What Statistical Summaries Does a Laboratory Send to Employers?

A laboratory sends each DOT-regulated employer an aggregate statistical summary of its test data twice a year. Under 49 CFR 40.111(a), the summary covers the data listed in appendix D of Part 40, by employer, for each specimen type the laboratory tests.

• The summary for July 1 through December 31 is sent by January 20 of the following year.
• The summary for January 1 through June 30 is sent by July 20 of the same year.

The summary must not reveal the identity of any employee. To avoid data from which an employee's test result could be readily inferred, the laboratory does not send a summary if the employer has fewer than five aggregate test results.

Under 40.111(b), when an employer asks for a summary in response to an inspection, audit or review by a DOT agency, the laboratory provides it. If the employer had fewer than five aggregate test results, the laboratory instead sends a report stating that not enough testing was conducted to warrant a summary. The summary or report may be sent by hard copy, fax or other electronic means.

Under 40.111(d), the laboratory also sends DOT a semi-annual summary of the data in appendix E for each specimen type, by January 31 and July 31. A laboratory that withdraws or is removed from NLCP certification during a reporting period sends its last summary to the DOT-regulated employers and to ODAPC. The records behind these summaries are covered in What Records Must a Laboratory Keep for DOT Drug Tests?.

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