Overview of 49 CFR Part 40

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.

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

Administrative Provisions

§ 40.1Who does this regulation cover?
§ 40.3What do the terms used in this regulation mean?
Q&ASection 40.3 Questions & Answers
§ 40.5Who issues authoritative interpretations of this regulation?
§ 40.7How can you get an exemption from a requirement in this regulation?

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?
§ 40.14What collection information must employers provide to collectors?
§ 40.15May an employer use a service agent to meet DOT drug and alcohol testing requirements?
Q&ASection 40.15 Question & Answers
§ 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?
Q&ASection 40.21 Questions and Answers
§ 40.23What actions do employers take after receiving verified test results?
§ 40.25Must an employer check on the drug and alcohol testing record of employees it is intending to use to perform safety-sensitive duties?
Q&ASection 40.25 Questions and Answers
§ 40.26What form must an employer use to report Management Information System (MIS) data to a DOT agency?
§ 40.27May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program?
Q&ASection 40.27 Questions and Answers
§ 40.29Where is other information on employer responsibilities found in this regulation

Urine Collection Personnel

§ 40.31Who may collect urine specimens for DOT drug testing?
§ 40.33What training requirements must a collector meet?
Q&ASection 40.33 Questions and Answers
§ 40.35What information about the DER must employers provide to collectors?
Q&ASection 40.35 Questions and Answers
§ 40.37Where is other information on the role of collectors found in this regulation?

Collection Sites, Forms, Equipment and Supplies Used in DOT Urine Collections

§ 40.41Where does a urine collection for a DOT drug test take place?
§ 40.43What steps must operators of collection sites take to protect the security and integrity of urine collections?
Q&ASection 40.43 Questions and Answers
§ 40.45What form is used to document a DOT urine collection?
Q&ASection 40.45 Questions and Answers
§ 40.47May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?
§ 40.49What materials are used to collect urine specimens?
§ 40.51What materials are used to send urine specimens to the laboratory?

Urine Specimen Collections

§ 40.61What are the preliminary steps in the collection process?
Q&ASection 40.61 Questions and Answers
§ 40.63What steps does the collector take in the collection process before the employee provides a urine specimen?
§ 40.65What does the collector check for when the employee presents a specimen?
Q&ASection 40.65 Questions and Answers
§ 40.67When and how is a directly observed collection conducted?
Q&ASection 40.67 Questions and Answers
§ 40.69How is a monitored collection conducted?
Q&ASection 40.69 Questions and Answers
§ 40.71How does the collector prepare the specimens?
§ 40.73How is the collection process completed?
Q&ASection 40.73 Questions and Answers

Drug Testing Laboratories

§ 40.81What laboratories may be used for DOT drug testing?
§ 40.83How do laboratories process incoming specimens?
Q&ASection 40.83 Questions and Answers
§ 40.85What drugs do laboratories test for?
§ 40.87What are the cutoff concentrations for initial and confirmation tests?
§ 40.89What is validity testing, and are laboratories required to conduct it?
§ 40.91What validity tests must laboratories conduct on primary specimens?
§ 40.93What criteria do laboratories use to establish that a specimen is dilute or substituted?
§ 40.95What are the adulterant cutoff concentrations for initial and confirmation tests?
§ 40.96What criteria do laboratories use to establish that a specimen is invalid?
§ 40.97What do laboratories report and how do they report it?
Q&ASection 40.97 Questions and Answers
§ 40.99How long does the laboratory retain specimens after testing?
Q&ASection 40.99 Questions and Answers
§ 40.101What relationship may a laboratory have with an MRO?
§ 40.103What are the requirements for submitting blind specimens to a laboratory?
Q&ASection 40.103 Questions and Answers
§ 40.105What happens if the laboratory reports a result different from that expected for a blind specimen?
§ 40.107Who may inspect laboratories?
§ 40.109What documentation must the laboratory keep, and for how long?
§ 40.111When and how must a laboratory disclose statistical summaries and other information it maintains?
§ 40.113Where is other information concerning laboratories found in this regulation?

Medical Review Officers and the Verification Process

§ 40.121Who is qualified to act as an MRO?
§ 40.123What are the MRO’s responsibilities in the DOT drug testing program?
§ 40.125What relationship may an MRO have with a laboratory?
§ 40.127What are the MRO’s functions in reviewing negative test results?
Q&ASection 40.127 Questions and Answers
§ 40.129What are the MRO’s functions in reviewing laboratory confirmed non-negative drug test results?
§ 40.131How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results?
Q&ASection 40.131 Questions and Answers
§ 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 substation, or as a cancelled because the test was invalid?
§ 40.135What does the MRO tell the employee at the beginning of the verification interview?
§ 40.137On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, or PCP?
§ 40.139On what basis does the MRO verify test results involving opiates?
§ 40.141How does the MRO obtain information for the verification decision?
Q&ASection 40.141 Question and Answers
§ 40.143[Reserved]
§ 40.145On what basis does the MRO verify test results involving adulteration or substitution?
§ 40.147[Reserved]
§ 40.149May the MRO change a verified drug test result?
Q&ASection 40.149 Question and Answers
§ 40.151What are MROs prohibited from doing as part of the verification process?
§ 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?
§ 40.157[Reserved]
§ 40.159What does the MRO do when a drug test result is invalid?
§ 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?
§ 40.162What must MROs do with multiple verified results for the same testing event?
§ 40.163How does the MRO report drug test results?
Q&ASection 40.164 Questions and Answers
§ 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?

Split Specimen Tests

§ 40.171How does an employee request a test of a split specimen?
Q&ASection 40.171 Questions and Answers
§ 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?
§ 40.179What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result?
§ 40.181What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result?
§ 40.183What information do laboratories report to MROs regarding split specimen results?
§ 40.185Through what methods and to whom must a laboratory report split specimen results?
What does the MRO do with split specimen laboratory results?
Q&ASection 40.187 Questions and Answers
§ 40.189Where is other information concerning split specimens found in this regulation?

Problems in Drug Tests

§ 40.191What is a refusal to take a DOT drug test, and what are the consequences?
Q&ASection 40.191 Questions and Answers
§ 40.193What happens when an employee does not provide a sufficient amount of urine for a drug test?
Q&ASection 40.193 Questions and Answers
§ 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?
§ 40.197What happens when an employer receives a report of a dilute specimen?
Q&ASection 40.197 Questions and Answers
§ 40.199What problems always cause a drug test to be cancelled?
§ 40.201What problems always cause a drug test to be cancelled and may result in a requirement for another collection?
§ 40.203What problems cause a drug test to be cancelled unless they are corrected?
Q&ASection 40.203 Questions and Answers
§ 40.205How are drug test problems corrected?
§ 40.207What is the effect of a cancelled drug test?
§ 40.208What problem requires corrective action but does not result in the cancellation of a test?
§ 40.209What procedural problems do not result in the cancellation of a test and do not require corrective action?
Q&ASection 40.209 Questions and Answers

Alcohol Testing Personnel

§ 40.211Who conducts DOT alcohol tests?
§ 40.213What training requirements must STTs and BATs meet?
Q&AQ&A: Section 40.213 Questions and Answers
§ 40.215What information about the DER do employers have to provide to BATs and STTs?
§ 40.217Where is other information on the role of STTs and BATs found in this regulation?

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?
Q&ASection 40.225 Questions and Answers
§ 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?
Q&ASection 40.229 Questions and Answers
§ 40.231What devices are used to conduct alcohol confirmation tests?
Q&ASection 40.231 Questions and Answers
§ 40.233What are the requirements for proper use and care of EBTs?
§ 40.235What are the requirements for proper use and care of ASDs?

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?
Q&ASection 40.243 Questions and Answers
§ 40.245What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD?
§ 40.247What procedures does the BAT or STT follow after a screening test result?

Alcohol Confirmation Tests

§ 40.251What are the first steps in an alcohol confirmation test?
§ 40.253What are the procedures for conducting an alcohol confirmation test?
§ 40.255What happens next after the alcohol confirmation test result?

Problems in Alcohol Testing

§ 40.261What is a refusal to take an alcohol test, and what are the consequences?
§ 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?
Q&ASection 40.265 Questions and Answers
§ 40.267What problems always cause an alcohol test to be cancelled?
§ 40.269What problems cause an alcohol test to be cancelled unless they are corrected?
§ 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?
Q&ASection 40.275 Questions and Answers
§ 40.277Are alcohol tests other than saliva or breath permitted under these regulations?

Substance Abuse Professionals and the Return-to-Duty Process

§ 40.281Who is qualified to act as a SAP?
§ 40.283How does a certification organization obtain recognition for its members as SAPs?
§ 40.285When is a SAP evaluation required?
§ 40.287What information is an employer required to provide concerning SAP services to an employee who has a DOT drug and alcohol regulation violation?
§ 40.289 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&ASection 40.291 Questions and Answers
§ 40.293 What is the SAP’s function in conducting the initial evaluation of an employee?
Q&ASection 40.293 Questions and Answers
§ 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?
§ 40.299What 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?
§ 40.303What 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?
§ 40.307What is the SAP’s function in prescribing the employee’s follow-up tests?
Q&ASection 40.307 Questions and Answers
§ 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?
Q&ASection 40.311 Questions and Answers
§ 40.313Where is other information on SAP functions and the return-to-duty process found in this regulation?

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?
Q&ASection 40.327 Questions and Answers
§ 40.329What information must laboratories, MROs, and other service agents release to employees?
Q&ASection 40.329 Questions and Answers
§ 40.331To what additional parties must employers and service agents release information?
§ 40.333What records must employers keep?
Q&ASection 40.333 Questions and Answers

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?
Q&ASection 40.345 Questions and Answers
§ 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?

Public Interest Exclusions

Q&A     Public Interest Exclusion Q&A

§ 40.361What is the purpose of a public interest exclusion (PIE)?
§ 40.363On what basis may the Department issue a PIE?
§ 40.365 What is the Department’s policy concerning starting a PIE proceeding?
§ 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?
§ 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?
§ 40.411What is the role of the DOT Inspector General’s office?
§ 40.413How are notices sent to service agents?
Appendix A to Part 40DOT Standards for Urine Collection Kits
Appendix B to Part 40DOT Drug Testing Semi-Annual Laboratory Report to Employer
Appendix C to Part 40DOT Drug Testing Semi-Annual Laboratory Report to DOT
Appendix D to Part 40Report Format: Split Specimen Failure to Reconfirm
Appendix E to Part 40SAP Equivalency Requirements for Certification Organizations
Appendix F to Part 40Drug and Alcohol Testing Information that C/TPAs May Transmit to Employers
Appendix G to Part 40Alcohol Testing Form (Required for use beginning 01/01/2011. Authorized for use effective 2/25/2010.)
Q&AAppendix G Questions and Answers
Appendix H to Part 40MIS Form and Instructions (Required for use beginning in 2011 to report calendar year 2010 MIS data.)