DOT MIS Report: Correcting Mode/Category

The DrugTestNetwork (DTN) Drug & Alcohol Data Management system manages all the required information for random selection testing, pre-employment, post-accident, reasonable suspicion, return to duty, and follow-up testing, so your data conforms, without issue, to the DOT MIS Report. Occasionally, data corrections are needed so nuanced details can be managed without complication.  Some corrections include making sure the Reason for Testing is consistent with the DOT guidelines.  Another correction often required is the Mode (FMCSA, FAA, PHMSA, FRA, USCG, and FTA) and the covered-employee categories reported.

The DOT MIS Report breaks the data down by each Mode/Category represented by the employees who have submitted to drug and alcohol testing and participated in random selections. The MIS Report produces a separate page for each Mode/Category represented by the data. The no. of employees covered under each Mode/Category reported in the MIS is based on the average no. of employees who participated in random selections conducted within the period of the report.

Steps to Make the Required Corrections:

  • Set the Mode in the account profile for all accounts that participate in testing.
  • For the calendar period that will be covered by the MIS Report, review the random selection audit records that preserve a list of all the participants and make sure each participant’s Mode/Category, in the audit record, is properly set.
  • Using the DOT MIS Analytics report, check that every test result properly states the Mode/Category for the donor.

Set the Mode for the Account:
Every personnel record for each participant must include the DOT Category for the Mode specified for the account roster. If the employer has employees under different Modes, a separate account is required for each mode: the DOT Mode applies to everyone in the roster under the account.  To set the Mode for an account, search for the company and click the Account Profile Edit icon and set the Mode.

Set the Mode for each Consortium Member:
If you need to correct the Mode for Consortium member accounts, on the main page of the application, choose the Consortium in the drop-down, as shown below, and click the first icon , on the right, to list all member accounts:

When the accounts are listed, click the Profile Editor icon and make sure the Mode for each account is properly specified as needed.

Optionally, consortium member accounts can be listed from the Consortia Mgt page. Click the menu Consortia to open the page.  Under the Consortia menu, all consortia in the subscriber’s account are listed with management options.  To list the members for each consortium, click the option icon Show Accounts:

The listing will show each member account, its Mode, the number of active employees in the roster and a option icons to open the Account Profile Editor and the Personnel Management Utility.  The list will also show how many personnel records in the roster are missing a Mode/Category specification. 

Audit Records:
When a random selection is generated the list of participants is saved as a permanent record.  This record is used to count the number of participants in each random selection and calculate the average across the randoms selections that were conducted for the reporting period of the MIS Report.  The audit record includes each person, and their Mode/Category,  who participated in each random selection.  An MIS Report page is provided for each Mode/Category represented.  If Mode/Category modifications are required for the Account, the Mode/Category for each person in the audit record must be changed too in order for the MIS to correctly report the no. of employees covered.

Correct the Mode/Category in the Audit Record:
To change the Mode/Category for each participant recorded in the audit record, you’ll need to list the random selections that were generated for the account or the consortium.  For random selections generated for individual accounts, search for the account and click the list randoms icon . For a consortium, choose the consortium from the drop-down as noted above and click the list randoms icon there on the right.

Enter the dates for random selections that were generated for the period of the MIS report. For each random selection, click the people icon to list everyone who participated in the random selection.

When the list opens, choose the Mode/Category you want to apply to everyone in the list from the the drop-down selector:

To choose everyone in the list, put a check the check-box on the header line at the top of the list:

When everyone is selected, click the DOT icon to apply the Mode/Category, specified in the drop-down, to everyone selected.

Test Result Reports Refer to Mode/Category and may need corrections:
After every participant’s Mode/Category has been set, you will need to set the Mode/Category for all the test result records that will be considered for the MIS report.

For an individual account, click the report icon

For a consortium, choose the consortium from the drop-down as outlined above, and click the report icon on the right.

When the report module, opens, indicate the year of the report and choose the report:

After you set the year of the report, scroll down to select the MIS Report option:

When the Analytics Report opens, you will find a Mode/Category drop-down (see image below) it will list all the drug/alcohol reports for the account or the consortium, depending on how you navigated to the report.  Each drug/alcohol test result will show if it conforms to the MIS Report.  For test results that do not conform to the MIS Report, the reason for the non-conformity will be shown under the test result record:

This example, above, shows the Mode/Category is not consistent with the Mode for the account to which the test result belongs. In the dropdown selection with all the Mode/Category options, choose the Mode/Category for the test result record, and check the box for each drug/alcohol test listed in the report (the checkbox is on the far left) that requires a Mode/Category correction.

Check ALL Checkboxes in a single click: You will find a checkbox at the top of the list, when checked, it will automatically check the box for all the result records listed:

When all the check-boxes have been set as needed, click the Set Mode icon, under the Mode/Category drop-down, shown in the image above, to set the Mode/Category to every test result record selected with a check-box.

When completed, you can generate the MIS Report with the Mode/Category corrected.

DOT MIS Report: Consortium & Members

For drug and alcohol testing, a company can join a consortium so their employee pool is combined with the other consortium members for random selection.  The random selection picks names from a list comprised of all active employees across all the members’ rosters.  Every member company is in DOT compliance simply by participating in the random selections, regardless if anyone from their company is picked.

The DOT specifies annual targets for the number of random drug and alcohol tests that must be conducted.  For example, FMCSA requires 50% of the pool submits a urine sample for substance testing, and 10% of the pool submits to a breath alcohol test.  If these targets are met, the consortium is considered in compliance for random testing, which means every member company is in compliance regardless the number of random tests their company contributes to the overall numbers.  The annual percentages are based on the average number of participants across all randoms conducted for the year.  DrugTestNetwork’s data management application for drug and alcohol testing keeps a complete audit trail of the participant list for every random selection conducted.  When an audit is conducted, you will often be asked to produce a list of participants for each random.

You can generate the DOT MIS Report for the entire consortium and for each individual member accounts.  Typically, the TPA provides the MIS Report for each member’s testing and not for the entire consortium.  If audited, the DOT Auditor may ask the TPA for the MIS Report for the entire consortium. Companies with 50 or more drivers are required to submit the report to the DOT.  Companies with fewer are not required unless requested.  Check the DOT for these requirements as the details may change.

Consortium DOT MIS Report: To generate the MIS for the consortium, from any the main application pages, click the Consortia menu and then click the report icon  on the line that represents the consortium.

Individual Member DOT MIS Report: To generate the MIS for an individual company that is a member of the consortium, search for the company and click its report icon .

From the report module, choose the months to be covered in the report. For example, if you want just the first quarter, pick January and March, or for a full year report, pick January and December.  Below months,  indicate the year the report covers, and scroll down the page and click the option: DOT MIS Report.

DOT MIS Modes and Categories

Software applications for drug and alcohol testing data management must maintain exhaustive data audits of DOT (Department of Transportation) employee Modes and Categories when random selections are generated in order to address the requirements of DOT MIS reporting as per CFR-49 of the Federal Guidelines for random drug and alcohol testing.

DrugTestNetwork, the web-based software application, and RandomWare desktop software ( both automatically generate a DOT MIS Report for every Mode/Category represented by all employees tested.  The number of employees represented in each category is defined by the average number of employees included in each random selection conducted for the pool.  To calculate those averages, each of the software applications review the audit trails for all the random selections conducted for the period requested for the report.

Below is the list of covered-employee categories for the DOT Modes of Transportation [FMCSA, FAA, PHMSA, FRA, USCG, and FTA] reported for random testing of drugs and alcohol (all other “reasons for testing” are covered in the DOT MIS Report as well):

  • FMCSA (one category):
    • Driver
  • FAA (eight categories):
    • Flight Crew-member
    • Flight Attendant
    • Flight Instructor
    • Aircraft Dispatcher
    • Aircraft Maintenance
    • Ground Security Coordinator
    • Aviation Screener
    • Air Traffic Controller
  • PHMSA (one category):
    • Operation/Maintenance/Emergency Response
  • FRA (five categories):
    • Engine Service
    • Train Service
    • Dispatcher/Operation
    • Signal Service
    • Other: Includes
      •  yardmasters
      • hostlers (non-engineer craft)
      • bridge tenders
      • switch tenders
      • other miscellaneous employees performing 49 CFR 228.5 (c) defined covered service.
  • USCG (one category):
    • Crew-member
  • FTA (five categories):
    • Revenue Vehicle Operation
    • RevenueVehicle and EquipmentMaintenance
    • Revenue Vehicle Control/Dispatch
    • CDL/Non-Revenue Vehicle
    • Armed Security Personnel

DOT MIS Report

DrugTestNetwork produces the DOT MIS report with ease and has an analytical reporting tool to clarify any potential problems regarding the reporting accuracy of test results for a client.

Only Drug and Alcohol Tests for specific reasons for testing and specific overall qualitative results are counted for the DOT MIS report.  Only test results recorded with be below listed Reasons for Testing are counted:

  • Pre-Employment
  • Random Selection
  • Post Accident
  • Reasonable Suspicion
  • Reasonable Cause
  • Return to Duty
  • Follow-Up Testing

If a test result is recorded with ANY OTHER reason for testing, it is NOT counted in the reported tests for the DOT MIS Report.

Test Result Codes: Only the Overall Qualitative Test Results listed below are counted in the DOT MIS Report:

  • Negative
  • Positive
  • Cancelled
  • Shy-Bladder (No Medical Explanation)
  • Shy-Lung (Breath-Alcohol)
  • Declined to Participate (Other Refusals)

Test Results that use ANY OTHER overall qualitative test result are NOT Included in the reported test counts for the DOT MIS Report.