This presentation provides an overview of the DOT drug and alcohol testing regulations for employers in the oil and gas industry. It explains key aspects of establishing and managing a compliance program, including the roles of the DER, MRO, and SAP. It covers topics like the testing process, reasonable suspicion determinations, return-to-duty requirements, and random testing rate calculations. The goal is to help both new and experienced employers understand and properly implement the PHMSA regulations.

1. A publication of
PHMSA Drug & Alcohol Testing Regulations
A review for employers in the oil & gas industry
Updated 7-2018

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 199.

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. PHMSA Drug & Alcohol Testing Regulations
A review for employers in the oil & gas 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 employees.

14. Who do the PHMSA
regulations apply to?

15. Businesses, employees, and contract employees who perform:
● Operations (control the
movement or storage of gas,
LNG, hazardous liquids, or
carbon dioxide); OR
● Maintenance (preserve a
pipeline or LNG facility for
future use); OR
● Emergency Response (steps
taken to identify emergencies,
protect people, and return a
pipeline or LNG facility to
normal operation).
On a pipeline that transports
natural gas, other gas, or
hazardous liquids
or
On a liquefied natural gas facility
Job Functions Where

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

17. !
Notification
1
Collection
2
Testing
3
Review
4
Reporting
5
An employee 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 employee.
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
An employee is notified to take an alcohol test and immediately
reports to the collection site.
The employee 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
An employee is notified to take an alcohol test and immediately
reports to the collection site.
The employee 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
employees for
testing?

23. For drug
testing
identification:
The employee's SSN or employee ID number l
in Step 1, section C of the CCF.

24. For alcohol
testing
identification:
The employer's name, SSN or employee ID
numbers in Step 1, section A of the ATF.

25. Employee info goes here
on the drug testing CCF.

26. Employee info goes here on
the alcohol testing form.

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

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

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

30. 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.

31. 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 vet your service agents before
doing business with them.

32. When is testing
required?

33. Follow-up
Return-to-duty
Reasonable
Suspicion
Post-accident
Random
Pre-employment
Reasons for testing
Employee Stages
Before the first time an employee performs safety-
sensitive functions, they should undergo a drug test.
Alcohol test is optional.
Every employee must submit to random drug test at
the minimum annual rates published by the PHMSA.
A reportable accident under Part 191 and 195 which
the employee may have contributed to the accident.
You should require a employee to submit to a drug
and/or alcohol test when the employer has
reasonable suspicion to believe that the employee is
under the influence.
When a employee 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
employee. This information will be provided to you
directly.
Pre-duty
On-duty
Post-violation

34. 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).

35. What’s a consortium?

36. 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.
!

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

38. 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.

39. A contingent offer of
employment...

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

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

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

43. Part 191
incident
means:
(1) An event that involves a release of gas
from a pipeline, gas from an underground
natural gas storage facility, liquefied natural
gas, liquefied petroleum gas, refrigerant gas,
or gas from an LNG facility, and that results in
one or more of the following consequences:
(i) A death, or personal injury necessitating in-
patient hospitalization;
(ii) Estimated property damage of $50,000 or
more, including loss to the operator and
others, or both, but excluding cost of gas lost;
or...

44. Part 191
incident
(cont’d)
(iii) Unintentional estimated gas loss of three
million cubic feet or more.
(2) An event that results in an emergency
shutdown of an LNG facility or an underground
natural gas storage facility. Activation of an
emergency shutdown system for reasons other
than an actual emergency does not constitute
an incident.
(3) An event that is significant in the judgment
of the operator, even though it did not meet the
criteria of paragraph (1) or (2) of this definition.

45. Part 195
accident
means:
An accident report is required for each failure
in a pipeline system subject to this part in
which there is a release of the hazardous
liquid or carbon dioxide transported resulting in
any of the following:
(a) Explosion or fire not intentionally set by the
operator….

46. Part 195
accident
(cont’d)
(b) Release of 5 gallons (19 liters) or more of
hazardous liquid or carbon dioxide, except that
no report is required for a release of less than
5 barrels (0.8 cubic meters) resulting from a
pipeline maintenance activity if the release is:
(1) Not otherwise reportable under this section;
(2) Not one described in §195.52(a)(4);
(3) Confined to company property or pipeline
right-of-way; and
(4) Cleaned up promptly;...

47. Part 195
accident
(cont’d)
(c) Death of any person;
(d) Personal injury necessitating
hospitalization;
(e) Estimated property damage, including cost
of clean-up and recovery, value of lost product,
and damage to the property of the operator or
others, or both, exceeding $50,000.

48. 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.

49. 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.

50. As a best practice,
prepare your
employees 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).

51. An accident does not
involve...
1) Offshore gathering of gas in State waters
upstream from the outlet flange of each
facility where hydrocarbons are produced
or where produced hydrocarbons are first
separated, dehydrated, or otherwise
processed, whichever facility is farther
downstream;

52. An accident does not
involve...
2) Pipelines on the Outer Continental Shelf
(OCS) that are producer-operated and
cross into State waters without first
connecting to a transporting operator's
facility on the OCS, upstream (generally
seaward) of the last valve on the last
production facility on the OCS.

53. An accident does not
involve...
3) Pipelines on the Outer Continental Shelf
upstream of the point at which operating
responsibility transfers from a producing
operator to a transporting operator; or

54. An accident does not
involve...
4) Onshore gathering of gas—
(i) Through a pipeline that operates at
less than 0 psig (0 kPa);
(ii) Through a pipeline that is not a
regulated onshore gathering line (as
determined in §192.8 of this subchapter);
and
(iii) Within inlets of the Gulf of Mexico,
except for the requirements in §192.612.

55. The PHMSA 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 PHMSA will publish the new minimum
annual percentage rate for random testing of
employees in the Federal Register.
To check the current DOT random rates go to
https://www.transportation.gov/odapc/random-
testing-rates

56. To select
employees for
random selection..
use a random number table or a computer-
based random number generator.

57. Here’s a random calculation example:
The PHMSA random annual drug testing rate is 25%. You’re conducting 4 selections during the year.
Period 1: You have 100 covered employees.
Calculate annual random drug test goal.
100 * 25% = 25
Calculate number of selections for period 1.
25 / 4 ≅ 7.
Randomly select 7 employees for drug testing in period 1.
Period 2: You hire 10 new employees. You now have 110 covered employees.
Calculate annual random drug test goal
110 * 25% = 27.5
Calculate number of selection for period 2.
27.5 / 4 ≅ 7.
Randomly select 7 employees for random drug testing in period 2.
Repeat for periods 3 and 4...

58. What if an employee
is under multiple
DOT agencies?

59. If an employee 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 employee’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.

60. 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.

61. An employee 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.

62. 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 employee.

63. 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
recommended 60 minutes for recognizing
substance abuse.
!

64. An employee 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.

65. 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.

66. If a reasonable
suspicion alcohol
determination has
been made...
A employee cannot perform safety-sensitive
functions, until:
● An alcohol test is administered and the
employee's alcohol concentration
measures less than 0.02; or
● The start of the employees next shift
and not less than 8 hours have elapsed
following a reasonable suspicion
determination.

67. 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.

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

69. What is the
return-to-duty
process?
The employee 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.

70. What’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.

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

72. What’s a
follow-up
testing plan?
A SAP will make a follow-up testing plan based
on their assessment of the employee. 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.”

73. Drug and Alcohol Prohibitions

74. What’s the
prohibited alcohol
concentration?
A employee 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 employee can’t perform safety-sensitive
functions within 4 hours after using alcohol.

77. What about
alcohol use
following an
accident?
A employee 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 an employee
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 an employee 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 employee can’t perform safety-
sensitive functions until the start of the employee's
next regularly scheduled duty period, but not less
than 8 hours following administration of the test.

80. What drugs
are
prohibited?
An employee 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 an
employee uses
a non-Schedule
I drug?
An employee can’t perform safety-sensitive functions
if they use any non-Schedule I drug except when it
has been prescribed by a doctor.

83. What if an employee
tests positive,
adulterated, or
substituted their
specimen?
An employee can’t report for duty, remain on duty
or perform a safety-sensitive function!

84. An employee cannot perform safety-
sensitive duties after these violations
Employee Prohibitions
Employee Prohibitions and Employer Responsibilities
Employers must prevent employees from performing safety-sensitive duties 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
Employee 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 employee using
drugs or alcohol on-duty or alcohol 4
hours pre-duty.

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

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

87. 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 employee alcohol test
results indicating an alcohol
concentration of 0.02 or greater
Records of employee verified
positive controlled substances test
results
Documentation of refusals to take
required alcohol and/or controlled
substances tests
Employee evaluation and referrals
Calibration documentation
Records related to the
administration of the alcohol and
controlled substances testing
program, including records of all
employee 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
employees 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.

88. What other types
of records should
you keep?

89. 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 employee to provide adequate
breath or to provide a urine specimen for testing;
and….

90. Records related
to a employee’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 employee to submit to
an alcohol or controlled substances test required by this part;
● Documents presented by a employee 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.

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

92. 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 employee'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.

93. 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.

94. What are
DOT/MIS
reports?
Management Information Summary (MIS) Report -
A summary of the results of your alcohol and
controlled substances testing programs.
An operator with 50 or more covered employees
must report their annual calendar year MIS to the
DOT by March 15 of each year for the prior year.
Operators with less than 50 should report upon
request by the PHMSA.
To submit your DOT MIS forms electronically, go
to https://damis.dot.gov/Login/Login.asp
To check MIS submission requests, register at
https://portal.phmsa.dot.gov/phmsaportallanding
A service agent or C/TPA can prepare
DOT/MIS forms for you.
!

95. 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.!

96. Who has access
to your records?
1) An employee, 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 employee.
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.!

97. Good news! A service agent can
maintain all of your records and
notifications previously
mentioned.

98. 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
employee within the previous 3 years and the
scope of the information requested must date
back 3 years.

99. Alcohol Misuse and Drug Use
Information For Employees

100. A drug and
alcohol policy is
the core of your
program.
Distribute your policy to each employee prior to
the start of alcohol and controlled substances
testing and to each employee subsequently
hired or transferred into a covered function.
Make sure that each employee 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 employee.

101. Components of a DOT PHMSA Drug and Alcohol Policy
Make this information available to your employees
Identify the DER. The categories of
employees subject to
the requirements.
The safety-sensitive
functions of the
employees.
Prohibited conduct. The circumstances
when a drug and
alcohol test is required.
The procedures used
for drug and alcohol
testing.
The requirements that
a employee 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
Information about the
effects of substance
abuse in the workplace
and access to EAP
info.

102. What if you do not comply with
these requirements?

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

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