Part 40 — Procedures for Transportation Workplace Drug and Alcohol Testing Programs
Subpart A — Administrative Provisions
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?
- § 40.21— 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
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?
- § 40.79— 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?
- § 40.145— On what basis does the MRO verify test results involving adulteration or substitution?
- § 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?
- § 40.159— 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
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
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?
- § 40.327— 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?