DER Series: Part 3

For Designated Employer Representatives (DERs), drug and alcohol testing doesn’t always follow a clean checklist. Real-world scenarios can be messy. Rules can overlap. And decisions made in a split second can carry long-term consequences for both employees and employers.

Part 3
Mastering Your Role as a Designated Employer Representative (DER):

DOT Drug & Alcohol Testing Exceptions: A Closer Look at Complex Situations

In Part 3 of the Mastering Your DER Role series, we explored test exceptions with Ashley Riley (Genesee & Wyoming) and Heidi Caudill (Norfolk Southern) — two expert DERs who know firsthand how complicated compliance can get.

Here are the most important takeaways.

The Role of the DER: More Than Following a Script

We opened by underscoring what every DER knows: 49 CFR Part 40 sets the federal requirements—but effective programs also rely on strong internal procedures, consistent documentation, and sound decision-making when testing situations get complicated.

Whether it’s a refusal, a shy bladder, or a test that never happened because a clinic closed early, the DER is responsible for getting the full picture—and making the call.

Key takeaway: Don’t let others make the decision for you. Collectors can flag an issue, but only the DER can determine if it’s a refusal.

What Counts as a Refusal—and Why It’s Your Call

Refusals can stem from many things: not appearing for a test, leaving the collection site early, or failing to cooperate with required procedures. We shared a story where a collection site incorrectly marked a test as a refusal—even though the donor was never given a fair opportunity to complete it.

In another case, we recounted an employee who claimed an emergency to skip out on a test. When asked for documentation, the story unraveled—and the DER deemed it a refusal, with no path back.

The difference in outcomes? It came down to asking the right questions, documenting the details, and making consistent, informed calls.

Admissions Before a Test: What Happens When an Employee Speaks Up

Sometimes employees admit to drug or alcohol use before a test occurs. These moments require careful handling:

• Alcohol admissions (e.g., within 4 hours of duty) can lead to immediate removal from service.
• Drug admissions are often handled differently, depending on the mode, test type, and company policy.

We emphasized treating these on a case-by-case basis—but always with consistent internal procedures, thorough documentation, and possible referral to a second chance or rehabilitation program.

✅ Remember: An admission is still a violation—even if the test result comes back negative.

Special Cases: What If There’s No Rulebook?

Test exceptions aren’t limited to scheduled collections. We talked through examples in the “gray area:”

• An employee's workspace smells like marijuana? Start an investigation and assess for reasonable suspicion.
• Alcohol is found in employer-provided lodging? Check if they accepted a call to duty—if so, a test may be required.
• A collector finds an adulterant or suspicious behavior during a physical? That could lead to a refusal—but only after careful verification.

In all cases, the best approach is clear: investigate, document, and be consistent.

Shy Bladder and Shy Lung: Minimize Risk with Managing Risk Through Clear Protocols

We outlined practical steps to reduce shy bladder and shy lung refusals. One of the most effective strategies? Having the collector call the DER at the two-hour mark.

That phone call gives you time to:

• Talk directly with the employee
• Explain the consequences
• Encourage the collection site to follow all protocols

Once employees understand a refusal could be the outcome, many are suddenly able to provide a sample.

Second Chance Programs: Balancing Compliance and Retention

Not every company has an alternative option for a zero-tolerance policy. But for those that offer a structured second chance program, it can be a meaningful way to retain experienced employees, uphold safety standards and accountability – and create a structured path for individuals to get the help they need.

Second chance programs offer employees one opportunity to go through their internal rehabilitation process—whether they’ve self-reported or tested positive under DOT regulations.

That one-time path may include participation in the company’s Drug and Alcohol Rehabilitation Services (DARS) program and is only available once. Voluntary participation is always encouraged and can happen more than once, but a refusal still results in immediate dismissal with no option to return.

These policies are always paired with robust internal procedures, written agreements, and ongoing monitoring.

Why All of This Matters: Your Testing Program Is Your Culture

Every exception you handle as a DER is a test of your compliance culture. It’s not just about getting it right in the moment—it’s about setting a tone across your team and your organization.

Throughout the discussion, we emphasized the following core practices:

• Document everything. From first contact to final decision.
• Educate early. Don’t wait until someone fails a test to talk about expectations.
• Be consistent. Apply policies fairly and reliably—every time.

What You Need, When Testing Gets Complicated

If you’re a DER looking for additional clarity, tools, or confidence as you navigate complex situations, Spark TS is here to help.

Our drug and alcohol testing platform is built specifically for transportation professionals. They make it easier to track compliance, manage exceptions, and support your team through any testing scenario.

🎥 Watch the full webinar video with Holly Rainwater for detailed guidance, participant Q&A, and real-world examples. 👉 Watch the video here 

Continue the series: Mastering Your DER Role

Part 1: What Every DER Should Know from Day One

       🎥 Webinar video

Part 2: Getting It Right: Step-by-Step Guidance for Alcohol and Drug Testing Procedures

       🎥 Webinar video

Part 4: Return to Work

              🎥 Webinar video

📚 Catch up on our demand webinars and find more practical resources at https://www.sparkts.net/on-demand-webinars.

Spark TS, a railcube company, is a leader in offering safety and compliance software and services solutions for the railroad and transportation industries. Spark TS set the standards for the CFR Part 243 Training Rule implementation with Rail Tasker™, a railroad mobile application for building safer work environments including operations testing, safety alert briefings, training, and are industry experts in CFR Part 40 DOT Workplace Drug and Alcohol Testing Programs. Spark TS, a railcube company provides Hours of Services (HOS), Time Tracking, Electronic Rule Books, and Asset Management services.

railcube is a modern, modular platform that unifies rail operations—replacing spreadsheets and siloed systems with one streamlined solution. From compliance tracking to crew planning and asset management, railcube simplifies complex workflows and scales with your operation. Start with what you need, then expand seamlessly as your business grows.