Category Archives: Q&A

When records are stored and transferred electronically, how should they be made available to DOT representatives?

Question – When records are stored and transferred electronically, how should they be made available to DOT representatives?

Answer – The obligations of employers and service agents to make records available expeditiously to DOT representatives apply regardless of how the records are maintained.

  • All records must be easily and quickly accessible, legible, and formatted and stored in a well-organized and orderly way.
  • If electronic records do not meet these criteria, then the employer or service agent must convert them to printed documentation in a rapid and readily auditable way by the MRO’s receipt of a confirmed laboratory test result, would not require a §40.21 waiver.
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Q&A: Can An Employer go beyond what SAP Determines Necessary ??

Question – May an employer conduct follow-up testing under company authority that goes beyond the follow-up testing which the SAP determines necessary?

Answer – No. The regulation (at 40.307(d)(4)) and SAP guidelines state that employers must not impose additional testing requirements that go beyond the SAP’s follow-up testing plan. This includes additional testing requirements under company authority.

In addition to follow-up testing and random testing, an employer has other means available to ascertain an employee’s alcohol- and drug-free performance and functions.

  • The employer can choose to monitor the employee’s compliance with the SAP’s recommendations for continuing treatment and/or education as part of a return-to-duty agreement with the employee.
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