Frequently Asked Questions

Question: May the previous employer delay sending an employee’s drug and alcohol testing information to the gaining employer pending payment for the cost of the information?  

Answer: No! Part 40 specifically requires that previous employers immediately provide the gaining employer with the appropriate drug and alcohol testing information. No one (i.e., previous employer, service agent [to include C/TPA], employer information / data broker) may withhold this information from the requesting employer pending payment for it. (DOT Q&A, November 2003)

Question: Does a collector need to put the donor's social security number on a Federal CCF?  

Answer:   No, a social security number or employee identification number can be used. "Under no circumstances may the CCF transmit personal identifying information about an employee (other than a social security number (SSN) or other employee identification (ID) number) to a laboratory." (49 CFR Part 40.45(d))

Question: Does a driver who holds a CDL and is self-employed who decides to sell his truck (and has no current plans to drive a truck) but wants to continue to hold his CDL need to stay in a random program?  

Answer:  He would not be required to stay in a random pool as long as he does not operate a commercial motor vehicle. If after 30 days he decides to return to driving CMVs requiring a CDL, he'll need to be pre-employment tested in addition to being placed back in the pool. (FMCSA Representative)

Question: Are there any circumstances for which an employee should be given more than 3 hours and 40 ounces of fluids to provide a sufficient amount of urine during a collection?   

Answer:   No. The Department sees no situations for which an employee should be given more than 3 hours and offered more than 40 ounces of fluids to provide a sufficient amount of urine after the “first unsuccessful attempt” to do so [see §40.193(b)(4)]. The Department regards the “first unsuccessful attempt” to be the very first time the employee comes out of the urination area with less than 45 mL of urine. This is true about the “first unsuccessful attempt” even if a subsequent attempt during the three-hour period requires an immediate collection under direct observation because the specimen is outside the appropriate temperature range or shows signs of tampering [see §40.65(b)&(c)]. For example: An employee presents an insufficient amount of urine at noon and is urged by the collector to drink up to 40 ounces of fluid distributed through a period of up to 3 hours (3 o’clock, in this example). At 2 o’clock, the employee indicates that he or she can now provide the specimen, enters the collection area, but returns with a specimen outside the acceptable temperature range. The collector immediately conducts an observed collection, but the employee – for the second time during this collection event, which began at noon – provides less than 45 mL of urine. The employee has up to 3 o’clock and any remaining fluids to provide an adequate amount of urine under direct observation: The employee is not given an additional three hours and is not offered an additional 40 ounces of fluids. If the employee ultimately fails to provide a sufficient amount of urine during the remaining time, the collector discontinues the collection, discards any specimen the employee previously provided, appropriately documents the CCF, and immediately notifies the DER and the MRO – following the requirements at §40.193(b)(4) and (b)(5). (DOT Q&A - July 2008) 

Question: In a DOT collection, if the collector omits to have the donor sign and print his/her name (step 5), how would this error be corrected?  

Answer:  If the employee’s signature is omitted and there is no notation in the “Remarks” line, only the collector can provide the corrective statement. The collector’s supervisor cannot sign the corrective statement. (DOT Q&A, September 2001)

Question: In addition to information needed for billing purposes, does DOT authorize other information to be included outside the boundaries of the Alcohol Testing Form (ATF)?  

Answer: Yes.  For record storage, tracking, and retrieval purposes, the DOT will permit other information, such as barcodes and tracking numbers, to be affixed or printed on the ATF. (DOT Q&A, July 2008)

Question: Under the newly revised DOT Urine Specimen Collection Guidelines (which go into effect August 25, 2008) what are some of the examples of a refusal to test?  

Answer: The following refusals to test are noted in the updated DOT Urine Specimen Collection Guidelines: 1) An employee admits to the collector that he or she adulterated or substituted their specimen. 2) The employee behaves in a confrontational way that disrupts the collection process. 3) The employee fails to follow the observer's instructions to raise and lower their clothing and to turn around to permit the observer to determine if the employee has a prosthetic or other device that could be used to interfere with the collection process. 4) The employee possesses or wears a prosthetic or other device that could be used to interfere with the collection process. 5) The employee refuses to wash his or her hands - after being directed to do so.

Question: Under the new DOT Final Rule, regarding direct observation collections, does this mean that any individual who is currently in a follow-up program will need to be tested under the new direct observation guidelines or is this ruling only to affect those who are put into a follow-up program after August 25, 2008?

Answer: This ruling, which goes into effect August 25, 2008 will affect everyone who comes in to take a follow-up or return-to-duty test, regardless of when they entered into the follow-up or return-to-duty process. Each follow-up and return-to-duty test as of August 25, 2008 will be conducted in the manner directed by this new Final Rule. 

Question: How long does a Medical Review Officer have to contact the donor?  

Answer: According to CFR 49 Part 40.131 (c)  "As the MRO, you or your staff must make reasonable efforts to reach the employee at the day and evening telephone numbers listed on the CCF.  Reasonable efforts include, as a minimum, three attempts, spaced reasonably over a 24-hour period, to reach the employee at the day and evening telephone numbers listed on the CCF."  

Question: What actions do employers take after receiving a verified positive drug test result?

Answer: The findings from 49 CFR Part 40.23(a) state that "As an employer who receives a verified positive drug test result, you must immediately remove the employee involved from performing safety-sensitive functions. You must take this action upon receiving the initial report of the verified positive test result. Do not wait to receive the written report or the result of a split specimen test."

Question: Can an MRO require an employee's split specimen test request to be in writing rather than verbal? 

Answer: 40.17(a) states that the employee's request may be verbal or in writing. Therefore, the MRO must accept a verbal request. The MRO may ask the employee for written documentation, but must immediately honor the verbal request. An MRO should always document whether or not an employee requested to have the split tested. The MRO must document the date and time of the employee's request. (DOT Q&A, January 2002)

Question: Does anyone have the authority to change a SAP's initial evaluation? 

Answer: Except in the case where the SAP who made the initial evaluation, modifying his or her initial evaluation and recommendations based on new or additional information, no one may change in any way the SAP's evaluation or recommendations for assistance. (49 CFR Part 40.297)

Question: May the previous employer delay sending an employee's drug and alcohol testing information to the gaining employer pending payment for the cost of the information? 

Answer: No. Part 40 specifically requires that previous employers immediately provide the gaining employer with the appropriate drug and alcohol testing information. No one (i.e. previous employer, service agent [to include C/TPA], employer information/data broker) may withhold this information from the requesting employer pending payment for it.

Question: When an employee (under DOT) leaves an employer for a period of time (but not exceeding two years) and returns to the same employer, must the employer once again seek to obtain information it may have received previously from other employers? 

Answer: No. If the information received previously is still on file with the employer, the employer need not seek to obtain the testing data again. However, the employer must seek information from all other employers for whom the employee performed safety-sensitive duties since the employee last worked for the employer. (DOT Q & A, January 2002)

Question: Currently, when are directly observed collections authorized and required?

Answer: DOT’s 49 CFR Part 40 directly observed collections are authorized and required only when: 

The employee attempts to tamper with his or her specimen at the collection site.

The specimen temperature is outside the acceptable range; 

The specimen shows signs of tampering ~ unusual color / odor / characteristic; or 

The collector finds an item in the employee’s pockets or wallet which appears to be brought into the site to contaminate a specimen; or the collector notes conduct suggesting tampering.

The Medical Review Officer (MRO) orders the direct observation because:

The employee has no legitimate medical reason for certain atypical laboratory results; or The employee’s positive or refusal [adulterated / substituted] test result had to be cancelled because the split specimen test could not be performed (for example, the split was not collected).

The employer orders direct observation for a Follow-Up test or a Return-to-Duty test.