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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 Link to PDF Document

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?   Link to PDF Document 
§ 40.3   What do the terms used in this regulation mean?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.5   Who issues authoritative interpretations of this regulation?   Link to PDF Document 
§ 40.7    How can you get an exemption from a requirement in this regulation?   Link to PDF Document 
Subpart B—Employer Responsibilities
§ 40.11   What are the general responsibilities of employers under this regulation?   Link to PDF Document 
§ 40.13     How do DOT drug and alcohol tests relate to non-DOT tests?   Link to PDF Document 
§ 40.14   What collection information must employers provide to collectors?    Link to PDF Document 
§ 40.15     May an employer use a service agent to meet DOT drug and alcohol testing requirements?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.17     Is an employer responsible for obtaining information from its service agents?   Link to PDF Document 
§ 40.19     [Reserved]   Link to PDF Document 
§ 40.21     May an employer stand down an employee before the MRO has completed the verification process?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.23    What actions do employers take after receiving verified test results?   Link to PDF Document 
§ 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?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.26    What form must an employer use to report Management Information System (MIS) data to a DOT agency?   Link to PDF Document 
§ 40.27    May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.29     Where is other information on employer responsibilities found in this regulation?   Link to PDF Document 
Subpart C—Urine Collection Personnel
§ 40.31     Who may collect urine specimens for DOT drug testing?   Link to PDF Document 
§ 40.33     What training requirements must a collector meet?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.35     What information about the DER must employers provide to collectors?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.37     Where is other information on the role of collectors found in this regulation?   Link to PDF Document 
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?   Link to PDF Document 
§ 40.43     What steps must operators of collection sites take to protect the security and integrity of urine collections?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.45     What form is used to document a DOT urine collection?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.47     May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?   Link to PDF Document 
§ 40.49     What materials are used to collect urine specimens?   Link to PDF Document 
§ 40.51     What materials are used to send urine specimens to the laboratory?   Link to PDF Document 
Subpart E—Urine Specimen Collections
§ 40.61     What are the preliminary steps in the collection process?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.63     What steps does the collector take in the collection process before the employee provides a urine specimen?   Link to PDF Document 
§ 40.65     What does the collector check for when the employee presents a specimen?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.67     When and how is a directly observed collection conducted?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.69     How is a monitored collection conducted?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.71     How does the collector prepare the specimens?   Link to PDF Document 
§ 40.73     How is the collection process completed?   Link to PDF Document 
Q&A
Link to PDF Document
Subpart F—Drug Testing Laboratories
§ 40.81     What laboratories may be used for DOT drug testing?   Link to PDF Document 
§ 40.83     How do laboratories process incoming specimens?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.85     What drugs do laboratories test for?   Link to PDF Document 
§ 40.87     What are the cutoff concentrations for initial and confirmation tests?   Link to PDF Document 
§ 40.89     What is validity testing, and are laboratories required to conduct it?   Link to PDF Document 
§ 40.91     What validity tests must laboratories conduct on primary specimens?   Link to PDF Document 
§ 40.93     What criteria do laboratories use to establish that a specimen is dilute or substituted?   Link to PDF Document 
§ 40.95     What are the adulterant cutoff concentrations for initial and confirmation tests?   Link to PDF Document 
§ 40.96     What criteria do laboratories use to establish that a specimen is invalid?  Link to PDF Document  
§ 40.97     What do laboratories report and how do they report it?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.99     How long does the laboratory retain specimens after testing?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.101   What relationship may a laboratory have with an MRO?   Link to PDF Document 
§ 40.103   What are the requirements for submitting blind specimens to a laboratory?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.105   What happens if the laboratory reports a result different from that expected for a blind specimen?   Link to PDF Document 
§ 40.107    Who may inspect laboratories?   Link to PDF Document 
§ 40.109    What documentation must the laboratory keep, and for how long?   Link to PDF Document 
§ 40.111    When and how must a laboratory disclose statistical summaries and other information it maintains?   Link to PDF Document 
§ 40.113    Where is other information concerning laboratories found in this regulation?   Link to PDF Document 
Subpart G—Medical Review Officers and the Verification Process
§ 40.121     Who is qualified to act as an MRO?   Link to PDF Document 
§ 40.123     What are the MRO's responsibilities in the DOT drug testing program?   Link to PDF Document 
§ 40.125     What relationship may an MRO have with a laboratory?   Link to PDF Document 
§ 40.127     What are the MRO's functions in reviewing negative test results?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.129     What are the MRO's functions in reviewing laboratory confirmed non-negative drug test results?   Link to PDF Document 
§ 40.131     How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results?   Link to PDF Document 
Q&A
Link to PDF Document
§ 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?   Link to PDF Document 
§ 40.135     What does the MRO tell the employee at the beginning of the verification interview?   Link to PDF Document 
§ 40.137     On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, or PCP?   Link to PDF Document 
§ 40.139     On what basis does the MRO verify test results involving opiates?   Link to PDF Document 
§ 40.140   On what basis does the MRO verify test results for 6-acetylmorphine (6–AM)?   Link to PDF Document 
§ 40.141     How does the MRO obtain information for the verification decision?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.143     [Reserved]    
§ 40.145     On what basis does the MRO verify test results involving adulteration or substitution?   Link to PDF Document 
§ 40.147     [Reserved]    
§ 40.149     May the MRO change a verified drug test result?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.151     What are MROs prohibited from doing as part of the verification process?   Link to PDF Document 
§ 40.153     How does the MRO notify employees of their right to a test of the split specimen?   Link to PDF Document 
§ 40.155     What does the MRO do when a negative or positive test result is also dilute?   Link to PDF Document 
§ 40.157     [Reserved]    
§ 40.159     What does the MRO do when a drug test result is invalid?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.160     What does the MRO do when a valid test result cannot be produced and a negative result is required?  Link to PDF Document  
§ 40.161     What does the MRO do when a drug test specimen is rejected for testing?   Link to PDF Document 
§ 40.162     What must MROs do with multiple verified results for the same testing event?  Link to PDF Document  
§ 40.163     How does the MRO report drug test results?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.165     To whom does the MRO transmit reports of drug test results?   Link to PDF Document 
§ 40.167     How are MRO reports of drug results transmitted to the employer?   Link to PDF Document 
§ 40.169     Where is other information concerning the role of MROs and the verification process found in this regulation?   Link to PDF Document 
Subpart H—Split Specimen Tests
§ 40.171     How does an employee request a test of a split specimen?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.173     Who is responsible for paying for the test of a split specimen?   Link to PDF Document 
§ 40.175     What steps does the first laboratory take with a split specimen?   Link to PDF Document 
§ 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?   Link to PDF Document 
§ 40.179     What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result?   Link to PDF Document 
§ 40.181     What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result?   Link to PDF Document 
§ 40.183     What information do laboratories report to MROs regarding split specimen results?   Link to PDF Document 
§ 40.185     Through what methods and to whom must a laboratory report split specimen results?   Link to PDF Document 
§ 40.187     What does the MRO do with split specimen laboratory results?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.189     Where is other information concerning split specimens found in this regulation?   Link to PDF Document 
Subpart I—Problems in Drug Tests
§ 40.191     What is a refusal to take a DOT drug test, and what are the consequences?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.193     What happens when an employee does not provide a sufficient amount of urine for a drug test?   Link to PDF Document 
Q&A
Link to PDF Document
§ 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?   Link to PDF Document 
§ 40.197     What happens when an employer receives a report of a dilute specimen?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.199     What problems always cause a drug test to be cancelled?   Link to PDF Document 
§ 40.201     What problems always cause a drug test to be cancelled and may result in a requirement for another collection?   Link to PDF Document 
§ 40.203   What problems cause a drug test to be cancelled unless they are corrected?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.205    How are drug test problems corrected?   Link to PDF Document 
§ 40.207     What is the effect of a cancelled drug test?   Link to PDF Document 
§ 40.208     What problem requires corrective action but does not result in the cancellation of a test?   Link to PDF Document 
§ 40.209     What procedural problems do not result in the cancellation of a test and do not require corrective action?   Link to PDF Document 
Q&A
Link to PDF Document
Subpart J—Alcohol Testing Personnel
§ 40.211     Who conducts DOT alcohol tests?     Link to PDF Document 
§ 40.213     What training requirements must STTs and BATs meet?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.215     What information about the DER do employers have to provide to BATs and STTs?   Link to PDF Document 
§ 40.217     Where is other information on the role of STTs and BATs found in this regulation?   Link to PDF Document 
Subpart K—Testing Sites, Forms, Equipment and Supplies Used in Alcohol Testing
§ 40.221     Where does an alcohol test take place?   Link to PDF Document 
§ 40.223     What steps must be taken to protect the security of alcohol testing sites?   Link to PDF Document 
§ 40.225     What form is used for an alcohol test?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.227     May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests?   Link to PDF Document 
§ 40.229     What devices are used to conduct alcohol screening tests?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.231     What devices are used to conduct alcohol confirmation tests?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.233     What are the requirements for proper use and care of EBTs?   Link to PDF Document 
§ 40.235     What are the requirements for proper use and care of ASDs?   Link to PDF Document 
Subpart L—Alcohol Screening Tests
§ 40.241     What are the first steps in any alcohol screening test?   Link to PDF Document 
§ 40.243     What is the procedure for an alcohol screening test using an EBT or non-evidential breath ASD?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.245     What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD?   Link to PDF Document 
§ 40.247     What procedures does the BAT or STT follow after a screening test result?   Link to PDF Document 
Subpart M—Alcohol Confirmation Tests
§ 40.251     What are the first steps in an alcohol confirmation test?   Link to PDF Document 
§ 40.253     What are the procedures for conducting an alcohol confirmation test?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.255     What happens next after the alcohol confirmation test result?   Link to PDF Document 
Subpart N—Problems in Alcohol Testing
§ 40.261     What is a refusal to take an alcohol test, and what are the consequences?   Link to PDF Document 
§ 40.263     What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test?   Link to PDF Document 
§ 40.265     What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.267     What problems always cause an alcohol test to be cancelled?   Link to PDF Document 
§ 40.269     What problems cause an alcohol test to be cancelled unless they are corrected?   Link to PDF Document 
§ 40.271     How are alcohol testing problems corrected?   Link to PDF Document 
§ 40.273     What is the effect of a cancelled alcohol test?   Link to PDF Document 
§ 40.275     What is the effect of procedural problems that are not sufficient to cancel an alcohol test?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.277     Are alcohol tests other than saliva or breath permitted under these regulations?   Link to PDF Document 
Subpart O—Substance Abuse Professionals and the Return-to-Duty Process
§ 40.281     Who is qualified to act as a SAP?   Link to PDF Document 
§ 40.283     How does a certification organization obtain recognition for its members as SAPs?   Link to PDF Document 
§ 40.285     When is a SAP evaluation required?   Link to PDF Document 
§ 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?   Link to PDF Document 
§ 40.289     Are employers required to provide SAP and treatment services to employees?   Link to PDF Document 
§ 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?   Link to PDF Document 
Q&A
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§ 40.293     What is the SAP's function in conducting the initial evaluation of an employee?   Link to PDF Document 
Q&A
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§ 40.295     May employees or employers seek a second SAP evaluation if they disagree with the first SAP's recommendations?   Link to PDF Document 
§ 40.297     Does anyone have the authority to change a SAP's initial evaluation?   Link to PDF Document 
§ 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?   Link to PDF Document 
§ 40.301     What is the SAP's function in the follow-up evaluation of an employee?   Link to PDF Document 
§ 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?   Link to PDF Document 
§ 40.305     How does the return-to-duty process conclude?   Link to PDF Document 
§ 40.307     What is the SAP's function in prescribing the employee's follow-up tests?   Link to PDF Document 
Q&A
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§ 40.309     What are the employer's responsibilities with respect to the SAP's directions for follow-up tests?   Link to PDF Document 
§ 40.311     What are the requirements concerning SAP reports?   Link to PDF Document 
Q&A
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§ 40.313     Where is other information on SAP functions and the return-to-duty process found in this regulation?   Link to PDF Document 
Subpart P—Confidentiality and Release of Information
§ 40.321     What is the general confidentiality rule for drug and alcohol test information?   Link to PDF Document 
§ 40.323     May program participants release drug or alcohol test information in connection with legal proceedings?   Link to PDF Document 
§ 40.325     [Reserved]   Link to PDF Document 
§ 40.327     When must the MRO report medical information gathered in the verification process?   Link to PDF Document 
Q&A
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§ 40.329     What information must laboratories, MROs, and other service agents release to employees?   Link to PDF Document 
Q&A
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§ 40.331     To what additional parties must employers and service agents release information?   Link to PDF Document 
§ 40.333     What records must employers keep?   Link to PDF Document 
Q&A
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Subpart Q—Roles and Responsibilities of Service Agents
§ 40.341     Must service agents comply with DOT drug and alcohol testing requirements?   Link to PDF Document 
§ 40.343     What tasks may a service agent perform for an employer?   Link to PDF Document 
§ 40.345     In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers?   Link to PDF Document 
Q&A
Link to PDF Document
§ 40.347     What functions may C/TPAs perform with respect to administering testing?   Link to PDF Document 
§ 40.349     What records may a service agent receive and maintain?   Link to PDF Document 
§ 40.351     What confidentiality requirements apply to service agents?   Link to PDF Document 
§ 40.353     What principles govern the interaction between MROs and other service agents?   Link to PDF Document 
§ 40.355     What limitations apply to the activities of service agents?   Link to PDF Document 
Subpart R—Public Interest Exclusions
§ 40.361     What is the purpose of a public interest exclusion (PIE)?   Link to PDF Document      
§ 40.363     On what basis may the Department issue a PIE?   Link to PDF Document  
§ 40.365     What is the Department's policy concerning starting a PIE proceeding?   Link to PDF Document  
§ 40.367     Who initiates a PIE proceeding?   Link to PDF Document  
§ 40.369     What is the discretion of an initiating official in starting a PIE proceeding?   Link to PDF Document  
§ 40.371     On what information does an initiating official rely in deciding whether to start a PIE proceeding?   Link to PDF Document  
§ 40.373     Before starting a PIE proceeding, does the initiating official give the service agent an opportunity to correct problems?   Link to PDF Document  
§ 40.375     How does the initiating official start a PIE proceeding?   Link to PDF Document  
§ 40.377     Who decides whether to issue a PIE?   Link to PDF Document  
§ 40.379     How do you contest the issuance of a PIE?   Link to PDF Document  
§ 40.381     What information do you present to contest the proposed issuance of a PIE?   Link to PDF Document  
§ 40.383     What procedures apply if you contest the issuance of a PIE?   Link to PDF Document  
§ 40.385     Who bears the burden of proof in a PIE proceeding?   Link to PDF Document  
§ 40.387     What matters does the Director decide concerning a proposed PIE?   Link to PDF Document  
§ 40.389     What factors may the Director consider?   Link to PDF Document  
§ 40.391     What is the scope of a PIE?   Link to PDF Document  
§ 40.393     How long does a PIE stay in effect?   Link to PDF Document  
§ 40.395     Can you settle a PIE proceeding?   Link to PDF Document  
§ 40.397     When does the Director make a PIE decision?   Link to PDF Document  
§ 40.399     How does the Department notify service agents of its decision?   Link to PDF Document  
§ 40.401     How does the Department notify employers and the public about a PIE?   Link to PDF Document  
§ 40.403     Must a service agent notify its clients when the Department issues a PIE?   Link to PDF Document  
§ 40.405     May the Federal courts review PIE decisions?   Link to PDF Document  
§ 40.407     May a service agent ask to have a PIE reduced or terminated?   Link to PDF Document  
§ 40.409     What does the issuance of a PIE mean to transportation employers?   Link to PDF Document  
§ 40.411     What is the role of the DOT Inspector General's office?   Link to PDF Document  
§ 40.413     How are notices sent to service agents?  Link to PDF Document  
Appendices
Appendix A to Part 40  DOT Standards for Urine Collection Kits   Link to PDF Document  
Appendix B to Part 40  DOT Drug Testing Semi-Annual Laboratory Report to Employer   Link to PDF Document  
Appendix C to Part 40  DOT Drug Testing Semi-Annual Laboratory Report to DOT  Link to PDF Document  
Appendix D to Part 40  Report Format: Split Specimen Failure to Reconfirm  Link to PDF Document  
Appendix E to Part 40  SAP Equivalency Requirements for Certification Organizations   Link to PDF Document  
Appendix F to Part 40  Drug and Alcohol Testing Information that C/TPAs May Transmit to Employers   Link to PDF Document  
Appendix G to Part 40  Alcohol Testing Form (Required for use beginning 01/01/2011. Authorized for use effective 2/25/2010.)   Link to PDF Document 
Q&A
Link to PDF Document
Appendix H to Part 40  MIS Form and Instructions (Required for use beginning in 2011 to report calendar year 2010 MIS data.)   Link to PDF Document  

Last updated: Wednesday, April 25, 2012