DOT 49 CFR PART 40-2010 PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS.pdf

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1、543 Office of the Secretary of Transportation Pt. 40 (3) Your response must also inform the complainant of his or her right to pursue DOT or DOJ enforcement action under this part, as applicable. DOT has enforcement authority under Title II of the ADA for public entities and under section 504 of the

2、 Rehabilitation Act for entities that receive Federal finan-cial assistance; DOJ has enforcement authority under Title III of the ADA for private entities. 39.107 Where may persons obtain as-sistance with matters covered by this regulation? A passenger, PVO, or any other per-son may obtain informati

3、on, guidance, or other assistance concerning 49 CFR part 39 from then DOT Departmental Office of Civil Rights and/or DOT Office of General Counsel, 1200 New Jersey Avenue, SE., Washington, DC 20590. 39.109 What enforcement actions may be taken under this Part? (a) The Department of Transpor-tation i

4、nvestigates complaints and conducts reviews or other inquiries into the compliance with this Part of PVOs that are Title II entities. (b) As a PVO subject to Title II of the ADA, you must be prepared to provide to the Department of Transportation a written explanation of your action in any situation

5、 in which you exclude or restrict an individual with a disability or any mobility or other assistive de-vice used by such an individual with re-spect to the use of your vessel. (c) The Department of Transpor-tation investigates complaints con-ducts compliance reviews or other in-quiries into the com

6、pliance of this Part of PVOs, whether private or public en-tities, that receive Federal financial assistance from the Department, under section 504 of the Rehabilitation Act of 1973, as amended. (d) The Department may refer any matter concerning the compliance of PVOs with this Part to the Departmen

7、t of Justice for enforcement action. (e) The Department of Justice inves-tigates complaints and conducts re-views or other inquiries into the com-pliance with this Part of PVOs that are Title III entities. (f) The Department of Justice may file suit in Federal court against both Title II and Title I

8、II PVOs for viola-tions of this part. PART 40PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS Subpart AAdministrative Provisions Sec. 40.1 Who does this regulation cover? 40.3 What do the terms used in this part mean? 40.5 Who issues authoritative interpreta-tions of this re

9、gulation? 40.7 How can you get an exemption from a requirement in this regulation? Subpart BEmployer Responsibilities 40.11 What are the general responsibilities of employers under this regulation? 40.13 How do DOT drug and alcohol tests re-late to non-DOT tests? 40.14 What collection information mu

10、st em-ployers provide to collectors? 40.15 May an employer use a service agent to meet DOT drug and alcohol testing re-quirements? 40.17 Is an employer responsible for obtain-ing information from its service agents? 40.19 Reserved 40.21 May an employer stand down an em-ployee before the MRO has comp

11、leted the verification process? 40.23 What actions do employers take after receiving verified test results? 40.25 Must an employer check on the drug and alcohol testing record of employees it is intending to use to perform safety- sensitive duties? 40.26 What form must an employer use to report Mana

12、gement Information System (MIS) data to a DOT agency? 40.27 May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program? 40.29 Where is other information on em-ployer responsibilities found in this regu-lation? Subpart CUrine Collectio

13、n Personnel 40.31 Who may collect urine specimens for DOT drug testing? 40.33 What training requirements must a collector meet? 40.35 What information about the DER must employers provide to collectors? VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00553 Fmt 8010 Sfmt 8010 Y:SGML220212.

14、XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-544 49 CFR Subtitle A (10110 Edition) Pt. 40 40.37 Where is other information on the role of collectors found in this regulation? Subpart DCollection Sites, F

15、orms, Equip-ment and Supplies Used in DOT Urine Collections 40.41 Where does a urine collection for a DOT drug test take place? 40.43 What steps must operators of collec-tion sites take to protect the security and integrity of urine collections? 40.45 What form is used to document a DOT urine collec

16、tion? 40.47 May employers use the CCF for non- Federal collections or non-Federal forms for DOT collections? 40.49 What materials are used to collect urine specimens? 40.51 What materials are used to send urine specimens to the laboratory? Subpart EUrine Specimen Collections 40.61 What are the preli

17、minary steps in the collection process? 40.63 What steps does the collector take in the collection process before the em-ployee provides a urine specimen? 40.65 What does the collector check for when the employee presents a specimen? 40.67 When and how is a directly observed collection conducted? 40

18、.69 How is a monitored collection con-ducted? 40.71 How does the collector prepare the specimens? 40.73 How is the collection process com-pleted? Subpart FDrug Testing Laboratories 40.81 What laboratories may be used for DOT drug testing? 40.83 How do laboratories process incoming specimens? 40.85 W

19、hat drugs do laboratories test for? 40.87 What are the cutoff concentrations for drug tests? 40.89 What is validity testing, and are lab-oratories required to conduct it? 40.91 What validity tests must laboratories conduct on primary specimens? 40.93 What criteria do laboratories use to establish th

20、at a specimen is dilute or substituted? 40.95 What are the adulterant cutoff con-centrations for initial and confirmation tests? 40.96 What criteria do laboratories use to establish that a specimen is invalid? 40.97 What do laboratories report and how do they report it? 40.99 How long does the labor

21、atory retain specimens after testing? 40.101 What relationship may a laboratory have with an MRO? 40.103 What are the requirements for sub-mitting blind specimens to a laboratory? 40.105 What happens if the laboratory re-ports a result different from that ex-pected for a blind specimen? 40.107 Who m

22、ay inspect laboratories? 40.109 What documentation must the lab-oratory keep, and for how long? 40.111 When and how must a laboratory dis-close statistical summaries and other in-formation it maintains? 40.113 Where is other information con-cerning laboratories found in this regula-tion? Subpart GMe

23、dical Review Officers and the Verification Process 40.121 Who is qualified to act as an MRO? 40.123 What are the MROs responsibilities in the DOT drug testing program? 40.125 What relationship may an MRO have with a laboratory? 40.127 What are the MROs functions in re-viewing negative test results?

24、40.129 What are the MROs functions in re-viewing laboratory confirmed non-nega-tive drug test results? 40.131 How does the MRO or DER notify an employee of the verification process after receiving laboratory confirmed non-negative drug test results? 40.133 Without interviewing the employee, under wh

25、at circumstances may the MRO verify a test result as positive, or as a re-fusal to test because of adulteration or substitution, or as cancelled because the test was invalid? 40.135 What does the MRO tell the employee at the beginning of the verification inter-view? 40.137 On what basis does the MRO

26、 verify test results involving marijuana, co-caine, amphetamines, or PCP? 40.139 On what basis does the MRO verify test results for codeine and morphine? 40.140 On what basis does the MRO verify test results for 6-acetylmorphine (6AM)? 40.141 How does the MRO obtain informa-tion for the verification

27、 decision? 40.143 Reserved 40.145 On what basis does the MRO verify test results involving adulteration or substitution? 40.147 Reserved 40.149 May the MRO change a verified drug test result? 40.151 What are MROs prohibited from doing as part of the verification process? 40.153 How does the MRO noti

28、fy employees of their right to a test of the split speci-men? 40.155 What does the MRO do when a nega-tive or positive test result is also dilute? 40.157 Reserved 40.159 What does the MRO do when a drug test result is invalid? VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00554 Fmt 8010

29、 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-545 Office of the Secretary of Transportation Pt. 40 40.160 What does the MRO do when a valid test result cannot be produced and a neg

30、-ative result is required? 40.161 What does the MRO do when a drug test specimen is rejected for testing? 40.162 What must MROs do with multiple verified results for the same testing event? 40.163 How does the MRO report drug test results? 40.165 To whom does the MRO transmit re-ports of drug test r

31、esults? 40.167 How are MRO reports of drug results transmitted to the employer? 40.169 Where is other information con-cerning the role of MROs and the verification process found in this regula-tion? Subpart HSplit Specimen Tests 40.171 How does an employee request a test of a split specimen? 40.173

32、Who is responsible for paying for the test of a split specimen? 40.175 What steps does the first laboratory take with a split specimen? 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? 40.179 What does the sec

33、ond laboratory do with the split specimen when it is tested to reconfirm an adulterated test result? 40.181 What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result? 40.183 What information do laboratories re-port to MROs regarding split spe

34、cimen results? 40.185 Through what methods and to whom must a laboratory report split specimen results? 40.187 What does the MRO do with split specimen laboratory results? 40.189 Where is other information con-cerning split specimens found in this reg-ulation? Subpart IProblems in Drug Tests 40.191

35、What is a refusal to take a DOT drug test, and what are the consequences? 40.193 What happens when an employee does not provide a sufficient amount of urine for a drug test? 40.195 What happens when an individual is unable to provide a sufficient amount of urine for a pre-employment follow-up or ret

36、urn-to-duty test because of a perma-nent or long-term medical condition? 40.197 What happens when an employer re-ceives a report of a dilute specimen? 40.199 What problems always cause a drug test to be cancelled? 40.201 What problems always cause a drug test to be cancelled and may result in a requ

37、irement for another collection? 40.203 What problems cause a drug test to be cancelled unless they are corrected? 40.205 How are drug test problems cor-rected? 40.207 What is the effect of a cancelled drug test? 40.208 What problem requires corrective ac-tion but does not result in the cancella-tion

38、 of a test? 40.209 What procedural problems do not re-sult in the cancellation of a test and do not require correction? Subpart JAlcohol Testing Personnel 40.211 Who conducts DOT alcohol tests? 40.213 What training requirements must STTs and BATs meet? 40.215 What information about the DER do employ

39、ers have to provide to BATs and STTs? 40.217 Where is other information on the role of STTs and BATs found in this reg-ulation? Subpart KTesting Sites, Forms, Equipment and Supplies Used in Alcohol Testing 40.221 Where does an alcohol test take place? 40.223 What steps must be taken to protect the s

40、ecurity of alcohol testing sites? 40.225 What form is used for an alcohol test? 40.227 May employers use the ATF for non- DOT tests, or non-DOT forms for DOT tests? 40.229 What devices are used to conduct al-cohol screening tests? 40.231 What devices are used to conduct al-cohol confirmation tests?

41、40.233 What are the requirements for proper use and care of EBTs? 40.235 What are the requirements for proper use and care of ASDs? Subpart LAlcohol Screening Tests 40.241 What are the first steps in any alco-hol screening test? 40.243 What is the procedure for an alcohol screening test using an EBT

42、 or non-evi-dential breath ASD? 40.245 What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD? 40.247 What procedures does the BAT or STT follow after a screening test result? Subpart MAlcohol Confirmation Tests 40.251 What are the first steps in an alcohol confi

43、rmation test? 40.253 What are the procedures for con-ducting an alcohol confirmation test? VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00555 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted

44、 without license from IHS-,-,-546 49 CFR Subtitle A (10110 Edition) Pt. 40 40.255 What happens next after the alcohol confirmation test result? Subpart NProblems in Alcohol Testing 40.261 What is a refusal to take an alcohol test, and what are the consequences? 40.263 What happens when an employee i

45、s unable to provide a sufficient amount of saliva for an alcohol screening test? 40.265 What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test? 40.267 What problems always cause an alco-hol test to be cancelled? 40.269 What problems cause an alcohol test

46、 to be cancelled unless they are cor-rected? 40.271 How are alcohol testing problems cor-rected? 40.273 What is the effect of a cancelled alco-hol test? 40.275 What is the effect of procedural prob-lems that are not sufficient to cancel an alcohol test? 40.277 Are alcohol tests other than saliva or

47、breath permitted under these regula-tions? Subpart OSubstance Abuse Professionals and the Return-to-Duty Process 40.281 Who is qualified to act as a SAP? 40.283 How does a certification organization obtain recognition for its members as SAPs? 40.285 When is a SAP evaluation required? 40.287 What inf

48、ormation is an employer re-quired to provide concerning SAP serv-ices to an employee who has a DOT drug and alcohol regulation violation? 40.289 Are employers required to provide SAP and treatment services to employ-ees? 40.291 What is the role of the SAP in the evaluation, referral, and treatment p

49、roc-ess of an employee who has violated DOT agency drug and alcohol testing regula-tions? 40.293 What is the SAPs function in con-ducting the initial evaluation of an em-ployee? 40.295 May employees or employers seek a second SAP evaluation if they disagree with the first SAPs recommendations? 40.297 Does anyone have the authority to change a SAPs initial evaluation? 40.299 What is the SAPs role and what are the limits on a SAPs discretion in refer-ring employee