DOT Compliance


49 CFR Part 40

The Department of Transportation's (DOT) rule, 49 CFR Part 40, outlines the minimum mandated requirements for conducting workplace drug and alcohol testing for the federally regulated transportation industry

49 CFR Part 40

Random Requirements

DOT requires random testing of covered employees with a minimum of quarterly testing spread evenly throughout the year.

Random Program

The cornerstone of every substance abuse deterrence program is verifiable, unbiased random selection. When choosing participants for a random test, DSC's computer system uses a basic and complete method to insure unbiased selections. It is double-blind selection method -- one in which neither the administrators nor the participants can predict or affect the outcome. The computer does not examine participants IDs, length of service, Social Security numbers, nor does it take into account how many times, when, or whether participants have been tested in the past. Each random selection is completely unaware of every previous random selection.

Random Selection Pools

In the random selection process the computer first creates the eligible pool and then makes random selections from the pool. Participants can be made eligible for selection based upon a user-selected configuration of eligible Companies, Home Bases, Occupations, Pool Groups, and DOT reporting status.


A consortium is a group of companies that have been associated for the purposes of creating a single eligible pool for random selections and/or for printing cross-company statistical analyses and other reports.


Membership in DSC's Random Program gives employers access to expert assistance in complying with Federal and Industry mandated audits of a company's drug and alcohol testing program.

MIS Reports

Employers subject to DOT drug and alcohol testing regulations must submit their annual drug and alcohol testing data as required by their respective DOT Agency. The annual drug and alcohol testing data being submitted for a specific calendar year is to be submitted by March 15th of the following calendar year. When submitting their drug and alcohol testing data,employers are to use the Drug and Alcohol Testing MIS Data Collection Form. DSC generates this report and supplies it to all members who are conducting DOT Testing under Federal guidelines.

Substance Abuse Professionals (SAPs)


The Company will follow the requirements of Part 40 for its Substance Abuse Professional (SAP) obligations. A full description of the SAP requirements is in Part 40, Subpart O(“Substance Abuse Professionals and the Return-to-Duty Process”).


The Company will refer drivers only to SAP's who have the credentials, basic knowledge, and qualification training, including fulfilling obligations for continuing education courses, for DOT violations. The SAP will not be an advocate for the Company or the driver. The SAP's function is to protect the public interest in safety by professionally evaluating the driver and recommending appropriate education/treatment, follow-up tests, and aftercare.

SAP Referral

The Company will provide to each driver who violates a DOT drug and alcohol regulation a listing of SAP's readily available to the driver and acceptable to the Company. The list will include SAP names, addresses, and telephone numbers. There will not be a charge to the driver for compiling or providing this list. The Company may use its C/TPA or other service agent to provide this information. Any driver who has violated DOT drug and alcohol regulations cannot again perform any DOT safety-sensitive duties for this Company until and unless the driver successfully completes the SAP evaluation, referral, and education/treatment process.


The Company is not required to pay for a SAP evaluation or any subsequent recommended education or treatment for a driver who has violated a DOT drug and alcohol regulation.

Company Responsibility

The Company is only bound by DOT to ensure that if the driver is provided an opportunity to return to a DOT safety-sensitive duty following a violation, that the Company ensure that the driver receives an evaluation by a SAP meeting the requirements of Part 40 and that the driver successfully complies with the SAP's evaluation recommendations before returning to the safety-sensitive job. Even if a SAP believes that the driver is ready to return to safety-sensitive work, the Company is under no obligation to return the driver to work. Under the DOT regulations, hiring and reinstatement decisions are left to the employer. The DOT leaves all payment issues for SAP evaluations and services to the Company and the driver to resolve.

SAP Process

The SAP will make a face-to-face clinical assessment and evaluation to determine what assistance is needed by the driver to resolve problems associated with alcohol and/or drug use. The SAP will refer the driver to an appropriate education and/or treatment program. At the completion of the education and/or treatment, the SAP will conduct a face-to-face follow-up evaluation to determine if the driver actively participated in the education and/or treatment program and demonstrated successful compliance with the initial assessment and evaluation recommendations. Reports will be provided to the Company on both the initial requirements and the outcome of the follow-up evaluation. The report will be specific and will include all of the Part 40 requirements of a written SAP report. The SAP will provide the DER with a written follow-up drug and/or alcohol testing plan for the driver and, if deemed necessary, will also provide the driver and the Company with recommendations for continuing education and/or treatment.

SAP Contact Information

Dan Dorothy - Counseling Management, Inc.
1901 E 37th Suite 104 - Odessa, Texas 79762