frustrating task for an employee. When employers pair with service agents, such as SAP Referral Services, the agent refers to a DOT-qualified SAP in the area and schedules the first evaluation, saving valuable time.
Are you a DOT-mandated employer looking for a service agent? Contact SAP Referral Services today at 410-668-8110 to learn about our nationwide services.
SAP Referral Services (SRS) is the leading facilitator for mandated substance abuse evaluations. SRS maintains an extensive network of qualified providers in more than 3,000 locations nationwide for testing violations that originate from any of the DOT’s modes including FMCSA, FAA, FRA, FTA, USCG and PHMSA, or a company’s internal drug and alcohol testing policy.