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49 CFR 40.5 - Who issues authoritative interpretations of this regulation? | Regulus

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Regulation documentation

49 CFR Part 40

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titleTitle 49 — Transportation subtitleSubtitle B — Other Regulations Relating to Transportation chapterChapter I — Pipeline and Hazardous Materials Safety Administration, Department of Transportation subchapterSubchapter A — Hazardous Materials and Oil Transportation partPart 40 subpartSubpart A—Administrative Provisions

4 sections

Subpart A—Administrative Provisions4

§ 40.1Who does this regulation cover?§ 40.3What do the terms used in this part mean?§ 40.5Who issues authoritative interpretations of this regulation?§ 40.7How can you get an exemption from a requirement in this regulation?

Subpart B—Employer Responsibilities11

§ 40.11What are the general responsibilities of employers under this regulation?§ 40.13How do DOT drug and alcohol tests relate to non-DOT tests?§ 40.14What collection information must employers provide to collectors?§ 40.15May an employer use a service agent to meet DOT drug and alcohol testing requirements?§ 40.17Is an employer responsible for obtaining information from its service agents?§ 40.19[Reserved]§ 40.21May an employer stand down an employee before the MRO has completed the verification process?§ 40.23What actions do employers take after receiving verified test results?§ 40.25Must an employer check on the drug and alcohol testing record of employees it is intending to use to perform safety-sensitive duties?§ 40.26What form must an employer use to report Management Information System (MIS) data to a DOT agency?§ 40.27May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program?

Subpart C—Specimen Collection Personnel4

§ 40.31Who may collect specimens for DOT drug testing?§ 40.33What training requirements must a collector meet for urine collection?§ 40.35What training requirements must a collector meet for oral fluid collection?§ 40.36What information about the DER must employers provide to collectors?

Subpart D—Collection Sites, Forms, Equipment and Supplies Used in DOT Urine and Oral Fluid Collections10

§ 40.40What form is used to document a DOT collection?§ 40.41May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?§ 40.42Where does a urine collection for a DOT drug test take place?§ 40.43What steps must operators of collection sites and collectors take to protect the security and integrity of urine collections?§ 40.44What materials are used to collect urine specimens?§ 40.45What materials are used to send urine specimens to the laboratory?§ 40.47Where does an oral fluid collection for a DOT drug test take place?§ 40.48What steps must operators of collection sites and collectors take to protect the security and integrity of oral fluid collections?§ 40.49What materials are used to collect oral fluid specimens?§ 40.51What materials are used to send oral fluid specimens to the laboratory?

Subpart E—Specimen Collections11

§ 40.61What are the preliminary steps in the drug testing collection process?§ 40.63What steps does the collector take in the collection process before the employee provides a urine specimen?§ 40.65What does the collector check for when the employee presents a urine specimen?§ 40.67When and how is a directly observed urine collection conducted?§ 40.69How is a monitored urine collection conducted?§ 40.71How does the collector prepare the urine specimen?§ 40.72What steps does the collector take in the collection process before the employee provides an oral fluid specimen?§ 40.73How is an oral fluid specimen collected?§ 40.74How does the collector prepare the oral fluid specimens?§ 40.75-40.78§§ 40.75-40.78 [Reserved]§ 40.79How is the collection process completed?

Subpart F—Drug Testing Laboratories18

§ 40.81What laboratories may be used for DOT drug testing?§ 40.82What drugs do laboratories test for?§ 40.83How do laboratories process incoming specimens?§ 40.84How long does the laboratory retain specimens after testing?§ 40.85What are the cutoff concentrations for urine drug tests?§ 40.86What is urine validity testing, and are laboratories required to conduct it?§ 40.87What validity tests must laboratories conduct on primary urine specimens?§ 40.88What criteria do laboratories use to establish that a urine specimen is dilute or substituted?§ 40.89What are the adulterant cutoff concentrations for initial and confirmation urine tests?§ 40.90What criteria do laboratories use to establish that a urine specimen is invalid?§ 40.91What are the cutoff concentrations for oral fluid drug tests?§ 40.92What is oral fluid validity testing, and are laboratories required to conduct it?§ 40.93What validity tests must laboratories conduct on primary oral fluid specimens?§ 40.97What do laboratories report and how do they report it?§ 40.101What relationship may a laboratory have with an MRO?§ 40.107Who may inspect laboratories?§ 40.109What documentation must the laboratory keep, and for how long?§ 40.111When and how must a laboratory disclose statistical summaries and other information it maintains?

Subpart G—Medical Review Officers and the Verification Process26

§ 40.121Who is qualified to act as an MRO?§ 40.123What are the MRO's responsibilities in the DOT drug testing program?§ 40.125What relationship may an MRO have with a laboratory?§ 40.127What are the MRO's functions in reviewing negative test results?§ 40.129What are the MRO's functions in reviewing laboratory confirmed non-negative drug test results?§ 40.131How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results?§ 40.133Without 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?§ 40.135What does the MRO tell the employee at the beginning of the verification interview?§ 40.137On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, semi-synthetic opioids, or PCP?§ 40.139On what basis does the MRO verify test results involving 6-acetylmorphine, codeine, and morphine?§ 40.141How does the MRO obtain information for the verification decision?§ 40.143[Reserved]§ 40.145On what basis does the MRO verify test results involving adulteration or substitution?§ 40.147[Reserved]§ 40.149May the MRO change a verified drug test result?§ 40.151What are MROs prohibited from doing as part of the verification process?§ 40.153How does the MRO notify employees of their right to a test of the split specimen?§ 40.155What does the MRO do when a negative or positive test result is also dilute?§ 40.157[Reserved]§ 40.159What does the MRO do when a drug test result is invalid?§ 40.160What does the MRO do when a valid test result cannot be produced and a negative result is required?§ 40.161What does the MRO do when a drug test specimen is rejected for testing?§ 40.162What must MROs do with multiple verified results for the same testing event?§ 40.163How does the MRO report drug test results?§ 40.165To whom does the MRO transmit reports of drug test results?§ 40.167How are MRO reports of drug results transmitted to the employer?

Subpart H—Split Specimen Tests9

§ 40.171How does an employee request a test of a split specimen?§ 40.173Who is responsible for paying for the test of a split specimen?§ 40.175What steps does the first laboratory take with a split specimen?§ 40.177What does the second laboratory do with the split specimen when it is tested to reconfirm the presence of a drug or drug metabolite?§ 40.179What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result?§ 40.181What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result?§ 40.183What information do laboratories report to MROs regarding split specimen results?§ 40.185Through what methods and to whom must a laboratory report split specimen results?§ 40.187What does the MRO do with split specimen laboratory results?

Subpart I—Problems in Drug Tests12

§ 40.191What is a refusal to take a DOT drug test, and what are the consequences?§ 40.193What happens when an employee does not provide a sufficient amount of specimen for a drug test?§ 40.195What happens when an individual is unable to provide a sufficient amount of specimen for a pre-employment, follow-up, or return-to-duty test because of a permanent or long-term medical condition?§ 40.197What happens when an employer receives a report of a dilute urine specimen?§ 40.199What problems always cause a drug test to be cancelled?§ 40.201What problems always cause a drug test to be cancelled and may result in a requirement for another collection?§ 40.203What problems cause a drug test to be cancelled unless they are corrected?§ 40.205How are drug test problems corrected?§ 40.207What is the effect of a cancelled drug test?§ 40.208What problems require corrective action but do not result in the cancellation of a test?§ 40.209What procedural problems do not result in the cancellation of a test and do not require correction?§ 40.210What kinds of drug tests are permitted under the regulations?

Subpart J—Alcohol Testing Personnel3

§ 40.211Who conducts DOT alcohol tests?§ 40.213What training requirements must STTs and BATs meet?§ 40.215What information about the DER do employers have to provide to BATs and STTs?

Subpart K—Testing Sites, Forms, Equipment and Supplies Used in Alcohol Testing8

§ 40.221Where does an alcohol test take place?§ 40.223What steps must be taken to protect the security of alcohol testing sites?§ 40.225What form is used for an alcohol test?§ 40.227May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests?§ 40.229What devices are used to conduct alcohol screening tests?§ 40.231What devices are used to conduct alcohol confirmation tests?§ 40.233What are the requirements for proper use and care of EBTs?§ 40.235What are the requirements for proper use and care of ASDs?

Subpart L—Alcohol Screening Tests4

§ 40.241What are the first steps in any alcohol screening test?§ 40.243What is the procedure for an alcohol screening test using an EBT or non-evidential breath ASD?§ 40.245What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD?§ 40.247What procedures does the BAT or STT follow after a screening test result?

Subpart M—Alcohol Confirmation Tests3

§ 40.251What are the first steps in an alcohol confirmation test?§ 40.253What are the procedures for conducting an alcohol confirmation test?§ 40.255What happens next after the alcohol confirmation test result?

Subpart N—Problems in Alcohol Testing9

§ 40.261What is a refusal to take an alcohol test, and what are the consequences?§ 40.263What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test?§ 40.265What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test?§ 40.267What problems always cause an alcohol test to be cancelled?§ 40.269What problems cause an alcohol test to be cancelled unless they are corrected?§ 40.271How are alcohol testing problems corrected?§ 40.273What is the effect of a cancelled alcohol test?§ 40.275What is the effect of procedural problems that are not sufficient to cancel an alcohol test?§ 40.277Are alcohol tests other than saliva or breath permitted under these regulations?

Subpart O—Substance Abuse Professionals and the Return-to-Duty Process16

§ 40.281Who is qualified to act as a SAP?§ 40.283How does a certification organization obtain recognition for its members as SAPs?§ 40.285When is a SAP evaluation required?§ 40.287What information is an employer required to provide concerning SAP services to an employee who has a DOT drug and alcohol regulation violation?§ 40.289Are employers required to provide SAP and treatment services to employees?§ 40.291What 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?§ 40.293What is the SAP's function in conducting the initial evaluation of an employee?§ 40.295May employees or employers seek a second SAP evaluation if they disagree with the first SAP's recommendations?§ 40.297Does anyone have the authority to change a SAP's initial evaluation?§ 40.299What is the SAP's role and what are the limits on a SAP's discretion in referring employees for education and treatment?§ 40.301What is the SAP's function in the follow-up evaluation of an employee?§ 40.303What happens if the SAP believes the employee needs additional treatment, aftercare, or support group services even after the employee returns to safety-sensitive duties?§ 40.305How does the return-to-duty process conclude?§ 40.307What is the SAP's function in prescribing the employee's follow-up tests?§ 40.309What are the employer's responsibilities with respect to the SAP's directions for follow-up tests?§ 40.311What are the requirements concerning SAP reports?

Subpart P—Confidentiality and Release of Information7

§ 40.321What is the general confidentiality rule for drug and alcohol test information?§ 40.323May program participants release drug or alcohol test information in connection with legal proceedings?§ 40.325[Reserved]§ 40.327When must the MRO report medical information gathered in the verification process?§ 40.329What information must laboratories, MROs, and other service agents release to employees?§ 40.331To what additional parties must employers and service agents release information?§ 40.333What records must employers keep?

Subpart Q—Roles and Responsibilities of Service Agents8

§ 40.341Must service agents comply with DOT drug and alcohol testing requirements?§ 40.343What tasks may a service agent perform for an employer?§ 40.345In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers?§ 40.347What functions may C/TPAs perform with respect to administering testing?§ 40.349What records may a service agent receive and maintain?§ 40.351What confidentiality requirements apply to service agents?§ 40.353What principles govern the interaction between MROs and other service agents?§ 40.355What limitations apply to the activities of service agents?

Subpart R—Public Interest Exclusions27

§ 40.361What is the purpose of a public interest exclusion (PIE)?§ 40.363On what basis may the Department issue a PIE?§ 40.365What is the Department's policy concerning starting a PIE proceeding?§ 40.367Who initiates a PIE proceeding?§ 40.369What is the discretion of an initiating official in starting a PIE proceeding?§ 40.371On what information does an initiating official rely in deciding whether to start a PIE proceeding?§ 40.373Before starting a PIE proceeding, does the initiating official give the service agent an opportunity to correct problems?§ 40.375How does the initiating official start a PIE proceeding?§ 40.377Who decides whether to issue a PIE?§ 40.379How do you contest the issuance of a PIE?§ 40.381What information do you present to contest the proposed issuance of a PIE?§ 40.383What procedures apply if you contest the issuance of a PIE?§ 40.385Who bears the burden of proof in a PIE proceeding?§ 40.387What matters does the Director decide concerning a proposed PIE?§ 40.389What factors may the Director consider?§ 40.391What is the scope of a PIE?§ 40.393How long does a PIE stay in effect?§ 40.395Can you settle a PIE proceeding?§ 40.397When does the Director make a PIE decision?§ 40.399How does the Department notify service agents of its decision?§ 40.401How does the Department notify employers and the public about a PIE?§ 40.403Must a service agent notify its clients when the Department issues a PIE?§ 40.405May the Federal courts review PIE decisions?§ 40.407May a service agent ask to have a PIE reduced or terminated?§ 40.409What does the issuance of a PIE mean to transportation employers?§ 40.411What is the role of the DOT Inspector General's office?§ 40.413How are notices sent to service agents?

Browse regulation

Subpart A—Administrative Provisions4

§ 40.1Who does this regulation cover?§ 40.3What do the terms used in this part mean?§ 40.5Who issues authoritative interpretations of this regulation?§ 40.7How can you get an exemption from a requirement in this regulation?

Subpart B—Employer Responsibilities11

§ 40.11What are the general responsibilities of employers under this regulation?§ 40.13How do DOT drug and alcohol tests relate to non-DOT tests?§ 40.14What collection information must employers provide to collectors?§ 40.15May an employer use a service agent to meet DOT drug and alcohol testing requirements?§ 40.17Is an employer responsible for obtaining information from its service agents?§ 40.19[Reserved]§ 40.21May an employer stand down an employee before the MRO has completed the verification process?§ 40.23What actions do employers take after receiving verified test results?§ 40.25Must an employer check on the drug and alcohol testing record of employees it is intending to use to perform safety-sensitive duties?§ 40.26What form must an employer use to report Management Information System (MIS) data to a DOT agency?§ 40.27May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program?

Subpart C—Specimen Collection Personnel4

§ 40.31Who may collect specimens for DOT drug testing?§ 40.33What training requirements must a collector meet for urine collection?§ 40.35What training requirements must a collector meet for oral fluid collection?§ 40.36What information about the DER must employers provide to collectors?

Subpart D—Collection Sites, Forms, Equipment and Supplies Used in DOT Urine and Oral Fluid Collections10

§ 40.40What form is used to document a DOT collection?§ 40.41May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections?§ 40.42Where does a urine collection for a DOT drug test take place?§ 40.43What steps must operators of collection sites and collectors take to protect the security and integrity of urine collections?§ 40.44What materials are used to collect urine specimens?§ 40.45What materials are used to send urine specimens to the laboratory?§ 40.47Where does an oral fluid collection for a DOT drug test take place?§ 40.48What steps must operators of collection sites and collectors take to protect the security and integrity of oral fluid collections?§ 40.49What materials are used to collect oral fluid specimens?§ 40.51What materials are used to send oral fluid specimens to the laboratory?

Subpart E—Specimen Collections11

§ 40.61What are the preliminary steps in the drug testing collection process?§ 40.63What steps does the collector take in the collection process before the employee provides a urine specimen?§ 40.65What does the collector check for when the employee presents a urine specimen?§ 40.67When and how is a directly observed urine collection conducted?§ 40.69How is a monitored urine collection conducted?§ 40.71How does the collector prepare the urine specimen?§ 40.72What steps does the collector take in the collection process before the employee provides an oral fluid specimen?§ 40.73How is an oral fluid specimen collected?§ 40.74How does the collector prepare the oral fluid specimens?§ 40.75-40.78§§ 40.75-40.78 [Reserved]§ 40.79How is the collection process completed?

Subpart F—Drug Testing Laboratories18

§ 40.81What laboratories may be used for DOT drug testing?§ 40.82What drugs do laboratories test for?§ 40.83How do laboratories process incoming specimens?§ 40.84How long does the laboratory retain specimens after testing?§ 40.85What are the cutoff concentrations for urine drug tests?§ 40.86What is urine validity testing, and are laboratories required to conduct it?§ 40.87What validity tests must laboratories conduct on primary urine specimens?§ 40.88What criteria do laboratories use to establish that a urine specimen is dilute or substituted?§ 40.89What are the adulterant cutoff concentrations for initial and confirmation urine tests?§ 40.90What criteria do laboratories use to establish that a urine specimen is invalid?§ 40.91What are the cutoff concentrations for oral fluid drug tests?§ 40.92What is oral fluid validity testing, and are laboratories required to conduct it?§ 40.93What validity tests must laboratories conduct on primary oral fluid specimens?§ 40.97What do laboratories report and how do they report it?§ 40.101What relationship may a laboratory have with an MRO?§ 40.107Who may inspect laboratories?§ 40.109What documentation must the laboratory keep, and for how long?§ 40.111When and how must a laboratory disclose statistical summaries and other information it maintains?

Subpart G—Medical Review Officers and the Verification Process26

§ 40.121Who is qualified to act as an MRO?§ 40.123What are the MRO's responsibilities in the DOT drug testing program?§ 40.125What relationship may an MRO have with a laboratory?§ 40.127What are the MRO's functions in reviewing negative test results?§ 40.129What are the MRO's functions in reviewing laboratory confirmed non-negative drug test results?§ 40.131How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results?§ 40.133Without 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?§ 40.135What does the MRO tell the employee at the beginning of the verification interview?§ 40.137On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, semi-synthetic opioids, or PCP?§ 40.139On what basis does the MRO verify test results involving 6-acetylmorphine, codeine, and morphine?§ 40.141How does the MRO obtain information for the verification decision?§ 40.143[Reserved]§ 40.145On what basis does the MRO verify test results involving adulteration or substitution?§ 40.147[Reserved]§ 40.149May the MRO change a verified drug test result?§ 40.151What are MROs prohibited from doing as part of the verification process?§ 40.153How does the MRO notify employees of their right to a test of the split specimen?§ 40.155What does the MRO do when a negative or positive test result is also dilute?§ 40.157[Reserved]§ 40.159What does the MRO do when a drug test result is invalid?§ 40.160What does the MRO do when a valid test result cannot be produced and a negative result is required?§ 40.161What does the MRO do when a drug test specimen is rejected for testing?§ 40.162What must MROs do with multiple verified results for the same testing event?§ 40.163How does the MRO report drug test results?§ 40.165To whom does the MRO transmit reports of drug test results?§ 40.167How are MRO reports of drug results transmitted to the employer?

Subpart H—Split Specimen Tests9

§ 40.171How does an employee request a test of a split specimen?§ 40.173Who is responsible for paying for the test of a split specimen?§ 40.175What steps does the first laboratory take with a split specimen?§ 40.177What does the second laboratory do with the split specimen when it is tested to reconfirm the presence of a drug or drug metabolite?§ 40.179What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result?§ 40.181What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result?§ 40.183What information do laboratories report to MROs regarding split specimen results?§ 40.185Through what methods and to whom must a laboratory report split specimen results?§ 40.187What does the MRO do with split specimen laboratory results?

Subpart I—Problems in Drug Tests12

§ 40.191What is a refusal to take a DOT drug test, and what are the consequences?§ 40.193What happens when an employee does not provide a sufficient amount of specimen for a drug test?§ 40.195What happens when an individual is unable to provide a sufficient amount of specimen for a pre-employment, follow-up, or return-to-duty test because of a permanent or long-term medical condition?§ 40.197What happens when an employer receives a report of a dilute urine specimen?§ 40.199What problems always cause a drug test to be cancelled?§ 40.201What problems always cause a drug test to be cancelled and may result in a requirement for another collection?§ 40.203What problems cause a drug test to be cancelled unless they are corrected?§ 40.205How are drug test problems corrected?§ 40.207What is the effect of a cancelled drug test?§ 40.208What problems require corrective action but do not result in the cancellation of a test?§ 40.209What procedural problems do not result in the cancellation of a test and do not require correction?§ 40.210What kinds of drug tests are permitted under the regulations?

Subpart J—Alcohol Testing Personnel3

§ 40.211Who conducts DOT alcohol tests?§ 40.213What training requirements must STTs and BATs meet?§ 40.215What information about the DER do employers have to provide to BATs and STTs?

Subpart K—Testing Sites, Forms, Equipment and Supplies Used in Alcohol Testing8

§ 40.221Where does an alcohol test take place?§ 40.223What steps must be taken to protect the security of alcohol testing sites?§ 40.225What form is used for an alcohol test?§ 40.227May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests?§ 40.229What devices are used to conduct alcohol screening tests?§ 40.231What devices are used to conduct alcohol confirmation tests?§ 40.233What are the requirements for proper use and care of EBTs?§ 40.235What are the requirements for proper use and care of ASDs?

Subpart L—Alcohol Screening Tests4

§ 40.241What are the first steps in any alcohol screening test?§ 40.243What is the procedure for an alcohol screening test using an EBT or non-evidential breath ASD?§ 40.245What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD?§ 40.247What procedures does the BAT or STT follow after a screening test result?

Subpart M—Alcohol Confirmation Tests3

§ 40.251What are the first steps in an alcohol confirmation test?§ 40.253What are the procedures for conducting an alcohol confirmation test?§ 40.255What happens next after the alcohol confirmation test result?

Subpart N—Problems in Alcohol Testing9

§ 40.261What is a refusal to take an alcohol test, and what are the consequences?§ 40.263What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test?§ 40.265What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test?§ 40.267What problems always cause an alcohol test to be cancelled?§ 40.269What problems cause an alcohol test to be cancelled unless they are corrected?§ 40.271How are alcohol testing problems corrected?§ 40.273What is the effect of a cancelled alcohol test?§ 40.275What is the effect of procedural problems that are not sufficient to cancel an alcohol test?§ 40.277Are alcohol tests other than saliva or breath permitted under these regulations?

Subpart O—Substance Abuse Professionals and the Return-to-Duty Process16

§ 40.281Who is qualified to act as a SAP?§ 40.283How does a certification organization obtain recognition for its members as SAPs?§ 40.285When is a SAP evaluation required?§ 40.287What information is an employer required to provide concerning SAP services to an employee who has a DOT drug and alcohol regulation violation?§ 40.289Are employers required to provide SAP and treatment services to employees?§ 40.291What 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?§ 40.293What is the SAP's function in conducting the initial evaluation of an employee?§ 40.295May employees or employers seek a second SAP evaluation if they disagree with the first SAP's recommendations?§ 40.297Does anyone have the authority to change a SAP's initial evaluation?§ 40.299What is the SAP's role and what are the limits on a SAP's discretion in referring employees for education and treatment?§ 40.301What is the SAP's function in the follow-up evaluation of an employee?§ 40.303What happens if the SAP believes the employee needs additional treatment, aftercare, or support group services even after the employee returns to safety-sensitive duties?§ 40.305How does the return-to-duty process conclude?§ 40.307What is the SAP's function in prescribing the employee's follow-up tests?§ 40.309What are the employer's responsibilities with respect to the SAP's directions for follow-up tests?§ 40.311What are the requirements concerning SAP reports?

Subpart P—Confidentiality and Release of Information7

§ 40.321What is the general confidentiality rule for drug and alcohol test information?§ 40.323May program participants release drug or alcohol test information in connection with legal proceedings?§ 40.325[Reserved]§ 40.327When must the MRO report medical information gathered in the verification process?§ 40.329What information must laboratories, MROs, and other service agents release to employees?§ 40.331To what additional parties must employers and service agents release information?§ 40.333What records must employers keep?

Subpart Q—Roles and Responsibilities of Service Agents8

§ 40.341Must service agents comply with DOT drug and alcohol testing requirements?§ 40.343What tasks may a service agent perform for an employer?§ 40.345In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers?§ 40.347What functions may C/TPAs perform with respect to administering testing?§ 40.349What records may a service agent receive and maintain?§ 40.351What confidentiality requirements apply to service agents?§ 40.353What principles govern the interaction between MROs and other service agents?§ 40.355What limitations apply to the activities of service agents?

Subpart R—Public Interest Exclusions27

§ 40.361What is the purpose of a public interest exclusion (PIE)?§ 40.363On what basis may the Department issue a PIE?§ 40.365What is the Department's policy concerning starting a PIE proceeding?§ 40.367Who initiates a PIE proceeding?§ 40.369What is the discretion of an initiating official in starting a PIE proceeding?§ 40.371On what information does an initiating official rely in deciding whether to start a PIE proceeding?§ 40.373Before starting a PIE proceeding, does the initiating official give the service agent an opportunity to correct problems?§ 40.375How does the initiating official start a PIE proceeding?§ 40.377Who decides whether to issue a PIE?§ 40.379How do you contest the issuance of a PIE?§ 40.381What information do you present to contest the proposed issuance of a PIE?§ 40.383What procedures apply if you contest the issuance of a PIE?§ 40.385Who bears the burden of proof in a PIE proceeding?§ 40.387What matters does the Director decide concerning a proposed PIE?§ 40.389What factors may the Director consider?§ 40.391What is the scope of a PIE?§ 40.393How long does a PIE stay in effect?§ 40.395Can you settle a PIE proceeding?§ 40.397When does the Director make a PIE decision?§ 40.399How does the Department notify service agents of its decision?§ 40.401How does the Department notify employers and the public about a PIE?§ 40.403Must a service agent notify its clients when the Department issues a PIE?§ 40.405May the Federal courts review PIE decisions?§ 40.407May a service agent ask to have a PIE reduced or terminated?§ 40.409What does the issuance of a PIE mean to transportation employers?§ 40.411What is the role of the DOT Inspector General's office?§ 40.413How are notices sent to service agents?

Related 23 Definitions History 26 Authority 48

RegulationsTitle 49Subtitle BChapter ISubchapter APart 40Subpart A—Administrative Provisions49 CFR 40.5

Regulationcurrent

49 CFR 40.5

Who issues authoritative interpretations of this regulation?

Snapshot 2026-08-18 Government source

eCFR editorial compilationAuthoritative but unofficial

1 passages

ODAPC and the DOT Office of General Counsel (OGC) provide written interpretations of the provisions of this part. These written DOT interpretations are the only official and authoritative interpretations concerning the provisions of this part. DOT agencies may incorporate ODAPC/OGC interpretations in written guidance they issue concerning drug and alcohol testing matters. Only Part 40 interpretations issued after August 1, 2001, are considered valid.

Previous§ 40.3 Next§ 40.7

Related 23 Definitions History 26 Authority 48 Community

Only explicit, source-backed relationships are shown.

Rulemaking7

09000064811add8f

U.S. DOT/PHMSA - Final Environmental Assessment of the Longhorn Pipeline Reversal - Volume 1 of 2: Chapters 1-6

40.5 · cites regulation

88 FR 31890

Pipeline Safety: Gas Pipeline Leak Detection and Repair

40.5 · cited in rulemaking

85 FR 27810

Hazardous Materials: Harmonization With International Standards

40.5 · cited in rulemaking

83 FR 60970

Hazardous Materials: Harmonization With International Standards

40.5 · cited in rulemaking

65 FR 79462

Procedures for Transportation Workplace Drug and Alcohol Testing Programs

40.5 · cited in rulemaking

64 FR 69076

Procedures for Transportation Workplace Drug and Alcohol Testing Programs

40.5 · cited in rulemaking

Procedures for Transportation Workplace Drug and Alcohol Testing Programs and Proposed Model Specifications for Screening Devices To Measure Alcohol in Bodily Fluids; Final Rule, Proposed Rule, Notice DEPARTMENT OF TRANSPORTATION

40.5 · cited in rulemaking

Interpretations & guidance7

PHMSA Guidance, 2021 Guidelines for States Participating in the Pipeline Safety Program

2021 Guidelines for States Participating in the Pipeline Safety Program

40.5 · guidance cites regulation

PHMSA Guidance, Guidelines for States Participating in the Pipeline Safety Program PDF

Guidelines for States Participating in the Pipeline Safety Program PDF

40.5 · guidance cites regulation

PHMSA Guidance, 2023 Guidelines for States Participating in the Pipeline Safety Program

2023 Guidelines for States Participating in the Pipeline Safety Program

40.5 · guidance cites regulation

PHMSA Guidance, 2024 Guidelines for States Participating in the Pipeline Safety Program

2024 Guidelines for States Participating in the Pipeline Safety Program

40.5 · guidance cites regulation

Inspection6

PHMSA tx-2016-hazardous-liquid-program-evaluation

2016 TX HL Program Evaluation - tx-2016-hazardous-liquid-program-evaluation (Texas; Hazardous Liquid State Program Evaluation)

40.5 · state program evaluation cites

PHMSA az2013ngprogramevaluation

2013 AZ NG Program Evaluation - az2013ngprogramevaluation (Arizona; Natural Gas State Program Evaluation)

40.5 · state program evaluation cites

PHMSA mn2013hlprogramevaluation

2013 MN HL Program Evaluation - mn2013hlprogramevaluation (Minnesota; Hazardous Liquid State Program Evaluation)

40.5 · state program evaluation cites

PHMSA ne2012ngprogramevaluation

2012 NE NG Program Evaluation - ne2012ngprogramevaluation (Nebraska; Natural Gas State Program Evaluation)

40.5 · state program evaluation cites

Enforcement2

CPF 120181002

TRANSCONTINENTAL GAS PIPE LINE COMPANY — Notice of Probable Violation

40.5 · cited in enforcement

CPF 320075001

ROSE ROCK MIDSTREAM OPERATING, LLC — Notice of Probable Violation

40.5 · cited in enforcement

Special permits1

PHMSA-2019-0202

Columbia Gas TC — Pipeline Special Permit

40.5 · special permit cites

Ask the corpus

Claims link back to retrieved source passages.

Record details

Retrieved: Aug 20, 2026
Version: 2026-08-18

eabf15d91dbb75c8a5…

GE Sensing & Inspection Technologies — Hazardous Materials Safety Interpretation

40.5 · interpreted by

Johnson Law Office, PC — Hazardous Materials Safety Interpretation

40.5 · interpreted by

PHMSA Guidance, Advisory Bulletin Number ADB-93-04

Advisory Bulletin Number ADB-93-04

40.5 · guidance cites regulation

Inspection

PHMSA md2011ngprogramevaluation

2011 MD NG Program Evaluation - md2011ngprogramevaluation (Maryland; Natural Gas State Program Evaluation)

40.5 · state program evaluation cites

PHMSA ne2011ngprogramevaluation

2011 NE NG Program Evaluation - ne2011ngprogramevaluation (Nebraska; Natural Gas State Program Evaluation)

40.5 · state program evaluation cites