In drug and alcohol testing, even a seemingly minor administrative oversight can raise questions about the validity of a test. However, not every error requires a test to be cancelled. Under the U.S. Department of Transportation (DOT) regulations in 49 CFR Part 40, certain flaws are specifically identified as correctable. The regulations also explain how those corrections must be made. Although these requirements apply to DOT-regulated testing, the same general principles are valuable in non-DOT programs. The important distinction is that non-DOT testing is governed by the applicable employer policy, and industry requirements—not by the CFR Part 40.
Before attempting to correct an error, determine whether the error made is minor (de minimus), correctable, or fatal. The distinction matters because a correctable flaw, a fatal flaw, and a procedural error that does not require cancellation are not interchangeable. For DOT drug testing, §40.199, §40.203 and §40.205 address problems that can result in a cancelled test, correctable flaws, and the procedures for correcting certain problems. For DOT alcohol testing, §40.267, §40.269 and §40.271 address the corresponding requirements. Procedural errors that do not require an MFR are covered for alcohol by §40.275 and for drugs in §40.209. Though all errors must be documented even when they are not fatal or correctable flaws, a test cannot be cancelled for a minor mistake that does not significantly adversely affect the employee’s right to a fair and accurate test.
It is important for collectors to remember that if they do NOT send in the required MFR for a correctable flaw in an appropriate time the MRO will cancel the test, as per §40.203(c).
Under §40.205(a), a collector who becomes aware of an event that prevents completion of a valid collection or test must attempt to correct the problem promptly. In some circumstances, this may mean conducting another collection. If a new collection is necessary, it must begin as soon as possible and use a new CCF and a new collection kit. The DOT alcohol testing regulations follow a similar approach, but the specific flaws and correction procedures are different in keeping with the type of collection occurring, covered in §40.629, §40.271.
For non-DOT testing, the same careful approach should be followed, regarding correcting flaws as soon as they are identified, sending in MFRs immediately upon request, and noting any minor errors on the CCF. How laboratories or MROs deal with flaws, or what are considered fatal flaws, may differ with a non-DOT test, however, most apply the same requirements as for their DOT tests.
The Most Important Rule: Never Hide the Mistake
A correction is not an opportunity to rewrite history. It is a documented process for addressing an identified problem while preserving the integrity of the testing record.
Never add information that you cannot personally verify. Never sign on behalf of another person. Never backdate a correction or alter a form in a way that conceals the original error. If you were not the person who made the mistake, do not assume you are authorized to correct or certify someone else’s work. The goal is not to make a mistake disappear. It is to address it transparently, protect the integrity of the testing process, and ensure that every test is handled fairly and consistently.
Identify the problem. Check the applicable rules. Correct it properly. Document everything.
