TITLE 49: TRANSPORTATION
PART 40 – PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS
(Updated August 8, 2016)
Subpart A – Administrative Provisions
§ 40.1 Who does this regulation cover?
§ 40.3 What do the terms used in this part mean?
§ 40.5 Who issues authoritative interpretations of this regulation?
§ 40.7 How can you get an exemption from a requirement in this regulation?
Subpart B – Employer Responsibilities
§ 40.11 What are the general responsibilities of employers under this regulation?
§ 40.13 How do DOT drug and alcohol tests relate to non-DOT tests?
§ 40.14 What collection information must employers provide to collectors?
§ 40.15 May an employer use a service agent to meet DOT drug and alcohol testing requirements?
§ 40.17 Is an employer responsible for obtaining information from its service agents?
§ 40.19 [Reserved]
§ 40.21 May an employer stand down an employee before the MRO has completed the verification process?
§ 40.23 What actions do employers take after receiving verified test results?
§ 40.25 Must an employer check on the drug and alcohol testing record of employees it is intending to use to perform
§ 40.26 What form must an employer use to report Management Information System (MIS) data to a DOT agency?
§ 40.27 May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol
§ 40.29 Where is other information on employer responsibilities found in this regulation?
Subpart C – Urine Collection Personnel
§ 40.31 Who may collect urine specimens for DOT drug testing?
§ 40.33 What training requirements must a collector meet?
§ 40.35 What information about the DER must employers provide to collectors?
§ 40.37 Where is other information on the role of collectors found in this regulation?
Subpart D – Collection Sites, Forms, Equipment and Supplies Used in DOT Urine Collections
§ 40.41 Where does a urine collection for a DOT drug test take place?
§ 40.43 What steps must operators of collection sites take to protect the security and integrity of urine collections?
§ 40.45 What form is used to document a DOT urine collection?
§ 40.47 May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?
§ 40.49 What materials are used to collect urine specimens?
§ 40.51 What materials are used to send urine specimens to the laboratory?
Subpart E – Urine Specimen Collections
§ 40.61 What are the preliminary steps in the collection process?
§ 40.63 What steps does the collector take in the collection process before the employee provides a urine
§ 40.65 What does the collector check for when the employee presents a specimen?
§ 40.67 When and how is a directly observed collection conducted?
§ 40.69 How is a monitored collection conducted?
§ 40.71 How does the collector prepare the specimens?
§ 40.73 How is the collection process completed?
Subpart F – Drug Testing Laboratories
§ 40.81 What laboratories may be used for DOT drug testing?
§ 40.83 How do laboratories process incoming specimens?
§ 40.85 What drugs do laboratories test for?
§ 40.87 What are the cutoff concentrations for drug tests?
§ 40.89 What is validity testing, and are laboratories required to conduct it?
§ 40.91 What validity tests must laboratories conduct on primary specimens?
§ 40.93 What criteria do laboratories use to establish that a specimen is dilute or substituted?
§ 40.95 What are the adulterant cutoff concentrations for initial and confirmation tests?
§ 40.96 What criteria do laboratories use to establish that a specimen is invalid?
§ 40.97 What do laboratories report and how do they report it?
§ 40.99 How long does the laboratory retain specimens after testing?
§ 40.101 What relationship may a laboratory have with an MRO?
§ 40.103 What are the requirements for submitting blind specimens to a laboratory?
§ 40.105 What happens if the laboratory reports a result different from that expected for a blind specimen?
§ 40.107 Who may inspect laboratories?
§ 40.109 What documentation must the laboratory keep, and for how long?
§ 40.111 When and how must a laboratory disclose statistical summaries and other information it maintains?
§ 40.113 Where is other information concerning laboratories found in this regulation?
Subpart G – Medical Review Officers and the Verification Process
§ 40.121 Who is qualified to act as an MRO?
§ 40.123 What are the MRO’s responsibilities in the DOT drug testing program?
§ 40.125 What relationship may an MRO have with a laboratory?
§ 40.127 What are the MRO’s functions in reviewing negative test results?
§ 40.129 What are the MRO’s functions in reviewing laboratory confirmed non-negative drug test results?
§ 40.131 How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results?
§ 40.133 Without interviewing the employee, under what circumstances may the MRO verify a test result as positive, or as a refusal to test because of adulteration or substitution, or as cancelled because the test was
§ 40.135 What does the MRO tell the employee at the beginning of the verification interview?
§ 40.137 On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, or PCP?
§ 40.139 On what basis does the MRO verify test results involving opiates?
§ 40.141 How does the MRO obtain information for the verification decision?
§ 40.143 [Reserved]
§ 40.145 On what basis does the MRO verify test results involving adulteration or substitution?
§ 40.147 [Reserved]
§ 40.149 May the MRO change a verified drug test result?
§ 40.151 What are MROs prohibited from doing as part of the verification process?
§ 40.153 How does the MRO notify employees of their right to a test of the split specimen?
§ 40.155 What does the MRO do when a negative or positive test result is also dilute?
§ 40.157 [Reserved]
§ 40.159 What does the MRO do when a drug test result is invalid?
§ 40.160 What does the MRO do when a valid result cannot be produced and a negative result is required?
§ 40.161 What does the MRO do when a drug test specimen is rejected for testing?
§ 40.162 What must MROs do with multiple verified results for the same testing event?
§ 40.163 How does the MRO report drug test results?
§ 40.165 To whom does the MRO transmit reports of drug test results?
§ 40.167 How are MRO reports of drug results transmitted to the employer?
§ 40.169 Where is other information concerning the role of MROs and the verification process found in this regulation?
Subpart H – Split Specimen Tests
§ 40.171 How does an employee request a test of a split specimen?
§ 40.173 Who is responsible for paying for the test of a split specimen?
§ 40.175 What steps does the first laboratory take with a split specimen?
§ 40.177 What does the second laboratory do with the split specimen when it is tested to reconfirm the presence of a drug or drug metabolite?
§ 40.179 What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result?
§ 40.181 What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result?
§ 40.183 What information do laboratories report to MROs regarding split specimen results?
§ 40.185 Through what methods and to whom must a laboratory report split specimen results?
§ 40.187 What does the MRO do with split specimen laboratory results?
§ 40.189 Where is other information concerning split specimens found in this regulation?
Subpart I – Problems in Drug Tests
§ 40.191 What is a refusal to take a DOT drug test, and what are the consequences?
§ 40.193 What happens when an employee does not provide a sufficient amount of urine for a drug test?
§ 40.195 What happens when an individual is unable to provide a sufficient amount of urine for a pre-employment follow-up or return-to-duty test because of a permanent or long-term medical condition?
§ 40.197 What happens when an employer receives a report of a dilute specimen?
§ 40.199 What problems always cause a drug test to be cancelled?
§ 40.201 What problems always cause a drug test to be cancelled and may result in a requirement for another collection?
§ 40.203 What problems cause a drug test to be cancelled unless they are corrected?
§ 40.205 How are drug test problems corrected?
§ 40.207 What is the effect of a cancelled drug test?
§ 40.208 What problem requires corrective action but does not result in the cancellation of a test?
§ 40.209 What procedural problems do not result in the cancellation of a test and do not require corrective action?
Subpart J – Alcohol Testing Personnel
§ 40.211 Who conducts DOT alcohol tests?
§ 40.213 What training requirements must STTs and BATs meet?
§ 40.215 What information about the DER do employers have to provide to BATs and STTs?
§ 40.217 Where is other information on the role of STTs and BATs found in this regulation?
Subpart K – Testing Sites, Forms, Equipment and Supplies Used in Alcohol Testing
§ 40.221 Where does an alcohol test take place?
§ 40.223 What steps must be taken to protect the security of alcohol testing sites?
§ 40.225 What form is used for an alcohol test?
§ 40.227 May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests?
§ 40.229 What devices are used to conduct alcohol screening tests?
§ 40.231 What devices are used to conduct alcohol confirmation tests?
§ 40.233 What are the requirements for proper use and care of EBTs?
§ 40.235 What are the requirements for proper use and care of ASDs?
Subpart L – Alcohol Screening Tests
§ 40.241 What are the first steps in any alcohol screening test?
§ 40.243 What is the procedure for an alcohol screening test using an EBT or non-evidential breath ASD?
§ 40.245 What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD?
§ 40.247 What procedures does the BAT or STT follow after a screening test result?
Subpart M – Alcohol Confirmation Tests
§ 40.251 What are the first steps in an alcohol confirmation test?
§ 40.253 What are the procedures for conducting an alcohol confirmation test?
§ 40.255 What happens next after the alcohol confirmation test result?
Subpart N – Problems in Alcohol Testing
§ 40.261 What is a refusal to take an alcohol test, and what are the consequences?
§ 40.263 What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test?
§ 40.265 What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test?
§ 40.267 What problems always cause an alcohol test to be cancelled?
§ 40.269 What problems cause an alcohol test to be cancelled unless they are corrected?
§ 40.271 How are alcohol testing problems corrected?
§ 40.273 What is the effect of a cancelled alcohol test?
§ 40.275 What is the effect of procedural problems that are not sufficient to cancel an alcohol test?
§ 40.277 Are alcohol tests other than saliva or breath permitted under these regulations?
Subpart O – Substance Abuse Professionals and the Return-to-Duty Process
§ 40.281 Who is qualified to act as a SAP?
§ 40.283 How does a certification organization obtain recognition for its members as SAPs?
§ 40.285 When is a SAP evaluation required?
§ 40.287 What information is an employer required to provide concerning SAP services to an employee who has a DOT drug and alcohol regulation violation?
§ 40.289 Are employers required to provide SAP and treatment services to employees?
§ 40.291 What is the role of the SAP in the evaluation, referral, and treatment process of an employee who has violated DOT agency drug and alcohol testing regulations?
§ 40.293 What is the SAP’s function in conducting the initial evaluation of an employee?
§ 40.295 May employees or employers seek a second SAP evaluation if they disagree with the first SAP’s recommendations?
§ 40.297 Does anyone have the authority to change a SAP’s initial evaluation?
§ 40.299 What is the SAP’s role and what are the limits on a SAP’s discretion in referring employees for education and treatment?
§ 40.301 What is the SAP’s function in the follow-up evaluation of an employee?
§ 40.303 What happens if the SAP believes the employee needs additional treatment, aftercare, or support group services even after the employee returns to safety-sensitive duties?
§ 40.305 How does the return-to-duty process conclude?
§ 40.307 What is the SAP’s function in prescribing the employee’s follow-up tests?
§ 40.309 What are the employer’s responsibilities with respect to the SAP’s directions for follow-up tests?
§ 40.311 What are the requirements concerning SAP reports?
§ 40.313 Where is other information on SAP functions and the return-to-duty process found in this regulation?
Subpart P – Confidentiality and Release of Information
§ 40.321 What is the general confidentiality rule for drug and alcohol test information?
§ 40.323 May program participants release drug or alcohol test information in connection with legal proceedings?
§ 40.325 [Reserved]
§ 40.327 When must the MRO report medical information gathered in the verification process?
§ 40.329 What information must laboratories, MROs, and other service agents release to employees?
§ 40.331 To what additional parties must employers and service agents release information?
§ 40.333 What records must employers keep?
Subpart Q – Roles and Responsibilities of Service Agents
§ 40.341 Must service agents comply with DOT drug and alcohol testing requirements?
§ 40.343 What tasks may a service agent perform for an employer?
§ 40.345 In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers?
§ 40.347 What functions may C/TPAs perform with respect to administering testing?
§ 40.349 What records may a service agent receive and maintain?
§ 40.351 What confidentiality requirements apply to service agents?
§ 40.353 What principles govern the interaction between MROs and other service agents?
§ 40.355 What limitations apply to the activities of service agents?
Subpart R – Public Interest Exclusions
§ 40.361 What is the purpose of a public interest exclusion (PIE)?
§ 40.363 On what basis may the Department issue a PIE?
§ 40.365 What is the Department’s policy concerning starting a PIE proceeding?
§ 40.367 Who initiates a PIE proceeding?
§ 40.369 What is the discretion of an initiating official in starting a PIE proceeding?
§ 40.371 On what information does an initiating official rely in deciding whether to start a PIE proceeding?
§ 40.373 Before starting a PIE proceeding, does the initiating official give the service agent an opportunity to correct problems?
§ 40.375 How does the initiating official start a PIE proceeding?
§ 40.377 Who decides whether to issue a PIE?
§ 40.379 How do you contest the issuance of a PIE?
§ 40.381 What information do you present to contest the proposed issuance of a PIE?
§ 40.383 What procedures apply if you contest the issuance of a PIE?
§ 40.385 Who bears the burden of proof in a PIE proceeding?
§ 40.387 What matters does the Director decide concerning a proposed PIE?
§ 40.389 What factors may the Director consider?
§ 40.391 What is the scope of a PIE?
§ 40.393 How long does a PIE stay in effect?
§ 40.395 Can you settle a PIE proceeding?
§ 40.397 When does the Director make a PIE decision?
§ 40.399 How does the Department notify service agents of its decision?
§ 40.401 How does the Department notify employers and the public about a PIE?
§ 40.403 Must a service agent notify its clients when the Department issues a PIE?
§ 40.405 May the Federal courts review PIE decisions?
§ 40.407 May a service agent ask to have a PIE reduced or terminated?
§ 40.409 What does the issuance of a PIE mean to transportation employers?
§ 40.411 What is the role of the DOT Inspector General’s office?
§ 40.413 How are notices sent to service agents?
Appendix A to Part 40 – DOT Standards for Urine Collection Kits
Appendix B to Part 40 – DOT Drug Testing Semi-Annual Laboratory Report to Employers
Appendix C to Part 40 – DOT Drug Testing Semi-Annual Laboratory Report to DOT
Appendix D to Part 40 – Report Format: Split Specimen Failure to Reconfirm
Appendix E to Part 40 – SAP Equivalency Requirements for Certification Organizations
Appendix F to Part 40 – Drug and Alcohol Testing Information that C/TPAs May Transmit to Employers
Appendix G to Part 40 – Alcohol Testing Form
Appendix H to Part 40 – DOT Drug and Alcohol Testing Management Information System (MIS) Data Collection Form
Authority: 49 U.S.C. 102, 301, 322, 5331, 20140, 31306, and 45101 et seq.
Source: 65 FR 79526, Dec. 19, 2000, unless otherwise noted.