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Electronic Code of Federal Regulations

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e-CFR Data is current as of April 17, 2014

TITLE 49—Transportation

SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION

PART 40—PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS

rule

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?
rule

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?
§40.29
Where is other information on employer responsibilities found in this regulation?
rule

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?
rule

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?
rule

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 specimen?
§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?
rule

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?
rule

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, 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 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?
§40.169
Where is other information concerning the role of MROs and the verification process found in this regulation?
rule

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?
rule

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 correction?
rule

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?
rule

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?
rule

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?
rule

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?
rule

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?
rule

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?
rule

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?
rule

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?
rule

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
Appendix A to Part 40—DOT Standards for Urine Collection Kits
Appendix
Appendix B to Part 40—DOT Drug Testing Semi-Annual Laboratory Report to Employers
Appendix
Appendix C to Part 40—DOT Drug Testing Semi-Annual Laboratory Report to DOT
Appendix
Appendix D to Part 40—Report Format: Split Specimen Failure To Reconfirm
Appendix
Appendix E to Part 40—SAP Equivalency Requirements for Certification Organizations
Appendix
Appendix F to Part 40—Drug and Alcohol Testing Information that C/TPAs May Transmit to Employers
Appendix
Appendix G to Part 40—Alcohol Testing Form
Appendix
Appendix H to Part 40—DOT Drug and Alcohol Testing Management Information System (MIS) Data Collection Form


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