| FORMS
Revenue Accident Costs
49
CFR Part 40
49
CFR Part 383-51 Convictions Diagram
49
CFR Parts 383 & 384
49
CFR Prts 390 & 391 Safety Performance History
MIS Form
49
CFR Part 382: Title (Controlled Substances And Alcohol Use
And Testing)
49 CFR
Transportation
Subtitle A
Office of the Secretary of Transportation
PART 40 -- PROCEDURES
FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS
Subpart A -- Administrative
Provisions
40.1 - Who does this regulation cover?
40.3 - What do the terms used in this regulation
mean?
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?
40.17 - Is an employer responsible for obtaining
information from its service agents?
40.21 - May an employer stand down an employee before
the MRO has completed the verification process?
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?
40.26 – What form must an employer use to report
Management Information Systems, (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?
40.35 - What information about the DER must employers
provide to collectors?
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?
40.45 - What form is used to document a DOT urine
collection?
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?
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?
40.67 - When and how is a directly observed collection
conducted?
40.69 - How is a monitored collection conducted?
40.71 - How does the collector prepare the specimens?
40.73 - How is the collection process completed?
Subpart F -- Drug Testing Laboratories
40.81 - What laboratories may be used for DOT drug
testing?
40.83 - How do laboratories process incoming specimens?
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 criteria do laboratories use to establish
that a specimen is adulterated?
40.97 - What do laboratories report and how do they
report it?
40.99 - How long does the laboratory retain specimens
after testing?
40.101 - What relationship may a laboratory have
with an MRO?
40.103 - What are the requirements for submitting
blind specimens to a laboratory?
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?
40.129 - What are the MRO's functions in reviewing
laboratory confirmed positive, adulterated, substituted, or
invalid drug test results?
40.131 - How does the MRO or DER notify an employee
of the verification process after a confirmed positive, adulterated,
substituted, or invalid test result?
40.133 - Under what circumstances may the MRO verify
a test as positive, or as a refusal to test because of adulteration
or substitution, without interviewing the employee?
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?
40.145 - On what basis does the MRO verify test
results involving adulteration or substitution?
40.149 - May the MRO change a verified positive
drug test result or refusal to test?
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?
40.159 - What does the MRO do when a drug test result
is invalid?
40.161 - What does the MRO do when a drug test specimen
is rejected for testing?
40.163 - How does the MRO report drug test results?
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?
40.171 - How does an employee request a test of
a split specimen?
Subpart H --
Split Specimen Tests
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?
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?
40.193 - What happens when an employee does not
provide a sufficient amount of urine for a drug test?
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?
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?
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 collection?
40.211 - Who conducts DOT alcohol tests?
Subpart J -- Alcohol Testing Personnel
40.213 - What training requirements must STTs and
BATs meet?
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?
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?
40.231 - What devices are used to conduct alcohol
confirmation tests?
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?
40.241 - What are the first steps in any alcohol
screening test?
Subpart L -- Alcohol Screening Tests
40.243 - What is the procedure for an alcohol screening
test using an EBT or non-evidential breath ASD?
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?
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?
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?
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?
40.293 - What is the SAP's function in conducting
the initial evaluation of an employee?
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?
40.309 - What are the employer's responsibilities
with respect to the SAP's directions for follow-up tests?
40.311 - What are requirements concerning SAP reports?
40.313 - Where is other information on SAP functions
and the return- to-duty process found in this regulation?
Subpart P -- Problems in Alcohol Testing
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?
40.327 - When must the MRO report medical information
gathered in the verification process?
40.329 - What information must laboratories, MROs,
and other service agents release to employees?
40.331 - To what additional parties must employers
and service agents release information?
40.333 - What records must employers keep?
Subpart Q -- Problems in Alcohol Testing
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?
40.347 - What functions may C/TPAs perform with
respect 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 Intrest 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?
Appendix A - May the Federal courts review PIE decisions?
Appendix B - May a service agent ask to have a PIE
reduced or terminated?
Appendix D - What does the issuance of a PIE mean
to transportation employers?
Appendix E - What is the role of the DOT Inspector
General's office?
Appendix F - How are notices sent to service agents?
Appendix G - How are notices sent to service agents? |
