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Federal Trucking Regulations List

PART 40 – PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS

(Updated as of August 31, 2009)

Reprinted by the Department of Transportation, Drug and Alcohol Policy and Compliance Office,

1200 New Jersey Avenue, SE, Washington, DC 20590 (202) 366-3784

Subpart A – Administrative Provisions

Subpart B – Employer Responsibilities

Subpart C – Urine Collection Personnel

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

Subpart E – Urine Specimen Collections

Subpart F – Drug Testing Laboratories

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 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?

§ 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 substitution, or as 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?

§ 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?

§ 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?

§ 40.160   What does the MRO do when a valid 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?

§ 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

Subpart I – Problems in Drug Tests

Subpart J – Alcohol Testing Personnel

Subpart K – Testing Sites, Forms, Equipment and Supplies Used in Alcohol Testing

Subpart L – Alcohol Screening Tests

Subpart M – Alcohol Confirmation Tests

Subpart N – Problems in Alcohol Testing

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 the 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 – Confidentiality and Release of Information

Subpart Q – Roles and Responsibilities of Service Agents

Subpart R – Public Interest 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 to Part 40 – DOT Standards for Urine Collection Kits

Appendix B to Part 40 – DOT Drug Testing Semi-Annual Laboratory Report to Employers

Appendix C to Part 40 – DOT Drug Testing Semi-Annual Laboratory Report to DOT

Appendix D to Part 40 – Report Format: Split Specimen Failure to Reconfirm

Appendix E to Part 40 – SAP Equivalency Requirements for Certification Organizations

Appendix F to Part 40 – Drug and Alcohol Testing Information that C/TPAs May Transmit to Employers

Authority: 49 U.S.C. 102, 301, 322, 5331, 20140, 31306, and 45101 et seq.
Source: 65 FR 79526, Dec. 19, 2000, unless otherwise noted.

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