MIS Reports - DOT Drug Testing

31 May 2016

Applicability of the Management Information Systems (MIS) Report

In the first few years of the Department of Transportation (DOT) required drug testing there was not a requirement for employers to submit Management Information System (MIS) reports to the DOT Modal Agencies for regulated employers testing programs.  That changed on December 23, 1993 when DOT and the modal agencies finalized the rule for the collection of information from DOT regulated employers for the numbers of drug tests.

Those early days on the MIS collection wanted a plethora of information including not only the number of test that were conducted for both drug and alcohol but also wanted the number of supervisors trained on how to identify substance abuse how many employees had been given information related to the dangers of substance abuse.

Some of the forms were several pages in length.  I personally recall the form used by the FAA or FHWA, now FMCSA, was around 5 pages in length.  In comparison, the form used by the Coast Guard was 2 pages in length.  In short, no two forms were alike in appearance and the amount of information that had to gathered and submitted varied from Modal Agency to Modal Agency.  Those of us that have been in drug testing industry since the time that started should remember those early MIS forms and grimace in remembrance.

On September 30, 2002, DOT proposed to make a One-DOT MIS form to have the drug and alcohol test data submitted.  The proposed MIS Form was part of the proposed rule.

After a modest number of comments were received and evaluated, the One-DOT form was adopted on July 25, 2003 with no significant changes to the proposed form.  The One-Dot Form is approved by the Office of Management Budget with the OMB Number of 2105-0529.  This number will appear on all instances of the One-DOT MIS Form.  The official title is U.S. DEPARTMENT OF TRANSPORTATION DRUG AND ALCOHOL TESTING MIS DATA COLLECTION FORM.  There is a space on the form to insert the year covered by this report.

The form is designed so both drug and alcohol test numbers to include negative and non-negative test results can be submitted on one piece of paper.  This is the Paperwork Reduction Act taking place as intended.

All MIS forms are required to be completed and submitted by March 15 of each calendar year. The reports can be submitted by a variety of methods:

regular mail using a paper copy;

by FAX with the paper copy;

E-Mail to the Modal Agency Program Manager or

On-Line submission to the DOT database.  That requires the use of a username and password which can be issued by the Modal Agency Program Manager or directly from the management staff for the DOT database.  Click Here for more on filing DOT MIS reports.

If a company is regulated by more than one agency, a separate MIS form is to be completed for each agency.

There are still some differences in what information and now that information is submitted to be in compliance.  This will vary by each individual agency as outlined:

Federal Aviation Administration (FAA) Regulated Companies: 

Enter the FAA Certificate Number and FAA Antidrug Plan / Registration Number, when applicable

Employee Categories: Flight Crewmember; Flight Attendant; Flight Instructor; Aircraft Dispatcher; Aircraft Maintenance; Ground Security Coordinator; Aviation Screener; Air Traffic Controller

Federal Motor Carrier Safety Administration (FMCSA) Regulated Companies:

Enter your FMCSA DOT Number, as appropriate.  Must indicate if you are an owner-operator (i.e., an employer who employs only himself or herself as a driver) or are exempt from providing MIS data.

Employee Category (one category): Driver

Note:  The FMCSA companies required to submit the MIS report will be selected and informed of the requirement by FMCSA via written communication.

The FMCSA will randomly select companies to submit a report based on size and location. The number selected will average around 3,000 companies annually.  It should be recognized that there are over 650,000 trucking companies so that report will be a snapshot of the trucking industry.

Federal Railroad Administration (FRA) Regulated Companies:

If completing the form for FRA, enter the number of observed/documented Part 219 “Rule G” Observations for covered employees.

Employee Categories: Engine Service; Train Service; Dispatcher/Operation; Signal Service; Other [Includes yardmasters, hostlers (non-engineer craft), bridge tenders; switch tenders, and other miscellaneous employees performing 49 CFR 228.5 (c) defined covered service.]

Federal Transit Administration (FTA) Regulated Companies

While not specifically identified in Sub-Part H, companies that receive FTA grant money are required to submit an MIS report

Employee Categories: Revenue Vehicle Operation; Revenue Vehicle and Equipment Maintenance; Revenue Vehicle Control/Dispatch; CDL/Non-Revenue Vehicle; Armed Security Personnel,

Note: Ferry Boats:

A real complexity is for the ferry boat operations that receive grant money from the FTA.  Because those ferry boat operations receive grant money, the crewmember are subject ONLY to random breath alcohol testing. Those results and only those results will be reported to FTA. Drug test results shall NOT be reported to the FTA but shall be reported to the Coast Guard.  Alcohol testing for Serious Marine Incident (post-accident) purposes on ferry boats remains within the jurisdiction of the Coast Guard and are not to be reported to the FTA.

DER’s for ferry boat operation that receive FTA grant money have to be careful and aware of the reporting requirements and the separation between the two agencies.

Pipeline and Hazardous Materials Administration (PHMSA) Regulated Companies:

If completing the form for PHMSA, check the additional box(s) indicating type of operation: Gas Gathering; Gas Transmission; Gas Distribution; Transport Hazardous Liquids; Transport Carbon Dioxide

Employee Category: Operation/Maintenance/Emergency Response

NOTE: PHMSA does not have random alcohol testing so that place will remain blank.

United States Coast Guard (USCG) Regulated Companies:

Applies to all US Flagged vessels in commercial service world-wide. When submitting the form for USCG, enter the vessel ID number.  If there is more than one number (vessel), enter the numbers separately.  If the vessel is not an inspected vessel with a USCG Certificate of Inspection Number, submit the state identification number. where the vessel is registered.

Employee Category: Crewmember (includes credentialed and non-credentialed crewmembers

NOTES: The other important item is that the Coast Guard does not authorize DOT alcohol testing, those spaces for alcohol testing will remain blank and not completed. The online MIS form for alcohol will not even appear for marine employers. See exception in notes for the FTA.

A Consortium/Third Party Administrator (C/TPA) can submit a single MIS for all maritime employers in their respective C/TPA.  The MIS report should give a listing of all marine employers included on the report and the vessel registration number for each marine employer that report is being submitted on behalf of.

TEST NUMBERS:

Each regulated employer is required to submit the test numbers on each type of employee category that is required to be tested.  The categories are as given below for each regulatory agency:

The test results to be reported are in the categories of Negative, Positive (identify the drug(s) that were identified; adulterated; substituted; shy bladder; other refusals; and lastly Cancellations.

It should be noted that there are similar categories for alcohol test results only “shy lung” instead of “shy bladder”.

Once all the test numbers have been entered online, the report can be submitted and marked completed.

There are a myriad number of items that have to be addressed.  It is highly recommended that all DERs refer to Appendix H to Part 40 – DOT Drug and Alcohol Testing Management Information System for additional guidance.