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?		Q&A
  § 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?