what is dot part 40 collection procedures

(2) In conducting external calibration checks, you must use only calibration devices appearing on NHTSA's CPL for Calibrating Units for Breath Alcohol Tests.. (a) As a SAP, upon your determination of the best recommendation for assistance, you will serve as a referral source to assist the employee's entry into an education and/or treatment program. [73 FR 35973, June 25, 2008, as amended at 75 FR 59108, Sept. 27, 2010]. How do laboratories process incoming specimens? (ii) The Department may initiate a new PIE proceeding against you on the basis of different or subsequent conduct that is in noncompliance with this part or other DOT drug and alcohol testing rules. (1) If an employer has a stand-down policy that meets the requirements of 40.21 , you may report to the DER that you have received an employee's laboratory confirmed positive, adulterated, or substituted test result, consistent with the terms of the waiver the employer received. (iv) That the confirmation test will be conducted at the end of the waiting period, even if the instructions have not been followed. How does the MRO obtain information for the verification decision? In drug testing, a part of the urine specimen that is sent to a first laboratory and retained unopened, and which is transported to a second laboratory in the event that the employee requests that it be tested following a verified positive test of the primary specimen or a verified adulterated or substituted test result. (h) As the collector, if someone else is to observe the collection (e.g., in order to ensure a same gender observer), you must verbally instruct that person to follow procedures at paragraphs (i) and (j) of this section. An MRO or SAP who has interviewed an employee must not delay sending a verified test result or SAP report to the employer because of such a dispute with the employer or employee. (11) For any service agent, disclosing an employee's test result information to any party this part or a DOT agency regulation does not authorize, including by obtaining a blanket consent from employees or by creating a data base from which employers or others can retrieve an employee's DOT test results without the specific consent of the employee; (12) For any service agent, interfering or attempting to interfere with the ability of an MRO to communicate with the Department, or retaliating against an MRO for communicating with the Department; (13) For any service agent, directing or recommending that an employer fail or refuse to implement any provision of this part; or. (e) Even if more than 30 minutes have passed since the screening test result was obtained, you must begin the confirmation test procedures in 40.253, not another screening test. Chain of custody. If practicable, repeat the testing process (see 40.271). (b) In appropriate cases, the Office of Inspector General may pursue criminal or civil remedies against a service agent. If you work for a Federal agency, use this drafting The person providing the training must monitor and evaluate your performance and attest in writing that the mock collections were error-free.. (a) If an employee does not provide a sufficient amount of breath to permit a valid breath test, you must take the steps listed in this section. Date result reported or certified by primary laboratory. [65 FR 79526, Dec. 19, 2000, as amended at 66 FR 41950, Aug. 9, 2001; 68 FR 31626, May 28, 2003; 69 FR 64867, Nov. 9, 2004; 73 FR 35970, June 25, 2008; 73 FR 50223, Aug. 26, 2008; 73 FR 62910, Oct. 22, 2008; 73 FR 70284, Nov. 20, 2008; 74 FR 37952, July 30, 2009; 82 FR 52244, Nov. 13, 2017]. Because this is a cancelled test, it does not serve the purposes of a negative test (i.e., the employer is not authorized to allow the employee to begin or resume performing safety-sensitive functions, because a negative test is needed for that purpose). You must take action as necessary to ensure compliance by your staff with this part and document your corrective action. (3) You must ensure that all authorized persons are under the supervision of a collector at all times when permitted into the site. (2) If the CCF documentation shows that the recollection was directly observed as required, report this result to the DER as a negative-dilute result. (d) Your collection site must include a facility for urination described in either paragraph (e) or paragraph (f) of this section. As the collector, you must take the following steps before actually beginning a collection: (a) When a specific time for an employee's test has been scheduled, or the collection site is at the employee's work site, and the employee does not appear at the collection site at the scheduled time, contact the DER to determine the appropriate interval within which the DER has determined the employee is authorized to arrive. (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. (c) Payment for SAP evaluations and services is left for employers and employees to decide and may be governed by existing management-labor agreements and health care benefits. (d) Requalification training. As an employer, you must provide to each employee (including an applicant or new employee) who violates a DOT drug and alcohol regulation a listing of SAPs readily available to the employee and acceptable to you, with names, addresses, and telephone numbers. (1) You may request that the Director dismiss the proposed PIE without further proceedings, on the basis that it does not concern serious noncompliance with this part or DOT agency regulations, consistent with the Department's policy as stated in 40.365. (i) You may transmit the results using Copy 1 of the ATF, in person, by telephone, or by electronic means. (4) You may use an ATF in which all pages are printed on white paper. (a) Screening test technicians (STTs) and breath alcohol technicians (BATs) meeting their respective requirements of this subpart are the only people authorized to conduct DOT alcohol tests. You can find more information concerning laboratories in several sections of this part: 40.13 - Prohibition on making specimens available for other purposes. The Department of Health and Human Services or any designee of the Secretary, Department of Health and Human Services. What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test? A drug or alcohol test that has a problem identified that cannot be or has not been corrected, or which this part otherwise requires to be cancelled. 40.209 What procedural problems do not result in the cancellation of a test and do not require correction? Supervised experience is important if the individual is to be considered a professional in the field of alcohol and drug abuse evaluation and counseling. 40.51 What materials are used to send urine specimens to the laboratory? If you make a mistake in the collection process that causes a test to be cancelled (i.e., a fatal or uncorrected flaw), you must undergo error correction training. (a) A cancelled drug test is neither positive nor negative. Tsawwassen is a suburban, mostly residential community on a peninsula in the southwestern corner of the City of Delta in British Columbia, Canada.It provides the only road access to the American territory on the southern tip of the peninsula, the community of Point Roberts, Washington, via 56th Street.It is also the location of Tsawwassen Ferry Terminal, part of the BC. What is the Department's policy concerning starting a PIE proceeding? 40.217 Where is other information on the role of STTs and BATs found in this regulation? 102, 301, 322, 5331, 20140, 31306, and 54101 et seq. Any U.S. laboratory certified by HHS under the National Laboratory Certification Program as meeting the minimum standards of Subpart C of the HHS Mandatory Guidelines for Federal Workplace Drug Testing Programs; or, in the case of foreign laboratories, a laboratory approved for participation by DOT under this part. 40.235 What are the requirements for proper use and care of ASDs? (5) The next external calibration check of the EBT produces a result that differs by more than the tolerance stated in the QAP from the known value of the test standard. (d) If you are serving as an intermediary in transmitting information that is required to be provided to the employer, you must ensure that it reaches the employer in the same time periods required elsewhere in this part. (b) As a laboratory, you must provide, within 10 business days of receiving a written request from an employee, and made through the MRO, the records relating to the results of the employee's drug test (i.e., laboratory report and data package). (c) The BAT or STT uses a non-DOT form for the test (see 40.225(a)). Nothing in this section permits an employer to fail to carry out its obligations with respect to follow-up testing (see 40.309). It is not an official legal edition of the CFR. (c) As the user of the ADS (e.g., employer, STT), you must follow the QAP instructions. (e) As the collector, you must complete a new CCF for the directly observed collection. (f) If the device is one that prints the test number, testing device name and serial number, time and result, but on a separate printout rather than directly onto the ATF, you must affix the printout of the information to the designated space on the ATF with tamper-evident tape or use a self-adhesive label that is tamper-evident. (2) A staff person must not gather any medical information or information concerning possible explanations for the test result. (5) Verify the test result, consistent with the requirements of 40.135 through 40.145, 40.159, and 40.160, as: (iii) Positive, and/or refusal to test because of adulteration or substitution. However, there are some situations in which an exception to this normal practice would be reasonable. Drug and Alcohol Testing, Effective Date: Wednesday, October 10, 2012, 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, ODAPC DOTs_Direct_Observation_Procedures_Instruction_Sheet_August312009.pdf, Office of the Assistant Secretary for Research and Technology. 40.171 - Request for test of split specimen. (d) As an employee, when you refuse to take a non-DOT test or to sign a non-DOT form, you have not refused to take a DOT test. Reasonable efforts include, as a minimum, three attempts, spaced reasonably over a 24-hour period, to reach the employee at the day and evening telephone numbers listed on the CCF. Phone: 202-366-3784 (3) The summary must be sent by January 20 of each year for July 1 through December 31 of the prior year. That is, the laboratory may not send results to you, with you in turn sending them to the MRO for verification. You must be knowledgeable about this part, the current DOT Urine Specimen Collection Procedures Guidelines, and DOT agency regulations applicable to the employers for whom you perform collections. The Director may consider when the cooperation began and whether you disclosed all pertinent information known to you; (3) Whether you have fully investigated the circumstances of the noncompliance forming the basis for the PIE and, if so, have made the result of the investigation available to the Director; (4) Whether you have taken appropriate disciplinary action against the individuals responsible for the activity that constitutes the grounds for issuance of the PIE; and. As a laboratory, when you find a specimen to be negative, you must report the test result as being one of the following, as appropriate: (ii) Negative-dilute, with numerical values for creatinine and specific gravity. The monitor can be a different person from the collector and need not be a qualified collector. What does the MRO do when a valid test result cannot be produced and a negative result is required? 40.403 Must a service agent notify its clients when the Department issues a PIE? (c) As the MRO, you or your staff must make reasonable efforts to reach the employee at the day and evening telephone numbers listed on the CCF. If you receive such a request, you must comply with it. On what information does an initiating official rely in deciding whether to start a PIE proceeding? (iii) You must document the dates and times of your attempts to contact the DER, and you must document the name of the DER you contacted and the date and time of the contact. (j) As the observer, you must watch the employee urinate into the collection container. 40.349 What records may a service agent receive and maintain? This includes continuing to pay the employee during the period of the stand-down in the same way you would have paid him or her had he or she not been stood down; (vi) Your means of ensuring that the verification process will commence no later than the time an employee is temporarily removed from the performance of safety-sensitive functions and that the period of stand-down for any employee will not exceed five days, unless you are informed in writing by the MRO that a longer period is needed to complete the verification process; and, (vii) Your means of ensuring that, in the event that the MRO verifies the test negative or cancels it -. 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