DOT Compliance Checklist
The following information represents most of the records a DOT agency and USCG auditor, inspector or investigator would usually request and/or review during your program audit. Please refer to your specific modal agency requirements for a complete listing and specific criteria for record review requirements.
DOT 49 CFR Part 40 Requirements for Safety Sensitive Employees.
Consortium/Third Party Administrators (c/TPA's) manage all or part of an employer's DOT drug and alcohol testing program. Accredited Drug Testing is a Nationwide TPA certified as an Accredited Third-Party Administrator (TPA) by the National Drug and Alcohol Screening Association (NDASA.) ADT is recognized as having a seal of approval from industry peers and experts demonstrating they are a trusted and reliable partner who is voluntarily subject to accreditation oversight, audits and reviews.
- Pre-Employment Tests
- Correct Federal Custody & Control Form (CCF)
- Substance Abuse Professional Process
- Regulations on File
- Random Pool Testing
- Active Roster of Employees in Random Testing Pool
- *Supervisor Training
- List of Supervisors Responsible for Making Determinations
- Supervisory training lesson plan and materials
- *Written Policy
- Post Accident Testing Situations
- MIS Annual Reports
- Previous Employers Checks (Copy of form 40.25)
- Employee Education Materials
- Record Keeping
- Removal of covered Employee
- Designated Employer Representative
*In addition, any company which employs 2 or more covered employees must have a written drug and alcohol policy and all supervisors must be trained in accordance with agency-specific regulations.
*CDL operators and or companies regulated by DOT can face fines and additional penalties for failing to comply with all of the above DOT Drug and Alcohol Testing Program Requirements.