As of Nov. 19, 2019Subtitle A — DOT workplace drug and alcohol testing (Part 40)
Part 40 Procedures for Transportation Workplace Drug and Alcohol Testing Programs
193 sections · What changed since this date
Subpart A—Administrative Provisions
Subpart B—Employer Responsibilities
- § 40.11What are the general responsibilities of employers under this regulation?
- § 40.13How do DOT drug and alcohol tests relate to non-DOT tests?3 versions
- § 40.14What collection information must employers provide to collectors?4 versions
- § 40.15May an employer use a service agent to meet DOT drug and alcohol testing requirements?3 versions
- § 40.17Is an employer responsible for obtaining information from its service agents?
- § 40.19[Reserved]
- § 40.21May an employer stand down an employee before the MRO has completed the verification process?4 versions
- § 40.23What actions do employers take after receiving verified test results?7 versions
- § 40.25Must an employer check on the drug and alcohol testing record of employees it is intending to use to perform safety-sensitive duties?4 versions
- § 40.26What form must an employer use to report Management Information System (MIS) data to a DOT agency?6 versions
- § 40.27May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program?2 versions
- § 40.29Where is other information on employer responsibilities found in this regulation?7 versions
Subpart C—Urine Collection Personnel
- § 40.31Who may collect urine specimens for DOT drug testing?4 versions
- § 40.33What training requirements must a collector meet?10 versions
- § 40.35What information about the DER must employers provide to collectors?8 versions
- § 40.37Where is other information on the role of collectors found in this regulation?5 versions
Subpart D—Collection Sites, Forms, Equipment and Supplies Used in DOT Urine Collections
- § 40.41Where does a urine collection for a DOT drug test take place?3 versions
- § 40.43What steps must operators of collection sites take to protect the security and integrity of urine collections?3 versions
- § 40.45What form is used to document a DOT urine collection?9 versions
- § 40.47May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?3 versions
- § 40.49What materials are used to collect urine specimens?5 versions
- § 40.51What materials are used to send urine specimens to the laboratory?4 versions
Subpart E—Urine Specimen Collections
- § 40.61What are the preliminary steps in the collection process?5 versions
- § 40.63What steps does the collector take in the collection process before the employee provides a urine specimen?5 versions
- § 40.65What does the collector check for when the employee presents a specimen?6 versions
- § 40.67When and how is a directly observed collection conducted?12 versions
- § 40.69How is a monitored collection conducted?6 versions
- § 40.71How does the collector prepare the specimens?3 versions
- § 40.73How is the collection process completed?9 versions
Subpart F—Drug Testing Laboratories
- § 40.81What laboratories may be used for DOT drug testing?5 versions
- § 40.83How do laboratories process incoming specimens?10 versions
- § 40.85What drugs do laboratories test for?5 versions
- § 40.87What are the cutoff concentrations for drug tests?7 versions
- § 40.89What is validity testing, and are laboratories required to conduct it?4 versions
- § 40.91What validity tests must laboratories conduct on primary specimens?5 versions
- § 40.93What criteria do laboratories use to establish that a specimen is dilute or substituted?5 versions
- § 40.95What are the adulterant cutoff concentrations for initial and confirmation tests?4 versions
- § 40.96What criteria do laboratories use to establish that a specimen is invalid?2 versions
- § 40.97What do laboratories report and how do they report it?11 versions
- § 40.99How long does the laboratory retain specimens after testing?3 versions
- § 40.101What relationship may a laboratory have with an MRO?2 versions
- § 40.107Who may inspect laboratories?2 versions
- § 40.109What documentation must the laboratory keep, and for how long?2 versions
- § 40.111When and how must a laboratory disclose statistical summaries and other information it maintains?7 versions
- § 40.113Where is other information concerning laboratories found in this regulation?
Subpart G—Medical Review Officers and the Verification Process
- § 40.121Who is qualified to act as an MRO?7 versions
- § 40.123What are the MRO's responsibilities in the DOT drug testing program?5 versions
- § 40.125What relationship may an MRO have with a laboratory?
- § 40.127What are the MRO's functions in reviewing negative test results?4 versions
- § 40.129What are the MRO's functions in reviewing laboratory confirmed non-negative drug test results?5 versions
- § 40.131How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results?4 versions
- § 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?2 versions
- § 40.135What does the MRO tell the employee at the beginning of the verification interview?5 versions
- § 40.137On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, semi-synthetic opioids, or PCP?3 versions
- § 40.139On what basis does the MRO verify test results involving 6-acetylmorphine, codeine, and morphine?7 versions
- § 40.141How does the MRO obtain information for the verification decision?5 versions
- § 40.143[Reserved]
- § 40.145On what basis does the MRO verify test results involving adulteration or substitution?8 versions
- § 40.147[Reserved]
- § 40.149May the MRO change a verified drug test result?3 versions
- § 40.151What are MROs prohibited from doing as part of the verification process?4 versions
- § 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?4 versions
- § 40.157[Reserved]
- § 40.159What does the MRO do when a drug test result is invalid?6 versions
- § 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?3 versions
- § 40.162What must MROs do with multiple verified results for the same testing event?3 versions
- § 40.163How does the MRO report drug test results?5 versions
- § 40.165To whom does the MRO transmit reports of drug test results?
- § 40.167How are MRO reports of drug results transmitted to the employer?
- § 40.169Where is other information concerning the role of MROs and the verification process found in this regulation?3 versions
Subpart H—Split Specimen Tests
- § 40.171How does an employee request a test of a split specimen?2 versions
- § 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?4 versions
- § 40.179What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result?4 versions
- § 40.181What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result?4 versions
- § 40.183What information do laboratories report to MROs regarding split specimen results?2 versions
- § 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?7 versions
- § 40.189Where is other information concerning split specimens found in this regulation?3 versions
Subpart I—Problems in Drug Tests
- § 40.191What is a refusal to take a DOT drug test, and what are the consequences?8 versions
- § 40.193What happens when an employee does not provide a sufficient amount of urine for a drug test?6 versions
- § 40.195What 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?3 versions
- § 40.197What happens when an employer receives a report of a dilute specimen?6 versions
- § 40.199What problems always cause a drug test to be cancelled?5 versions
- § 40.201What problems always cause a drug test to be cancelled and may result in a requirement for another collection?4 versions
- § 40.203What problems cause a drug test to be cancelled unless they are corrected?5 versions
- § 40.205How are drug test problems corrected?
- § 40.207What is the effect of a cancelled drug test?5 versions
- § 40.208What problem requires corrective action but does not result in the cancellation of a test?3 versions
- § 40.209What procedural problems do not result in the cancellation of a test and do not require correction?5 versions
- § 40.210Are drug tests other than urine permitted under the regulations?4 versions
Subpart J—Alcohol Testing Personnel
Subpart K—Testing Sites, Forms, Equipment and Supplies Used in Alcohol Testing
- § 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?8 versions
- § 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?3 versions
- § 40.231What devices are used to conduct alcohol confirmation tests?3 versions
- § 40.233What are the requirements for proper use and care of EBTs?3 versions
- § 40.235What are the requirements for proper use and care of ASDs?3 versions
Subpart L—Alcohol Screening Tests
- § 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?5 versions
- § 40.247What procedures does the BAT or STT follow after a screening test result?
Subpart M—Alcohol Confirmation Tests
Subpart N—Problems in Alcohol Testing
- § 40.261What is a refusal to take an alcohol test, and what are the consequences?3 versions
- § 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?5 versions
- § 40.269What problems cause an alcohol test to be cancelled unless they are corrected?2 versions
- § 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?
Subpart O—Substance Abuse Professionals and the Return-to-Duty Process
- § 40.281Who is qualified to act as a SAP?8 versions
- § 40.283How does a certification organization obtain recognition for its members as SAPs?6 versions
- § 40.285When is a SAP evaluation required?3 versions
- § 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?4 versions
- § 40.293What is the SAP's function in conducting the initial evaluation of an employee?3 versions
- § 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?3 versions
- § 40.299What is the SAP's role and what are the limits on a SAP's discretion in referring employees for education and treatment?2 versions
- § 40.301What is the SAP's function in the follow-up evaluation of an employee?4 versions
- § 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?3 versions
- § 40.307What is the SAP's function in prescribing the employee's follow-up tests?4 versions
- § 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?3 versions
- § 40.313Where is other information on SAP functions and the return-to-duty process found in this regulation?
Subpart P—Confidentiality and Release of Information
- § 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[Reserved]
- § 40.327When must the MRO report medical information gathered in the verification process?3 versions
- § 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?4 versions
- § 40.333What records must employers keep?
Subpart Q—Roles and Responsibilities of Service Agents
- § 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?3 versions
- § 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?5 versions
Subpart R—Public Interest Exclusions
- § 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?5 versions
- § 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?3 versions
- § 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?2 versions
- § 40.411What is the role of the DOT Inspector General's office?
- § 40.413How are notices sent to service agents?
- Appendix AAppendix A to Part 40—DOT Standards for Urine Collection Kits
- Appendix BAppendix B to Part 40—DOT Drug-Testing Semi-Annual Laboratory Report to Employers8 versions
- Appendix CAppendix C to Part 40—DOT Drug-Testing Semi-Annual Laboratory Report to DOT5 versions
- Appendix DAppendix D to Part 40—Report Format: Split Specimen Failure To Reconfirm7 versions
- Appendix EAppendix E to Part 40—SAP Equivalency Requirements for Certification Organizations3 versions
- Appendix FAppendix F to Part 40—Drug and Alcohol Testing Information that C/TPAs May Transmit to Employers4 versions
- Appendix GAppendix G to Part 40—Alcohol Testing Form4 versions
- Appendix HAppendix H to Part 40—DOT Drug and Alcohol Testing Management Information System (MIS) Data Collection Form7 versions