Procedures for Transportation Workplace Drug and Alcohol Testing Programs

The Department of Transportation’s (DOT) rule, 49 CFR Part 40, describes required procedures for conducting workplace drug and alcohol testing for the Federally regulated transportation industry.

View the current 49 CFR Part 40 in its entirety          

To view 49 CFR Part 40 by section and related Q&As, click on the relevant subpart below

• Subpart A—Administrative Provisions

  § 40.1   Who does this regulation cover?
  § 40.3   What do the terms used in this regulation mean?		Q&A
  § 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 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?
  § 40.15   May an employer use a service agent to meet DOT drug and alcohol testing requirements?		Q&A
  § 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?		Q&A
  § 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?		Q&A
  § 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?

• 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?		Q&A
  § 40.35   What information about the DER must employers provide to collectors?		Q&A
  § 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 take place?
  § 40.43   What steps must operators of collection sites take to protect the security and integrity of urine collections?		Q&A
  § 40.45   What form is used to document a DOT urine collection?		Q&A
  § 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?

• Subpart E—Urine Specimen Collections

  § 40.61   What are the preliminary steps in the collection process?		Q&A
  § 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?		Q&A
  § 40.67   When and how is a directly observed collection conducted?		Q&A
  § 40.69   How is a monitored collection conducted?		Q&A
  § 40.71   How does the collector prepare the specimens?
  § 40.73   How is the collection process completed?		Q&A

• Subpart F—Drug Testing Laboratories

  § 40.81   What laboratories may be used for DOT drug testing?
  § 40.83   How do laboratories process incoming specimens?		Q&A
  § 40.85   What drugs do laboratories test for?
  § 40.87   What are the cutoff concentrations for initial and confirmation 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?		Q&A
  § 40.99   How long does the laboratory retain specimens after testing?		Q&A
  § 40.101 What relationship may a laboratory have with an MRO?
  § 40.103 What are the requirements for submitting blind specimens to a laboratory?		Q&A
  § 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?

• 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?		Q&A
  § 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?		Q&A
  § 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 substation, or as a 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?		Q&A
  § 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?		Q&A
  § 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?		Q&A
  § 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?		Q&A
  § 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?

• Subpart H—Split Specimen Tests

  § 40.171   How does an employee request a test of a split specimen?		Q&A
  § 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?		Q&A
  § 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?		Q&A
  § 40.193   What happens when an employee does not provide a sufficient amount of urine for a drug test?		Q&A
  § 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?		Q&A
  § 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?		Q&A
  § 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 corrective action?		Q&A

• Subpart J—Alcohol Testing Personnel

  § 40.211   Who conducts DOT alcohol tests?
  § 40.213   What training requirements must STTs and BATs meet?		Q&A
  § 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 testing sites?
  § 40.225   What form is used for an alcohol test?		Q&A
  § 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?		Q&A
  § 40.231   What devices are used to conduct alcohol confirmation tests?		Q&A
  § 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?		Q&A
  § 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

  § 40.251   What are the first steps in an alcohol confirmation test?
  § 40.253   What are the procedures for conducting an alcohol confirmation test?		Q&A
  § 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 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?		Q&A
  § 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?		Q&A
  § 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?		Q&A
  § 40.293   What is the SAP's function in conducting the initial evaluation of an employee?		Q&A
  § 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?		Q&A
  § 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?		Q&A
  § 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?
  § 40.325   [Reserved]
  § 40.327   When must the MRO report medical information gathered in the verification process?		Q&A
  § 40.329   What information must laboratories, MROs, and other service agents release to employees?		Q&A
  § 40.331   To what additional parties must employers and service agents release information?
  § 40.333   What records must employers keep?		Q&A

• 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?		Q&A
  § 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?

Appendices

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