Trend: Clearinghouse Violations Found During Audits

A glance at all violations cited during DOT audits since 2021 shows a distinct pattern — Drug and Alcohol Clearinghouse obligations are a problem area for motor carriers.

Clearinghouse citations took three of the top five spots for the four-year period:

• 382.711(b): Failing to register in the Clearinghouse (#5)
• 382.701(b)(1): Failing to conduct an annual query (#4)
• 382.701(a): Failing to conduct a pre-employment query (#3)

Clearinghouse violations won’t harm a company’s safety rating, but they can still result in fines. And failure to comply with Clearinghouse requirements could help provide evidence of negligence during litigation involving a motor carrier. 

Clearinghouse regulations are contained in Subpart G to Part 382 and they apply to each employer required by the Federal Motor Carrier Safety Administration (FMCSA) to conduct drug and alcohol testing.

These employers must register with the Clearinghouse to access or report driver information as required under the Clearinghouse rules, including:

• Requesting queries of driver records,
• Reporting certain violations, and
• Reporting negative return-to-duty (RTD) tests and completed follow-up programs.

Employers may also use their account to designate a third-party administrator (TPA) to perform tasks on their behalf.

Failing to request a Clearinghouse query when required accounted for almost 10 percent of all audit violations cited by the FMCSA since 2021.

Clearinghouse queries play a crucial role in knowing whether a driver is prohibited from operating commercial motor vehicles due to an unresolved FMCSA testing violation.

Queries are required:

• At time of hire or transfer into a CDL (safety-sensitive) position, and
• Annually for existing drivers in CDL positions.

A driver is in a “prohibited” status following a reported Part 382 violation. The driver remains in that status until the system receives report of:

• Successful evaluation and treatment (entered by a substance abuse professional), and
• A negative return-to-duty test (recorded by an employer or consortium).

Once a driver passes a RTD test and is in a "not prohibited" status, the employer remains responsible for ensuring completion of a follow-up testing program. That employer must then report this milestone to the Clearinghouse.

The administrative tasks of requesting Clearinghouse queries and reporting information to the database can fall through the cracks, as seen through FMCSA’s audit results.

To stay on top of recordkeeping obligations, many employers hire TPAs to assume some or all the employer’s Clearinghouse responsibilities. Before a TPA can begin the role:

• The TPA must register with the Clearinghouse as an agent offering the service, and
• Employers must designate the TPA through the employer’s Clearinghouse account.

When selecting a TPA, employers must identify which roles (queries and/or reporting) they are approving. Note that simply designating the provider does not guarantee they will perform the tasks, even if the employer is a current customer of the TPA. The employer should have an agreement with the agent, or the TPA may ignore the designation request in the Clearinghouse.

With so many Clearinghouse violations being found, motor carriers need to audit their own Clearinghouse compliance programs and seek outside help when needed.