Frequently Asked Questions

No. Currently, there is no situation in which a Medical Review Officer (MRO) can verify a laboratory confirmed marijuana positive drug test result as negative when an employee claims the positive came from using a state-licensed marijuana product.

Even after rescheduling, state-dispensed marijuana does not constitute an FDA-approved drug. Without FDA approval for a controlled substance, it cannot be prescribed. A legitimate medical explanation requires the use of a legally prescribed controlled substance in compliance with Federal laws governing such a prescription (49 CFR sections 40.137(a) and 40.141(b)).

Although the MRO may be presented with documentation such as state-issued medical marijuana cards, physician recommendations, certifications, or dispensary records or receipts, these documents do not satisfy Part 40 requirements for a legitimate medical explanation. Marijuana use under state marijuana programs or other non-prescription sources does not qualify as a legitimate medical explanation under 49 CFR section 40.137(a). In addition, marijuana use is not compatible with safety-sensitive functions.

Practical Use Cases

• Commercial Truck Driver: A driver in Colorado holds a state medical marijuana card and uses a licensed dispensary product for pain management. After a random DOT urine test returns positive for marijuana metabolites, the driver provides the card and purchase receipts to the MRO. The MRO cannot accept this as a legitimate medical explanation and must report the result as positive, triggering DOT return-to-duty requirements. 
• Transit Bus Operator: An employee in a safety-sensitive public transit role tests positive after recreational use of state-legal cannabis. The employee submits a physician's recommendation and dispensary records. Under Part 40, these documents are insufficient, and the MRO verifies the result as positive because state programs do not meet federal prescription standards.
• Pipeline Maintenance Technician: Following a post-accident test, a technician claims the positive came from legally purchased edibles in a recreational state. Even with proof of state-compliant purchase, the MRO has no authority to overturn the laboratory positive, as marijuana remains incompatible with safety-sensitive duties under federal rules.

A Medical Review Officer (MRO) is the final checkpoint in the drug testing process. They help ensure that results are accurate, legally sound, and fair to all parties involved. MROs are licensed physicians who have received specialized training in substance abuse disorders and the technical aspects of drug testing. In the United States, MROs must meet certification requirements set by organizations such as the American Association of Medical Review Officers (AAMRO) or the Medical Review Officer Certification Council (MROCC).

The MRO's primary role is to review and interpret laboratory drug test results before they are reported to an employer. Key responsibilities include:

• Reviewing laboratory results: The MRO receives all non-negative drug test results directly from the certified laboratory.
• Contacting donors: Before reporting a positive result, the MRO contacts the donor (the person tested) to determine whether there is a legitimate medical explanation, such as a valid prescription.
• Verifying prescriptions: The MRO evaluates any prescription or medical documentation provided by the donor to determine if it is a valid, lawful explanation for the result.
• Making final determinations: The MRO issues a final result of Positive, Negative, Canceled, or Refusal to Test based on all available information.
• Reporting results: The MRO reports the verified, final result to the designated employer representative (DER).
• Protecting donor privacy: MROs handle sensitive medical information and are bound by confidentiality standards.

Many think specimen collectors are MROs, but that is a serious misconception. Specimen collectors gather and process the specimens, but they do not interpret results, and that's where the MRO comes in. 

For DOT-regulated programs, having a qualified MRO in the workflow is required by federal law (49 CFR Part 40), and for good reason. An MRO bridges the gap between a raw laboratory finding and a legally defensible final result by giving donors the opportunity to explain a positive before it's ever reported to an employer, reviewing the chain of custody form to ensure the collection was conducted properly, and determining whether a flawed or rejected specimen should be canceled and a retest ordered.

Quest Diagnostics offers free online specimen collection modules, and many employers use them to introduce staff to collections. Quest states publicly that these courses, including the completion certificate, do not meet the requirements to become a DOT-certified collector. Under 49 CFR 40.33, a collector must complete qualification training and five consecutive error-free mock collections before performing any DOT collection. Employers remain responsible for using qualified collectors.

Does Quest's free training qualify someone for DOT collections?

No. Quest's own page states:

The specimen online collection training offered by Quest Diagnostics is not a qualification training program approved by the US Department of Transportation (DOT). These Quest learning courses, including the certificate for course completion, do not fulfill the requirements needed to become a DOT-certified collector.

Source: Quest Diagnostics online training

Those modules are a learning resource. They are not described as including Part 40 mock collections or shipping collector training supplies for staff who need to qualify.

What does 49 CFR 40.33 require before a collector performs DOT collections?

Before performing any DOT urine collection, a collector generally must complete qualification training covering the subjects in § 40.33(b), then five consecutive error-free mock collections monitored by a qualified person who attests in writing (§ 40.33(c)). Collectors must also keep documentation and provide it on request to employers and C/TPAs (§ 40.33(g)), complete refresher training at least every five years, and finish error correction training within 30 days if a mistake cancels a test.

Details of the steps are on What Steps Are Necessary to Become a Qualified DOT Collector? and How To Become a DOT Specimen Collector?. Rule text: 49 CFR 40.33. DOT overview: How can I become a collector.

Who is responsible if an unqualified collector performs a DOT collection?

The employer. Under 49 CFR 40.15(b)–(c), the employer is responsible for ensuring service agents (including collectors) are qualified, and good-faith use of a service agent is not a defense. Clinics, collection sites, and TPAs supporting employers generally need the same documentation trail before staff collect for DOT tests.

How can an organization train several collectors at once?

Organizations can enroll a team through a Training Manager account and track each collector's progress in DOT Urine Specimen Collector Training (online qualification training, mock supplies shipped to learners, and live virtual mocks). For a broader package, see the DOT Specimen Collector Training bundle. Organizations that want staff who can monitor their own mocks can use DOT Urine Specimen Collector Train-the-Trainer.

Mock collections (the initial proficiency demonstration) are the step that turns classroom or online instruction into DOT collector or alcohol technician qualification. Organizations that train several people a year often ask who is allowed to watch those mocks and sign the error-free attestation. Part 40 answers that question with three paths for urine collectors and the same three paths for BAT and STT instructors.

Urine collector mock monitors (49 CFR 40.33(c)(2))

After qualification training under 40.33(b), the trainee must complete five consecutive error-free mock collections that include two uneventful scenarios, one insufficient quantity scenario, one temperature out of range scenario, and one scenario in which the employee refuses to sign the CCF and initial the specimen bottle seal (40.33(c)(1)). Another person must monitor and evaluate that performance in person or by a means that provides real-time observation and interaction, and must attest in writing that the mocks were error-free.

That monitor must be a qualified urine collector who has shown the needed knowledge, skills, and abilities by one of the following:

• Regularly conducting DOT urine drug test collections for at least one year (40.33(c)(2)(i)).
• Conducting urine collector training under Part 40 for at least one year (40.33(c)(2)(ii)).
• Successfully completing a urine train-the-trainer course (40.33(c)(2)(iii)).

A recorded video without live interaction does not meet the real-time observation and interaction rule. See how to prepare for virtual mock collections.

BAT and STT instructors (49 CFR 40.213)

For alcohol testing, the instructor who provides qualification training must meet 40.213(b)(4): regularly conducting DOT alcohol tests as an STT or BAT (as applicable) for at least a year, or conducting STT or BAT training under Part 40 for a year, or successfully completing a train-the-trainer course. The person who monitors the seven consecutive error-free BAT mocks or five consecutive error-free STT mocks must meet those same (b)(4) requirements (40.213(c)(1)). The mocks must use the alcohol testing devices the trainee will use on the job (40.213(c)(2)).

Device makers may offer factory instructor courses, but they are not the only path. Intoximeters' public FAQ states that a factory instructor course is not required to train BATs for DOT workplace testing when the instructor meets the Part 40 experience or train-the-trainer rules and follows the DOT Model Course or an equivalent. Calibration under 49 CFR 40.233 is separate. See BAT training from a device maker versus independent training.

Oral fluid monitors (49 CFR 40.35)

Oral fluid mocks require five consecutive error-free collections for each device the collector will use (40.35(c)). The monitor rules in 40.35(c)(2) mirror the urine paths, with temporary flexibility in 40.35(c)(3) until one year after HHS publishes notice of the first certified oral fluid laboratory. See urine collector versus oral fluid qualification.

Why organizations use train-the-trainer

The train-the-trainer path lets a clinic, TPA, or regulated employer keep a qualified monitor on staff for initial qualification, five-year refresher mocks, and error correction mocks, which also require a monitor who meets the same rules.

For collector steps outside the monitor question, see qualified specimen collector requirements and what 49 CFR Part 40 covers.

Organizations can enroll monitors through a Training Manager account in DOT Urine Collector Train-the-Trainer, DOT Breath Alcohol Technician Train-the-Trainer, or DOT Oral Fluid Train-the-Trainer.

When a collector makes a mistake that causes a DOT drug test to be cancelled, the employer cannot treat the result as a pass or a fail. Under 49 CFR 40.207(a), a cancelled drug test is neither positive nor negative. That rule drives the next steps for clinics, collection sites, TPAs, and regulated companies.

What a cancelled test means for the employer

49 CFR 40.207 sets clear limits:

• The employer must not treat a cancelled test as a positive test or as another DOT violation that would support removal from a safety-sensitive position (40.207(a)(1)).
• The employer must not use a cancelled test as a negative result to authorize safety-sensitive work after a pre-employment, return-to-duty, or follow-up test (40.207(a)(2)).
• A cancelled test does not count toward the employer's minimum random testing rate (40.207(b)).
• A cancelled DOT test does not give the employer a valid basis to run a non-DOT test under company authority (40.207(c)).

In short, a cancelled pre-employment or return-to-duty test does not clear the employee for safety-sensitive duties. The employer needs a valid completed test where the rules require one.

What the collector must do next

If the cancellation came from a fatal or uncorrected flaw in the collection process, 49 CFR 40.33(f) requires error correction training within 30 days of the date the collector is notified of the error. That training covers the subject area where the error occurred. As part of it, the collector must complete three consecutive error-free mock collections (one uneventful scenario and two scenarios related to the error), monitored by a person who meets the mock-monitor rules in 40.33(c)(2), with a written attestation that the mocks were error-free.

Cancellations that happen outside the collection process, such as a specimen damaged or lost in transit, do not by themselves require collector error correction training under 40.33(f). Parallel error correction rules apply to oral fluid collectors (40.35(f)) and to BATs and STTs (40.213(f)).

Employer responsibility for service agents

49 CFR 40.15(c) states that the employer remains responsible for compliance with Part 40 and other DOT testing rules even when a service agent performs the work. Good-faith use of a service agent is not a defense in an enforcement action if the service agent's conduct led to noncompliance. DOT agencies may subject the employer to sanctions. Organizations should confirm that collectors used for DOT work have current qualification records and, after a collection-process cancellation, a completed error correction file. See what documents prove collector qualifications and when error correction training is required.

Practical steps for clinics, TPAs, and regulated employers

• Treat the cancelled result as neither positive nor negative.
• For pre-employment, return-to-duty, and follow-up situations that still need a valid test, arrange another collection under Part 40.
• Ask the collector or C/TPA for confirmation that error correction training, if required, was completed within 30 days.
• Do not count the cancelled test toward random-rate compliance.

For the baseline rules that collectors must meet before performing DOT urine collections, see what 49 CFR Part 40 covers and how a specimen collector becomes qualified.

Organizations that need error correction or initial collector training for a team can enroll learners through a Training Manager account in DOT Urine Error Correction Training or DOT Urine Specimen Collector Training.

Many clinics, collection sites, and TPAs use free or low-cost modules from laboratories and software vendors to introduce staff to that vendor's forms, kits, or portals. Those modules can be useful product training. They are not, by themselves, DOT collector qualification under 49 CFR 40.33.

What DOT qualification requires

Before a person may act as a urine collector in the DOT program, 49 CFR 40.33 requires qualification training on the subjects in 40.33(b), then five consecutive error-free mock collections that include the required scenarios, monitored in person or by real-time observation and interaction, with a written attestation that the mocks were error-free (40.33(c)). The collector must finish those steps before performing collector functions (40.33(d)), complete refresher training at least every five years (40.33(e)), and keep documentation available to employers and C/TPAs on request (40.33(g)). Oral fluid and alcohol testing have their own parallel sections (40.35 and 40.213).

Employers remain responsible for using qualified service agents. Under 49 CFR 40.15(b) and (c), the employer must make sure service agents meet Part 40 qualifications, and good-faith use of a service agent is not a defense if the service agent's conduct leads to noncompliance.

How major vendors describe their own training

Public product pages draw a line between vendor access training and Part 40 qualification:

• Quest Diagnostics: Quest states that its specimen online collection training is not a DOT qualification training program, and that the courses and completion certificate do not fulfill the requirements needed to become a DOT-certified collector. Details and the Quest quote are on the Learn Laws FAQ whether Quest Diagnostics' free collector training is enough for DOT qualification.
• Labcorp: Labcorp's Corporate Solutions registration page states that access to its collector training requires submission of documentation of completion of certified collector training in accordance with 49 CFR Part 40 and a valid Labcorp collection site ID. In other words, Labcorp expects Part 40 collector training to be finished before its portal training access.
• Abbott / eScreen (Learning XChange): Abbott's Learning XChange page states that its product training certification is not an accredited proficiency certification for DOT or workplace specimen collection or testing, and points readers to NDASA, SAPAA, or ODAPC for specimen collection information. Abbott describes separate portal instances for workplace, clinical, and eScreen customers.

None of those statements is a judgment about course quality. They are the vendors' own descriptions of what their modules are for.

What organizations should do

• Treat lab and vendor modules as system or product training, not as proof of DOT qualification.
• Request the Part 40 documentation listed in proof of training before a collector performs DOT collections.
• Confirm the monitor who signed the mocks meets 40.33(c)(2) (or the oral fluid or alcohol parallel). See who can monitor DOT mock collections.
• Use association certificates only as a supplement, not as a stand-in for the five-year Part 40 refresher. See what DOT collector qualification means.

Step-by-step qualification paths for collectors are covered in how to become a DOT specimen collector and qualified specimen collector requirements.

Organizations that need to qualify several collectors under one account can enroll a team through a Training Manager account using the DOT Specimen Collector Training bundle or the DOT Urine Specimen Collector Training course.

Some regulated companies, clinics, and multi-site operators want employees to collect DOT specimens on site instead of sending every donor to an outside clinic. An in-house program can work. It still has to meet the same Part 40 collector, DER, and documentation rules as any other collection site.

Qualified collectors come first

Anyone who will perform DOT urine collections must meet 49 CFR 40.33 before starting collector functions: qualification training on the subjects in 40.33(b), five consecutive error-free mock collections with the required scenarios, and a monitor who meets 40.33(c)(2) and attests in writing that the mocks were error-free. Refresher training is required at least every five years (40.33(e)). Collectors must keep documentation and provide it on request to employers and C/TPAs (40.33(g)). If the site will also run DOT oral fluid or alcohol tests, those staff need separate qualification under 40.35 or 40.213. A urine collector is not automatically an oral fluid collector. See whether a urine collector is qualified for DOT oral fluid.

For the career path and step list, link staff to how to become a DOT specimen collector and qualified specimen collector requirements. Do not treat a free lab module as that qualification. See free lab and vendor training versus DOT qualification.

DER contact information for every collection

49 CFR 40.36 requires the employer to give collectors the name and telephone number of the appropriate Designated Employer Representative (DER), and of the C/TPA where applicable, so the collector can reach someone when problems arise during testing. An in-house program still needs that contact path posted for every collector on duty. 49 CFR 40.15(d) also bars the employer from letting a service agent act as DER.

Who will monitor mocks

Organizations that train several collectors each year usually need an in-house mock monitor rather than paying an outside instructor for every cycle. Under 40.33(c)(2), the monitor must be a qualified urine collector who has regularly conducted DOT urine collections for at least one year, or who has conducted urine collector training under Part 40 for at least one year, or who has successfully completed a urine train-the-trainer course. The same three paths appear for alcohol instructors in 40.213(b)(4). Details are in who can monitor DOT mock collections.

Records and site readiness

• Keep each collector's qualification, mock attestation, refresher, and any error correction file where a DER or auditor can retrieve them quickly.
• Stock current Federal Custody and Control Forms and follow the current DOT urine collection guidelines. See the FAQ on 2026 Federal CCF changes for collection sites.
• Confirm supervisors who make reasonable suspicion calls have the mode-specific hours that apply to the employer.

Broader program design topics (policy, random pools, vendor selection) are covered in benefits of an in-house drug testing program and steps to start a drug testing program. This page focuses on the DOT collector and mock-monitor pieces those pages do not detail.

Organizations that want to run their own mocks after staff qualify can enroll a Training Manager path through DOT Urine Collector Train-the-Trainer and the Train-the-Trainer Drug Testing bundle. Initial collector seats can be added with the DOT Urine Specimen Collector Training course.

Consortia and third-party administrators (C/TPAs) often schedule collectors, supply forms, and report results for many employers at once. That work does not move the employer's Part 40 duties onto the C/TPA alone. The rule text keeps the employer responsible and still gives C/TPAs a clear right to see collector documentation.

The employer remains responsible

49 CFR 40.15(a) allows an employer to use a service agent for tasks needed to comply with Part 40 and DOT agency testing rules. 49 CFR 40.15(b) states that the employer is responsible for making sure those service agents meet the qualifications in Part 40, and that the employer may require documentation. 49 CFR 40.15(c) states that the employer remains responsible for compliance even when a service agent is used. If a service agent's conduct leads to a violation, a DOT agency can subject the employer to sanctions. Good-faith use of a service agent is not a defense in that enforcement action.

For TPAs, that means contract language and vendor lists should support the employer's ability to verify collector qualification, not replace it.

Documentation collectors must give C/TPAs

Under 49 CFR 40.33(g), a urine collector must maintain documentation showing that the collector currently meets all requirements of that section, and must provide that documentation on request to DOT agency representatives and to employers and C/TPAs who are using or negotiating to use the collector's services. Oral fluid collectors have the same duty under 40.35(g). BATs and STTs have a parallel duty under 40.213(g) for employers and C/TPAs negotiating to use their services.

A C/TPA that is placing collectors into an employer's program can and should ask for:

• Proof of qualification training and the five error-free urine mocks (or the oral fluid / alcohol equivalents).
• The monitor's written error-free attestation.
• The date of the last five-year refresher.
• Any error correction file after a collection-process cancellation.

What those records look like is summarized for employers in proof of training.

A service agent cannot act as DER

49 CFR 40.15(d) states that an employer must not permit a service agent to act as the Designated Employer Representative (DER). A C/TPA can support scheduling, queries (where the mode's rules allow designation), and record flow. The DER role itself stays with the employer. Collectors must still receive the DER name and phone number under 49 CFR 40.36. See what DER training covers and DER roles and responsibilities.

Vendor training is not a substitute

Lab portals and vendor product courses may be required for access to that vendor's system. They do not replace Part 40 qualification. See free lab and vendor collector training versus DOT qualification and whether Quest Diagnostics' free collector training is enough for DOT qualification.

C/TPAs that manage networks of collection sites can enroll multiple collectors through a Training Manager account using the DOT Specimen Collector Training bundle or DOT Urine Specimen Collector Training.

What a C/TPA cannot do for an employer

An employer may use a service agent, such as a C/TPA, to perform tasks needed to comply with Part 40 and DOT agency testing rules (49 CFR 40.15(a)). The employer remains responsible for compliance, and good faith use of a service agent is not a defense in a DOT agency enforcement action (49 CFR 40.15(c)). An employer must not permit a service agent to act as its DER (49 CFR 40.15(d)). A C/TPA must not decide to test an employee based on reasonable suspicion, post-accident, return-to-duty, or follow-up criteria, and must not determine that an employee refused a test. These duties belong to the employer, with limited exceptions, such as for owner-operators and other self-employed individuals (49 CFR 40.355(g) to (j)).

Employers often search for free reasonable suspicion training for supervisors. Free options exist and some of them meet a specific DOT mode's rule. The question for a clinic, TPA, or regulated company is whether the course matches the mode that governs that employer's safety-sensitive workers, and whether the employer keeps a record of completion.

FMCSA (trucking) hours

Under 49 CFR 382.603, each employer must make sure that persons designated to supervise drivers receive at least 60 minutes of training on alcohol misuse and at least an additional 60 minutes of training on controlled substances use. The training is used to decide whether reasonable suspicion exists to require testing under 382.307. It must cover physical, behavioral, speech, and performance indicators of probable alcohol misuse and controlled substances use. Recurrent supervisor training is not required under that section. A free session that is shorter than those hours, or that covers only one substance category, does not meet 382.603 for FMCSA-regulated supervisors.

FTA (transit) free video

The Federal Transit Administration publishes a Reasonable Suspicion Testing for Supervisors video. FTA states on that page that the video satisfies the requirement of 49 CFR 655.14(b)(2) that supervisors and other company officers authorized to make reasonable suspicion determinations receive at least 60 minutes of training on indicators of probable drug use and at least 60 minutes on indicators of probable alcohol misuse. FTA also notes that the guidance document is not legally binding as a separate enforcement basis, and that conformity with the guidance (as distinct from the regulation) is voluntary. Transit employers that use the video should still keep completion records and confirm the video is the current FTA posting.

OSHA is not a DOT supervisor rule

OSHA does not write the DOT reasonable suspicion training hours for transportation modes. Supervisors at DOT-regulated employers follow the DOT agency rule that applies to that employer (for example 382.603 or 655.14), not an OSHA substitute. Background on that distinction is in DOT regulation versus OSHA and who must take supervisor training.

What employers should check before accepting a free course

• Which DOT agency (or non-DOT policy) covers the supervisors being trained.
• Whether the course length and topics match that rule (60+60 for FMCSA and FTA supervisor reasonable suspicion training).
• Whether the provider issues a completion record the employer can store for audits.
• Whether the course is only a checklist or awareness video that does not claim to meet the mode rule. A checklist can support documentation after training. It is not a substitute for the required hours. See the free reasonable suspicion checklist FAQ.

Non-DOT employers may set their own supervisor training policy. DOT-regulated employers should not assume a non-DOT or generic workplace course meets their mode rule. Related reading: differences between DOT and non-DOT reasonable suspicion training.

Organizations that need mode-specific coursework with Training Manager enrollment can use DOT Reasonable Suspicion Training, FAA Reasonable Suspicion Training, FRA Reasonable Suspicion and Post-Toxi Training, or Non-DOT Reasonable Suspicion Training.

Clinics and employers sometimes assume Breath Alcohol Technician (BAT) training must come from the maker of the evidential breath testing (EBT) device on the shelf. Part 40 sets the instructor and proficiency rules. Device-maker factory courses are one way to meet them. They are not the only way for BAT qualification training.

What 49 CFR 40.213 requires

To act as a BAT or Screening Test Technician (STT) in the DOT alcohol testing program, a person must meet 49 CFR 40.213. Qualification training must follow the DOT Model BAT or STT Course or an equivalent curriculum (40.213(b)(1)). It must include proficiency on the alcohol testing procedures and on the particular ASD or EBT devices the technician will use (40.213(b)(2)).

The instructor must meet 40.213(b)(4) by regularly conducting DOT alcohol tests as an STT or BAT (as applicable) for at least a year, or by conducting that training under Part 40 for a year, or by successfully completing a train-the-trainer course.

After that training, BATs must complete seven consecutive error-free mock tests. STTs must complete five consecutive error-free mock tests (40.213(c)). The mocks must use the devices the technician will use on the job (40.213(c)(2)). Another person who meets the (b)(4) instructor paths must monitor the mocks in person or by real-time observation and interaction and attest in writing that they were error-free (40.213(c)(1)). Refresher training is required at least every five years (40.213(e)).

What Intoximeters says about factory instructor courses

Intoximeters publishes a Training and DOT BAT Procedures FAQ. On the question "Do I need to be trained as an instructor by Intoximeters to train Breath Alcohol Technicians for DOT workplace testing?" Intoximeters answers no, provided the instructor was trained by someone with at least one year of experience performing DOT tests or someone who has passed a train-the-trainer class, and provided the instructor follows the DOT Model Course or an equivalent curriculum.

That same Intoximeters FAQ separates calibration from BAT instruction. It states that anyone who calibrates the equipment must have a manufacturer certificate under 49 CFR 40.233, and that Intoximeters requires anyone who trains Calibration Technicians to keep a current Intoximeters Instructor certification. BAT qualification training is not the same as manufacturer-authorized calibration technician training.

Calibration remains a manufacturer-linked function

49 CFR 40.233(c)(5) requires that inspection, maintenance, and calibration of an EBT be performed by the manufacturer or by a maintenance representative certified by the manufacturer or by a state health agency or other appropriate state agency. That rule is about device care. It does not rewrite the 40.213 instructor paths for training BATs to run tests.

What organizations should verify

• The instructor meets 40.213(b)(4).
• Mocks use the same device models the site will deploy, with seven error-free BAT mocks or five error-free STT mocks.
• Documentation is available to employers and C/TPAs under 40.213(g).
• Calibration technicians, if used on site, have the manufacturer or state authorization required by 40.233.

Related collector and alcohol paths: how to become a Breath Alcohol Technician, who can monitor DOT mock collections, and initial training for collectors, BATs, and STTs.

Organizations can enroll teams through a Training Manager account in DOT Breath Alcohol Technician Training, DOT Alcohol Screening Test Technician (STT) Training, or Alco-Screen 02 STT Training. Sites that want an in-house alcohol instructor can use DOT Breath Alcohol Technician Train-the-Trainer.

Collection sites, clinics, and TPAs must track which Federal Custody and Control Form (CCF) version is in the kit and when older stock needs an accompanying memorandum for the record (MFR). DOT's Office of Drug and Alcohol Policy and Compliance (ODAPC) published a notice on the revised 2026 Federal CCF. The dates and collector duties below come from that notice.

Effective dates

• The revised 2026 Federal CCF may be used as a paper or electronic form. Its effective date is April 27, 2026. The OMB approval on the notice runs through April 30, 2029.
• DOT-regulated employers and their service agents (collectors, laboratories, MROs) are authorized to use the 2023 version of the CCF until May 31, 2027.
• Between April 27, 2026 and May 30, 2027, if the 2023 CCF is used, an MFR is not required.
• As of May 31, 2027, if the 2023 CCF is used, an MFR must be completed per 49 CFR 40.205(b)(2).

ODAPC recommends coordinating delivery of the revised 2026 CCF with the laboratory when existing 2023 stock is about to run out, rather than discarding usable forms early.

What changed on the form

According to ODAPC's notice, the revised CCF includes these layout and wording changes:

• In Step 1F (copies 1 through 5): drug analytes and checkboxes were removed, and the field label changed to "Other tests to be performed (specify):".
• In Step 4 (copy 1): the Split Specimen Device Expiration Date field moved to the right.
• In Step 5 (copies 2 through 5): the email line was lengthened and moved, the daytime and evening phone fields were replaced with a single Phone No. field, and the date of birth field was reworded as Birthdate and repositioned.

Do collectors complete Step 1F?

ODAPC's notice states that collectors do not need to complete Step 1F. The laboratory knows the drug testing panel from the account number on the CCF. Collectors should not enter the drugs to be tested in that field as a routine step.

There is no separate DOT "CCF course" requirement. Correct CCF completion is already part of urine collector qualification training under 49 CFR 40.33(b)(1), which requires instruction on all steps necessary to complete a collection correctly and the proper completion and transmission of the CCF. Sites updating staff on the 2026 layout can treat that as refresher content inside existing collector training, not as a new credential.

Site checklist

• Confirm which CCF version is in active kits and in storage.
• Plan the switch to 2026 forms with the laboratory before May 31, 2027 if 2023 stock will still be in use after that date.
• Brief collectors that Step 1F drug checkboxes are gone on the 2026 form and that they do not fill drug panels there.
• Keep current DOT urine collection procedure guidelines available to collectors. ODAPC updated the Urine Specimen Collection Procedures Guidelines in June 2026.

For how collector qualification and documentation fit around form changes, see qualified specimen collector requirements, what 49 CFR Part 40 covers, and when error correction training is needed.

Organizations updating collector staff can enroll through a Training Manager account in DOT Urine Specimen Collector Training or DOT Urine Error Correction Training.

Organizations that already employ DOT urine collectors often ask whether those staff can start DOT oral fluid collections without new training. They cannot. DOT treats urine and oral fluid collector qualification as separate paths.

Separate qualification rules

DOT's November 2024 Part 40 summary states that a qualified urine collector under 49 CFR 40.33 is not a qualified oral fluid collector under 49 CFR 40.35, and vice versa. A person who completed urine qualification and five urine mocks still needs oral fluid qualification training and oral fluid proficiency demonstrations before performing DOT oral fluid collections.

What 49 CFR 40.35 requires

To act as an oral fluid collector in the DOT program, 40.35 requires:

• Knowledge of Part 40, the current DOT Oral Fluid Specimen Collection Procedures Guidelines, and the DOT agency rules for the employers served (40.35(a)).
• Qualification training on Part 40 testing procedures, proficiency on each oral fluid device the collector will use, correct CCF completion, problem collections, fatal and correctable flaws, and integrity, privacy, and security duties (40.35(b)).
• Five consecutive error-free mock collections for each device the collector will use, with the scenarios listed in 40.35(c)(1), including checking and recording each device's expiration date on the CCF (40.35(c)).
• A monitor who meets 40.35(c)(2), or the temporary monitor flexibility in 40.35(c)(3) until one year after HHS publishes notice of the first certified oral fluid laboratory.
• Refresher training at least every five years (40.35(e)), error correction training when required (40.35(f)), and documentation available to employers and C/TPAs on request (40.35(g)).

Who may monitor mocks, including train-the-trainer paths, is covered in who can monitor DOT mock collections.

Laboratory availability (check before live DOT oral fluid testing)

DOT's page on HHS Certified Oral Fluid Laboratories states that DOT-regulated employers may begin oral fluid drug testing in the DOT program only when there are two HHS-certified oral fluid laboratories. The HHS list published September 30, 2026 states that no laboratories are certified for oral fluid testing. Employers should check DOT's page for the current count before scheduling live DOT oral fluid collections. Under a DOT rule effective June 10, 2026, a directly observed urine collection is used in situations where an oral fluid test would be required but oral fluid testing is not yet available (91 FR 25507). Collectors may complete device training and mocks before laboratories are certified, but DOT has warned that training on a device that is not later approved with an HHS laboratory package carries risk for the trainer and trainee.

Always verify the live status here: HHS Certified Oral Fluid Laboratories and Oral Fluid Collection Devices.

What employers and TPAs should do

• Keep urine and oral fluid qualification files separate for each collector.
• Do not assign DOT oral fluid collections to staff whose file only shows 40.33 urine qualification.
• Confirm device-specific mocks exist for every oral fluid device in use at the site.
• Re-check DOT's certified oral fluid laboratory list before the first live DOT oral fluid collection.

Related reading: how to become a DOT specimen collector, qualified specimen collector requirements, and what 49 CFR Part 40 covers.

Organizations preparing oral fluid capacity can enroll teams through a Training Manager account in DOT Oral Fluid Testing Training and DOT Oral Fluid Train-the-Trainer.

A refusal to take a DOT drug test is defined in 49 CFR 40.191. The listed conduct includes failing to appear for a test within a reasonable time after the employer directs it (pre-employment tests excepted), failing to remain at the testing site until the testing process is complete, failing to provide a specimen, and failing to permit a required observed or monitored collection.

The same section also lists providing an insufficient specimen when a medical evaluation finds no adequate medical explanation, declining an additional test the employer or collector directs, failing to undergo a medical examination or evaluation directed by the Medical Review Officer (MRO) or the employer, failing to cooperate with the testing process, failing to follow the observer's instructions during an observed collection, possessing or wearing a prosthetic or other device that could interfere with the collection, and admitting to the collector or MRO to adulterating or substituting a specimen. An adulterated or substituted result verified by the MRO is also a refusal (49 CFR 40.191).

A pre-employment applicant who leaves before the testing process begins is not considered to have refused. For a pre-employment test, a missed medical examination counts as a refusal only if the test followed a contingent offer of employment. Refusing a non-DOT test is not a DOT refusal (49 CFR 40.191). Alcohol test refusals are covered separately in 49 CFR 40.261.

The collector or MRO documents the event and notifies the Designated Employer Representative (DER). The decision on whether a refusal occurred belongs to the employer. Service agents may not make it, with two exceptions: a missed test that a consortium or third-party administrator scheduled for an owner-operator or other self-employed individual, and an MRO finding of adulteration or substitution (49 CFR 40.191, 49 CFR 40.355).

A refusal counts as a DOT drug and alcohol regulation violation. The employee cannot perform DOT safety-sensitive duties for any employer until completing the Substance Abuse Professional (SAP) evaluation, referral, and education or treatment process (49 CFR 40.285). These consequences cannot be overturned by arbitration, a grievance, a State court, or another non-Federal forum (49 CFR 40.191). For FMCSA-regulated drivers, the employer may not allow a driver who refuses a required test to perform safety-sensitive functions, and the refusal is reported to the Drug and Alcohol Clearinghouse (49 CFR 382.211, 49 CFR 382.705).

Official Sources

• 49 CFR 40.191 (eCFR)
• 49 CFR 40.261 (eCFR)
• 49 CFR 40.285 (eCFR)
• 49 CFR 40.355 (eCFR)
• 49 CFR 382.211 (eCFR)
• 49 CFR 382.705 (eCFR)

Before a driver performs safety-sensitive functions for an FMCSA-regulated employer for the first time, the driver takes a pre-employment controlled substances test. The employer needs a verified negative result from the Medical Review Officer or a consortium or third-party administrator (C/TPA) before the driver starts (49 CFR 382.301).

The rule includes a limited exception. The employer is not required to test if the driver took part in a compliant testing program within the previous 30 days, and was either tested within the past six months or took part in a random testing program for the previous 12 months, and no prior employer known to the employer has a record of a violation of 49 CFR Part 382 or another DOT agency's controlled substances rule within the previous six months (49 CFR 382.301). An employer using this exception obtains and keeps documentation from the testing program (49 CFR 382.301).

Pre-employment alcohol testing is optional under the FMCSA rule. An employer that chooses to conduct it tests each covered driver uniformly, after a contingent offer of employment, and the driver's result is below 0.04 before the driver performs safety-sensitive functions (49 CFR 382.301).

A test result is one part of the hiring check. Employers also conduct a full pre-employment query of the Drug and Alcohol Clearinghouse with the driver's consent (49 CFR 382.701). The Clearinghouse query is used to check prior FMCSA-regulated employers, while records from employers under other DOT agencies are requested directly (49 CFR 382.413, 49 CFR 40.25).

An applicant who leaves before a pre-employment test begins is not considered to have refused the test (49 CFR 40.191).

Official Sources

• 49 CFR 382.301 (eCFR)
• 49 CFR 382.701 (eCFR)
• 49 CFR 382.413 (eCFR)
• 49 CFR 40.25 (eCFR)
• 49 CFR 40.191 (eCFR)

HHS publishes separate Mandatory Guidelines for urine and for oral fluid. The oral fluid guidelines were first published on October 25, 2019 (84 FR 57554) and revised on October 12, 2023 (88 FR 70814). DOT added oral fluid to 49 CFR Part 40 as an alternate methodology in a final rule published May 2, 2023 (88 FR 27596). The employer tells the collector which specimen type to collect (49 CFR 40.14).

Collection steps differ. A urine specimen is provided in private unless the collection is observed or monitored, and the collector checks the temperature within 4 minutes (49 CFR 40.63, 49 CFR 40.65). The urine specimen is at least 45 mL, split into a primary bottle of at least 30 mL and a split bottle of at least 15 mL (49 CFR 40.65, 49 CFR 40.71). For oral fluid, the collector inspects the mouth, waits 10 minutes, and maintains visual contact with the employee during the collection (49 CFR 40.72, 49 CFR 40.73). Each oral fluid bottle holds at least 1 mL of undiluted oral fluid (49 CFR 40.74). Once oral fluid testing is available, Part 40 lists an oral fluid test as an option when a same sex observer cannot be found for a directly observed urine collection (49 CFR 40.67).

Laboratory cutoffs are lower for oral fluid. For marijuana, the urine cutoffs are 50 ng/mL initial and 15 ng/mL confirmatory for THCA, and the oral fluid cutoffs are 4 ng/mL and 2 ng/mL for THC (49 CFR 40.85, 49 CFR 40.91). Urine validity testing includes creatinine, pH, and oxidizing adulterants on each primary specimen (49 CFR 40.87). Oral fluid validity testing is optional. A laboratory may conduct it when a specimen shows abnormal characteristics, and it may include a biomarker such as albumin or IgG (49 CFR 40.92, 49 CFR 40.93).

An employer may use oral fluid testing only when at least two HHS-certified oral fluid laboratories exist. After HHS gives notice of the second laboratory, an 18-month grace period allows employers to continue directly observed urine collections (49 CFR 40.67). The HHS list published September 30, 2026 states that no laboratories are certified to conduct oral fluid drug testing (91 FR 61854).

Chain of custody is the documented record of who handled a drug test specimen and when. Part 40 defines it as the procedure used to document the handling of the urine specimen from the time the employee gives the specimen to the collector until the specimen is destroyed, using the Federal Drug Testing Custody and Control Form (CCF) (49 CFR 40.3). The Federal CCF is required for each collection under the DOT drug testing program, and a non-Federal form or an expired CCF may not be used (49 CFR 40.40).

At the collection site, the collector maintains personal control over each specimen and CCF throughout the collection process. To the greatest extent possible, the urine collection container stays in view of both the collector and the employee until it is sealed (49 CFR 40.43). In the presence of the employee, the collector places tamper-evident seals on the specimen containers and records the date, and the employee is asked to initial the seals. If the employee declines, the collector notes it in the Remarks line and completes the collection (49 CFR 40.71, 49 CFR 40.74). The collector then completes Step 4 of the CCF by printing a name, recording the date and time, signing the statement, and entering the name of the delivery service. The specimen is shipped to the laboratory within 24 hours or during the next business day (49 CFR 40.79).

The laboratory checks incoming specimens for fatal flaws. These include no CCF, no specimen submitted with the CCF, no printed collector name and no collector signature, two collections on one CCF, specimen ID numbers that do not match, and a broken or tampered seal or an insufficient specimen when the split cannot be redesignated. For oral fluid, an expired collection device is also a fatal flaw. The Medical Review Officer (MRO) cancels a test with a fatal flaw (49 CFR 40.83, 49 CFR 40.199). A missing collector signature on the certification statement is a correctable flaw that the laboratory attempts to correct (49 CFR 40.203).

Some errors do not cancel a test. Examples include a minor administrative mistake, such as an omitted middle initial, and an omitted or wrong courier name. Such errors may still subject an employer or service agent to enforcement action under DOT agency regulations or Subpart R of Part 40 (49 CFR 40.209).

The HIPAA Privacy Rule applies to covered entities, which are health plans, health care clearinghouses, and health care providers that transmit health information electronically in connection with a covered transaction (45 CFR 160.103). An employer acting in its role as an employer is not a covered entity. HHS states that in most cases the Privacy Rule does not apply to the actions of an employer (HHS, Employers and Health Information in the Workplace). The definition of protected health information also excludes employment records held by a covered entity in its role as employer (45 CFR 160.103).

A drug test result held by a covered health care provider can be protected health information. For non-DOT testing, HHS guidance states that, outside of workplace medical surveillance or work-related illness or injury evaluations that an employer needs to meet OSHA, MSHA, or similar state law requirements, a covered provider may not disclose drug test results to an employer without the individual's authorization unless another provision of the rule permits it. The same guidance states that nothing in the rule prohibits an employer from conditioning employment on an individual providing an authorization (HHS HIPAA FAQ 301). A valid authorization contains the core elements and statements listed in 45 CFR 164.508(c).

For DOT testing, the Privacy Rule permits a covered entity to use or disclose protected health information to the extent the disclosure is required by law and limited to the relevant requirements of that law (45 CFR 164.512(a)). Required by law includes statutes or regulations that require the production of information (45 CFR 164.103). The DOT HIPAA statement says employers and service agents do not need a written employee authorization for disclosures that 49 CFR Part 40 or DOT agency rules require, such as a Medical Review Officer reporting verified results to the employer (DOT ODAPC HIPAA Statement).

Part 40 has its own confidentiality rule. Employers and service agents may not release individual test results or medical information about an employee to third parties without the employee's specific written consent, and blanket releases are prohibited (49 CFR 40.321). Exceptions include releases to DOT agency representatives and, for post-accident tests, to the National Transportation Safety Board during an accident investigation (49 CFR 40.331). An employer may not require an employee to sign a consent, release, waiver of liability, or indemnification agreement for any part of the DOT testing process (49 CFR 40.27).

Three federal agencies, FAA, PHMSA, and the U.S. Coast Guard, require an employee assistance program (EAP) as part of a drug testing program. These are the FAA for aviation employers (14 CFR 120.115), PHMSA for pipeline operators (49 CFR 199.113), and the U.S. Coast Guard for marine employers (46 CFR 16.401). Each rule lets the employer set up the EAP within its internal personnel services or contract with an entity that provides EAP services, and each requires education and training on drug use.

The education elements are nearly the same in the three rules. They include display and distribution of informational material, a community service hot-line telephone number for employee assistance, and the employer's policy on drug use. The FAA policy also covers the consequences of using drugs while performing safety-sensitive functions, receiving a verified positive drug test result, or refusing a required test (14 CFR 120.115). The Coast Guard policy addresses drug and alcohol use in the workplace (46 CFR 16.401).

Training is where the rules differ:

• FAA. Employees receive initial training on the effects and consequences of drug use on individual health, safety, and work environment, and on the manifestations and behavioral cues that may indicate drug use and abuse. Supervisors who make reasonable cause determinations receive at least 60 minutes of initial training plus a reasonable recurrent program, and the employer documents the training and identifies it in its drug testing program (14 CFR 120.115).
• PHMSA. The EAP covers employees and the supervisory personnel who decide reasonable cause testing. Those supervisors receive one 60-minute period on the indicators of probable drug use. The operator may include employee rehabilitation at its discretion (49 CFR 199.113).
• USCG. Crewmembers and supervisory personnel are trained on the effects and consequences of drug and alcohol use and the behavioral cues of use and abuse, and the training is documented. Supervisory personnel receive at least 60 minutes (46 CFR 16.401).

FTA uses a similar requirement under a different name, an education and training program. Covered transit employees receive at least 60 minutes of drug training, and supervisors receive at least 60 minutes on drug indicators and at least 60 minutes on alcohol indicators (49 CFR 655.14). Supervisor training for DOT-regulated employers in motor carrier operations has its own minimums of 60 minutes on alcohol misuse and 60 minutes on controlled substances (49 CFR 382.603).

U.S. Coast Guard (USCG) drug testing rules for crewmembers are in 46 CFR Part 16. Testing follows the procedures in 49 CFR Part 40 and uses only laboratories certified by the Department of Health and Human Services (46 CFR 16.113, 46 CFR 16.201). A crewmember is an individual onboard a vessel acting under the authority of a Coast Guard credential, or an individual engaged or employed onboard a U.S.-owned vessel that is required to be operated by a credentialed individual. Exceptions include certain fish processing personnel, scientific personnel on oceanographic research vessels, and industrial personnel on industrial vessels (46 CFR 16.105).

Part 16 includes these test types:

• Pre-employment. A marine employer may not engage or employ an individual as a crewmember unless the individual passes a drug test for that employer. The employer may waive the test if the individual passed a required test within the previous six months with no subsequent positive drug tests during the remainder of the six-month period, or was in a random program for at least 60 days during the previous 185 days without failing or refusing a test (46 CFR 16.210).
• Periodic. An applicant passes a drug test for certain credential transactions, such as an original Merchant Mariner Credential or the renewal of an officer endorsement (46 CFR 16.220).
• Random. Marine employers run random testing programs for covered crewmembers, such as those filling positions required by an inspected vessel's Certificate of Inspection. The minimum annual rate is 50 percent of covered crewmembers unless the Commandant adjusts it through a Federal Register notice (46 CFR 16.230).
• Serious marine incident. Persons directly involved are tested for drugs and alcohol (46 CFR 16.240). Alcohol testing is due within 2 hours and drug specimen collection within 32 hours, unless safety concerns directly related to the incident prevent it (46 CFR 4.06-3).
• Reasonable cause. The decision rests on a reasonable and articulable belief based on direct observation of "specific, contemporaneous physical, behavioral, or performance indicators of probable use," observed by two persons in supervisory positions where practicable (46 CFR 16.250).

When a credentialed individual fails a drug test, the employer reports the result in writing to the nearest Officer in Charge, Marine Inspection, and the individual is removed from duties that directly affect safe vessel operation. Before returning to work, the MRO determines that the individual is drug-free and that the risk of subsequent use is sufficiently low to justify the return to work, and the individual agrees to at least six unannounced tests in the first year (46 CFR 16.201).

FRA drug and alcohol rules in 49 CFR Part 219 apply to railroads and contractors to railroads. Exceptions include railroads that operate only inside an installation that is not part of the general railroad system (plant railroads), tourist, scenic, historic, or excursion operations not part of the general system, and rapid transit operations in an urban area not connected to the general system (49 CFR 219.3).

The rules cover regulated employees. A regulated employee is a covered employee, maintenance-of-way employee, or mechanical employee who performs regulated service for a railroad subject to Part 219 (49 CFR 219.5).

A covered employee is an employee, volunteer, or probationary employee of a railroad or contractor who performs covered service under the hours of service laws, or who is subject to performing it, whether or not the person is performing it now. For pre-employment testing, the term includes an applicant for covered service (49 CFR 219.5). Covered service is service as a train employee, a dispatching service employee, or a signal employee. Federal law defines a train employee as an individual engaged in or connected with the movement of a train, including a hostler, and a signal employee as an individual engaged in installing, repairing, or maintaining signal systems. A dispatching service employee includes an operator or train dispatcher who dispatches, reports, transmits, receives, or delivers orders affecting train movements (49 U.S.C. 21101).

A maintenance-of-way employee is a roadway worker. Roadway workers include employees of a railroad or contractor whose duties include inspection, construction, maintenance, or repair of track, bridges, roadway, signal and communication systems, electric traction systems, roadway facilities, or roadway maintenance machinery on or near track, plus flagmen and watchmen or lookouts (49 CFR 214.7). A mechanical employee performs mechanical tests or inspections on rolling equipment required by FRA rules, with exceptions for train crews inspecting their own train and for employees who only clean, supply, or service equipment (49 CFR 219.5). FRA added mechanical employees in a 2022 final rule (87 FR 5719).

A small railroad, with 15 or fewer employees covered by the hours of service laws and no joint operations except for interchange, is excepted from Subparts E, G, and K, which include random testing. Employees performing only maintenance-of-way or mechanical work do not count toward the 15 (49 CFR 219.3). Drug and alcohol testing under most Part 219 subparts, including reasonable suspicion, pre-employment, and random testing, follows the procedures in 49 CFR Part 40, while FRA post-accident toxicological testing under Subpart C follows FRA's own procedures (49 CFR 219.701).

FRA post-accident toxicological testing is the testing required under 49 CFR Part 219 Subpart C after a qualifying railroad accident or incident. A regulated employee directly involved in a qualifying event provides blood and urine specimens for toxicological testing by FRA (49 CFR 219.203). Specimens are collected at an independent medical facility using the FRA post-accident toxicological shipping kit, and the railroad representative completes Form FRA 6180.73 for shipment with them (49 CFR 219.203, 49 CFR 219.205). FRA testing takes priority over toxicological testing by state or local law enforcement officials (49 CFR 219.203).

Subpart C lists five types of qualifying events (49 CFR 219.201). These are a major train accident, an impact accident with a reportable injury or railroad property damage of $150,000 or more, a fatal train incident in which an on-duty employee dies within 12 hours, a passenger train accident with a reportable injury, and a human-factor highway-rail grade crossing accident or incident. A major train accident is a rail equipment accident above the reporting threshold that involves a fatality, a hazardous material release with an evacuation or a reportable injury, or railroad property damage of $1,500,000 or more. Testing is not required for a collision with a motor vehicle at a grade crossing unless it is a human-factor event, or for an event wholly attributable to a natural cause, vandalism, or trespassers, as determined by the railroad representative at the scene.

For a major train accident, each assigned crew member of each involved train is tested regardless of fault. For the other event types, a surviving employee is excluded if the railroad representative can immediately determine, based on specific information, that the employee had no role in the cause or severity of the event (49 CFR 219.203). When an employee dies, the railroad asks the local authority, such as a coroner or medical examiner, to obtain specimens from the remains (49 CFR 219.207).

Part 219 calls for specimens to be provided as soon as possible after the event, preferably within four hours. If collection takes longer, the railroad collects the specimens as soon as practicable and notifies the FRA Drug and Alcohol Program Manager. The railroad may also require a breath alcohol test under 49 CFR Part 40 if it does not interfere with the blood and urine collection (49 CFR 219.203). FRA reports controlled substance results to the employee and the railroad's Medical Review Officer (49 CFR 219.211).

FRA peer support rules are in 49 CFR Part 219 Subpart K, titled Referral Programs. Each railroad subject to Subpart K adopts, publishes, and implements a self-referral program and a co-worker referral program. A railroad may also adopt a non-peer referral program and alternate programs (49 CFR 219.1001). Small railroads are excepted from Subpart K (49 CFR 219.3).

A self-referral program gives a regulated employee who abuses drugs or alcohol a chance to obtain counseling or treatment before the problem shows up in a detected violation. The railroad names one or more contacts for a Drug and Alcohol Counselor (DAC). The program may require the employee to make the referral during non-duty hours or while unimpaired (49 CFR 219.1003, 49 CFR 219.1005). A railroad accepts a co-worker referral only if it alleges the employee was apparently unsafe to work with or in violation of the rules, and the employee waives investigation of the rule charge and contacts the DAC within a reasonable time (49 CFR 219.1003).

An employee who seeks help through a referral program and completes the education, counseling, or treatment the DAC specifies may keep the employment relationship. The DAC evaluation is completed within 10 working days, or 20 working days if more than one evaluation is needed. An employee with an active drug abuse disorder does not perform regulated service until the DAC reports that safety is no longer affected. The railroad grants the minimum leave the DAC recommends and returns the employee to regulated service within five working days of the DAC's notice of fitness, unless the employee has a disqualifying medical condition. The DAC sets the number and frequency of follow-up tests. Follow-up treatment, care, or testing under a referral program does not extend beyond 24 months after the employee's initial removal from regulated service, unless the employee's entry into the program involved a substantiated Part 219 violation (49 CFR 219.1003(m)). Only personnel who administer the program may access the identities of participants (49 CFR 219.1003).

The rules have limits. A railroad does not have to honor a referral made to avoid the imminent detection of a rule violation by a supervising employee. Subpart K does not interfere with Federal reasonable suspicion testing when a supervisor sees signs and symptoms of alcohol or drug use, and it does not require pay for time out of service (49 CFR 219.1001). Alternate programs need the written concurrence of employee representatives and FRA approval (49 CFR 219.1007). The drug and alcohol testing rules in other subparts still apply.

FTA drug and alcohol rules in 49 CFR Part 655 apply to each recipient and subrecipient of Federal transit assistance under 49 U.S.C. 5307, 5309, or 5311, and to contractors of those recipients and subrecipients (49 CFR 655.3). A covered employee is a person, including an applicant or transferee, who performs or will perform a safety-sensitive function for an entity subject to Part 655 (49 CFR 655.4).

Part 655 defines these duties as safety-sensitive functions when performed by employees of recipients, subrecipients, operators, or contractors (49 CFR 655.4):

• Operating a revenue service vehicle, including when it is not in revenue service.
• Operating a nonrevenue service vehicle when a Commercial Driver's License holder is required to operate it.
• Controlling dispatch or movement of a revenue service vehicle.
• Maintaining a revenue service vehicle or equipment used in revenue service, including repairs, overhaul, and rebuilding.
• Carrying a firearm for security purposes.

A vehicle includes a bus, electric bus, van, automobile, rail car, trolley car, trolley bus, or vessel. The maintenance function has an exception. It does not apply to an employer that receives 5307 or 5309 funds, is in an area of less than 200,000 in population, and contracts out maintenance, or to a 5311 recipient that contracts out maintenance. A volunteer is a covered employee if the volunteer is required to hold a Commercial Driver's License, or performs a safety-sensitive function and receives pay beyond actual expenses. Performing a safety-sensitive function includes any period when the employee is actually performing, ready to perform, or immediately available to perform it (49 CFR 655.4).

Contractors are covered. Part 655 defines a contractor as a person or organization that provides a safety-sensitive service under a written contract or an informal arrangement that reflects an ongoing relationship, and the term employer includes subrecipients, operators, and contractors (49 CFR 655.4). A recipient is responsible for making sure that a subrecipient or contractor that receives these funds directly from it complies with Part 655 (49 CFR 655.81).

Two exceptions apply. A recipient operating a railroad regulated by FRA follows 49 CFR Part 219 and 49 CFR 655.83 for its railroad operations and Part 655 for any non-railroad operations (49 CFR 655.3(b)). A recipient operating a ferryboat regulated by the Coast Guard that complies with the testing requirements of 46 CFR Parts 4 and 16 and 33 CFR Part 95 is in concurrent compliance with the Part 655 testing requirements, except for 49 CFR 655.45 and Subparts G and H (49 CFR 655.3(c)). Testing for DOT-regulated employers under Part 655 follows Part 655 and 49 CFR Part 40 (49 CFR 655.12).

FMCSA drug and alcohol testing under 49 CFR Part 382 covers drivers who operate a commercial motor vehicle (CMV) in commerce and who are subject to the commercial driver's license (CDL) requirements of 49 CFR Part 383. It also covers drivers subject to the Mexican Licencia Federal de Conductor or the Canadian National Safety Code CDL rules (49 CFR 382.103(a)).

For Part 382, a CMV is a vehicle used in commerce to transport passengers or property that:

• Has a gross combination weight rating or gross combination weight of 26,001 pounds or more, including a towed unit over 10,000 pounds
• Has a gross vehicle weight rating or gross vehicle weight of 26,001 pounds or more
• Is designed to transport 16 or more passengers, including the driver
• Is of any size and transports hazardous materials in amounts that require placards (49 CFR 382.107)

"Commerce" includes trade or transportation that affects interstate commerce. FMCSA guidance reads this definition as reaching intrastate operations, so CDL drivers who operate only within one state are covered unless an exception in 49 CFR 382.103(d) applies (49 CFR 382.107). "Driver" includes full-time, casual, intermittent, occasional and leased drivers and independent owner-operator contractors (49 CFR 382.107). An employer that employs only itself as a driver joins a random testing pool of two or more covered employees, which is often run by a consortium or third-party administrator (49 CFR 382.103(b)).

Part 382 does not apply to:

• Employers and drivers who are required to comply only with the FTA testing rules in 49 CFR Part 655
• Drivers a state must waive from the CDL rules, such as active duty military personnel
• Drivers a state has exempted from the CDL rules at its discretion, such as certain farm vehicle operators and firefighters
• Operators of covered farm vehicles (49 CFR 382.103(d))

The general exceptions in 49 CFR 390.3T(f), such as those for government employers, do not apply to Part 382, so a city or county that employs CDL drivers runs a testing program too (49 CFR 382.103(c)). Covered drivers take pre-employment tests and are subject to the other Part 382 tests and Clearinghouse queries.