49 C.F.R. PART 40--PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS
TITLE 49--Transportation
Subtitle A--Office of the Secretary of Transportation
PART 40--PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS
Subpart A--ADMINISTRATIVE PROVISIONS
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| Who does this regulation cover?
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| What do the terms used in this regulation mean?
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| Who issues authoritative interpretations of this regulation?
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| How can you get an exemption from a requirement in this regulation?
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Subpart B--EMPLOYER RESPONSIBILITIES
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| What are the general responsibilities of employers under this regulation?
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| How do DOT drug and alcohol tests relate to non-DOT tests?
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| May an employer use a service agent to meet DOT drug and alcohol testing requirements?
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| Is an employer responsible for obtaining information from its service agents?
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| May an employer stand down an employee before the MRO has completed the verification process?
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| What actions do employers take after receiving verified test results?
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| Must an employer check on the drug and alcohol testing record of employees it is intending to use to perform safety-sensitive duties?
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| What form must an employer use to report Management Information System (MIS) data to a DOT agency?
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| May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program?
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| Where is other information on employer responsibilities found in this regulation?
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Subpart C--URINE COLLECTION PERSONNEL
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| Who may collect urine specimens for DOT drug testing?
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| What training requirements must a collector meet?
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| What information about the DER must employers provide to collectors?
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| Where is other information on the role of collectors found in this regulation?
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Subpart D--COLLECTION SITES, FORMS, EQUIPMENT AND SUPPLIES USED IN DOT URINE COLLECTIONS
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| Where does a urine collection for a DOT drug test take place?
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| What steps must operators of collection sites take to protect the security and integrity of urine collections?
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| What form is used to document a DOT urine collection?
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| May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?
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| What materials are used to collect urine specimens?
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| What materials are used to send urine specimens to the laboratory?
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Subpart E--URINE SPECIMEN COLLECTIONS
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| What are the preliminary steps in the collection process?
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| What steps does the collector take in the collection process before the employee provides a urine specimen?
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| What does the collector check for when the employee presents a specimen?
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| When and how is a directly observed collection conducted?
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| How is a monitored collection conducted?
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| How does the collector prepare the specimens?
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| How is the collection process completed?
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Subpart F--DRUG TESTING LABORATORIES
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| What laboratories may be used for DOT drug testing?
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| How do laboratories process incoming specimens?
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| What drugs do laboratories test for?
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| What are the cutoff concentrations for initial and confirmation tests?
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| What is validity testing, and are laboratories required to conduct it?
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| What validity tests must laboratories conduct on primary specimens?
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| What criteria do laboratories use to establish that a specimen is dilute or substituted?
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| What criteria do laboratories use to establish that a specimen is adulterated?
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| What do laboratories report and how do they report it?
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| How long does the laboratory retain specimens after testing?
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| What relationship may a laboratory have with an MRO?
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| What are the requirements for submitting blind specimens to a laboratory?
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| What happens if the laboratory reports a result different from that expected for a blind specimen?
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| Who may inspect laboratories?
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| What documentation must the laboratory keep, and for how long?
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| When and how must a laboratory disclose statistical summaries and other information it maintains?
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| Where is other information concerning laboratories found in this regulation?
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Subpart G--MEDICAL REVIEW OFFICERS AND THE VERIFICATION PROCESS
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| Who is qualified to act as an MRO?
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| What are the MRO's responsibilities in the DOT drug testing program?
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| What relationship may an MRO have with a laboratory?
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| What are the MRO's functions in reviewing negative test results?
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| What are the MRO's functions in reviewing laboratory confirmed positive, adulterated, substituted, or invalid drug test results?
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| How does the MRO or DER notify an employee of the verification process after a confirmed positive, adulterated, substituted, or invalid test result?
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| 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?
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| What does the MRO tell the employee at the beginning of the verification interview?
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| On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, or PCP?
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| On what basis does the MRO verify test results involving opiates?
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| How does the MRO obtain information for the verification decision?
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| On what basis does the MRO verify test results involving adulteration or substitution?
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| May the MRO change a verified positive drug test result or refusal to test?
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| What are MROs prohibited from doing as part of the verification process?
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| How does the MRO notify employees of their right to a test of the split specimen?
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| What does the MRO do when a negative or positive test result is also dilute?
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| What does the MRO do when a drug test result is invalid?
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| What does the MRO do when a drug test specimen is rejected for testing?
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| How does the MRO report drug test results?
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| To whom does the MRO transmit reports of drug test results?
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| How are MRO reports of drug results transmitted to the employer?
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| Where is other information concerning the role of MROs and the verification process found in this regulation?
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Subpart H--SPLIT SPECIMEN TESTS
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| How does an employee request a test of a split specimen?
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| Who is responsible for paying for the test of a split specimen?
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| What steps does the first laboratory take with a split specimen?
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| What does the second laboratory do with the split specimen when it is tested to reconfirm the presence of a drug or drug metabolite?
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| What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result?
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| What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result?
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| What information do laboratories report to MROs regarding split specimen results?
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| Through what methods and to whom must a laboratory report split specimen results?
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| What does the MRO do with split specimen laboratory results?
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| Where is other information concerning split specimens found in this regulation?
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Subpart I--PROBLEMS IN DRUG TESTS
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| What is a refusal to take a DOT drug test, and what are the consequences?
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| What happens when an employee does not provide a sufficient amount of urine for a drug test?
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| 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?
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| What happens when an employer receives a report of a dilute specimen?
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| What problems always cause a drug test to be cancelled?
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| What problems always cause a drug test to be cancelled and may result in a requirement for another collection?
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| What problems cause a drug test to be cancelled unless they are corrected?
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| How are drug test problems corrected?
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| What is the effect of a cancelled drug test?
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| What problem requires corrective action but does not result in the cancellation of a test?
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| What procedural problems do not result in the cancellation of a test and do not require collection?
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Subpart J--ALCOHOL TESTING PERSONNEL
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| Who conducts DOT alcohol tests?
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| What training requirements must STTs and BATs meet?
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| What information about the DER do employers have to provide to BATs and STTs?
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| Where is other information on the role of STTs and BATs found in this regulation?
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Subpart K--TESTING SITES, FORMS, EQUIPMENT AND SUPPLIES USED IN ALCOHOL TESTING
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| Where does an alcohol test take place?
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| What steps must be taken to protect the security of alcohol testing sites?
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| What form is used for an alcohol test?
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| May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests?
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| What devices are used to conduct alcohol screening tests?
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| What devices are used to conduct alcohol confirmation tests?
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| What are the requirements for proper use and care of EBTs?
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| What are the requirements for proper use and care of ASDs?
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Subpart L--ALCOHOL SCREENING TESTS
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| What are the first steps in any alcohol screening test?
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| What is the procedure for an alcohol screening test using an EBT or non-evidential breath ASD?
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| What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD?
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| What procedures does the BAT or STT follow after a screening test result?
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Subpart M--ALCOHOL CONFIRMATION TESTS
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| What are the first steps in an alcohol confirmation test?
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| What are the procedures for conducting an alcohol confirmation test?
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| What happens next after the alcohol confirmation test result?
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Subpart N--PROBLEMS IN ALCOHOL TESTING
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| What is a refusal to take an alcohol test, and what are the consequences?
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| What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test?
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| What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test?
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| What problems always cause an alcohol test to be cancelled?
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| What problems cause an alcohol test to be cancelled unless they are corrected?
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| How are alcohol testing problems corrected?
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| What is the effect of a cancelled alcohol test?
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| What is the effect of procedural problems that are not sufficient to cancel an alcohol test?
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| Are alcohol tests other than saliva or breath permitted under these regulations?
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Subpart O--SUBSTANCE ABUSE PROFESSIONALS AND THE RETURN-TO-DUTY PROCESS
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| Who is qualified to act as a SAP?
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| How does a certification organization obtain recognition for its members as SAPs?
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| When is a SAP evaluation required?
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| What information is an employer required to provide concerning SAP services to an employee who has a DOT drug and alcohol regulation violation?
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| Are employers required to provide SAP and treatment services to employees?
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| 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?
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| What is the SAP's function in conducting the initial evaluation of an employee?
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| May employees or employers seek a second SAP evaluation if they disagree with the first SAP's recommendations?
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| Does anyone have the authority to change a SAP's initial evaluation?
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| What is the SAP's role and what are the limits on a SAP's discretion in referring employees for education and treatment?
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| What is the SAP's function in the follow-up evaluation of an employee?
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| 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?
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| How does the return-to-duty process conclude?
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| What is the SAP's function in prescribing the employee's follow-up tests?
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| What are the employer's responsibilities with respect to the SAP's directions for follow-up tests?
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| What are the requirements concerning SAP reports?
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| Where is other information on SAP functions and the return-to-duty process found in this regulation?
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Subpart P--CONFIDENTIALITY AND RELEASE OF INFORMATION
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| What is the general confidentiality rule for drug and alcohol test information?
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| May program participants release drug or alcohol test information in connection with legal proceedings?
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| When must the MRO report medical information gathered in the verification process?
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| What information must laboratories, MROs, and other service agents release to employees?
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| To what additional parties must employers and service agents release information?
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| What records must employers keep?
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Subpart Q--ROLES AND RESPONSIBILITIES OF SERVICE AGENTS
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| Must service agents comply with DOT drug and alcohol testing requirements?
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| What tasks may a service agent perform for an employer?
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| In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers?
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| What functions may C/TPAs perform with respect to administering testing?
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| What records may a service agent receive and maintain?
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| What confidentiality requirements apply to service agents?
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| What principles govern the interaction between MROs and other service agents?
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| What limitations apply to the activities of service agents?
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Subpart R--PUBLIC INTEREST EXCLUSIONS
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| What is the purpose of a public interest exclusion (PIE)?
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| On what basis may the Department issue a PIE?
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| What is the Department's policy concerning starting a PIE proceeding?
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| Who initiates a PIE proceeding?
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| What is the discretion of an initiating official in starting a PIE proceeding?
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| On what information does an initiating official rely in deciding whether to start a PIE proceeding?
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| Before starting a PIE proceeding, does the initiating official give the service agent an opportunity to correct problems?
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| How does the initiating official start a PIE proceeding?
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| Who decides whether to issue a PIE?
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| How do you contest the issuance of a PIE?
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| What information do you present to contest the proposed issuance of a PIE?
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| What procedures apply if you contest the issuance of a PIE?
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| Who bears the burden of proof in a PIE proceeding?
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| What matters does the Director decide concerning a proposed PIE?
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| What factors may the Director consider?
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| What is the scope of a PIE?
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| How long does a PIE stay in effect?
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| Can you settle a PIE proceeding?
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| When does the Director make a PIE decision?
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| How does the Department notify service agents of its decision?
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| How does the Department notify employers and the public about a PIE?
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| Must a service agent notify its clients when the Department issues a PIE?
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| May the Federal courts review PIE decisions?
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| May a service agent ask to have a PIE reduced or terminated?
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| What does the issuance of a PIE mean to transportation employers?
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| What is the role of the DOT Inspector General's office?
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| How are notices sent to service agents?
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Appendix H to Part 40--DOT Drug and Alcohol Testing Management Information System (MIS) Data Collection Form
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