(4) The collector's responsibility for maintaining the integrity of the collection process, ensuring the privacy of employees being tested, ensuring the security of the specimen, and avoiding conduct or statements that could be viewed as offensive or inappropriate; (c) Initial Proficiency Demonstration. (a) As the proponent of issuing a PIE, the initiating official bears the burden of proof. (3) Offer the employee the opportunity to use the device. (a) As an employer, you are responsible for meeting all applicable requirements and procedures of this part. (4) A statement of the duration of the PIE. An employee authorized by the employer to take immediate action(s) to remove employees from safety-sensitive duties, or cause employees to be removed from these covered duties, and to make required decisions in the testing and evaluation processes. However, in order for the test to be considered valid, a signed statement must be obtained from the STT or BAT in accordance with 40.271(b) . (c) As the employer, when the BAT or STT informs you that the employee has not provided a sufficient amount of breath, you must direct the employee to obtain, within five days, an evaluation from a licensed physician who is acceptable to you and who has expertise in the medical issues raised by the employee's failure to provide a sufficient specimen. This number serves as a unique identifier that must be used on the Federal Drug Testing Custody and Control Form (CCF) or Alcohol Testing Form (ATF) for a donor, on the MRO's reports, on SAP reports, or on other documents that are required under this part. This means that the initiating official and the Director are prohibited from having any discussion, contact, or exchange of information with one another about the matter, except for documents and discussions that are part of the record of the proceeding. (a) You may operate random testing programs for employers and may assist (i.e., through contracting with laboratories or collection sites, conducting collections) employers with other types of testing (e.g., pre-employment, post-accident, reasonable suspicion, return-to-duty, and follow-up). (The MRO may perform this evaluation if the MRO has appropriate expertise.). (b) In addition, if the test fails to reconfirm the adulterant result reported in the primary specimen, you may send the specimen or an aliquot of it for testing at another HHS-certified laboratory that has the capability to conduct another reconfirmation test. (a) As the MRO, you must report all drug test results to the DER, except in the circumstances provided for in 40.345 . (6) The collector's responsibility for maintaining the integrity of the collection process, ensuring the privacy of employees being tested, ensuring the security of the specimen, and avoiding conduct or statements that could be viewed as offensive or inappropriate. The Department issues a PIE with respect to Service Agent Z. (1) The primary specimen and the split specimen can be redesignated (i.e., Bottle B is redesignated as Bottle A, and vice-versa) if: (i) The primary specimen appears to have leaked out of its sealed bottle and the laboratory believes a sufficient amount of specimen exists in the split specimen to conduct all appropriate primary laboratory testing; or, (ii) The primary specimen is labeled as Bottle B, and the split specimen as Bottle A; or, (iii) The laboratory opens the split specimen instead of the primary specimen, the primary specimen remains sealed, and the laboratory believes a sufficient amount of specimen exists in the split specimen to conduct all appropriate primary laboratory testing; or. (3) Reporting to and consulting with the ODAPC or a relevant DOT agency when you wish DOT assistance in resolving any program issue. (3) The collector uses a non-Federal form or an expired CCF for the test. (2) The observer can be a different person from the collector and need not be a qualified collector. Drugs. As the MRO, upon receiving such a report, you must follow the requirements of 40.195, where applicable. (8) Recheck items in paragraphs (b)(1) through (7) of this section following each collection to ensure the site's continued integrity. Following the issuance of a public interest exclusion, an organization having the same or similar management, ownership, or principal employees as the service agent concerning whom a public interest exclusion is in effect is regarded as an affiliate. (b) As an employer, you must take the following steps with respect to the receipt and storage of alcohol test result information: (1) If you receive any test results that are not in writing (e.g., by telephone or electronic means), you must establish a mechanism to establish the identity of the BAT sending you the results. 40.99Authorization of longer laboratory retention of specimens. If the employee declines to speak with you, the staff person must document the employee's decision, including the date and time. (h) If you are an employer from whom information is requested under paragraph (b) of this section, you must, after reviewing the employee's specific, written consent, immediately release the requested information to the employer making the inquiry. You must direct the employee not to attempt to drive a motor vehicle to the confirmation testing site. (c) If you are operating an alcohol testing site, you must ensure that when an EBT or ASD is not being used for testing, you store it in a secure place. (h) As an employer, you must maintain your reports from SAPs for 5 years from the date you received them. What information do you present to contest the proposed issuance of a PIE? (f) On request of an employer, you must, at any time on the request of an employer, transfer immediately all records pertaining to the employer and its employees to the employer or to any other service agent the employer designates. 4. (i) Regularly conducting DOT drug test collections for a period of at least a year; (ii) Conducting collector training under this part for a year; or. (h) Test reason, as appropriate: Pre-employment; Random; Reasonable Suspicion/Reasonable Cause; Post-Accident; Return-to-Duty; and Follow-up. (a) To protect the public interest, including protecting transportation employers and employees from serious noncompliance with DOT drug and alcohol testing rules, the Department's policy is to ensure that employers conduct business only with responsible service agents. [65 FR 79526, Dec. 19, 2000. Current List of HHS Certified Laboratories with approved Electronic Custody and Control Form (eCCF) systems. DNA testing and other types of identity testing are not authorized and ODAPC will not give permission for such testing. Employers are required to include the drivers CDL or CLP number on the CCF form (Step 1, Section C) for DOT-regulated drug testing. What are the first steps in any alcohol screening test? [65 FR 79526, Dec. 19, 2000, as amended at 66 FR 41954, Aug. 9, 2001; 75 FR 8529, Feb. 25, 2010; 75 FR 13009, Mar. (i) As an employer, you must not alter a drug or alcohol test result transmitted to you by an MRO, BAT, or C/TPA. (i) The collector will check the expiration date on the device or the package containing the device and show it to the employee. Documents and Forms | US Department of Transportation Positive identification by an employer representative (not a co-worker or another employee being tested) is also acceptable. (a) As an employer, you must keep the following records for the following periods of time: (1) You must keep the following records for five years: (i) Records of alcohol test results indicating an alcohol concentration of 0.02 or greater; (ii) Records of verified positive drug test results; (iii) Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated drug test results); (v) All follow-up tests and schedules for follow-up tests. 40.1 - 40.413. (g) As the employer, SAP, or other service agent, you must not provide to the employee a copy of their drug and/or alcohol follow-up testing schedule prescribed by the SAP. The monitor can be a different person from the collector and need not be a qualified collector. The following form is the alcohol testing form required for use in the DOT alcohol testing program beginning January 1, 2011. 5. You must subscribe to the ODAPC list-serve at: https://www.transportation.gov/odapc/get-odapc-email-updates. C/TPAs typically perform administrative tasks concerning the operation of the employers' drug and alcohol testing programs. (c) You may only report a test cancelled because of a rejected for testing laboratory result when you are in possession of a legible copy of Copy 1 of the CCF. After the waiting period has elapsed, you should begin the confirmation test as soon as possible, but not more than 30 minutes after the completion of the screening test. What documentation must the laboratory keep, and for how long? An MRO must not reverse the cancellation of a test that the laboratory has reported as rejected for testing, as described in 40.83(g). (2) A device that uses buffering solution that collects a specimen using a single pad or dual pads joined for insertion together into the same region of the mouth, which can be subdivided into two separate collection bottles. (a) As the MRO, you must, except as provided in paragraph (d) of this section, report drug test results and medical information you learned as part of the verification process to third parties without the employee's consent if you determine, in your reasonable medical judgment, that: (1) The information is likely to result in the employee being determined to be medically unqualified under an applicable DOT agency regulation; or. In neither case did X take action to correct the problem. No less frequently than every five years from the date on which you satisfactorily complete the requirements of paragraphs (b) and (c) of this section, you must complete refresher training that meets all the requirements of paragraphs (b) and (c). However, there are some situations in which an exception to this normal practice would be reasonable. (2) Except for the observer in a directly observed collection or the monitor in the case of a monitored collection, you must not permit anyone to enter the urination facility in which employees provide specimens. A service agent that provides or coordinates the provision of a variety of drug and alcohol testing services to employers. As the MRO, you must proceed as follows when you receive a laboratory confirmed positive opiate result: (a) If the laboratory confirms the presence of 6-acetylmorphine (6AM) in the specimen, you must verify the test result positive. (3) Send Copy 2 of the CCF to the MRO and Copy 4 to the DER. You must see a photo ID issued by the employer (other than in the case of an owner-operator or other self-employed individual) or a Federal, state, or local government (e.g., a driver's license). Do not wait to receive the written report or the result of a split specimen test. (c) As an employer or service agent, the errors listed in paragraph (a) of this section, even though not sufficient to cancel a drug test result, may subject you to enforcement action under DOT agency regulations or subpart R of this part. a. (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). (i) A notation shall be made on Copy 1 of the CCF (Step 5a) and on any laboratory internal chain of custody documents, as appropriate, for any fatal or correctable flaw. (b) The errors listed in paragraph (a) of this section do not result in the cancellation of the test. You may charge no more than the cost of preparation and reproduction for copies of these records. Redesignated at 88 FR 27651, May 2, 2023]. Upon finding that the signature is omitted, document the flaw and continue the testing process. Oxidizing adulterant. d. Must be individually wrapped in a sealed plastic bag or shrink wrapping; or must have a peelable, sealed lid or other easily visible tamper-evident system. For example, suppose you are a collector, and you forgot to make a notation on the Remarks line of the CCF that the employee did not sign the certification. (5) As the MRO, if you determine that there is a legitimate medical explanation, you must cancel the test and inform ODAPC in writing of the determination and the basis for it (e.g., referral physician's findings, evidence produced by the employee). (2) You are responsible for identifying yourself to the DER, and the DER must have a means to confirm your identification. (c) A PIE is a serious action that the Department takes only to protect the public interest. Must service agents comply with DOT drug and alcohol testing requirements? May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections? The employee must remain at the collection site, in a monitored area designated by the collector, during the wait period. (2) If the Director determines that the initiating official's submission does not have complete information needed for a decision, the Director may remand the matter to the initiating official. (e) You must show the employee the result displayed on the EBT. If the employee, contrary to paragraph (a) of this section, has obtained a second SAP evaluation, as an employer you may not rely on it for any purpose under this part. (3) If the confirmation test will be performed at a different site from the screening test, you must take the following additional steps: (i) Advise the employee not to eat, drink, put anything (e.g., cigarette, chewing gum) into his or her mouth, or belch; (ii) Tell the employee the reason for the waiting period required by 40.251(a) (i.e., to prevent an accumulation of mouth alcohol from leading to an artificially high reading); (iii) Explain that following your instructions concerning the waiting period is to the employee's benefit; (iv) Explain that the confirmation test will be conducted at the end of the waiting period, even if the instructions have not been followed; (v) Note on the Remarks line of the ATF that the waiting period instructions were provided; (vi) Instruct the person accompanying the employee to carry a copy of the ATF to the BAT who will perform the confirmation test; and. In accordance with the employer's instructions, this can be done using the same specimen type as the original collection or this can be done by a collector qualified to use an alternate specimen collection for this purpose. To whom does the MRO transmit reports of drug test results? (c) When you report a dilute specimen to the DER, you must explain to the DER the employer's obligations and choices under 40.197, to include the requirement for an immediate recollection under direct observation if the creatinine concentration of a negative-dilute specimen was greater than or equal to 2mg/dL but less than or equal to 5mg/dL. Designated employer representative (DER). (d) If you are operating a collection site, you must implement a policy and procedures to prevent unauthorized personnel from entering any part of the site in which oral fluid specimens are collected or stored. (vii) Ensure that you or another BAT, STT, or employer representative observe the employee as he or she is transported to the confirmation testing site. (4) You must not catheterize a conscious employee for purposes of a urine test. (b) As an employer, you must ensure that you receive SAP written reports directly from the SAP performing the evaluation and that no third party or entity changed the SAP's report in any way. What are MROs prohibited from doing as part of the verification process? Employers are required to include the driver's CDL or CLP number on the CCF form (Step 1, Section C) for DOT-regulated drug testing. (10) Claims that the employee was improperly selected for testing. Subpart A. (2) If you and the laboratory have determined that no further testing is necessary, contact the employee and inform the employee that the specimen was invalid. (e) You must ensure that you can make available to the employer within two business days any information the employer is asked to produce by a DOT agency representative. (b) If you are operating an oral fluid collection site: (1) You must ensure that it meets the security requirements of 40.48; (2) The site may be a permanent or temporary facility located either at the work site or at a remote site; (3) The site may be in a medical facility, a mobile facility (e.g., a van), a dedicated collection facility, or any other location meeting the requirements of this section; and. (2) An error that does not affect employee protections under this part (e.g., the collector's failure to add bluing agent to the toilet bowl, which adversely affects only the ability of the collector to detect tampering with the specimen by the employee); (3) The collection of a specimen by a collector who is required to have been trained (see 40.33 or 40.35), but who has not met this requirement; (4) A delay in the collection process (see 40.61(a)); (5) Verification of a test result by an MRO who has the basic credentials to be qualified as an MRO (see 40.121(a) through (b)) but who has not met training and/or documentation requirements (see 40.121(c) through (e)); (6) The failure to directly observe or monitor a collection that the rule requires or permits to be directly observed or monitored, or the unauthorized use of direct observation or monitoring for a collection; (7) The fact that a test was conducted in a facility that does not meet the requirements of 40.42; (8) If the specific name of the courier on the CCF is omitted or erroneous; (9) Personal identifying information is inadvertently contained on the CCF (e.g., the employee signs his or her name on Copy 1); or. (E) If the test of the primary specimen fails to reconfirm the adulteration and/or substitution finding of the split specimen, as the MRO you must cancel the test, following procedures in paragraph (b) of this section. (3) If you are an employer regulated by FMCSA, with a prospective employee subject to drug and alcohol testing with a DOT agency other than FMCSA, you must continue to request the information about the employee listed in paragraphs (b) through (j) of this section. (The MRO may perform this evaluation if the MRO has appropriate expertise.). 2023-TAM-Program-Evaluation-Overall-Report.pdf (2.69 MB) The FTA TAM Program completed an evaluation to better understand how the TAM Rule has affected the practice of transit system management and operations at transit agencies that receive federal grants or funding, as well as any changes to related activities. As the MRO, you must do the following with respect to negative drug test results you receive from a laboratory, prior to verifying the result and releasing it to the DER: (a) Review Copy 2 of the CCF to determine if there are any fatal or correctable errors that may require you to initiate corrective action or to cancel the test (see 40.199 and 40.203). Because W only provides this one kind of service, the PIE necessarily applies to all its operations. (6) You are a drug and alcohol counselor certified by an organization listed at https://www.transportation.gov/odapc/sap. (i) Regularly conducting DOT drug test collections for a period of at least one year; (ii) Conducting collector training under this part for at least one year; or. However, there are some situations in which an exception to this normal practice would be reasonable. (c) A decision not to initiate a PIE proceeding does not necessarily mean that the Department regards a service agent as being in compliance or that the Department may not use other applicable remedies in a situation of noncompliance. (a) As an STT, BAT, employer, or a service agent administering the testing process, you must document any errors in the testing process of which you become aware, even if they are not fatal flaws or correctable flaws listed in this subpart. Urine specimen. (2) In situations outlined in paragraph (h)(1) of this section, the laboratory shall mark through the A and write B, then initial and date the change. (e.g., under a state law that purports to authorize such recommendations, such as the medical marijuana laws that some states have adopted). seq). MROs are unlikely to be able to verify the facts of such passive or unknowing ingestion stories. In addition, if appropriate, you may also consult with the employee's physician to gather information you need to reach this determination. (4) You must keep records of negative and cancelled drug test results and alcohol test results with a concentration of less than 0.02 for one year. A cancelled test is neither a positive nor a negative test. Make sure employees empty pockets; remove outer .

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