CFR /  Title 49  /  Part 40: Procedures For Transportation Workplace Drug And Alcohol Testing Programs

Section No.	Description
Section 40.1	What do the terms used in this part mean?
Section 40.3	Who issues authoritative interpretations of this regulation?
Section 40.5	How can you get an exemption from a requirement in this regulation?
Section 40.7	What are the general responsibilities of employers under this regulation?
Section 40.11	How do DOT drug and alcohol tests relate to non-DOT tests?
Section 40.13	What collection information must employers provide to collectors?
Section 40.14	May an employer use a service agent to meet DOT drug and alcohol testing requirements?
Section 40.15	Is an employer responsible for obtaining information from its service agents?
Section 40.17	May an employer stand down an employee before the MRO has completed the verification process?
Section 40.21	What actions do employers take after receiving verified test results?
Section 40.23	Must an employer check on the drug and alcohol testing record of employees it is intending to use to perform safety-sensitive
Section 40.25	What form must an employer use to report Management Information System (MIS) data to a DOT agency?
Section 40.26	May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program?
Section 40.27	Where is other information on employer responsibilities found in this regulation?
Section 40.29	Who may collect urine specimens for DOT drug testing?
Section 40.31	What training requirements must a collector meet?
Section 40.33	What information about the DER must employers provide to collectors?
Section 40.35	Where is other information on the role of collectors found in this regulation?
Section 40.37	Where does a urine collection for a DOT drug test take place?
Section 40.41	What steps must operators of collection sites take to protect the security and integrity of urine collections?
Section 40.43	What form is used to document a DOT urine collection?
Section 40.45	May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?
Section 40.47	What materials are used to collect urine specimens?
Section 40.49	What materials are used to send urine specimens to the laboratory?
Section 40.51	What are the preliminary steps in the collection process?
Section 40.61	What steps does the collector take in the collection process before the employee provides a urine specimen?
Section 40.63	What does the collector check for when the employee presents a specimen?
Section 40.65	When and how is a directly observed collection conducted?
Section 40.67	How is a monitored collection conducted?
Section 40.69	How does the collector prepare the specimens?
Section 40.71	How is the collection process completed?
Section 40.73	What laboratories may be used for DOT drug testing?
Section 40.81	How do laboratories process incoming specimens?
Section 40.83	What drugs do laboratories test for?
Section 40.85	What are the cutoff concentrations for drug tests?
Section 40.87	What is validity testing, and are laboratories required to conduct it?
Section 40.89	What validity tests must laboratories conduct on primary specimens?
Section 40.91	What criteria do laboratories use to establish that a specimen is dilute or substituted?
Section 40.93	What are the adulterant cutoff concentrations for initial and confirmation tests?
Section 40.95	What criteria do laboratories use to establish that a specimen is invalid?
Section 40.96	What do laboratories report and how do they report it?
Section 40.97	How long does the laboratory retain specimens after testing?
Section 40.99	What relationship may a laboratory have with an MRO?
Section 40.101	What are the requirements for submitting blind specimens to a laboratory?
Section 40.103	What happens if the laboratory reports a result different from that expected for a blind specimen?
Section 40.105	Who may inspect laboratories?
Section 40.107	What documentation must the laboratory keep, and for how long?
Section 40.109	When and how must a laboratory disclose statistical summaries and other information it maintains?
Section 40.111	Where is other information concerning laboratories found in this regulation?
Section 40.113	Who is qualified to act as an MRO?
Section 40.121	What are the MRO's responsibilities in the DOT drug testing program?
Section 40.123	What relationship may an MRO have with a laboratory?
Section 40.125	What are the MRO's functions in reviewing negative test results?
Section 40.127	What are the MRO's functions in reviewing laboratory confirmed non-negative drug test results?
Section 40.129	How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative
Section 40.131	Without interviewing the employee, under what circumstances may the MRO verify a test result as positive, or as a refusal to test
Section 40.133	What does the MRO tell the employee at the beginning of the verification interview?
Section 40.135	On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, or PCP?
Section 40.137	On what basis does the MRO verify test results involving opiates?
Section 40.139	How does the MRO obtain information for the verification decision?
Section 40.141	On what basis does the MRO verify test results involving adulteration or substitution?
Section 40.145	May the MRO change a verified drug test result?
Section 40.149	What are MROs prohibited from doing as part of the verification process?
Section 40.151	How does the MRO notify employees of their right to a test of the split specimen?
Section 40.153	What does the MRO do when a negative or positive test result is also dilute?
Section 40.155	What does the MRO do when a drug test result is invalid?
Section 40.159	What does the MRO do when a valid test result cannot be produced and a negative result is required?
Section 40.160	What does the MRO do when a drug test specimen is rejected for testing?
Section 40.161	What must MROs do with multiple verified results for the same testing event?
Section 40.162	How does the MRO report drug test results?
Section 40.163	To whom does the MRO transmit reports of drug test results?
Section 40.165	How are MRO reports of drug results transmitted to the employer?
Section 40.167	Where is other information concerning the role of MROs and the verification process found in this regulation?
Section 40.169	How does an employee request a test of a split specimen?
Section 40.171	Who is responsible for paying for the test of a split specimen?
Section 40.173	What steps does the first laboratory take with a split specimen?
Section 40.175	What does the second laboratory do with the split specimen when it is tested to reconfirm the presence of a drug or
Section 40.177	What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result?
Section 40.179	What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result?
Section 40.181	What information do laboratories report to MROs regarding split specimen results?
Section 40.183	Through what methods and to whom must a laboratory report split specimen results?
Section 40.185	What does the MRO do with split specimen laboratory results?
Section 40.187	Where is other information concerning split specimens found in this regulation?
Section 40.189	What is a refusal to take a DOT drug test, and what are the consequences?
Section 40.191	What happens when an employee does not provide a sufficient amount of urine for a drug test?
Section 40.193	What happens when an individual is unable to provide a sufficient amount of urine for a pre-employment follow-up or
Section 40.195	What happens when an employer receives a report of a dilute specimen?
Section 40.197	What problems always cause a drug test to be cancelled?
Section 40.199	What problems always cause a drug test to be cancelled and may result in a requirement for another collection?
Section 40.201	What problems cause a drug test to be cancelled unless they are corrected?
Section 40.203	How are drug test problems corrected?
Section 40.205	What is the effect of a cancelled drug test?
Section 40.207	What problem requires corrective action but does not result in the cancellation of a test?
Section 40.208	What procedural problems do not result in the cancellation of a test and do not require correction?
Section 40.209	Who conducts DOT alcohol tests?
Section 40.211	What training requirements must STTs and BATs meet?
Section 40.213	What information about the DER do employers have to provide to BATs and STTs?
Section 40.215	Where is other information on the role of STTs and BATs found in this regulation?
Section 40.217	Where does an alcohol test take place?
Section 40.221	What steps must be taken to protect the security of alcohol testing sites?
Section 40.223	What form is used for an alcohol test?
Section 40.225	May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests?
Section 40.227	What devices are used to conduct alcohol screening tests?
Section 40.229	What devices are used to conduct alcohol confirmation tests?
Section 40.231	What are the requirements for proper use and care of EBTs?
Section 40.233	What are the requirements for proper use and care of ASDs?
Section 40.235	What are the first steps in any alcohol screening test?
Section 40.241	What is the procedure for an alcohol screening test using an EBT or non-evidential breath ASD?
Section 40.243	What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD?
Section 40.245	What procedures does the BAT or STT follow after a screening test result?
Section 40.247	What are the first steps in an alcohol confirmation test?
Section 40.251	What are the procedures for conducting an alcohol confirmation test?
Section 40.253	What happens next after the alcohol confirmation test result?
Section 40.255	What is a refusal to take an alcohol test, and what are the consequences?
Section 40.261	What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test?
Section 40.263	What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test?
Section 40.265	What problems always cause an alcohol test to be cancelled?
Section 40.267	What problems cause an alcohol test to be cancelled unless they are corrected?
Section 40.269	How are alcohol testing problems corrected?
Section 40.271	What is the effect of a cancelled alcohol test?
Section 40.273	What is the effect of procedural problems that are not sufficient to cancel an alcohol test?
Section 40.275	Are alcohol tests other than saliva or breath permitted under these regulations?
Section 40.277	Who is qualified to act as a SAP?
Section 40.281	How does a certification organization obtain recognition for its members as SAPs?
Section 40.283	When is a SAP evaluation required?
Section 40.285	What information is an employer required to provide concerning SAP services to an employee who has a DOT drug and alcohol
Section 40.287	Are employers required to provide SAP and treatment services to employees?
Section 40.289	What is the role of the SAP in the evaluation, referral, and treatment process of an employee who has violated DOT agency drug
Section 40.291	What is the SAP's function in conducting the initial evaluation of an employee?
Section 40.293	May employees or employers seek a second SAP evaluation if they disagree with the first SAP's recommendations?
Section 40.295	Does anyone have the authority to change a SAP's initial evaluation?
Section 40.297	What is the SAP's role and what are the limits on a SAP's discretion in referring employees for education and treatment?
Section 40.299	What is the SAP's function in the follow-up evaluation of an employee?
Section 40.301	What happens if the SAP believes the employee needs additional treatment, aftercare, or support group services even after
Section 40.303	How does the return-to-duty process conclude?
Section 40.305	What is the SAP's function in prescribing the employee's follow-up tests?
Section 40.307	What are the employer's responsibilities with respect to the SAP's directions for follow-up tests?
Section 40.309	What are the requirements concerning SAP reports?
Section 40.311	Where is other information on SAP functions and the return-to-duty process found in this regulation?
Section 40.313	What is the general confidentiality rule for drug and alcohol test information?
Section 40.321	May program participants release drug or alcohol test information in connection with legal proceedings?
Section 40.323	When must the MRO report medical information gathered in the verification process?
Section 40.327	What information must laboratories, MROs, and other service agents release to employees?
Section 40.329	To what additional parties must employers and service agents release information?
Section 40.331	What records must employers keep?
Section 40.333	Must service agents comply with DOT drug and alcohol testing requirements?
Section 40.341	What tasks may a service agent perform for an employer?
Section 40.343	In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers?
Section 40.345	What functions may C/TPAs perform with respect to administering testing?
Section 40.347	What records may a service agent receive and maintain?
Section 40.349	What confidentiality requirements apply to service agents?
Section 40.351	What principles govern the interaction between MROs and other service agents?
Section 40.353	What limitations apply to the activities of service agents?
Section 40.355	What is the purpose of a public interest exclusion (PIE)?
Section 40.361	On what basis may the Department issue a PIE?
Section 40.363	What is the Department's policy concerning starting a PIE proceeding?
Section 40.365	Who initiates a PIE proceeding?
Section 40.367	What is the discretion of an initiating official in starting a PIE proceeding?
Section 40.369	On what information does an initiating official rely in deciding whether to start a PIE proceeding?
Section 40.371	Before starting a PIE proceeding, does the initiating official give the service agent an opportunity to correct problems?
Section 40.373	How does the initiating official start a PIE proceeding?
Section 40.375	Who decides whether to issue a PIE?
Section 40.377	How do you contest the issuance of a PIE?
Section 40.379	What information do you present to contest the proposed issuance of a PIE?
Section 40.381	What procedures apply if you contest the issuance of a PIE?
Section 40.383	Who bears the burden of proof in a PIE proceeding?
Section 40.385	What matters does the Director decide concerning a proposed PIE?
Section 40.387	What factors may the Director consider?
Section 40.389	What is the scope of a PIE?
Section 40.391	How long does a PIE stay in effect?
Section 40.393	Can you settle a PIE proceeding?
Section 40.395	When does the Director make a PIE decision?
Section 40.397	How does the Department notify service agents of its decision?
Section 40.399	How does the Department notify employers and the public about a PIE?
Section 40.401	Must a service agent notify its clients when the Department issues a PIE?
Section 40.403	May the Federal courts review PIE decisions?
Section 40.405	May a service agent ask to have a PIE reduced or terminated?
Section 40.407	What does the issuance of a PIE mean to transportation employers?
Section 40.409	What is the role of the DOT Inspector General's office?
Section 40.411	How are notices sent to service agents?
Section 40.413	Purpose and applicability