Summary of Trucking Regs for Drug/Alcohol Testing 49 CFR Part 40

We thought it might be helpful to explain some of the Commerical Trucking Regulations for those interested in such things. What follows is a summary of the Drug and Alcohol Testing procedures in 49 CFR Part 40 of the commercial trucking regulations. You can read the full text of the regulations by clicking here.

Overview of DOT Drug and Alcohol Testing Regulations

This document outlines the procedures and responsibilities related to drug and alcohol testing in the transportation sector as mandated by the Department of Transportation (DOT).

Coverage of the Regulation

The regulation applies to various parties involved in drug and alcohol testing.

It includes transportation employers, safety-sensitive employees, and service agents.
The regulation does not conflict with the Federal Railroad Administration's post-accident testing program.

Definitions of Key Terms

The document provides definitions for important terms used in the regulation.

"Adulterated specimen" refers to altered specimens showing abnormal results.
"Alcohol concentration" is measured in grams of alcohol per 210 liters of breath.
"Collector" is a person who assists employees in the specimen collection process.

Employer Responsibilities in Testing

Employers have specific responsibilities under the regulation.

Employers must ensure compliance with drug and alcohol testing requirements.
They are responsible for obtaining information from service agents.
Employers must check the drug and alcohol testing records of employees performing safety-sensitive duties.

Specimen Collection Procedures

The document details the procedures for collecting urine and oral fluid specimens.

Urine collections must take place at designated collection sites.
Collectors must follow specific steps to ensure the security and integrity of the specimens.
Oral fluid collections are considered direct observation collections.

Laboratory Testing and Reporting

Laboratories play a crucial role in the drug testing process.

Only HHS-certified laboratories can be used for DOT drug testing.
Laboratories must retain specimens for a specified duration after testing.
They report results to Medical Review Officers (MROs) for further evaluation.

Role of Medical Review Officers

MROs are responsible for reviewing and verifying drug test results.

They evaluate medical explanations for certain test results.
MROs notify employees of their rights regarding split specimen testing.
They report verified results to employers.

Handling of Split Specimen Tests

The regulation outlines the process for split specimen testing.

Employees can request a test of a split specimen if they dispute the initial result.
The first laboratory conducts initial testing, while a second laboratory confirms results.
Laboratories must report split specimen results to MROs.

Addressing Problems in Drug Testing

The document specifies how to handle various issues that may arise during drug testing.

A "refusal" to take a test has defined consequences.
Problems leading to a cancelled test must be corrected or addressed.
Specific procedural issues do not result in test cancellation but require corrective action.

Alcohol Testing Procedures and Responsibilities

The regulation includes detailed procedures for alcohol testing.

Alcohol tests must be conducted by trained personnel, such as Breath Alcohol Technicians (BATs).
Specific devices are required for screening and confirmation tests.
The document outlines the steps to ensure the security of alcohol testing sites.

Confidentiality and Release of Information

Confidentiality rules govern the handling of drug and alcohol test information.

Program participants must adhere to strict confidentiality guidelines.
Certain information may be released in connection with legal proceedings.
Employers must maintain records of drug and alcohol testing as specified.

Refresher Training Requirements for Collectors

Refresher training is essential for qualified collectors, BATs, and STTs to stay updated on drug and alcohol testing regulations and technologies.

Periodic training is required for collectors, BATs, and STTs.
Training covers basic requirements and updates on technology and regulations.
Can be delivered through various means such as classroom, internet, or video.

Definitions of Key Terms in Drug Testing

The document outlines important definitions related to drug and alcohol testing processes.

"Rejected for testing" refers to specimens not tested due to fatal flaws.
"Screening Test Technician (STT)" assists in the alcohol testing process.
"Service agent" includes entities providing services related to DOT testing requirements.
"Specimen" refers to the material collected for testing, such as urine or oral fluid.

Authority for Interpretations of Regulations

The ODAPC and DOT Office of General Counsel provide official interpretations of drug and alcohol testing regulations.

Written interpretations are the only authoritative guidance on the regulations.
Only interpretations issued after August 1, 2001, are considered valid.

Exemption Requests from Regulation Requirements

Employers can request exemptions from specific regulations under certain conditions.

Requests must be made in writing to the Office of the Secretary of Transportation.
Exemptions are granted only for special circumstances that make compliance impractical.
Written responses will be provided for all exemption requests.

Employer Responsibilities Under DOT Regulations

Employers are responsible for adhering to all drug and alcohol testing regulations and ensuring compliance by their agents.

Employers must meet all applicable requirements of the regulations.
They are accountable for the actions of their officials and service agents.
All agreements with service agents must comply with DOT regulations.

Relationship Between DOT and Non-DOT Tests

DOT drug and alcohol tests must be conducted separately from non-DOT tests.

DOT tests take priority and must be completed before any non-DOT tests.
No additional tests are allowed on DOT specimens except those authorized by regulations.

Collection Information Required for Specimen Collection

Employers must provide specific information to collectors before a specimen collection.

Required information includes the employee's full name, SSN, and laboratory details.
Test reasons and whether the test is to be observed must also be provided.

Use of Service Agents in DOT Testing

Employers may utilize service agents to fulfill DOT drug and alcohol testing requirements.

Employers must ensure service agents meet DOT qualifications.
Employers remain responsible for compliance even when using service agents.

Employer's Responsibility for Information from Service Agents

Employers must obtain necessary information from service agents regarding drug and alcohol testing.

Employers cannot assume no news is good news regarding test results.
They must ensure compliance with regulations before allowing employees to perform safety-sensitive functions.

Stand-Down Procedures for Employees

Employers are restricted in standing down employees based on test results before MRO verification.

A waiver from the DOT agency is required to stand down an employee.
Employers must provide a written policy regarding stand-down procedures.

Actions Required After Receiving Verified Test Results

Employers must take immediate action upon receiving verified test results.

Verified positive drug test results require immediate removal from safety-sensitive functions.
Adulterated or substituted test results are treated as refusals to test.

Checking Drug and Alcohol Testing Records

Employers must check the drug and alcohol testing records of employees before assigning safety-sensitive duties.

Written consent from the employee is required to request this information.
Employers must not allow employees to perform safety-sensitive functions without reviewing their testing history.

Reporting Management Information System (MIS) Data

Employers must use the designated form to report MIS data to DOT agencies.

The U.S. Department of Transportation Drug and Alcohol Testing MIS Data Collection Form is required.

Consent and Release Requirements for Testing

Employers cannot require employees to sign consent or release forms related to drug and alcohol testing.

This includes any part of the testing process covered by the regulations.

Specimen Collection Personnel Requirements

Only qualified collectors are authorized to collect urine specimens for DOT drug testing.

Collectors must meet specific training and qualification requirements.
Immediate supervisors of the employee being tested cannot act as collectors.

Training Requirements for Urine and Oral Fluid Collectors

Collectors must undergo training to ensure proficiency in specimen collection.

Training includes knowledge of procedures, problem collections, and maintaining integrity.
Refresher training is required every five years.

Documentation and Security in Specimen Collection

Proper documentation and security measures must be in place during specimen collection.

Collectors must maintain control over specimens and ensure privacy.
Collection sites must be secure and prevent unauthorized access.

Collection Site Requirements for Urine and Oral Fluid Testing

Collection sites must meet specific requirements for conducting urine and oral fluid tests.

Facilities must ensure privacy and security during the collection process.
Shipping containers must protect specimens during transport to laboratories.

Steps for Urine Specimen Collection

The collector must follow specific procedures before the employee provides a urine specimen.

Ensure all items under Step 1 of the CCF are complete and accurate.
Instruct the employee to wash and dry hands, prohibiting further access to water or materials.
Select a sealed collection container, ensuring no other items are taken into the urination room.
Direct the employee to provide at least 45 mL of urine without flushing the toilet.
Monitor for any signs of tampering during the collection process.

Checking Urine Specimen Upon Submission

The collector must verify the urine specimen's sufficiency, temperature, and signs of tampering.

Confirm the specimen contains at least 45 mL of urine.
Check the temperature within four minutes; acceptable range is 32-38 °C (90-100 °F).
Inspect for unusual color or foreign objects indicating tampering.
If any issues arise, follow procedures for "shy bladder" or conduct a new collection under direct observation.

Directly Observed Urine Collection Procedures

Certain conditions necessitate a directly observed urine collection to ensure integrity.

Immediate collection under direct observation is required if a specimen is invalid or shows signs of tampering.
The observer must be the same gender as the employee.
The collector must explain the reason for the observed collection to the employee.
The observer must ensure the employee does not have any prosthetic devices and must watch the urination process.

Monitored Urine Collection Guidelines

Monitored collections are required in specific situations to prevent tampering.

Conduct a monitored collection if unable to secure all sources of water in a multi-stall restroom.
The monitor must be the same gender as the employee and cannot watch the urination process.
The monitor ensures the employee delivers the specimen directly to the collector.

Preparing Urine Specimens for Testing

The collector must properly prepare urine specimens for laboratory analysis.

All collections must be split specimen collections.
Pour at least 30 mL into one bottle for the primary specimen and 15 mL into another for the split specimen.
Seal and label the bottles appropriately, ensuring the employee initials the seals.
Discard any excess urine after filling the specimen bottles.

Oral Fluid Specimen Collection Procedures

The collector must ensure the oral cavity is clear before collecting an oral fluid specimen.

Inspect the employee's mouth for any items that could interfere with the collection.
If necessary, allow the employee to rinse their mouth with water before starting the collection.
Maintain visual contact during the collection process and document any unusual behavior.

Validity Testing for Urine and Oral Fluid Specimens

Laboratories must conduct validity testing to ensure specimens are consistent with normal human samples.

Urine specimens must undergo tests for creatinine concentration, specific gravity, and pH.
Oral fluid specimens may be tested for biomarkers or specific adulterants.
Invalid results must be reported, and the MRO may be consulted for further testing.

Reporting Laboratory Results

Laboratories must report drug test results to the MRO in a specific format.

Results are categorized as negative, non-negative, or rejected for testing.
Negative results must include details such as specimen ID and collector's name.
Non-negative results must specify the drugs involved and any adulteration.
Reports must be transmitted securely and promptly to ensure confidentiality.

Responsibilities of Medical Review Officers (MROs)

MROs play a critical role in ensuring the integrity of the drug testing process.

They act as impartial gatekeepers for the accuracy of test results.
MROs review the chain of custody and provide feedback on performance issues.
They determine if there is a legitimate medical explanation for positive or invalid results.

MRO Responsibilities in Drug Testing

The MRO must ensure compliance with regulations while maintaining confidentiality and timely reporting of drug test results.

MROs do not establish a doctor-patient relationship with employees.
They must investigate and correct issues related to test results and notify relevant parties.
Confidentiality of drug testing information is paramount.
MROs must comply with DOT regulations and ensure timely flow of test results to employers.

MRO and Laboratory Relationships

MROs must avoid conflicts of interest with laboratories to maintain impartiality in drug testing.

MROs cannot have financial ties to specific laboratories used by employers.
Relationships that create a conflict of interest are prohibited.

Reviewing Negative Test Results

MROs have specific procedures to follow when reviewing negative drug test results.

Review Copy 2 of the CCF for errors that may require corrective action.
Ensure negative results are consistent with CCF information before reporting.
MROs must possess necessary documentation before reporting results.
Staff may assist with administrative functions, but only the MRO can cancel a test.

Handling Non-Negative Test Results

MROs must follow strict protocols when verifying non-negative drug test results.

Review CCF for errors and ensure consistency with laboratory results.
Conduct a verification interview with the employee unless specific conditions apply.
MROs must verify results as positive, cancelled, or negative based on findings.

Notification Process for Employees

MROs are required to notify employees of the verification process after receiving non-negative results.

Direct contact with the employee is necessary to discuss test results.
MROs must document attempts to reach the employee if initial contact fails.
Employers must assist in contacting employees if MROs cannot reach them.

Circumstances for Verification Without Interview

MROs can verify test results without an interview under certain conditions.

Verification can occur if the employee declines to discuss the result.
If the DER has contacted the employee and 72 hours have passed, verification is allowed.
Verification is also permitted if neither the MRO nor DER can contact the employee within ten days.

Conducting Verification Interviews

MROs must inform employees about the verification interview process and their rights.

Employees must be informed of the positive test results and the drugs involved.
MROs must explain the verification process and the need for further medical evaluation if required.

Verification of Specific Drug Test Results

MROs have specific guidelines for verifying results involving certain drugs, including marijuana and opiates.

Positive results for marijuana and certain opiates must be verified unless a legitimate medical explanation is provided.
Employees bear the burden of proof for legitimate medical explanations.

MRO's Role in Medical Evaluations

MROs must conduct medical evaluations to determine the legitimacy of drug use claims.

MROs can request further medical evaluations and verify authenticity of medical records.
They must ensure that evaluations are conducted by licensed physicians.

Reporting Drug Test Results

MROs are responsible for reporting all drug test results to the DER in a timely and confidential manner.

Reports must include specific information such as employee name, specimen ID, and test results.
MROs must retain copies of reports for specified durations based on the result type.

Split Specimen Testing Procedures

MROs must follow specific procedures when an employee requests a split specimen test.

Employees have 72 hours to request a split specimen test after notification of a verified positive result.
MROs must document the request and notify the laboratory to forward the split specimen for testing.

Split Specimen Testing Procedures

The regulations outline the procedures for testing split specimens in drug testing to confirm or refute results from primary specimens.

Laboratories must test split specimens for drugs or metabolites confirmed in the primary specimen.
Validity tests are required if the split specimen does not reconfirm the primary results.
Laboratories may send specimens for additional testing at another HHS-certified lab if reconfirmation fails.
Specific procedures are established for reconfirming adulterated and substituted test results.

Reporting Split Specimen Results

The guidelines specify how laboratories should report split specimen results to Medical Review Officers (MROs).

Laboratories must report results directly to the MRO, not to the Designated Employer Representative (DER).
Results must be reported immediately, preferably on the same day or the next business day.
MROs categorize results into five categories based on reconfirmation outcomes, including positive, negative, and invalid results.

Consequences of Refusal to Test

The text details what constitutes a refusal to take a drug test and the associated consequences for employees.

Refusal includes failing to appear for a test, not providing a specimen, or leaving the testing site prematurely.
Employees who refuse to test incur consequences as specified under DOT regulations, which cannot be overturned by non-Federal forums.
Collectors and MROs must document refusals and notify the DER immediately.

Handling Insufficient Specimen Issues

The regulations provide steps for collectors when an employee does not provide a sufficient specimen for testing.

Collectors must offer another opportunity to provide a specimen and may urge the employee to drink fluids.
If insufficient specimens are provided within three hours, the collection must be discontinued, and the DER must be notified.
A medical evaluation may be required if the employee fails to provide a sufficient specimen.

Medical Review Officer Responsibilities

MROs have specific responsibilities regarding the evaluation of drug test results and employee medical conditions.

MROs must determine if there is clinical evidence of drug use when an employee cannot provide a sufficient specimen.
If no evidence of drug use is found, the MRO reports a negative test; if evidence is found, the test is reported as cancelled.
MROs must consider recommendations from referral physicians regarding medical conditions affecting specimen provision.

Alcohol Testing Procedures and Requirements

The text outlines the procedures and requirements for conducting DOT alcohol tests, including personnel qualifications and testing sites.

Only qualified Screening Test Technicians (STTs) and Breath Alcohol Technicians (BATs) can conduct alcohol tests.
Alcohol testing must occur at secure sites that ensure privacy and have necessary equipment.
The DOT Alcohol Testing Form (ATF) must be used for all tests, and modifications are limited to specific circumstances.

Device Requirements for Alcohol Testing

The regulations specify the types of devices that can be used for alcohol testing and their operational requirements.

Approved Screening Devices (ASDs) can only be used for screening tests, while Evidential Breath Testing (EBT) devices are used for confirmation tests.
EBTs must provide printed results, perform calibration checks, and distinguish alcohol from acetone.
Manufacturers must submit quality assurance plans for their devices to ensure proper use and maintenance.

Alcohol Screening Test Procedures

The procedures for conducting alcohol screening tests are detailed and must be followed precisely to ensure compliance and accuracy.

The BAT or STT must contact the DER if an employee does not arrive for a scheduled test.
Alcohol testing must begin without undue delay upon the employee's arrival.
Positive identification of the employee is required, and acceptable forms include a photo ID or verification from an employer representative.
The testing procedure must be explained to the employee, and they must complete the ATF certification.
Specific steps for using EBTs, saliva ASDs, and breath tube ASDs are outlined, including device checks and result documentation.

Alcohol Confirmation Test Procedures

The confirmation test process follows specific steps to ensure accurate results after an initial screening test.

A waiting period of at least 15 minutes is required before conducting the confirmation test.
The BAT must conduct an air blank test before the confirmation test and show the results to the employee.
A new mouthpiece must be used for the confirmation test, and the employee must blow into the device as instructed.
Results must be displayed and documented correctly, with specific procedures for handling invalid tests.

Handling Alcohol Test Results

The actions taken after receiving alcohol test results depend on the concentration levels detected.

If the result is less than 0.02, the BAT must sign and transmit the result to the DER confidentially.
A result of 0.02 or higher requires the employee to undergo a confirmation test, with specific instructions provided to the employee.
If the screening test is invalid, the BAT must cancel the test and document the issue.

Refusal to Test and Consequences

Refusal to take an alcohol test can lead to significant consequences for the employee.

An employee is considered to have refused if they fail to appear for a test or do not provide an adequate specimen.
Refusal incurs the same consequences as a violation of DOT regulations, which cannot be overturned by non-Federal forums.
The BAT or STT must document refusals and notify the DER immediately.

Problems in Alcohol Testing

Certain issues can lead to the cancellation of alcohol tests, categorized as fatal flaws or correctable flaws.

Fatal flaws include improper timing of result readings, device malfunctions, and failure to conduct required air blanks.
Correctable flaws can be addressed, such as missing signatures or using non-DOT forms, but must be rectified promptly to avoid cancellation.

Role of Substance Abuse Professionals (SAPs)

SAPs play a crucial role in evaluating employees who have violated DOT drug and alcohol regulations.

SAPs must conduct comprehensive assessments and recommend appropriate education or treatment.
They are responsible for follow-up evaluations to ensure compliance with treatment recommendations.
SAPs cannot change their evaluations based on external pressures and must maintain confidentiality.

Return-to-Duty Process for Employees

The return-to-duty process involves several steps to ensure employee compliance with SAP recommendations.

Employees must complete a return-to-duty test after successfully complying with SAP recommendations.
Employers are not required to return employees to safety-sensitive duties even if they meet the conditions for return.
Follow-up testing plans must be established by the SAP and adhered to by the employer.

Documentation and Reporting Requirements

Proper documentation and reporting are essential throughout the alcohol testing and evaluation process.

SAP reports must be sent directly to the DER and include specific information about the employee and the assessment.
Employers must ensure they receive unaltered reports directly from the SAP.
Documentation must include the employee's name, reason for assessment, and SAP recommendations.

SAP Written Report Requirements

The SAP's written report must adhere to specific guidelines to ensure compliance and proper documentation.

Must be on the SAP's own letterhead, signed, and dated.
Includes employee's name, SSN or ID, and employer's name and address.
Details the reason for the initial assessment, including specific DOT violations and dates.
Specifies the dates and format of the initial assessment and treatment plan synopsis.
Lists the names of practices or services providing recommended education/treatment.
Includes inclusive dates of program participation and clinical characterization of participation.
Contains SAP's clinical determination regarding successful compliance or lack thereof.
Outlines follow-up testing plans and continuing care needs with recommendations.
Must include SAP's contact number.

Confidentiality and Release of Information

Service agents and employers must maintain strict confidentiality regarding drug and alcohol test information.

Prohibited from releasing individual test results or medical information without specific written consent from the employee.
"Third party" refers to any unauthorized person or organization.
"Specific written consent" must identify the information, recipient, and time frame.
Blanket releases are not allowed.

Legal Proceedings and Test Information

Employers may release drug and alcohol test information in certain legal contexts without employee consent.

Includes lawsuits, grievances, and administrative proceedings related to positive tests or refusals.
Information may be released to decision-makers in these proceedings with binding stipulations.
Service agents must provide requested information to employers for legal proceedings.

MRO Reporting Medical Information

MROs must report medical information without employee consent if it indicates a safety risk.

Information must be reported to employers, healthcare providers, SAPs, DOT agencies, or NTSB during investigations.
Must not use the CCF for reporting; separate written communication is required.

Employee Access to Testing Records

Employees have the right to access their drug and alcohol testing records.

MROs and service agents must provide records within 10 business days of a written request.
Laboratories must provide records through the MRO upon request.

Employer and Service Agent Record-Keeping

Employers and service agents must maintain specific records for defined periods.

Records of positive drug tests and alcohol tests ≥ 0.02 must be kept for five years.
Records of negative tests must be kept for one year.
Employers must ensure records are accessible and organized for DOT agency representatives.

Service Agent Compliance with DOT Regulations

Service agents must comply with DOT drug and alcohol testing requirements to avoid penalties.

Non-compliance may lead to Public Interest Exclusions (PIEs) from the DOT program.
Service agents must perform tasks needed for compliance and maintain confidentiality.

Public Interest Exclusions (PIEs)

PIEs are used to protect the public from service agents that fail to comply with DOT regulations.

Issued for serious noncompliance affecting safety and testing integrity.
Service agents may contest PIEs and provide corrective actions within specified time frames.

Notification and Record Transfer Requirements

Service agents must notify clients of PIEs and offer to transfer records.

Must inform DOT-regulated employers within three business days of receiving a PIE notice.
Records must be transferred immediately upon request from the employer.

Judicial Review of PIE Decisions

The issuance of a PIE is subject to judicial review under the Administrative Procedure Act.

Service agents can contest PIE decisions and request reductions or terminations after nine months.

Oral Fluid Collection Kit Requirements

The oral fluid collection kit must meet specific design and material standards to ensure specimen integrity and tamper-evidence.

Must include a tamper-evident seal that does not obscure printed information when initialed.
Kits must be wrapped in sealed plastic bags or shrink-wrapped, either individually or as a set.
Plastic materials used must be leach resistant to maintain specimen integrity.
Each kit must contain absorbent material sufficient to absorb the contents of both specimen bottles.
A leak-resistant plastic bag with two compartments is required for specimen bottles and paperwork.

Shipping Container Specifications

The shipping container must protect specimens during transport and can be provided separately from the collection kit.

Must adequately protect specimen bottles from damage during shipment.
Can be a standard courier box, small cardboard box, or plastic container.
Not necessary if a laboratory courier hand-delivers the specimens.

Drug Testing Reporting Requirements

Laboratories must report specific data regarding urine and oral fluid specimens to employers and the Department of Transportation (DOT).

Reports must include total number of specimens by test reason (e.g., pre-employment, random).
Must detail the number of negative, positive, and rejected specimens, including reasons for rejection.
Positive results must be categorized by drug type, including marijuana, cocaine, opioids, and amphetamines.

Certification Requirements for SAPs

Substance Abuse Professionals (SAPs) must meet specific qualifications to ensure quality evaluation and referral services.

Minimum of three years or 6,000 hours of supervised experience in drug abuse counseling is required.
Must complete 270 contact hours of education and training in related fields.
Continuing education of 40-60 hours every two years is mandatory for re-certification.
Certification must be valid across all 50 states and accredited by the National Commission for Certifying Agencies (NCCA).

C/TPA Information Transmission Guidelines

C/TPAs may transmit specific drug and alcohol testing information to employers while adhering to confidentiality requirements.

Permitted to transmit previous two years' test results and notifications regarding employee test status.
Must ensure compliance with confidentiality and timing requirements when transmitting information.
Prohibited from transmitting medical information or SAP reports directly to employers.

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