What Is the DOT MIS Report and Who Must File It?

The DOT Management Information System (MIS) report is an annual summary of an employer's drug and alcohol testing results for the prior calendar year. Employers use the DOT Drug and Alcohol Testing MIS Data Collection Form and the instructions in appendix J to 49 CFR Part 40, and each DOT agency sets who files and how (49 CFR 40.26). The data also matters for random testing. PHMSA, for example, sets the minimum random testing rate from the industry positive rate drawn from these reports (49 CFR 199.105(c)(2)).

Who files and when.

• FMCSA. A motor carrier prepares a summary when requested. If FMCSA notifies the carrier in January, the report is due by March 15 (49 CFR 382.403(a) and (b)).
• FTA. Each recipient prepares a summary each year and submits it by March 15 when FTA requests it (49 CFR 655.72(a) and (b)).
• FAA. Part 121 certificate holders file each year. Other FAA-regulated employers file if they have 50 or more safety-sensitive employees on January 1 or if the FAA notifies them in writing. Reports are due March 15 (14 CFR 120.119). The FAA report is covered in FAA DER training.
• PHMSA. Operators with more than 50 covered employees file drug and alcohol reports by March 15. PHMSA may require smaller operators to file through a notice in the PHMSA Portal (49 CFR 199.119, 49 CFR 199.229). The PHMSA report is covered in PHMSA DER training.
• FRA. Railroads with 400,000 or more total employee hours file by March 15 (49 CFR 219.800(a)).
• USCG. Marine employers submit drug testing data by March 15. Alcohol data is not reported. An employer with 10 or fewer covered employees that has filed three consecutive reports may stop while it stays at that size (46 CFR 16.500).

Who signs. A service agent, such as a consortium or third-party administrator, may prepare the report. A company official, such as the designated employer representative, certifies its accuracy and completeness (49 CFR 382.403(e), 14 CFR 120.119(c)).

Employees under more than one agency. An employee who performs functions for more than one DOT agency is counted only on the report for the agency under which the employee is randomly tested, which is normally the agency covering more than 50 percent of the employee's duties (49 CFR 382.403(d)).

Copies of MIS reports are kept for five years under the FMCSA, FTA and FAA rules (49 CFR 382.401(b), 49 CFR 655.71(b), 14 CFR 120.111(f)).