The FMCSA drug and alcohol testing program regulations can be confusing and complex. So, we took our internal training presentation and decided to make it public. Use this to supplement the code of federal regulations (CFR) or for training your own staff. Content includes information from Title 49 Transportation CFR Part 40 and Part 382. Here's what to expect: -The DOT drug and alcohol testing procedures. -The DOT drug and alcohol tests required for truck drivers. -Visual aids including the post-accident drug and alcohol testing criteria. -The random drug and alcohol testing requirements for truck drivers. -The consequences for drug and alcohol use and violations. -The requirements and procedures for the CDL drug and alcohol clearinghouse.

1. FMCSA Drug & Alcohol Testing Program Regulations
A review for employers in the Trucking Industry
Updated 7-2017
A publication of

2. The DOT drug and alcohol
regulations can be confusing
and hard to learn without
first hand experience.

3. How should I
use this
presentation?

4. How should I
use this
presentation?
It depends on your
experience.

5. If you’re starting
a DOT program
without any
experience...
1) Read the official Code of Federal
Regulations (CFRs); then
2) Use this presentation to supplement
your understanding.
This includes Transportation Title 49 CFR
Part 40 and Part 382.

6. If you’re
experienced in
managing a DOT
program...
1) Review the content; and
2) Make sure you’re familiar with all of the
topics.
If you come across something unfamiliar,
review the official CFR’s for that section.
You can also download this presentation and
use it as a resource for training other
personnel.

7. Let’s get started.

8. FMCSA Drug & Alcohol Testing Program Regulations
A review for employers in the Trucking Industry

9. The most important
position within your
company is the DER.

10. Who’s a DER?

11. Designated Employer Representative (DER)
An employee that takes action to remove an employee from safety-
sensitive duties and to make decisions in the testing and evaluation
processes. They also receive test results and other communications on
behalf of the employer.

12. What’s the purpose
of a drug and alcohol
program?

13. Prevent accidents
and injuries resulting
from the misuse of
alcohol or drug use
by drivers.

14. Who do the FMCSA
regulations apply to?

15. Businesses and self employed drivers (owner-operators) who:
Hold a CDL
AND
Operate a CMV

16. 5steps of a DOT
drug test...

17. !
Notification
1
Collection
2
Testing
3
Review
4
Reporting
5
A driver is notified to take a drug screen and
immediately reports to the collection site.
The sample is collected by a trained individual in
the DOT urine collection procedures and
documented using a Federal custody and
control form (CCF).
The sample is tested by an HHS certified
laboratory under the National Laboratory
Certification Program (NLCP).
Results are reviewed by a Medical Review Officer
(MRO) and (if applicable), are evaluated for
medical explanations with the driver.
The final results are reported and received by
the employer.

18. Who’s an
MRO?
Medical Review Officer (MRO) - A licensed
physician responsible for receiving and reviewing
laboratory drug test results and evaluating
medical explanations for certain drug test results.

19. 4steps of a DOT
alcohol test...

20. !
Notification
1
Testing
2
Documentation
3
Reporting
4
A driver is notified to take an alcohol test and immediately
reports to the collection site.
The driver is tested by a trained technician in the DOT alcohol
testing procedures and trained on the Alcohol Saliva Device
(ASD) or Evidential Breath Testing (EBT) machine being used.
The results are printed on a Federal Alcohol Testing Form (ATF).
The final results are reported to the employer by the ASD or
EBT technician.

21. !
Notification
1
Testing
2
Documentation
3
Reporting
4
A driver is notified to take an alcohol test and immediately
reports to the collection site.
The driver is tested by a trained technician in the DOT alcohol
testing procedures and trained on the Alcohol Saliva Device
(ASD) or Evidential Breath Testing (EBT) machine being used.
The results are printed on a Federal Alcohol Testing Form (ATF).
The final results are reported to the employer by the ASD or
EBT technician.
The ASD or EBT machine being used must
also be listed on the NHTSA conforming
products list.

22. How do you identify
drivers for testing?

23. For drug
testing
identification:
The driver's commercial driver's license
number and State of issuance in Step 1,
section C of the CCF.

24. For alcohol
testing
identification:
The employer's name and commercial driver’s
license in Step 1, section A of the ATF.

25. Driver’s social security numbers
are also acceptable but, when the
Clearinghouse is implemented
(Jan. 7, 2020) CDL info will be
required.

26. For each drug and alcohol test performed, you must provide the following
information:
1)The driver's commercial driver's license number and State of issuance in
Step 1, section C of the CCF.
2)The employer's name and commercial driver’s license in Step 1, section A
of the ATF.
Employee info goes here
on the CCF.

27. Employee info goes here on
the ATF.

28. What if there’s a
conflict with
Federal and State
laws?
The Federal regulations preempt
any State or local law, rule,
regulation, or order.

29. When do you
start a DOT
testing program?
The first day you begin commercial motor vehicle
operations.
If you’re a foreign based employer, you must
begin on the date you begin commercial motor
vehicle operations in the United States.

30. What’s the Public
Interest Exclusion
(PIE)?

31. What’s the Public
Interest Exclusion
(PIE)?
Not this pie

32. What’s the Public
Interest Exclusion
(PIE)?
The PIE is a list of service agents that the DOT
has barred from serving the public.
The DOT uses PIEs to protect the public interest
from service agents that are grossly
noncompliant.

33. What’s the Public
Interest Exclusion
(PIE)?
The PIE is a list of service agents that the DOT
has barred from serving the public.
The DOT uses PIEs to protect the public interest
from service agents that are grossly
noncompliant.
!
There’s only been two PIEs in DOT history
so, it’s not a big concern but, you should
always vest your service agents before
doing business with them.

34. When is testing
required?

35. Follow-up
Return-to-duty
Reasonable
Suspicion
Post-accident
Random
Pre-employment
Reasons for testing
Employee Stages
Before the first time a driver performs safety-
sensitive functions, they should undergo a drug test.
Alcohol test is optional.
Every driver must submit to random drug and
alcohol test at the minimum annual rates published
by the FMCSA.
An occurrence involving a CMV operating on a public
road in commerce. Must involve specific
circumstances in order to warrant a drug and alcohol
test.
You should require a driver to submit to a drug
and/or alcohol test when the employer has
reasonable suspicion to believe that the driver is
under the influence of alcohol.
When a driver has a drug and/or alcohol violation,
they cannot perform safety-sensitive duties until they
complete the return-to-duty process.
After completing a return-to-duty test, a Substance
Abuse Professional (SAP) will make a follow-up
testing plan based on their assessment of the driver.
This information will be provided to you directly.
Pre-duty
On-duty
Post-violation

36. What’s a
C/TPA?
Consortium/Third-party Administrator - A
service agent that provides or coordinates
one or more drug and/or alcohol testing
services. This includes groups of employers
who join together to administer, as a single
entity, the DOT drug and alcohol testing
programs of its members (e.g., having a
combined random testing pool).

37. What’s a consortium?

38. Employer X
employees
Your company
employees
Consortium
Make sure the consortium you use is testing at the
appropriate percentage established for your industry
and that only DOT employees are in the random
testing pool.
!

39. What if you “opt in”
for pre-employment
alcohol testing?

40. You must:
1) Test before they begin safety-sensitive functions by every covered employee (whether a new
employee or someone who has transferred to a position involving the performance of safety-
sensitive functions).
2) Treat all safety-sensitive employees equally. (i.e., do not test some covered employees and not
others).
3) Conduct the test after making a contingent offer of employment or transfer, subject to the
employee passing the pre-employment alcohol test.
4) The test must indicate an alcohol concentration of less than 0.04 for them to begin working.

41. A contingent offer of
employment...

42. If you can pass a
drug and alcohol
test, you’re hired!

43. Golly Mister! I
sure am glad I
studied.

44. When is a post-accident drug
and alcohol test required?

45. Fatality
Anyone involved
Bodily injury
Requiring medical
treatment
Disabling
damage
Requiring a tow
Citation
issued?
YES
Drug & Alcohol
Test Required
NO
Testing Not
Required
Decision Tree Visual
FMCSA Post-accident Drug and Alcohol Testing Criteria

46. There are time
limits for post-
accident alcohol
tests.
If a test is not administered within 2 hours
following the accident, prepare and maintain
on file a record stating the reasons the test
was not promptly administered.
If a test is not administered within 8 hours
following the accident, cease attempts to
administer an alcohol test and prepare and
maintain the same record.

47. There’s also a time
limit for post-
accident drug
tests.
If a test is not administered within 32 hours
following the accident then stop your attempts
to administer a drug test. Prepare a record
stating the reasons the test was not promptly
administered.

48. As a best practice,
prepare your
drivers with info in
case they do have
an accident.
Here’s what to include:
1) Post-accident decision table
2) Emergency contact phone number
3) Instructions for locating and scheduling alcohol
or drug testing services
4) Custody and Control Form (CCF).

49. Here are scenarios
when post-accident
testing is not
required.
1) An occurrence involving only boarding or
alighting from a stationary motor vehicle;
or
2) An occurrence involving only the loading
or unloading of cargo; or
3) An occurrence in the course of the
operation of a passenger car or a
multipurpose passenger vehicle by an
employer unless, the motor vehicle is
transporting passengers for hire or
hazardous materials of a type and
quantity that require the motor vehicle to
be marked or placarded.

50. The FMCSA can increase
or decrease the random
annual percentage rate
for drug or alcohol
testing.
If there is a change in the annual percentage
rate, the FMCSA will publish the new minimum
annual percentage rate for random testing of
drivers in the Federal Register.
To check the current DOT random rates go to
https://www.transportation.gov/odapc/random-
testing-rates

51. To select drivers
for random
selection..
use a random number table or a computer-
based random number generator.

52. Here’s a random calculation example:
The FMCSA random annual drug testing rate is 25% and the random annual alcohol testing rate is
10%. You’re conducting 4 selections during the year.
Period 1: You have 100 covered employees.
Calculate drug tests: 100 * 25% = 25 / 4 ≅ 7. Select 7 employees for random drug tests.
Calculate alcohol tests: 100 * 10% = 10 / 4 ≅ 3. Select 3 employee for random alcohol tests.
Period 2: You hire 10 new drivers. You have 110 covered employees.
Calculate drug: 110 * 25% = 27.5 / 4 ≅ 7. Select 7 employees for random drug tests.
Calculate alcohol: 110 * 10% = 11 / 4 ≅ 3. Select 3 employee for random alcohol tests.
Repeat for periods 3 and 4...

53. What if a driver is
under multiple DOT
agencies?

54. If a driver performs more than one safety-sensitive duty under multiple DOT
agency regulations, use the random rates for the DOT agency regulating more
than 50% of the driver’s function.
For Example:
Bob drives only once a month but, does maintenance on a oil pipeline daily. He would be
subject to the DOT: PHMSA annual random testing rates.

55. What If you’re required to
conduct random alcohol
or drug testing of more
than one DOT agency?
● Establish separate DOT pools for random
selection; or
● Randomly select employees in a
combined pool for testing at the highest
minimum annual percentage rate
established for any DOT agency to which
the employer is subject to.

56. A driver should be randomly drug or alcohol tested...
Just before performing safety-
sensitive duties or,
while performing safety-sensitive
duties or,
just after performing safety-sensitive
duties.

57. When making a
reasonable
suspicion
determination...
The observations must be based on specific,
simultaneous, articulable observations
concerning the appearance, behavior, speech or
body odors of the driver.

58. The required observations for
alcohol and/or drug reasonable
suspicion testing must be made by
a supervisor or company official
who is trained.
Supervisor training requires a minimum of 60
minutes for recognizing alcohol misuse and an
additional 60 minutes for recognizing substance
abuse.
!

59. A driver should take a reasonable-suspicion alcohol
test...
Just before performing safety-
sensitive duties or,
while performing safety-sensitive
duties or,
just after performing safety-sensitive
duties.

60. Reasonable
suspicion alcohol
testing has a time
limit.
If an alcohol test is not administered within 2
hours following a reasonable suspicion
determination, prepare and maintain on file a
record stating the reasons the alcohol test was
not promptly administered.
If an alcohol test is not administered within 8
hours following a reasonable suspicion
determination, cease attempts to administer an
alcohol test and state in the record the reasons
for not administering the test.

61. If a reasonable
suspicion alcohol
determination has
been made...
A driver cannot perform safety-sensitive
functions, until:
● An alcohol test is administered and the
driver's alcohol concentration measures
less than 0.02; or
● 24 hours have elapsed following a
reasonable suspicion determination.

62. Make a written record of the observations
leading to an alcohol or drug reasonable
suspicion test and sign by the supervisor or
company official who made the
observations.

63. When a driver has a drug and/or
alcohol violation, they cannot
perform safety-sensitive duties
until they complete the return-to-
duty process.

64. What is the
return-to-duty
process?
The driver must complete:
1) An SAP evaluation
2) A referral to education or treatment
classes
3) An SAP follow-up evaluation which
includes a follow-up drug or alcohol
testing plan
4) Complete a negative return-to-duty
drug and/or alcohol test.

65. Who’s a SAP?
Substance Abuse Professional (SAP) - A
person who evaluates employees who have
violated a DOT drug and alcohol regulation and
makes recommendations concerning education,
treatment, follow-up testing, and aftercare.

66. After a return-to-duty test, a driver
must adhere to and complete a
follow-up testing plan.

67. What’s a
follow-up
testing plan?
An SAP will make a follow-up testing plan
based on their assessment of the driver. This
information will be provided to you directly.
For example:
“Tom Smith must complete 18 drug and alcohol
tests over the next 12 months.
2 drug and alcohol tests per month during the
first 6 months and 1 drug and alcohol test per
month during the last 6 months.”

68. What if a driver
admits to alcohol or
drug use?

69. They are not
subject to the
return-to-duty
process as long as...
1) The employer has a written employer-
established voluntary self-identification
policy.
2) The driver does not self-identify in order to
avoid a required drug or alcohol test;
3) The driver makes the admission of alcohol
misuse or controlled substances use before
performing a safety sensitive function;

70. Don’t allow the driver to perform a safety
sensitive function until they have been
evaluated successfully and completed the
self-identification policy guidelines.

71. What’s a
voluntary self-
identification
policy?
1) Prohibits the employer from taking adverse action
against an employee making a voluntary admission
of alcohol misuse or controlled substances use. (As
long as the driver is not admitting to get out of a
required test or before performing safety-sensitive
functions.)
2) Allow the employee an opportunity to seek
evaluation, education or treatment to establish
control over their drug or alcohol problem.
3) Allow the employee to return to safety sensitive
duties only upon successful completion of an
educational or treatment program, as determined by
a drug and alcohol abuse evaluation expert, i.e.,
employee assistance professional, substance abuse
professional, or qualified drug and alcohol counselor;

72. Before the employee
returns to safety
sensitive duties
ensure that...
1) The employee undergoes a return to duty
test with a result indicating an alcohol
concentration of less than 0.02; and/or
2) the employee undergoes a return to duty
controlled substance test with a verified
negative test result for controlled substances
use.
We recommend incorporating employee
monitoring by implementing a non-DOT
follow-up testing plan.!

73. Drug and Alcohol Prohibitions

74. What’s the
prohibited alcohol
concentration?
A driver can’t report for duty or stay on while
performing a safety-sensitive functions with an
alcohol concentration of 0.04 or greater.
Alcohol concentration is the alcohol in a volume of
breath expressed in grams of alcohol per 210 liters
indicated in a evidential breath test.!

75. On-duty alcohol use
is strictly prohibited.

76. What about
pre-duty
alcohol use?
A driver can’t perform safety-sensitive
functions within 4 hours after using alcohol.

77. What about
alcohol use
following an
accident?
A driver required to take a post-accident alcohol test
cannot use alcohol for 8 hours following the accident,
or until he/she undergoes a post-accident alcohol
test, whichever occurs first.

78. What if a driver
refuses to submit to
a required alcohol
or drug test?
You can’t allow them to perform safety-sensitive
functions and they must complete the return-to-duty
requirements.

79. What about other
alcohol
prohibitions?
If a driver has an alcohol concentration of 0.02 or
greater but less than 0.04, they can’t perform or
continue to perform safety-sensitive functions for
an employer.
In this case, the driver can’t perform safety-
sensitive functions until the start of the driver's
next regularly scheduled duty period, but not less
than 24 hours following administration of the test.

80. What drugs
are
prohibited?
A driver can’t perform safety-sensitive
functions if they use any drug or substance
identified as Schedule I drug.

81. What’s tested in
the DOT drug test
panel?
● Marijuana (THC)
● Cocaine
● Amphetamines
● Opiates
● Phencyclidine (PCP)

82. What if a driver
uses a non-
Schedule I
drug?
A driver can’t perform safety-sensitive functions if
they use any non-Schedule I drug except when it has
been prescribed by a doctor.
The doctor needs to clear the driver for a prescription
drug use in a written statement that the the driver is
able to safely operate a commercial motor vehicle.
You should require a driver to inform the employer of
any therapeutic drug use.

83. What if a driver
uses a non-
Schedule I
drug?
A driver can’t perform safety-sensitive functions if
they use any non-Schedule I drug except when it has
been prescribed by a doctor.
The doctor needs to clear the driver for a prescription
drug use in a written statement that the the driver is
able to safely operate a commercial motor vehicle.
You should require a driver to inform the employer of
any therapeutic drug use.
Mention this in your drug and
alcohol policy.

84. What if a driver
tests positive or
adulterates or
substitutes their
specimen?
A driver can’t report for duty, remain on duty or
perform a safety-sensitive function!
In 2016, there were 76 acute motor carrier violations where
employers allowed a driver to perform safety-sensitive
functions who had tested positive for drugs.!

85. A driver cannot perform safety-sensitive
duties after these violations
Driver Prohibitions
Driver Prohibitions and Employer Responsibilities
Employers must prevent drivers from operating a CMV in these situations if they are not completing
the return-to-duty requirements
+Positive Drug Test
A positive, substituted, or adulterated
drug test result.
0.04
Positive Alcohol Test
An alcohol test of 0.04 or higher.
Refusal
Driver refuses to submit to a drug
or alcohol test.
Post-accident Alcohol Use
Uses alcohol prior to a post-
accident alcohol test.
Witness Drug or Alcohol Use
You witness the driver using drugs or
alcohol on-duty or alcohol 4 hours
pre-duty.

86. Handling of Test Results, Records
Retention, and Confidentiality

87. Keep drug and
alcohol records in a
secure location with
controlled access.

88. ONE YEAR
Record Retention Schedule
Maintain records according to this schedule
TWO YEARS FIVE YEARS INDEFINITE
Records of negative and canceled
controlled substances test results
and alcohol test results with a
concentration of less than 0.02.
Records related to the alcohol and
controlled substances collection
process (except calibration of
evidential breath testing devices).
Records of driver alcohol test
results indicating an alcohol
concentration of 0.02 or greater
Records of driver verified positive
controlled substances test results
Documentation of refusals to take
required alcohol and/or controlled
substances tests
Driver evaluation and referrals,
Calibration documentation
Records related to the
administration of the alcohol and
controlled substances testing
program, including records of all
driver violations
A copy of each annual calendar
year DOT/MIS report.
Records related to the education
and training of breath alcohol
technicians, screening test
technicians, supervisors, and
drivers shall be maintained by the
employer while the individual
performs the functions which
require the training and for two
years after ceasing to perform
those functions.

89. What other types
of records should
you keep?

90. Records related
to the collection
process:
● Collection logbooks, if used;
● Documents relating to the random selection process;
● Calibration documentation for evidential breath testing
devices;
● Documentation of breath alcohol technician training;
● Documents generated in connection with decisions to
administer reasonable suspicion alcohol or controlled
substances tests;
● Documents generated in connection with decisions on
post-accident tests;
● Documents verifying existence of a medical explanation
of the inability of a driver to provide adequate breath or
to provide a urine specimen for testing; and….

91. Records related
to a driver’s test
results:
● The employer's copy of the alcohol test form, including the
results of the test;
● The employer's copy of the controlled substances test chain of
custody and control form;
● Documents sent by the MRO to the employer, including those
required by part 40, subpart G, of this title;
● Documents related to the refusal of any driver to submit to an
alcohol or controlled substances test required by this part;
● Documents presented by a driver to dispute the result of an
alcohol or controlled substances test administered under this
part; and
● Documents generated in connection with verifications of prior
employers' alcohol or controlled substances test results.

92. Records
related to
evaluations:
● Records pertaining to a determination by
a substance abuse professional
concerning a driver's need for assistance;
and
● Records concerning a driver's compliance
with recommendations of the substance
abuse professional.

93. Records related to
education and
training:
● Materials on alcohol misuse and controlled substance use
awareness, including a copy of the employer's policy on
alcohol misuse and controlled substance use;
● Documentation of compliance with your drug and alcohol
policy, including the driver's signed receipt of education
materials;
● Documentation of training provided to supervisors for the
purpose of qualifying the supervisors to make a
determination concerning the need for alcohol and/or
controlled substances testing based on reasonable
suspicion;
● Documentation of training for breath alcohol technicians
● Certification that any training conducted under this part
complies with the requirements for such training.

94. Administrative
records related to
alcohol and drug
testing:
● Agreements with collection site facilities,
laboratories, breath alcohol technicians,
screening test technicians, medical review
officers, consortia, and third party service
providers;
● Names and positions of officials and their role
in the employer's alcohol and controlled
substances testing program(s);
● Semi-annual laboratory statistical summaries
● The employer's alcohol and controlled
substances testing policy and procedures.

95. What are
DOT/MIS
reports?
Management Information Summary (MIS) - A
summary of the results of your alcohol and
controlled substances testing programs.
If you’re notified, during the month of January, of a
request by the FMCSA to report the employer's
annual calendar year MIS, prepare and submit the
report to the FMCSA by March 15 of that year.
To submit your DOT MIS forms electronically,
go to https://damis.dot.gov/Login/Login.asp
A service agent or C/TPA can prepare
this for you.
!

96. What if I have
more than one
covered
employee?
If you have a covered employee who performs
multi-DOT agency functions (e.g., an employee
drives a commercial motor vehicle and
performs pipeline maintenance duties for the
same employer), count the employee only on
the MIS report for the DOT agency under which
he or she is randomly tested. Normally, this will
be the DOT agency under which the employee
performs more than 50% of his or her duties.
You may have to explain the testing data for
these employees in the event of a DOT
agency inspection or audit.!

97. Who has access
to your records?
1) A driver, upon written request, for their test
results.
2) The Secretary of Transportation, any DOT
agency, or any State or local officials with
regulatory authority.
3) Subsequent employers upon receipt of a
written request from a driver.
4) The National Traffic Safety Board as part of a
crash investigation.
This shouldn’t prevent you from releasing
records in the case of legal proceedings
such as an unemployment workforce claim.!

98. Good news! A MRO or C/TPA
can maintain all of your records
and notifications previously
mentioned.

99. What are previous
employer
inquiries?
For new applicants, employers must request
alcohol and drug test history from previous
employers.
The employer must request information from all
DOT-regulated employers that employed the
driver within the previous 3 years and the
scope of the information requested must date
back 3 years.
As of January 6, 2020, employers must use the Drug and Alcohol Clearinghouse to comply
with the requirements above. Exception: When an employee who is subject to follow-up
testing has not successfully completed all follow-up tests, employers must request the
employee's follow-up testing plan directly from the previous employer.
!

100. Alcohol Misuse and Drug Use
Information For Employees

101. A drug and
alcohol policy is
the core of your
program.
Distribute your policy to each driver prior to the
start of alcohol and controlled substances
testing and to each driver subsequently hired or
transferred into a position requiring driving a
commercial motor vehicle.
Make sure that each driver has signed a
statement certifying that he or she has received
a copy of your drug and alcohol policy. Maintain
the original signed certificate and provide a
copy of the certificate to the driver.

102. Components of a DOT FMCSA Drug and Alcohol Policy
Make this information available to your drivers
Identify the DER. The categories of
drivers subject to the
requirements. .
The safety-sensitive
functions of the drivers.
.
Prohibited conduct. The circumstances
when a drug and
alcohol test is required.
The procedures used
for drug and alcohol
testing.
The requirements that
a driver must submit to
a drug and alcohol test.
An explanation of a
refusal to test and its
consequences,
Consequences for
violations.
Consequences for
alcohol concentration
from 0.02 to 0.039
The requirement that
personal info will be
reported to the
Clearinghouse.
Information about the
effects of substance
abuse in the workplace
and access to EAP
info.

103. Requirements and Procedures for
Implementation of the CDL Drug and
Alcohol Clearinghouse
!
In case you missed it, the Clearinghouse doesn’t
go into effect until January 7, 2020.

104. Pre-employment
queries
A driver can’t perform a safety-
sensitive function without first
conducting a pre-employment
query of the Clearinghouse.
This requires a full query which
requires the individual driver to
give consent.

105. Annual
queries
An annual query is required at least once per year.
Instead of a full query, as described above, you may obtain
the individual driver's consent to conduct a limited query.
The limited query will tell the employer whether there is
information about the individual driver in the Clearinghouse,
but will not release that information to the employer.

106. Annual
queries
If the limited query shows that information exists in the Clearinghouse
about the individual driver, the employer must conduct a full query
within 24 hours.
If not within 24 hours, the driver can’t perform any safety-sensitive
function until the employer conducts the full query and the results
confirm that the driver's Clearinghouse record contains no
prohibitions.
If any information is entered into the Clearinghouse about a driver
during the 30-day period immediately following an employer
conducting a query of that driver's records, FMCSA will notify you.

107. Clearinghouse
prohibitions
A driver can’t perform any safety-sensitive function if the
results of a Clearinghouse query demonstrate that the
driver:
Has a verified positive, adulterated, or substituted
controlled substances test result;
Has an alcohol confirmation test with a concentration of
0.04 or higher;
Refused to submit to a test; or
That an employer has reported actual knowledge that
the driver used alcohol on duty, used alcohol before
duty, used alcohol following an accident, or used a
controlled substance

108. Clearinghouse
result
exceptions
A driver can perform safety-
sensitive duties when the
driver has a violation if:

109. Clearinghouse
result
exceptions
1) The driver has successfully completed the SAP
evaluation, referral, and education/treatment
process set forth in part 40, subpart O, of this title;
achieves a negative return-to-duty test result; and
completes the follow-up testing plan prescribed by
the SAP.
2) That, if the driver has not completed all follow-up
tests as prescribed by the SAP, has completed the
SAP evaluation, referral, and education/treatment
process and achieves a negative return-to-duty test
result, and the employer assumes the responsibility
for managing the follow-up testing process
associated with the testing violation.

110. Clearinghouse
recordkeeping
requirements
As of January 7, 2020, as long as you
maintain a valid Clearinghouse
registration, you meet the
recordkeeping requirements.

111. Driver consent to
permit access to
information in the
Clearinghouse.
You can’t query the Clearinghouse
without first obtaining that driver's
written or electronic consent. Keep the
consent document for three years
from the date of the last query.

112. Before the employer may conduct a full
query, the driver must submit electronic
consent through the Clearinghouse
granting the employer access to the
following specific records:

113. Clearinghouse Records
Employer Access to Clearinghouse Records
Drivers must give electronic consent to grant the employer permission to access these records in
the CDL Clearinghouse.
+Positive Drug Tests
A positive, substituted, or adulterated
drug test result.
0.04
Positive Alcohol Tests
An alcohol test of 0.04 or higher.
Refusals
Driver refuses to submit to a drug
or alcohol test.
SAP Reports
The successful completion of
the return-to-duty process.
Employer Reports
Actual knowledge of on duty alcohol
use, pre-duty alcohol use, alcohol
use following an accident, and
controlled substance use.
Negative Return-to-duty
Negative return-to-duty tests.
Follow-up Completion Reports
The employer’s report of completion
of follow-up testing.

114. If the driver refuses to grant the consent to query
the Clearinghouse, they can’t perform-safety
sensitive duties.
A driver granting must provide consent
electronically to the Agency through the
Clearinghouse prior to release of information to an
employer.

115. How is the
Clearinghouse
data populated?
Employers are responsible for
reporting the following
information to the Clearinghouse
within three days of the following
events:

116. Clearinghouse Records
CDL Clearinghouse Reporting Requirements for Employers
Employers must report these records to the CDL Clearinghouse.
+Positive Drug Tests
A positive, substituted, or adulterated
drug test result.
0.04
Positive Alcohol Tests
An alcohol test of 0.04 or higher.
Refusals
Driver refuses to submit to a drug
or alcohol test.
SAP Reports
The successful completion of
the return-to-duty process.
Actual Knowledge of Use
Actual knowledge of on-duty alcohol
use, pre-duty alcohol use, alcohol
use following an accident, and
controlled substance use.
Negative Return-to-duty
Negative return-to-duty tests.
Follow-up Completion Reports
The employer’s report of completion
of follow-up testing.

117. The information
required to be
reported must
include:
1) Reason for the test;
2) Driver's name, date of birth, and CDL number
and State of issuance;
3) Employer name, address, and USDOT
number;
4) Date of the test;
5) Date the result was reported; and
6) Test results of the following:
a) Negative (only required for return-to-
duty tests);
b) Positive; or

118. For each report of a
refusal to test, the
employer must report the
following information:
1) Documentation, including, but not limited to,
electronic mail or other simultaneous record
of the time and date the driver was notified to
appear at a testing site; and the time, date
and testing site location at which the
employee was directed to appear, or an
affidavit providing evidence of such
notification;
2) Documentation, including, but not limited to,
electronic mail or other correspondence, or
an affidavit, indicating the date the employee
was terminated or resigned (if applicable);

119. For each report of a
refusal to test, the
employer must report the
following information:
3) Documentation, including, but not limited to,
electronic mail or other correspondence, or
an affidavit, showing that the C/TPA reporting
the violation was designated as a service
agent for an employer who employs
himself/herself as a driver when the reported
refusal occurred (if applicable); and
4) Documentation, including a certificate of
service or other evidence, showing that the
employer provided the employee with all
documentation reported.

120. For each violation regarding actual
knowledge by the employer, the
employer must report the following
information:
1) Driver's name, date of birth, CDL number and
State of issuance;
2) Employer name, address, and USDOT
number, if applicable;
3) Date the employer obtained actual knowledge
of the violation;
4) Witnesses to the violation, if any, including
contact information;

121. For each violation regarding actual
knowledge by the employer, the
employer must report the following
information:
5) Description of the violation;
6) Evidence supporting each fact alleged in the
description of the violation which may
include, but is not limited to, affidavits,
photographs, video or audio recordings,
employee statements, correspondence, or
other documentation; and
7) A certificate of service or other evidence
showing that the employer provided the
employee with all information reported.

122. An employer who employs himself/herself as a driver
must designate a C/TPA to comply with the employer
requirements for reporting to the Clearinghouse.
Any employer may designate a C/TPA to perform the
employer reporting requirements.

123. Clearinghouse
registration
Each employer and service agent must
register with the Clearinghouse before
accessing or reporting information in the
Clearinghouse.
If you’re using a service agent or C/TPA to
query or report to the Clearinghouse, you
must authorize them to do so.
!
The FMCSA hasn’t specified registration process. This will most likely be done
through the FMCSA website.

124. Duration,
cancellation, and
revocation of
access.
Clearinghouse registration is valid for five
years, unless cancelled or revoked.
FMCSA will cancel Clearinghouse
registrations for anyone who has not
queried or reported to the Clearinghouse for
two years.
FMCSA will revoke your registration to the
Clearinghouse if you fail to comply with any
of the prescribed rights and restrictions on
access to the Clearinghouse.

125. Availability and
removal of
information.
Information about a driver's
drug or alcohol violation will not
be available to an employer
conducting a query of the
Clearinghouse after all of the
following conditions relating to
the violation are satisfied:

126. Availability and
removal of
information.
1) The SAP reports to the Clearinghouse the
completed return-to-duty info;
2) The employer reports to the
Clearinghouse that the driver's return-to-
duty test results are negative;
3) The driver's current employer reports that
the driver has successfully completed all
follow-up tests as prescribed in the SAP
report; and
4) Five years have passed since the date of
the violation determination.

127. What if your out of compliance
with these requirements?

128. Any employer or driver who violates
the requirements of this part shall be
subject to civil and/or criminal penalty
provisions.

129. Still feel
overwhelmed?
We’ll be glad to show you an
easier way!
How we help.
We keep trucking companies in
compliance with drug and alcohol
program administration and
consortium services.
Call us at (888) 469-0652
Learn more at
www.screensoft.co/blog