Home/CFR/Title 49/Part 40
FEDERAL · 49 CFR

Part 40 — Procedures for Transportation Workplace Drug and Alcohol Testing Programs

190 sections · Title 49: Transportation

§ 40.1Who does this regulation cover?
§ 40.3What do the terms used in this part mean?
§ 40.5Who issues authoritative interpretations of this regulation?
§ 40.7How can you get an exemption from a requirement in this regulation?
§ 40.11What are the general responsibilities of employers under this regulation?
§ 40.13How do DOT drug and alcohol tests relate to non-DOT tests?
§ 40.14What collection information must employers provide to collectors?
§ 40.15May an employer use a service agent to meet DOT drug and alcohol testing requirements?
§ 40.17Is an employer responsible for obtaining information from its service agents?
§ 40.19§ 40.19 [Reserved]
§ 40.21May an employer stand down an employee before the MRO has completed the verification process?
§ 40.23What actions do employers take after receiving verified test results?
§ 40.25Must an employer check on the drug and alcohol testing record of employees it is intending to use to perform safety-sensitive duties?
§ 40.26What form must an employer use to report Management Information System (MIS) data to a DOT agency?
§ 40.27May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program?
§ 40.31Who may collect specimens for DOT drug testing?
§ 40.33What training requirements must a collector meet for urine collection?
§ 40.35What training requirements must a collector meet for oral fluid collection?
§ 40.36What information about the DER must employers provide to collectors?
§ 40.40What form is used to document a DOT collection?
§ 40.41May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?
§ 40.42Where does a urine collection for a DOT drug test take place?
§ 40.43What steps must operators of collection sites and collectors take to protect the security and integrity of urine collections?
§ 40.44What materials are used to collect urine specimens?
§ 40.45What materials are used to send urine specimens to the laboratory?
§ 40.47Where does an oral fluid collection for a DOT drug test take place?
§ 40.48What steps must operators of collection sites and collectors take to protect the security and integrity of oral fluid collections?
§ 40.49What materials are used to collect oral fluid specimens?
§ 40.51What materials are used to send oral fluid specimens to the laboratory?
§ 40.61What are the preliminary steps in the drug testing collection process?
§ 40.63What steps does the collector take in the collection process before the employee provides a urine specimen?
§ 40.65What does the collector check for when the employee presents a urine specimen?
§ 40.67When and how is a directly observed urine collection conducted?
§ 40.69How is a monitored urine collection conducted?
§ 40.71How does the collector prepare the urine specimen?
§ 40.72What steps does the collector take in the collection process before the employee provides an oral fluid specimen?
§ 40.73How is an oral fluid specimen collected?
§ 40.74How does the collector prepare the oral fluid specimens?
§ 40.75-40.78§§ 40.75-40.78 [Reserved]
§ 40.79How is the collection process completed?
§ 40.81What laboratories may be used for DOT drug testing?
§ 40.82What drugs do laboratories test for?
§ 40.83How do laboratories process incoming specimens?
§ 40.84How long does the laboratory retain specimens after testing?
§ 40.85What are the cutoff concentrations for urine drug tests?
§ 40.86What is urine validity testing, and are laboratories required to conduct it?
§ 40.87What validity tests must laboratories conduct on primary urine specimens?
§ 40.88What criteria do laboratories use to establish that a urine specimen is dilute or substituted?
§ 40.89What are the adulterant cutoff concentrations for initial and confirmation urine tests?
§ 40.90What criteria do laboratories use to establish that a urine specimen is invalid?
§ 40.91What are the cutoff concentrations for oral fluid drug tests?
§ 40.92What is oral fluid validity testing, and are laboratories required to conduct it?
§ 40.93What validity tests must laboratories conduct on primary oral fluid specimens?
§ 40.97What do laboratories report and how do they report it?
§ 40.101What relationship may a laboratory have with an MRO?
§ 40.107Who may inspect laboratories?
§ 40.109What documentation must the laboratory keep, and for how long?
§ 40.111When and how must a laboratory disclose statistical summaries and other information it maintains?
§ 40.121Who is qualified to act as an MRO?
§ 40.123What are the MRO's responsibilities in the DOT drug testing program?
§ 40.125What relationship may an MRO have with a laboratory?
§ 40.127What are the MRO's functions in reviewing negative test results?
§ 40.129What are the MRO's functions in reviewing laboratory confirmed non-negative drug test results?
§ 40.131How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results?
§ 40.133Without 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?
§ 40.135What does the MRO tell the employee at the beginning of the verification interview?
§ 40.137On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, semi-synthetic opioids, or PCP?
§ 40.139On what basis does the MRO verify test results involving 6-acetylmorphine, codeine, and morphine?
§ 40.141How does the MRO obtain information for the verification decision?
§ 40.143§ 40.143 [Reserved]
§ 40.145On what basis does the MRO verify test results involving adulteration or substitution?
§ 40.147§ 40.147 [Reserved]
§ 40.149May the MRO change a verified drug test result?
§ 40.151What are MROs prohibited from doing as part of the verification process?
§ 40.153How does the MRO notify employees of their right to a test of the split specimen?
§ 40.155What does the MRO do when a negative or positive test result is also dilute?
§ 40.157§ 40.157 [Reserved]
§ 40.159What does the MRO do when a drug test result is invalid?
§ 40.160What does the MRO do when a valid test result cannot be produced and a negative result is required?
§ 40.161What does the MRO do when a drug test specimen is rejected for testing?
§ 40.162What must MROs do with multiple verified results for the same testing event?
§ 40.163How does the MRO report drug test results?
§ 40.165To whom does the MRO transmit reports of drug test results?
§ 40.167How are MRO reports of drug results transmitted to the employer?
§ 40.171How does an employee request a test of a split specimen?
§ 40.173Who is responsible for paying for the test of a split specimen?
§ 40.175What steps does the first laboratory take with a split specimen?
§ 40.177What does the second laboratory do with the split specimen when it is tested to reconfirm the presence of a drug or drug metabolite?
§ 40.179What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result?
§ 40.181What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result?
§ 40.183What information do laboratories report to MROs regarding split specimen results?
§ 40.185Through what methods and to whom must a laboratory report split specimen results?
§ 40.187What does the MRO do with split specimen laboratory results?
§ 40.191What is a refusal to take a DOT drug test, and what are the consequences?
§ 40.193What happens when an employee does not provide a sufficient amount of specimen for a drug test?
§ 40.195What 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?
§ 40.197What happens when an employer receives a report of a dilute urine specimen?
§ 40.199What problems always cause a drug test to be cancelled?
§ 40.201What problems always cause a drug test to be cancelled and may result in a requirement for another collection?
§ 40.203What problems cause a drug test to be cancelled unless they are corrected?
§ 40.205How are drug test problems corrected?
§ 40.207What is the effect of a cancelled drug test?
§ 40.208What problems require corrective action but do not result in the cancellation of a test?
§ 40.209What procedural problems do not result in the cancellation of a test and do not require correction?
§ 40.210What kinds of drug tests are permitted under the regulations?
§ 40.211Who conducts DOT alcohol tests?
§ 40.213What training requirements must STTs and BATs meet?
§ 40.215What information about the DER do employers have to provide to BATs and STTs?
§ 40.221Where does an alcohol test take place?
§ 40.223What steps must be taken to protect the security of alcohol testing sites?
§ 40.225What form is used for an alcohol test?
§ 40.227May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests?
§ 40.229What devices are used to conduct alcohol screening tests?
§ 40.231What devices are used to conduct alcohol confirmation tests?
§ 40.233What are the requirements for proper use and care of EBTs?
§ 40.235What are the requirements for proper use and care of ASDs?
§ 40.241What are the first steps in any alcohol screening test?
§ 40.243What is the procedure for an alcohol screening test using an EBT or non-evidential breath ASD?
§ 40.245What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD?
§ 40.247What procedures does the BAT or STT follow after a screening test result?
§ 40.251What are the first steps in an alcohol confirmation test?
§ 40.253What are the procedures for conducting an alcohol confirmation test?
§ 40.255What happens next after the alcohol confirmation test result?
§ 40.261What is a refusal to take an alcohol test, and what are the consequences?
§ 40.263What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test?
§ 40.265What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test?
§ 40.267What problems always cause an alcohol test to be cancelled?
§ 40.269What problems cause an alcohol test to be cancelled unless they are corrected?
§ 40.271How are alcohol testing problems corrected?
§ 40.273What is the effect of a cancelled alcohol test?
§ 40.275What is the effect of procedural problems that are not sufficient to cancel an alcohol test?
§ 40.277Are alcohol tests other than saliva or breath permitted under these regulations?
§ 40.281Who is qualified to act as a SAP?
§ 40.283How does a certification organization obtain recognition for its members as SAPs?
§ 40.285When is a SAP evaluation required?
§ 40.287What information is an employer required to provide concerning SAP services to an employee who has a DOT drug and alcohol regulation violation?
§ 40.289Are employers required to provide SAP and treatment services to employees?
§ 40.291What 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?
§ 40.293What is the SAP's function in conducting the initial evaluation of an employee?
§ 40.295May employees or employers seek a second SAP evaluation if they disagree with the first SAP's recommendations?
§ 40.297Does anyone have the authority to change a SAP's initial evaluation?
§ 40.299What is the SAP's role and what are the limits on a SAP's discretion in referring employees for education and treatment?
§ 40.301What is the SAP's function in the follow-up evaluation of an employee?
§ 40.303What happens if the SAP believes the employee needs additional treatment, aftercare, or support group services even after the employee returns to safety-sensitive duties?
§ 40.305How does the return-to-duty process conclude?
§ 40.307What is the SAP's function in prescribing the employee's follow-up tests?
§ 40.309What are the employer's responsibilities with respect to the SAP's directions for follow-up tests?
§ 40.311What are the requirements concerning SAP reports?
§ 40.321What is the general confidentiality rule for drug and alcohol test information?
§ 40.323May program participants release drug or alcohol test information in connection with legal proceedings?
§ 40.325§ 40.325 [Reserved]
§ 40.327When must the MRO report medical information gathered in the verification process?
§ 40.329What information must laboratories, MROs, and other service agents release to employees?
§ 40.331To what additional parties must employers and service agents release information?
§ 40.333What records must employers keep?
§ 40.341Must service agents comply with DOT drug and alcohol testing requirements?
§ 40.343What tasks may a service agent perform for an employer?
§ 40.345In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers?
§ 40.347What functions may C/TPAs perform with respect to administering testing?
§ 40.349What records may a service agent receive and maintain?
§ 40.351What confidentiality requirements apply to service agents?
§ 40.353What principles govern the interaction between MROs and other service agents?
§ 40.355What limitations apply to the activities of service agents?
§ 40.361What is the purpose of a public interest exclusion (PIE)?
§ 40.363On what basis may the Department issue a PIE?
§ 40.365What is the Department's policy concerning starting a PIE proceeding?
§ 40.367Who initiates a PIE proceeding?
§ 40.369What is the discretion of an initiating official in starting a PIE proceeding?
§ 40.371On what information does an initiating official rely in deciding whether to start a PIE proceeding?
§ 40.373Before starting a PIE proceeding, does the initiating official give the service agent an opportunity to correct problems?
§ 40.375How does the initiating official start a PIE proceeding?
§ 40.377Who decides whether to issue a PIE?
§ 40.379How do you contest the issuance of a PIE?
§ 40.381What information do you present to contest the proposed issuance of a PIE?
§ 40.383What procedures apply if you contest the issuance of a PIE?
§ 40.385Who bears the burden of proof in a PIE proceeding?
§ 40.387What matters does the Director decide concerning a proposed PIE?
§ 40.389What factors may the Director consider?
§ 40.391What is the scope of a PIE?
§ 40.393How long does a PIE stay in effect?
§ 40.395Can you settle a PIE proceeding?
§ 40.397When does the Director make a PIE decision?
§ 40.399How does the Department notify service agents of its decision?
§ 40.401How does the Department notify employers and the public about a PIE?
§ 40.403Must a service agent notify its clients when the Department issues a PIE?
§ 40.405May the Federal courts review PIE decisions?
§ 40.407May a service agent ask to have a PIE reduced or terminated?
§ 40.409What does the issuance of a PIE mean to transportation employers?
§ 40.411What is the role of the DOT Inspector General's office?
§ 40.413How are notices sent to service agents?