DOT Compliance Checklist

DOT Drug & Alcohol Testing

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.

All DOT drug tests require a “Federal Chain of Custody form” clients of Accredited Drug Testing Inc are provided these forms to be used whenever a DOT drug test is required.

To review DOT 49 CFR Part 40 Drug and Alcohol Regulations – Click Here

Listed below are each DOT Agency and its specific regulations and requirements

DOT AgencyRegulationIndustry
FMCSAFederal Motor Carrie Safety Administration49 CFR Part 382Motor Carrier
FAAFederal Aviation Administration14 CFR Part 120Air or Operators and certain contract air traffic control towers
FRAFederal Railroad Administration49 CFR Part 219Rail
FTAFederal Transit Administration49 CFR Part 655Public Transportation
PHMSAPipeline and Hazardous Materials Safety Administration49 CFP Part 199Operators of pipeline facilities and contractors performing covered functions for the operator
USCGUS Coast Guard (Dept of Homeland Security)46 CFR Parts 4 & 16Maritime

For more information call us today at (800)221-4291 or for a free 15-minute consultation click here


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