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Department of Transportation (DOT)
The Department of Transportation’s (DOT) rules,
49 CFR Part 40, describes required procedures for conducting workplace
drug and alcohol testing for the federally regulated transportation
PART 40 - PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG
AND ALCOHOL TESTING PROGRAMS
Effective August 1, 2001
Source: 65 Federal Register (FR) 79462, Dec. 19, 2000;
65 FR 41944, Aug. 9, 2001
Subpart A - Administrative
40.1 Who does this regulation cover?
40.3 What do the terms used in this regulation 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
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?
40.15 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
40.25 Must an employer check on the drug and alcohol testing record
of employees it is intending to use to perform safety-sensitive
40.27 May an employer require an employee to sign a consent or
release in connection with the DOT drug and alcohol testing program?
40.29 Where is other information on employer responsibilities
found in this regulation?
Subpart C - Urine
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
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
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-DOT 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
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
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
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 initial and confirmation
40.89 What is validity testing, and are laboratories required
to conduct it?
40.91 What validity tests must laboratories conduct on primary
40.93 What criteria do laboratories use to establish that a specimen
is dilute or substituted?
40.95 What criteria do laboratories use to establish that a specimen
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
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
40.125 What relationship may an MRO have with a laboratory?
40.127 What are the MRO's functions in reviewing negative test
40.129 What are the MRO's functions in reviewing laboratory confirmed
positive, adulterated, substituted, or invalid drug test results?
40.131 How does the MRO or DER notify an employee of the verification
process after a confirmed positive, adulterated, substituted,
or invalid test result?
40.133 Under what circumstances may the MRO verify a test as positive,
or as a refusal to test because of adulteration or substitution,
without interviewing the employee?
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
40.141 How does the MRO obtain information for the verification
40.145 On what basis does the MRO verify test results involving
adulteration or substitution?
40.149 May the MRO change a verified positive drug test result
or refusal to test?
40.151 What are MROs prohibited from doing as part of the verification
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?
40.161 What does the MRO do when a drug test specimen is rejected
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
40.169 Where is other information concerning the role of MROs
and the verification process found in this regulation?
Subpart H - Split
40.171 How does an employee request a test of a split
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
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
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
40.197 What happens when an employer receives a report of a dilute
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 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
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
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?
40.247 What procedures does the BAT or STT follow after a screening
Subpart M –
Alcohol Confirmation Tests
40.251 What are the first steps in an alcohol confirmation
40.253 What are the procedures for conducting an alcohol confirmation
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
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
40.289 Are employers required to provide SAP and treatment services
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
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
40.309 What are the employer's responsibilities with respect to
the SAP's directions for follow-up tests?
40.311 What are 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?
40.327 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
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
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
40.347 What functions may C/TPAs perform with respect administering
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
40.361 What is the purpose of a public interest exclusion
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
40.385 Who bears the burden of proof in a PIE proceeding?
40.387 What matters does the Director decide concerning a proposed
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
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
Appendix C to Part 40 - [Reserved]
Appendix D to Part 40 - Report Format: Split Specimen Failure
Appendix E to Part 40 - SAP Equivalency Requirements for Certification
Appendix F to Part 40 - Drug and Alcohol Testing Information that
May Transmit to Employers
Appendix G to Part 40 – Alcohol Testing Form (ATF)
Authority: 49 U.S.C. 102, 301, 322, 5331, 20140,
31306, and 45101 et seq.
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