The Department of Transportation (DOT) just published a manual titled “What Employers Need to Know About DOT Drug and Alcohol Testing”. This 60-page document provides guidance and best practices to employers on how to implement the regulatory requirements for drug and alcohol testing programs. A copy of the manual can be downloaded from the DOT web site at: http://www.dot.gov/ost/dapc/testingpubs/what_employers_need_to_know.pdf
Employers, even those who have their programs operated by Third Party Administrators (TPA), should obtain a copy and read it! The DOT made a tremendous effort to present the rather complex drug and alcohol testing rules in a readable and easy to understand format. Although this is not a beach read, it certainly will not put you to sleep like reading the actual Federal rules.
Why does an employer need to read this manual? First, it will really provide you with a simple and concise overview of what DOT requires from employers in the drug and alcohol-testing arena. Secondly, if you are using TPAs for any portion of your program (e.g., collections and/or medical review officer functions) or even if you have turned over the whole implementation of the program to a TPA, the information gleaned from this manual will help you to determine if your TPA is, in fact, providing the required services and at the appropriate level. For example, a collection site may tell you that their staff is trained in the collection procedures, but do you know how to verify if this is true? Remember, if your TPA is in non-compliance, the DOT will hold you, the employer, responsible!
Now that your interest has been peaked, let’s take a quick look at what these guidelines state. The manual provides an overview of the regulatory requirements, issues related to program implementation, and how to identify employees who are subject to testing. Most of this is common sense, but a review will trigger issues that many employers have forgotten.
Section III is important in that it addresses program policies and specifically addresses issues related to the relationship between DOT policies/programs and those of the employer.
Section IV is a must read for employers. It talks about selecting service agents (TPAs) and the roles that TPAs play in support of the program. A review of this section will certainly provide the employer with information that will be useful in not only selecting a TPA, but how to evaluate their performance. The issue of contracts is addressed and worth paying attention to the suggestions.
Section VI spells out drug and alcohol testing requirements and is a very important section. It clearly delineates the differences between the various transportation modes and also describes the differences in post-accident testing requirements among the modes. This is especially critical to understand for those employers who come under the regulatory authority of more than one operating administration (e.g., Federal Motor Carrier Safety Administration and the Federal Transit Administration). The difference in post-accident testing is one area that employers must understand; non-compliance, even if due to ignorance, does not protect the employer from DOT sanctions during audits. For example, did you know that for certain accidents, the Federal Railroad Administration requires the collection of not only urine specimens, but also blood specimens and that the U.S. Coast Guard permits the collection of blood specimens for certain Serious Marine Incidents? Yes, there are significant differences and as an employer who comes under the authority of more than one operating administration, you must know these differences.
This section also addresses submission of “blind specimens” to laboratories. This is a little understood requirement and the manual clearly spells out who has to comply with this requirement.
Section VII clearly covers the various scenarios related to what constitutes a refusal to test. This is probably one of the most important items that an employer should review. It will save you countless hours of sleepless nights and keep your legal fees more reasonable. Read this section carefully and determine if your company policies address the consequences related to each of the reasons for refusal.
Section VIII addresses the various requirements for record keeping. Each operating administration has slightly different requirements, so it is wise to review these to ensure that you and/or your TPA are in synch with the regulatory requirements. And finally, Section IX provides a short overview of what an employer should expect from a DOT audit. Understanding these requirements will help employers prepare for an audit and should lower your anxiety level – provided you have all your records in order.
DOT also provides seven appendices ranging from samples of forms that they require to post-accident testing criteria. The DOT is especially concerned with collection site security and appropriate collection procedures. They provide an appendix with 10 items that are critical in the collection process. As an employer, these are items that you should periodically review or have your TPA review to ensure that collection sites are following proper procedures. The collection process is still seen as the weakest link in the drug and alcohol testing process and needs everyone’s attention.
This manual contains very useful information and as an employer, you need to make sure your TPA has a copy of this manual, has reviewed it, and where needed, upgraded their services to match the DOT requirements. Of course, the manual is not a substitute for the actual Federal rule, but rather a readable summary of the various testing requirements. The Federal rule itself should be used in determining legal issues related to implementation or interpretation of drug and alcohol testing procedures.