Post-Accident Decision Tree

DOT post-accident drug and alcohol testing decision tree for educational use,

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Employee is covered by which DOT Mode's drug/alcohol testing regulations(Required)

FMCSA

FAA

FTA

PHMSA (Pipeline)

USCG (Homeland Security)

FRA

DOT/FMCSA/Part 382

Was there a human fatality?

Yes - there was a human fatality

Injury or Disabling Damage?

Yes, there was Bodily Injury With Immediate Medical Treatment Away From the Scene and/or One or more motor vehicles incurring disabling damage as a result of the accident, requiring the motor vehicle to be transported away from the scene by a tow truck or other motor vehicle

Citation issued to the CMV driver within thirty-two hours of the occurrence under State or local law for a moving traffic violation arising from the accident?

Yes

DOT Drug and Alcohol Tests are Required, based on your entries.
(1) Alcohol tests. If a test required by this section is not administered within two hours following the accident, the employer shall prepare and maintain on file a record stating the reasons the test was not promptly administered. If a test required by this section is not administered within eight hours following the accident, the employer shall cease attempts to administer an alcohol test and shall prepare and maintain the same record. Records shall be submitted to the FMCSA upon request.

(2) Controlled substance tests. If a test required by this section is not administered within 32 hours following the accident, the employer shall cease attempts to administer a controlled substances test, and prepare and maintain on file a record stating the reasons the test was not promptly administered. Records shall be submitted to the FMCSA upon request.

DOT Drug and Alcohol Testing are NOT Required per DOT regulations, based on your entries.
This does not preclude an employer from conducting an FMCSA DOT Reasonable Suspicion Test if there are signs and symptoms of drug and/or alcohol use present. This does not preclude the Employer from conducting a non-DOT test under their own authority if allowed under state or local laws. Remember to use non-DOT testing forms.

DOT/FAA Part 120

If you are uncertain if the EMPLOYER and/or the EMPLOYEE is subject to FAA drug and alcohol testing regulations, read this FAA Guidance Alert, then return to here. FAA-Safety-Sensitive-Job-Categories-Guidance-Alert

Is the employer subject to FAA drug and alcohol testing regulations defined below?(Required)

Yes

Employers. According to 14 CFR § 120.1, the FAA’s drug and alcohol testing regulation applies to the following employers: a. Air carriers and operators certificated under 14 CFR part 119 and authorized to conduct operations under 14 CFR part 121 or part 135. b. Air traffic control facilities not operated by the FAA or by or under contract to the U.S. military. c. Operators as defined in 14 CFR § 91.1471 (air tour operators). d. Any 14 CFR part 145 certificate holders who perform safety-sensitive functions and elect to conduct drug and alcohol testing under part 120. e. Any contractors² who perform safety-sensitive functions and elect to conduct drug and alcohol testing under part 120.
² A contractor is defined under 14 CFR § 120.7(e) as ‘an individual or company that performs a safety-sensitive function by contract for an employer or another contractor.’ A contractor may be certificated under 14 CFR part 145 or non-certificated (e.g., a staffing company).

Was the employee(s) to be tested an individual who is hired, either directly or by contract, or transferred into a position to perform a safety-sensitive function (see below) for an employer?(Required)

Yes

The safety-sensitive functions are: a. flight crewmember duties, b. flight attendant duties, c. flight instruction duties, d. aircraft dispatcher duties, e. aircraft maintenance and preventive maintenance duties, f. ground security coordinator duties, g. aviation screening duties, h. air traffic control duties, and i. operations control specialist duties.

Was the accident associated with the operation of an aircraft which takes place between the time any individual boards the aircraft with the intention of flight and all such individuals have disembarked?(Required)

Yes

Did any individual suffer death or serious injury, or did the aircraft receives substantial damage?(Required)

Yes

§ 830.2 Definitions: Substantial damage means damage or failure which adversely affects the structural strength, performance, or flight characteristics of the aircraft, and which would normally require major repair or replacement of the affected component. Serious injury means any injury which: (1) Requires hospitalization for more than 48 hours, commencing within 7 days from the date of the injury was received; (2) results in a fracture of any bone (except simple fractures of fingers, toes, or nose); (3) causes severe hemorrhages, nerve, muscle, or tendon damage; (4) involves any internal organ; or (5) involves second- or third-degree burns, or any burns affecting more than 5 percent of the body surface.

DOT/FAA Drug and Alcohol Tests are Required (based on your entries).
Each employer shall test each surviving covered employee who performs a safety-sensitive function for the presence of alcohol and prohibited drugs in the employee's system if that employee's performance either contributed to an accident or cannot be completely discounted as a contributing factor to the accident. The employee shall be drug tested as soon as possible but not later than 32 hours after the accident. The decision not to administer a test under this section must be based on a determination, using the best information available at the time of the determination, that the employee's performance could not have contributed to the accident. The employee shall submit to post-accident testing under this section. If an alcohol test is not administered within 2 hours following the accident, the employer shall prepare and maintain on file a record stating the reasons the test was not promptly administered. If an alcohol test is not administered within 8 hours following the accident, the employer shall cease attempts to administer an alcohol test and shall prepare and maintain the same record

DOT/FAA Drug and Alcohol Testing is NOT Required per DOT/FAA regulations (based on your entries).
This does not preclude an employer from conducting an FFA/DOT Reasonable Suspicion Test if there are signs and symptoms of drug and/or alcohol use present. This does not preclude the Employer from conducting a non-DOT test under their own authority if allowed under state or local laws. Remember to use non-DOT testing forms.

DOT/FTA Part 655

FTA definition of "Accident"

Accident means an occurrence associated with the operation of a vehicle, if as a result: (1) An individual dies; or (2) An individual suffers bodily injury and immediately receives medical treatment away from the scene of the accident; or (3) With respect to an occurrence in which the mass transit vehicle involved is a bus, electric bus, van, or automobile, one or more vehicles (including non-FTA funded vehicles) incurs disabling damage as the result of the occurrence and such vehicle or vehicles are transported away from the scene by a tow truck or other vehicle; or (4) With respect to an occurrence in which the public transportation vehicle involved is a rail car, trolley car, trolley bus, or vessel, the public transportation vehicle is removed from operation

Did the accident involve the loss of human life?(Required)

Yes

DOT/FTA Drug and Alcohol Testing is Required after Fatal Accident

As soon as practicable following an accident involving the loss of human life, an employer shall conduct drug and alcohol tests on each surviving covered employee operating the public transportation vehicle at the time of the accident. Post-accident drug and alcohol testing of the operator is not required under this section if the covered employee is tested under the fatal accident testing requirements of the Federal Motor Carrier Safety Administration rule. 382.303(a)(1) or (b)(1).

The employer shall also drug and alcohol test any other covered employee whose performance could have contributed to the accident, as determined by the employer using the best information available at the time of the decision.

If an alcohol test required by this section is not administered within two hours following the accident, the employer shall prepare and maintain on file a record stating the reasons the alcohol test was not promptly administered. If an alcohol test required by this section is not administered within eight hours following the accident, the employer shall cease attempts to administer an alcohol test and maintain the record.

An employer shall ensure that a covered employee required to be drug tested under this section is tested as soon as practicable but within 32 hours of the accident.

Non-Fatal Accident - Check all that are yes or apply(Required)

Did an individual suffers bodily injury and immediately receives medical treatment away from the scene of the accident?

With respect to an occurrence in which the mass transit vehicle involved is a bus, electric bus, van, or automobile, did one or more vehicles (including non-FTA funded vehicles) incur disabling damage as the result of the occurrence and were such vehicle or vehicles transported away from the scene by a tow truck or other vehicle?

With respect to an occurrence in which the public transportation vehicle involved is a rail car, trolley car, trolley bus, or vessel, was the public transportation vehicle removed from operation?

None of these apply

Check all that are YES or apply

Can the transit employee's performance be completely discounted as a contributing factor to the accident?

Yes - completely discounted as a contributing factor to the accident

No - the transit employee's performance can NOT be completely discounted as a factor

DOT/FTA Drug and Alcohol Testing is Required after Non-Fatal Accident

As soon as practicable following an accident not involving the loss of human life in which a public transportation vehicle is involved, the employer shall drug and alcohol test each covered employee operating the public transportation vehicle at the time of the accident unless the employer determines, using the best information available at the time of the decision, that the covered employee's performance can be completely discounted as a contributing factor to the accident. The employer shall also drug and alcohol test any other covered employee whose performance could have contributed to the accident, as determined by the employer using the best information available at the time of the decision.

An employer shall ensure that a covered employee required to be drug tested under this section is tested as soon as practicable but within 32 hours of the accident.

DOT/FTA Drug and Alcohol Testing is NOT Required per DOT/FTA regulations.
This does not preclude an employer from conducting an FFA/DOT Reasonable Suspicion Test if there are signs and symptoms of drug and/or alcohol use present. This does not preclude the Employer from conducting a non-DOT test under their own authority if allowed under state or local laws. Remember to use non-DOT testing forms.

DOT/PHMSA (pipeline)

PHMSA Definition of "Accident"

Accident means an incident reportable under 49 CFR part 191 of this chapter involving gas pipeline facilities or LNG facilities, or an accident reportable under part 49 CFR part 195 of this chapter involving hazardous liquid pipeline facilities.

Did the incident involve an accident and covered employee as described below?(Required)

Yes

Accident means an incident reportable under 49 CFR Part 191 of this chapter involving gas pipeline facilities or LNG facilities, or an accident reportable under 49 CFR Part 195 of this chapter involving hazardous liquid pipeline facilities.

Covered employee, employee or individual to be tested means a person who performs a covered function, including persons employed by operators, contractors, engaged by operators, and persons employed by such contractors.

Covered function means an operations, maintenance, or emergency-response function regulated by part 192, 193, or 195 of this chapter that is performed on a pipeline or on an LNG facility.

Was the incident ANY of the events described below?

Yes

(1) An event that involves a release of gas from a pipeline, gas from an underground natural gas storage facility (UNGSF), 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 $122,000 or more, including loss to the operator and others, or both, but excluding the cost of gas lost. For adjustments for inflation observed in calendar year 2021 onwards, changes to the reporting threshold will be posted on PHMSA's website. These changes will be determined in accordance with the procedures in appendix A to part 191.

(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 a UNGSF. Activation of an emergency shutdown system for reasons other than an actual emergency within the facility 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.

A Post-accident Drug and Alcohol test is required.

(1) As soon as possible an operator must drug and alcohol test each surviving covered employee whose performance of a covered function either contributed to the accident or cannot be completely discounted as a contributing factor to the accident. An operator may decide not to perform post-accident tests but such a decision must be based on specific information that the covered employee's performance had no role in the cause(s) or severity of the accident.

(2) If a required post-accident drug test is not administered within the 32 hours following the accident, the operator must prepare and maintain a record of its decision stating the reasons why the test was not promptly administered. If a required post-accident drug test is not administered within 32 hours following the accident, the operator must cease attempts to administer a drug test and must state in the record the reasons for not administering the test.

If a required post-accident alcohol test is not administered within 2 hours following the accident, the operator shall prepare and maintain on file a record stating the reasons the test was not promptly administered. If a required alcohol test is not administered within 8 hours following the accident, the operator shall cease attempts to administer an alcohol test and shall state in the record the reasons for not administering the test.

DOT/FTA Drug and Alcohol Testing is NOT Required per DOT/PHMSA regulations.

This does not preclude an employer from conducting a PHMSA/DOT Reasonable Suspicion Test if there are signs and symptoms of drug and/or alcohol use present. This does not preclude the Employer from conducting a non-DOT test under their own authority if allowed under state or local laws. Remember to use non-DOT testing forms.

US Coast Guard - Homeland Security - 46 CFR Parts 4 and 16; 33 CFR Part 95; and 49 CFR Part 40

Serious Marine Incident: Was it a reportable marine caualty as defined in 46 CFR 4.03-1 and 46 CFR 4.05-1, involving a vessel in commercial service, which results in any of the following: Check all that apply

Check all that apply(Required)

None of these apply

One or more fatalities.

An injury to a crewmember, passenger, or other person which requires professional medical treatment beyond first aid and, in the case of a person employed on board a vessel in commercial service, which renders the individual unfit to perform routine vessel duties.

Damage to property, as defined in 46 CFR 4.05-1, in excess of $75,000

The actual or constructive total loss of any vessel subject to Coast Guard Inspection

The actual or constructive total loss of any self-propelled vessel, not subject to inspection by the Coast Guard, of 100 gross tons or more

A discharge of oil of 10,000 gallons or more, into a navigable waterway.

A release of a hazardous substance equal to or greater than its reportable quantity into the navigable waters of the United States, or into the environment of the United States, whether or not the release resulted from a marine casualty.

USCG Drug and Alcohol Tests are Required

Determine who is Directly Involved in a Serious Marine Incident: A marine employer is responsible for determining what personnel were directly involved in a Serious Marine Incident. This determination should be based on the operation being performed at the time of the accident, and what personnel could have or should have had a role in that operation. A guideline is to test any personnel whose negligence cannot be discounted as contributing to the serious marine incident. A law enforcement officer has the authority to further name personnel as being directly involved in a Serious Marine Incident and as such, direct them to submit to alcohol and drug testing.

(1) Alcohol tests. If a test required by this section is not administered within two hours following the accident, the employer shall prepare and maintain on file a record stating the reasons the test was not promptly administered. If a test required by this section is not administered within eight hours following the accident, the employer shall cease attempts to administer an alcohol test and shall prepare and maintain the same record. For alcohol, the testing device that will be used is required to be listed on the current Conforming Products List (CPL) periodically published by the National Highway Traffic Safety Administration (NHTSA). Acceptable specimens are: breath, saliva, or blood. All blood alcohol tests are to be collected by trained medical personnel. A urine test for alcohol is not acceptable. Alcohol Testing -Additional info: The "2-Hour Rule" Breakdown. The U.S. Coast Guard requires alcohol testing for all individuals directly involved in a Serious Marine Incident (SMI). Because alcohol dissipates quickly in the body, the regulations are strict about the timeline: Mandatory Testing Window: Testing must be conducted within 2 hours of the incident. 46 CFR Part 4 Subpart 4.06 -- Mandatory Chemical Testing Following Serious Marine Incidents Involving Vessels in Commercial Service - eCFR eCFR On-Board Requirement: You are required to carry a sufficient number of alcohol testing devices (ATDs) on board unless you can reach a shoreside testing facility and complete the test within that 2-hour window. Safety Exception: If safety concerns (like an active fire or sinking) prevent testing within 2 hours, it must be done as soon as those concerns are addressed, but no later than 8 hours post-incident. Key Details on Equipment and Personnel Device Type: The devices must be on the National Highway Traffic Safety Administration's (NHTSA) Conforming Products List. This includes Alcohol Screening Devices (ASDs) like saliva strips or Evidential Breath Testing (EBT) devices. Quantity: You don't necessarily need one for every crew member at all times; you need a "sufficient number" to test everyone directly involved in an incident. For most small commercial vessels, having 2–3 kits on board is standard practice. Training: While you don't need a professional medical collector for alcohol (unlike drug tests), the person administering the test must be trained to operate the specific device being used.

(2) Controlled substance tests. If a test required by this section is not administered within 32 hours following the accident, the employer shall cease attempts to administer a controlled substances test, and prepare and maintain on file a record stating the reasons the test was not promptly administered. Note that only a DOT 5-panel drug test of a mariner’s urine specimen is acceptable. A blood test for drugs is unacceptable. All drug tests are required to meet the requirements stated in 49 CFR Part 40 for collectors, laboratory and MRO services.

USCG Drug and Alcohol Testing are NOT Required per USCG regulations.
This does not preclude an employer from conducting an USCG Reasonable CauseTest if there are signs and symptoms of drug and/or alcohol use present. This does not preclude the Employer from conducting a non-federal (USCG) test under their own authority if allowed under state or local laws. Remember to use non-DOT testing forms.

Federal Railroad Administration - FRA

Was accident wholly attributable to natural cause, vandalism or trespassers?

Yes

Was accident at a highway-rail grade crossing?

Yes

Non -Hiway grade questions

Was FRA damage criteria of $11,300 met?

Yes

Was an on-duty railroad employee or contractor fatally injured due to movement of on-track equipment?**

Yes

** If railroad employee or contractor dies within 12 hours of an accident/incident as a result of such event

Warning: FRA post-accident drug testing specimen collection and handling does not follow Part 40 regulations. Review https://www.ecfr.gov/current/title-49/section-219.205 Urine and blood specimens must be obtained, marked, preserved, handled, and made available to FRA consistent with the requirements of this subpart and the instructions provided inside the FRA post-accident toxicological shipping kit.

Test regulated employees that had a possible role in the cause or severity of the accident AND also test the deceased. Warning: FRA post-accident drug testing specimen collection and handling does not follow Part 40 regulations. FATAL TRAIN INCIDENT. If post-accident testing is conducted, notify NRC at 800- 424-8802 and FRA at 202-493-6313.

Recall note: An employee may NOT be recalled for testing if he/she has been released under normal procedures UNLESS: (1) the employee went off duty prior to being contacted by a railroad supervisor; AND (2) there is a clear probability that THIS employee played a major role in the cause or severity of the accident/ incident. If criteria in (1) and (2) are met, the regulated employee MUST be recalled for post-accident drug testing only, unless more than 24 hours since the event. If employee has not left railroad property and railroad has total abstinence policy on railroad property, breath alcohol test may also be done.

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DOT/FRA Drug and Alcohol Testing IS NOT REQUIRED per DOT/FRA regulations. (based on your submission)

This does not preclude an employer from conducting an FRA/DOT Reasonable Suspicion Test if there are signs and symptoms of drug and/or alcohol use present. This does not preclude the Employer from conducting a non-DOT test under their own authority if allowed under state or local laws. Remember to use non-DOT testing forms.

Was there a fatality to anyone?**

Yes

** If railroad employee or contractor dies within 12 hours of an accident/incident as a result of such event.

Test crew members of all trains and on-track equipment involved. Test any other regulated employees that had a possible role in the cause or severity of the accident. ALSO, test the deceased if an on-duty railroad employee or contractor. MAJOR - FATALITY

If post-accident testing is conducted, notify NRC at 800- 424-8802 and FRA at 202-493-6313.

Was there $1,500,000 or greater damage to railroad property?

Yes

Test crew members of all trains and on-track equipment involved. Test any other regulated employees that had a possible role in the cause or severity of the accident. MAJOR - $1.5 MILLION

If post-accident testing is conducted, notify NRC at 800- 424-8802 and FRA at 202-493-6313.

Was there a release of hazardous material lading from railroad equipment?

Yes

Was there an evacuation or a reportable injury resulting from the release?

Yes

Test crew members of all trains and on-track equipment involved. Test any other regulated employees that had a possible role in the cause or severity of the accident. MAJOR -HAZMAT (EVAC. OR INJURY)

If post-accident testing is conducted, notify NRC at 800- 424-8802 and FRA at 202-493-6313.

Was there a reportable injury to any person in an accident involving a passenger train?

Yes

Test regulated employees that had a possible role in the
cause or severity of the accident.
PASSENGER TRAIN ACCIDENT

If post-accident testing is conducted, notify NRC at 800- 424-8802 and FRA at 202-493-6313.

Was this an impact accident?***

Yes

*** Impact accident includes head-on, rear-end, side, switching, raking or derailment collision or impact with a deliberately placed object such as a bumping post. The following is NOT an impact accident: Impact of rail equipment with fallen trees, rock or snow slides, livestock, etc.

Was there a reportable injury?

Yes

Test regulated employees that had a possible role in the
cause or severity of the accident.
IMPACT (REP. INJ. OR $150,000)

If post-accident testing is conducted, notify NRC at 800- 424-8802 and FRA at 202-493-6313.

Was there damage to railroad property of $150,000 or more?

Yes

Test regulated employees that had a possible role in the
cause or severity of the accident.
IMPACT (REP. INJ. OR $150,000)

If post-accident testing is conducted, notify NRC at 800- 424-8802 and FRA at 202-493-6313.

Accident was at a highway-rail grade crossing

Did regulated employee fail to provide for safety of highway traffic before interfering with highway-rail grade crossing signal system? § 234.209(Required)

Yes

Did a train crewmember fail to flag highway traffic after highway-rail grade crossing signal system failure? § 234.105(c)(3)(Required)

Yes

Did a regulated employee who was performing, or should have been performing, the duties of an appropriately equipped flagger fail to flag highway traffic after highway-rail grade crossing signal system failure? §§ 234.105(c)(1) and (2), 234.106, or 234.107(c)(1)(i)(Required)

Yes

Was an on-duty regulated employee killed at a highway-rail grade crossing or dies within 12 hours as a result of the accident?(Required)

Yes

Did violation of an FRA regulation or railroad operating rule by a regulated employee cause or contribute to severity of the accident?(Required)

Yes

Test regulated employees that had a possible role in the cause or severity of the accident.
Human Factor Highway/Rail Crossing Grade

If post-accident testing is conducted, notify NRC at 800- 424-8802 and FRA at 202-493-6313.

Test regulated employees that had a possible role in the cause or severity of the accident AND also test the fatally injured on-duty regulated employee.
Human Factor Highway/Rail Crossing Grade

If post-accident testing is conducted, notify NRC at 800- 424-8802 and FRA at 202-493-6313.

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Disclaimer This publication is designed to provide reasonably accurate and authoritative information in regard to the subject matter covered. It is furnished with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.

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Note that using this form does NOT replace your obligation to document and report accidents as required by the various DOT operating administrations and/or state laws.

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