Download DOT Compliance Program

ESA
Employment Screening Associates
DOT Compliance Program
EMPLOYMENT VERIFICATION (3 year)
A detailed interview process with all former employers 3 years back to ascertain true dates of
employment, position, and salary or hourly wages.
DOT AGENCY DRUG & ALCOHOL REGULATION VERIFICATION
(3 year Effective October 29, 2004)
In accordance to 40.25 of the DOT Drug/Alcohol History Regulations,
Verification of:
1. Alcohol tests with a result of 0.04 or higher alcohol concentration;
2. Verified Positive drug tests
3. Refusals to be tested including verified adulterated or substituted drug test results
4. Other violations of DOT agency drug and alcohol testing regulations; and
5. With respect to any employee who violated a DOT drug and Alcohol
regulation, documentation of the employee’s successful completion or DOT return–to-duty
requirements (including follow up tests).
If positive results are found (per DOT Regulations), a signed confirmation sheet will be submitted and
forwarded to the appropriate party. If the information provided by the applicant is incomplete, ESA will
make a concerted effort to locate the correct information. Only after an exhaustive search has been
conducted with no success, ESA will cease the search and deliver the information discovered. If further
steps are necessary, ESA will request the approval of additional monies to be appropriated. Only upon
approval, ESA will conduct Business Credit Verification services or other services.
DOT RECORDABLE ACCIDENTS
Motor carriers will be required to retain records on DOT recordable accidents (as defined in
Section 390.5) for 3 years beginning retroactively with accidents that occurred after April 29,
2003.
ADDITIONAL INFORMATION
A record of the response from each previous DOT-regulated employer, or documentation of a
good faith effort to obtain a response, must be placed on file within 30 days of the driver’s
employment date. The record must include:
• Who provided the information
• The date it was provided
8010 BLUE ASH ROAD  CINCINNATI, OH 45236
TEL 513.521.1400  FAX 513.521.9900
1
ESA
Employment Screening Associates
• The information received
• If a previous employer could not be contacted, documentation to that effect must be
placed on file
Former and current employers must provide the information listed above within 30 days of
receiving the request. If some or all of the requested information is not available, the previous
employer must respond to that effect. A record of each request and the response must be
maintained for one year, including:
• The date
• The party to whom it was released
• Summary of what was provided
• If a previous employer refuses to respond, the prospective employer should report the
refusal to the DOT and maintain a copy of the report in the driver’s qualification file.
The prospective employer will be required to provide the driver applicant with the records
received from their previous employer within 5 days of the applicant’s written request, or
within 5 days of having received the information if the request is presented before the
investigation information arrives.
A driver applicant’s written consent must be exchanged prior to the release of drug/alcohol
history information. If the applicant refuses to provide this written consent, the prospective
motor carrier must not permit the driver applicant to operate a commercial motor vehicle.
Prospective employers will be required to notify driver applicants – via the application form or
other written document any time prior to a hiring decision being made – of their right to
review the information obtained from previous employers, to correct errors in that information
and rebut perceived incorrect information. The
previous employer will have 15 days to respond to a driver request for a correction of
erroneous information. If the driver chooses to submit a rebuttal, the previous employer has 5
days to forward the rebuttal to the prospective employer and to append a copy of the rebuttal
to the driver’s permanent safety performance history.
Employers will be required to maintain the following information in a “driver investigation
history file” [Effective October 29, 2004]:
• The driver’s safety performance history information obtained from previous employers or
documentation of the good faith efforts to contact them
• The driver’s authorization to obtain that information
• This information shall be kept in a secure location accessible only to those involved in the
hiring process and those who control the data. This file can be combined with the drug/alcohol
files. The motor carrier’s insurer may have access to this data, except the drug/alcohol data.
The new regulations prohibit drivers from making a claim of defamation or invasion of privacy
against the previous or prospective employers unless they knowingly furnished false
information or did not comply with the aforementioned procedures.
8010 BLUE ASH ROAD  CINCINNATI, OH 45236
TEL 513.521.1400  FAX 513.521.9900
2
ESA
Employment Screening Associates
DOT Regulations
§40.25 Must an employer check on the drug and alcohol testing record of employees it is intending to
use to perform safety-sensitive duties?
(a) Yes, as an employer, you must, after obtaining an employee's written consent, request the
information about the employee listed in paragraph (b) of this section. This requirement applies only to
employees seeking to begin performing safety-sensitive duties for you for the first time (i.e., a new hire, an
employee transfers into a safety-sensitive position). If the employee refuses to provide this written consent,
you must not permit the employee to perform safety-sensitive functions.
(b) You must request the information listed in this paragraph (b) from DOT-regulated employers who
have employed the employee during any period during the two years before the date of the employee's
application or transfer:
(1) Alcohol tests with a result of 0.04 or higher alcohol concentration;
(2) Verified positive drug tests;
(3) Refusals to be tested (including verified adulterated or substituted drug test results);
(4) Other violations of DOT agency drug and alcohol testing regulations; and
(5) With respect to any employee who violated a DOT drug and alcohol regulation, documentation
of the employee's successful completion of DOT return-to-duty requirements (including follow-up tests). If
the previous employer does not have information about the return-do-duty process (e.g., an employer who
did not hire an employee who tested positive on a pre-employment test), you must seek to obtain this
information from the employee.
(c) The information obtained from a previous employer includes any drug or alcohol test information
obtained from previous employers under this section or other applicable DOT agency regulations.
(d) If feasible, you must obtain and review this information before the employee first performs safetysensitive functions. If this is not feasible, you must obtain and review the information as soon as possible.
However, you must not permit the employee to perform safety-sensitive functions after 30 days from the
date on which the employee first performed safety-sensitive functions, unless you have obtained or made
and documented a good faith effort to obtain this information.
(e) If you obtain information that the employee has violated a DOT agency drug and alcohol regulation,
you must not use the employee to perform safety-sensitive functions unless you also obtain information that
the employee has subsequently complied with the return-to-duty requirements of Subpart O of this part and
DOT agency drug and alcohol regulations.
(f) You must provide to each of the employers from whom you request information under paragraph (b) of this section
written consent for the release of the information cited in paragraph (a) of this section.
(g) The release of information under this section must be in any written form (e.g., fax, e-mail, and
letter) that ensures confidentiality. As the previous employer, you must maintain a written record of the
information released, including the date, the party to whom it was released, and a summary of the
information provided.
(h) If you are an employer from whom information is requested under paragraph (b) of this section, you
must, after reviewing the employee's specific, written consent, immediately release the requested
information to the employer making the inquiry.
(i) As the employer requesting the information required under this section, you must maintain a written,
confidential record of the information you obtain or of the good faith efforts you made to obtain the
8010 BLUE ASH ROAD  CINCINNATI, OH 45236
TEL 513.521.1400  FAX 513.521.9900
3
ESA
Employment Screening Associates
information. You must retain this information for three years from the date of the employee's first
performance of safety-sensitive duties for you.
(j) As the employer, you must also ask the employee whether he or she has tested positive, or refused to
test, on any pre-employment drug or alcohol test administered by an employer to which the employee
applied for, but did not obtain, safety-sensitive transportation work covered by DOT agency drug and
alcohol testing rules during the past two years. If the employee admits that he or she had a positive test
or a refusal to test, you must not use the employee to perform safety-sensitive functions for you, until
and unless the employee documents successful completion of the return-to-duty process (see paragraphs
(b)(5) and (e) of this section).
FAIR CREDIT REPORTING ACT
As a "consumer reporting agency", the activities of Employment Screening Associates ("ESA") fall
under the requirements of the Fair Credit Reporting Act ("FCRA") [15 USC 1681].
The significant provisions of the FCRA are as follows:
Reports provided by Outcome, LLC may only be used for employment purposes.
The applicant must be notified in advance that a report may be obtained, and if
employment is denied based on the report, the applicant has certain rights under the
FCRA. (Outcome's standard Authorization and Consent form provides the required
notification);
The applicant must provide written authorization; and
Outcome, LLC may not report negative information that is more than seven years old (10
years for bankruptcies) unless the applicant is expected to earn more than $75,000 per year.
However, the seven-year limit does not apply to criminal convictions.
If adverse action is taken based on information contained in the report, the applicant must be
informed verbally, or in writing, and provided the following:

Outcome's name, address and phone number.

A statement that Outcome, LLC did not make the adverse decision and is not able
to explain why the adverse decision was made.

A statement that the applicant has a right to a free disclosure of the report if a
request is made to Outcome, LLC within 60 days. (Note: Disclosure includes
providing a copy of the credit report and any public record information.
Investigative reports, such as interviews with previous employers and references,
are not disclosed except for an explanation of the nature and scope of the report.)
8010 BLUE ASH ROAD  CINCINNATI, OH 45236
TEL 513.521.1400  FAX 513.521.9900
4
ESA
Employment Screening Associates

A statement setting forth the applicant's right to dispute directly with Outcome,
LLC the accuracy or completeness of any information provided. If information is
inaccurate, it will be corrected or deleted, and a revised report will be issued.
8010 BLUE ASH ROAD  CINCINNATI, OH 45236
TEL 513.521.1400  FAX 513.521.9900
5