49 CFR Part 40
PART 40—PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS
- PART 40—PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS
- Subtitle A—Office of the Secretary of Transportation
- 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 safety-sensitive duties?
- § 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 testing program?
- Subpart C—Specimen Collection Personnel
- § 40.31 Who may collect specimens for DOT drug testing?
- § 40.33 What training requirements must a collector meet for urine collection?
- § 40.35 What training requirements must a collector meet for oral fluid collection?
- § 40.36 What information about the DER must employers provide to collectors?
- Subpart D—Collection Sites, Forms, Equipment and Supplies Used in DOT Urine and Oral Fluid Collections
- § 40.40 What form is used to document a DOT collection?
- § 40.41 May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?
- § 40.42 Where does a urine collection for a DOT drug test take place?
- § 40.43 What steps must operators of collection sites and collectors take to protect the security and integrity of urine collections?
- § 40.44 What materials are used to collect urine specimens?
- § 40.45 What materials are used to send urine specimens to the laboratory?
- § 40.47 Where does an oral fluid collection for a DOT drug test take place?
- § 40.48 What steps must operators of collection sites and collectors take to protect the security and integrity of oral fluid collections?
- § 40.49 What materials are used to collect oral fluid specimens?
- § 40.51 What materials are used to send oral fluid specimens to the laboratory?
- Subpart E—Specimen Collections
- § 40.61 What are the preliminary steps in the drug testing collection process?
- § 40.63 What steps does the collector take in the collection process before the employee provides a urine specimen?
- § 40.65 What does the collector check for when the employee presents a urine specimen?
- § 40.67 When and how is a directly observed urine collection conducted?
- § 40.69 How is a monitored urine collection conducted?
- § 40.71 How does the collector prepare the urine specimen?
- § 40.72 What steps does the collector take in the collection process before the employee provides an oral fluid specimen?
- § 40.73 How is an oral fluid specimen collected?
- § 40.74 How does the collector prepare the oral fluid specimens?
- §§ 40.75-40.78 [Reserved]
- § 40.79 How is the collection process completed?
- Subpart F—Drug Testing Laboratories
- § 40.81 What laboratories may be used for DOT drug testing?
- § 40.82 What drugs do laboratories test for?
- § 40.83 How do laboratories process incoming specimens?
- § 40.84 How long does the laboratory retain specimens after testing?
- § 40.85 What are the cutoff concentrations for urine drug tests?
- § 40.86 What is urine validity testing, and are laboratories required to conduct it?
- § 40.87 What validity tests must laboratories conduct on primary urine specimens?
- § 40.88 What criteria do laboratories use to establish that a urine specimen is dilute or substituted?
- § 40.89 What are the adulterant cutoff concentrations for initial and confirmation urine tests?
- § 40.90 What criteria do laboratories use to establish that a urine specimen is invalid?
- § 40.91 What are the cutoff concentrations for oral fluid drug tests?
- § 40.92 What is oral fluid validity testing, and are laboratories required to conduct it?
- § 40.93 What validity tests must laboratories conduct on primary oral fluid specimens?
- § 40.97 What do laboratories report and how do they report it?
- § 40.101 What relationship may a laboratory have with an MRO?
- § 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?
- 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 invalid?
- § 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, semi-synthetic opioids, or PCP?
- § 40.139 On what basis does the MRO verify test results involving 6-acetylmorphine, codeine, and morphine?
- § 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 test 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?
- 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?
- 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 specimen for a drug test?
- § 40.195 What happens when an individual is unable to provide a sufficient amount of specimen 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 urine 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 problems require corrective action but do 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 correction?
- § 40.210 What kinds of drug tests are permitted under the regulations?
- 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?
- 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?
- 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—Oral Fluid Collection Kit Contents
- Appendix C to Part 40 [Reserved]
- Appendix D to Part 40—DOT Drug Testing Semi-Annual Laboratory Report to Employers
- Appendix E to Part 40—Drug Testing Semi-Annual Laboratory Report to DOT
- Appendix F to Part 40—Report Format: Split Specimen Failure To Reconfirm
- Appendix G to Part 40—SAP Equivalency Requirements for Certification Organizations
- Appendix H to Part 40—Drug and Alcohol Testing Information that C/TPAs May Transmit to Employers
- Appendix I to Part 40—Alcohol Testing Form
- Appendix J to Part 40—DOT Drug and Alcohol Testing Management Information System (MIS) Data Collection Form
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