Confirmatory validity test. How does the Department notify service agents of its decision? What steps must be taken to protect the security of alcohol testing sites? (a) As a laboratory testing the primary specimen, you must retain a specimen that was reported with positive, adulterated, substituted, or invalid results for a minimum of one year. 40.187 - Action concerning split specimen test results. (a) As the employer, you are responsible for making sure (e.g., by establishing appropriate accounts with laboratories for testing split specimens) that the MRO, first laboratory, and second laboratory perform the functions noted in 40.175-40.185 in a timely manner, once the employee has made a timely request for a test of the split specimen. 40.131 How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results? (h) If the CCF is marked indicating that a split specimen collection was collected and if the split specimen does not accompany the primary, has leaked, or is otherwise unavailable for testing, you must still test the primary specimen and follow appropriate procedures outlined in 40.175(b) regarding the unavailability of the split specimen for testing. (4) You must proceed with the test of the employee using another EBT, if one is available. (4) The original specimen appeared to have been tampered with (see 40.65(c)(1)). (h) Test reason, as appropriate: Pre-employment; Random; Reasonable Suspicion/Reasonable Cause; Post-Accident; Return-to-Duty; and Follow-up. (2) Error correction training is required to cover only the subject matter area(s) in which the error that caused the test to be cancelled occurred. How does the return-to-duty process conclude? (j) PIEs do not apply to drug and alcohol testing that DOT does not regulate. (11) You must note the fact that you used a breath tube device in Step 3 of the ATF. 40.177 What does the second laboratory do with the split specimen when it is tested to reconfirm the presence of a drug or drug metabolite? (a) All collections under DOT agency drug testing regulations must be split specimen collections. Males can use a plastic, portable (easy-to-carry) urinal or the large urine storage container. Service Agent R was subject to a PIE with respect to SAP services. What are the MRO's responsibilities in the DOT drug testing program? (2) If either of the specimens was verified negative and the other was verified as one or more non-negative(s), report the non-negative result(s) only. (3) Follow the recording and reporting procedures at (a)(4)(i) and (ii) of this section. (a) As a SAP, for each employee who has committed a DOT drug or alcohol regulation violation, and who seeks to resume the performance of safety-sensitive functions, you must establish a written follow-up testing plan. (4) If you receive the information in paragraph (a)(3) of this section after the 60-day period, you must consult with ODAPC prior to changing the result. Actions taken by the MRO (e.g., notified employer of failure to reconfirm and requirement for recollection). (b) You must keep such a specimen in secure, long-term, frozen storage in accordance with HHS requirements. (9) You must never re-use devices, swabs, gloves or other materials used in saliva testing. 40.273 - Actions following cancelled tests in alcohol tests. 9. For example, as an employer, when you receive a written request from a former employee to provide information to a subsequent employer, you must do so. What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result? If the employee's arrival is delayed beyond that time, you must notify the DER that the employee has not reported for testing. 40.381 What information do you present to contest the proposed issuance of a PIE? (c) It is not your function to determine whether the employer should have directed that a test occur. (8) If you were able to successfully follow the procedures of paragraphs (b)(4) through (b)(6) of this section and after having waited the required amount of time directed by the manufacturer for the detector device to incubate, you must place the device in the analyzer in accordance with the manufacturer's directions. May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections? (7) You must then ensure that the employee initials the tamper-evident bottle seals for the purpose of certifying that the bottles contain the specimens he or she provided. However, during the time one employee is in the period for drinking fluids in a shy bladder situation (see 40.193(b)), you may conduct a collection for another employee. (2) As the MRO, you must note the refusal by checking the Refusal to Test box in Step 6 on Copy 2 of the CCF, checking whether the specimen was adulterated or substituted and, if adulterated, noting the adulterant/reason. The supervision must be provided by a licensed or certified practitioner. (B) There is not an adequate basis for determining that a medical condition has, or with a high degree of probability could have, precluded the employee from providing a sufficient amount of breath. (a) Except as provided in paragraph (b) of this section, you must use a shipping container that adequately protects the specimen bottles from shipment damage in the transport of specimens from the collection site to the laboratory. 40.353 - Relationships with service agents. (7) In a case where the employee refuses to provide another specimen (see 40.191(a)(3)) or refuses to provide another specimen under direct observation (see 40.191(a)(4)), you must notify the DER. (b) The laboratory reports the result as Rejected for Testing. You must follow applicable procedures in 40.161 (a recollection may be required). This requirement applies only to employees seeking to begin performing safety-sensitive duties for you for the first time (i.e., a new hire, an employee transfers into a safety-sensitive position). (a) If you are a service agent, the initiating official must send you a correction notice before starting a PIE proceeding. 40.67 - Role in direct observation and other atypical test situations. On what basis does the MRO verify test results involving adulteration or substitution? The procedure for collecting a urine specimen as outlined in 49 CFR Part 40 is very specific and must be followed whenever a DOT-required urine specimen collection is performed. (c) As a participant in the DOT drug testing program, you are not permitted to modify or revise the CCF except as follows: (1) You may include, in the area outside the border of the form, other information needed for billing or other purposes necessary to the collection process. (f) You must not accept an assertion of consumption or other use of a hemp or other non-prescription marijuana-related product as a basis for verifying a marijuana test negative. If the employee is also going to take a DOT alcohol test, you must, to the greatest extent practicable, ensure that the alcohol test is completed before the urine collection process begins. Subscribe to: Changes in Title 49 :: Subtitle A :: Part 40. For example, you must discard any excess urine left over from a DOT test and collect a separate void for the subsequent non-DOT test. (b) You must determine the pH of each primary specimen. 40.363 On what basis may the Department issue a PIE? 40.349 What records may a service agent receive and maintain? Must be designed to adequately protect the specimen bottles from shipment damage in the transport of specimens from the collection site to the laboratory (e.g., standard courier box, small cardboard box, plastic container). What does the issuance of a PIE mean to transportation employers? (b) If, as an STT, BAT, employer or other service agent administering the testing process, you become aware of a correctable flaw (see 40.269) that has not already been corrected, you must take all practicable action to correct the problem so that the test is not cancelled. As the MRO, in the case where the laboratory reconfirmed one or more of the primary specimen result(s), you must follow procedures in paragraph (a) of this section and: (1) Report that the split was also reported as being invalid, adulterated, and/or substituted (as appropriate). [65 FR 79526, Dec. 19, 2000, as amended at 66 FR 41952, Aug. 9, 2001; 68 FR 31626, May 28, 2003; 69 FR 64867, Nov. 9, 2004]. (b) As a laboratory, you must consider the primary specimen to be substituted when the creatinine concentration is less than 2 mg/dL and the specific gravity is less than or equal to 1.0010 or greater than or equal to 1.0200 on both the initial and confirmatory creatinine tests and on both the initial and confirmatory specific gravity tests on two separate aliquots. (e) In determining whether a legitimate medical explanation exists, you may consider the employee's use of a medication from a foreign country. What steps does the collector take in the collection process before the employee provides a urine specimen? 40.14 What collection information must employers provide to collectors? Office of Drug and Alcohol Policy & Compliance, Breath Alcohol & Screening Test Technicians, 49 CFR Part 40 (Drug and Alcohol Regulations), DOT Agency / USCG Information & Regulations, DOT COVID-19 Drug and Alcohol Statement of Enforcement Discretion, DOT COVID-19 Drug and Alcohol Testing Guidance, Part 40 Federal Register Notices, Court Decisions, Legislation, Approved Evidential Alcohol Testing Devices, Office of the Assistant Secretary for Research and Technology. For example, even if you recommended follow-up testing beyond the first 12-months, you can terminate the testing requirement at any time after the first year of testing. You do not establish this plan until after you determine that the employee has successfully complied with your recommendations for education and/or treatment. (i) You must simply direct the DER to inform the employee to contact you. (2) As an MRO, you determine that an individual has refused to test on the basis of adulteration or substitution. 40.225 - Modifying ATFs; use of foreign-language ATFs. (c) As a SAP, you must make available to an employee, on request, a copy of all SAP reports (see 40.311). (1) In the rare case where the collector, either by mistake or as the only means to conduct a test under difficult circumstances (e.g., post-accident or reasonable suspicion test with insufficient time to obtain the CCF), uses a non-Federal form for a DOT collection, the use of a non-Federal form does not present a reason for the laboratory to reject the specimen for testing or for an MRO to cancel the result. Redesignated at 66 FR 41950, Aug. 9, 2001, as amended at 82 FR 52244, Nov. 13, 2017]. If the employee refuses to sign this certification, you must document this refusal on the Remarks line of the ATF and immediately notify the DER. Alcohol confirmation test. (b) In exercising this discretion, the initiating official must consider the Department's policy regarding the seriousness of the service agent's conduct (see 40.365) and all information he or she has obtained to this point concerning the facts of the case. The employee returns to duty with Employer A. (c) For all other codeine and morphine positive results, you must verify a confirmed positive test result only if you determine that there is clinical evidence, in addition to the urine test, of unauthorized use of any opium, opiate, or opium derivative (i.e., morphine, codeine, or heroin). 40.369 What is the discretion of an initiating official in starting a PIE proceeding? Share sensitive information only on official, secure websites. The drinking or swallowing of any beverage, liquid mixture or preparation (including any medication), containing alcohol. (2) As an employer who receives the SAP's written notice that the employee has not successfully complied with the SAP's recommendations, you must not return the employee to the performance of safety-sensitive duties. (h) You must perform all your functions in compliance with this part and other DOT agency regulations. However, you may maintain individual SAP summary reports and follow-up testing plans after they are sent to the DER, and the SAP may transmit such reports to you simultaneously with sending them to the DER. (5) As a BAT or STT, you may add, on the Remarks line of the ATF, the name of the DOT agency under whose authority the test occurred. As the BAT for an alcohol confirmation test, you must follow these steps to begin the confirmation test process: (a) You must carry out a requirement for a waiting period before the confirmation test, by taking the following steps: (1) You must ensure that the waiting period lasts at least 15 minutes, starting with the completion of the screening test. [66 FR 41952, Aug. 9, 2001, as amended at 75 FR 49863, Aug. 16, 2010; 75 FR 59107, Sept. 27, 2010; 76 FR 59578, Sept. 27, 2011]. Fax: 202-366-3897. (6) You, not the employee, must then write the date on the tamper-evident bottle seals. Breath Alcohol Technician (BAT). 40.201 What problems always cause a drug test to be cancelled and may result in a requirement for another collection? 40.277 Are alcohol tests other than saliva or breath permitted under these regulations? 40.223 What steps must be taken to protect the security of alcohol testing sites? What matters does the Director decide concerning a proposed PIE? A second analytical procedure performed on a different aliquot of the original specimen to identify and quantify the presence of a specific drug or drug metabolite. (a) DOT tests must be completely separate from non-DOT tests in all respects. How does the initiating official start a PIE proceeding? (a) Any person may bring concerns about waste, fraud, or abuse on the part of a service agent to the attention of the DOT Office of Inspector General. (3) If an EBT fails an external check of calibration, you must take the EBT out of service. What is the discretion of an initiating official in starting a PIE proceeding? (ii) Report to the DER that the test is cancelled, the reason for cancellation, and that no further action is required unless a negative test result is required (i.e., pre-employment, return-to-duty, or follow-up tests). (c) A PIE is a serious action that the Department takes only to protect the public interest. What confidentiality requirements apply to service agents? Before starting a PIE proceeding, does the initiating official give the service agent an opportunity to correct problems? The DER also receives test results and other communications for the employer, consistent with the requirements of this part. (d) In transmitting test results, you or the C/TPA and the employer must ensure the security of the transmission and limit access to any transmission, storage, or retrieval systems. (b) The NOPE includes the following information: (1) A statement that the initiating official is recommending that the Department issue a PIE concerning you; (2) The factual basis for the initiating official's belief that you are not providing drug and/or alcohol testing services to DOT-regulated employers consistent with the requirements of this part or are in serious noncompliance with a DOT agency drug and alcohol regulation; (3) The factual basis for the initiating official's belief that your noncompliance has not been or cannot be corrected; (4) The initiating official's recommendation for the scope of the PIE; (5) The initiating official's recommendation for the duration of the PIE; and. This information is required, and it is prohibited for an employer, collector, service agent or any other party to omit it. (d) Requalification training. (iv) That the confirmation test will be conducted at the end of the waiting period, even if the instructions have not been followed. 40.169 Where is other information concerning the role of MROs and the verification process found in this regulation? This tutorial is only for Learning and Educational purpose. Includes: Hertz (b) As the BAT or STT, you must instruct the employee to attempt again to provide a sufficient amount of breath and about the proper way to do so. You cannot charge the employee any fee for compiling or providing this list. We intend them to illustrate the level of seriousness that the Department believes supports starting a PIE proceeding. 40.96 What criteria do laboratories use to establish that a specimen is invalid? (b) In deciding upon the duration of the PIE, the Director considers the seriousness of the conduct on which the PIE is based and the continued need to protect employers and employees from the service agent's noncompliance. Part 40. What happens when an individual is unable to provide a sufficient amount of urine for a pre-employment follow-up or return-to-duty test because of a permanent or long-term medical condition? (2) All written, printed, and computer-based drug and alcohol program records and reports (including copies of name-specific records or reports), files, materials, data, documents/documentation, agreements, contracts, policies, and statements that are required by this part and DOT agency regulations. Blanket releases, in which an employee agrees to a release of a category of information (e.g., all test results) or to release information to a category of parties (e.g., other employers who are members of a C/TPA, companies to which the employee may apply for employment), are prohibited under this part. number, if provided; (G) Collector's name and telephone number; (J) Date certifying scientist released the results; (L) Results (e.g., positive, adulterated) as listed in paragraph (a) of this section; and. If the previous employer does not have information about the return-do-duty process (e.g., an employer who did not hire an employee who tested positive on a pre-employment test), you must seek to obtain this information from the employee. 40.345 In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers? (d) As the MRO, after you have verified a test result under this section and reported the result to the DER, you must allow the employee to present information to you within 60 days of the verification to document that serious illness, injury, or other circumstances unavoidably precluded contact with the MRO and/or DER in the times provided. What information do laboratories report to MROs regarding split specimen results? As the MRO, you must: (1) Report to the DER and the employee that the test must be cancelled and the reason for the cancellation; (2) Direct the DER to ensure the immediate recollection of another specimen from the employee under direct observation, with no notice given to the employee of this collection requirement until immediately before the collection; and. There is one exception to this requirement: you may use excess urine to conduct clinical tests (e.g., protein, glucose) if the collection was conducted in conjunction with a physical examination required by a DOT agency regulation. per month. (c) If you do not report test results using Copy 2 of the CCF for this purpose, you must provide a written report (e.g., a letter) for each test result. (2) Remove the device from the package and secure an inflation bag onto the appropriate end of the device, as directed by the manufacturer on the device's instructions. DOT agencies may incorporate ODAPC/OGC interpretations in written guidance they issue concerning drug and alcohol testing matters. Now we can just call up tabdisp :. This flaw may be corrected through the procedure set forth in 40.205(b)(2), provided that the collection testing process has been conducted in accordance with the procedures in this part in an HHS-certified laboratory. 40.329 - Release of information to employees. ), 1200 New Jersey Avenue, SE 40.355 - Role with respect to other service agents. For example, you must not retest some employees and not others. Only Part 40 interpretations issued after August 1, 2001, are considered valid. (f) As the collector, when someone else has acted as the monitor, you must note that person's name in the Remarks line of the CCF (Step 2). The appropriate scope of a PIE grows broader as the pervasiveness of the noncompliance increases. You are not required to obtain employee consent for this transfer. (2) You may verify a test result as a positive or refusal to test, as applicable, if the DER has successfully made and documented a contact with the employee and instructed the employee to contact you and more than 72 hours have passed since the time the DER contacted the employee. (14) With respect to noncompliance with a DOT agency regulation, conduct that affects important provisions of Department-wide concern (e.g., failure to properly conduct the selection process for random testing). If nothing is there that can be used to adulterate a specimen, the employee can place the items back into his or her pockets. (3) Identification of your affiliates, if any. (a) If a valid test result cannot be produced and a negative result is required, (under 40.159 (a)(5)(iii) and (e)(4)), as the MRO, you must determine if there is clinical evidence that the individual is currently an illicit drug user. How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results? Are drug tests other than urine permitted under the regulations? Nothing in this section permits an employer to fail to carry out its obligations with respect to follow-up testing (see 40.309). In designating these intervals, your QAP must take into account factors like frequency of use, environmental conditions (e.g., temperature, humidity, altitude) and type of operation (e.g., stationary or mobile). (b) You must open a new individually wrapped or sealed mouthpiece in view of the employee and insert it into the device in accordance with the manufacturer's instructions. (f) As an employer who receives a drug test result indicating that the employee's urine specimen test was cancelled because it was invalid and that a second collection must take place under direct observation -. As soon as you have notified the DER, you must discard any specimen the employee has provided previously during the collection procedure. 40.31 Who may collect urine specimens for DOT drug testing?
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