Title 49--Transportation
Subtitle A--Office of the Secretary of Transportation
PART 40--PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS
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| 40.1 |
Who does this regulation cover? |
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| 40.3 |
What do the terms used in this regulation mean?
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| 40.5 |
Who issues authoritative interpretations of this regulation? |
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| 40.7 |
How can you get an exemption from a requirement in this regulation? |
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| 40.11 |
What are the general responsibilities of employers under this regulation? |
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| 40.13 |
How do DOT drug and alcohol tests relate to non-DOT tests? |
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| 40.15 |
May an employer use a service agent to meet DOT drug and alcohol testing requirements? |
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| 40.17 |
Is an employer responsible for obtaining information from its service agents? |
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| 40.21 |
May an employer stand down an employee before the MRO has completed the verification process? |
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| 40.23
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What actions do employers take after receiving verified test results?
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| 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? |
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| 40.26 |
What form must an employer use to report Management Information System (MIS) data to a DOT agency? |
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| 40.27 |
May an employer require an employee to sign a consent or release in connection with the DOT drug and alcohol testing program? |
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| 40.29 |
Where is other information on employer responsibilities found in this regulation? |
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| 40.31 |
Who may collect urine specimens for DOT drug testing? |
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| 40.33 |
What training requirements must a collector meet? |
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| 40.35 |
What information about the DER must employers provide to collectors?
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| 40.37 |
Where is other information on the role of collectors found in this regulation? |
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| 40.41 |
Where does a urine collection for a DOT drug test take place? |
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| 40.43 |
What steps must operators of collection sites take to protect the security and integrity of urine collections? |
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| 40.45 |
What form is used to document a DOT urine collection?
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| 40.47 |
May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections? |
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| 40.49 |
What materials are used to collect urine specimens? |
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| 40.51 |
What materials are used to send urine specimens to the laboratory? |
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| 40.61 |
What are the preliminary steps in the collection process?
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| 40.63 |
What steps does the collector take in the collection process before the employee provides a urine specimen?
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| 40.65 |
What does the collector check for when the employee presents a specimen? |
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| 40.67
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When and how is a directly observed collection conducted? |
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| 40.69 |
How is a monitored collection conducted? |
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| 40.71 |
How does the collector prepare the specimens? |
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| 40.73 |
How is the collection process completed?
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| 40.81 |
What laboratories may be used for DOT drug testing? |
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| 40.83 |
How do laboratories process incoming specimens?
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| 40.85 |
What drugs do laboratories test for? |
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| 40.87 |
What are the cutoff concentrations for initial and confirmation tests? |
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| 40.89 |
What is validity testing, and are laboratories required to conduct it? |
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| 40.91 |
What validity tests must laboratories conduct on primary specimens? |
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| 40.93 |
What criteria do laboratories use to establish that a specimen is dilute or substituted? |
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| 40.95 |
What criteria do laboratories use to establish that a specimen is adulterated? |
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| 40.97 |
What do laboratories report and how do they report it? |
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| 40.99 |
How long does the laboratory retain specimens after testing? |
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| 40.101 |
What relationship may a laboratory have with an MRO? |
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| 40.103 |
What are the requirements for submitting blind specimens to a laboratory? |
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| 40.105
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What happens if the laboratory reports a result different from that expected for a blind specimen? |
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| 40.107 |
Who may inspect laboratories? |
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| 40.109 |
What documentation must the laboratory keep, and for how long? |
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| 40.111 |
When and how must a laboratory disclose statistical summaries and other information it maintains? |
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| 40.113 |
Where is other information concerning laboratories found in this regulation? |
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| 40.121 |
Who is qualified to act as an MRO? |
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| 40.123 |
What are the MRO's responsibilities in the DOT drug testing program? |
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| 40.125 |
What relationship may an MRO have with a laboratory? |
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| 40.127 |
What are the MRO's functions in reviewing negative test results?
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| 40.129 |
What are the MRO's functions in reviewing laboratory confirmed positive, adulterated, substituted, or invalid drug test results? |
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| 40.131 |
How does the MRO or DER notify an employee of the verification process after a confirmed positive, adulterated, substituted, or invalid test result?
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| 40.133 |
Under what circumstances may the MRO verify a test as positive, or as a refusal to test because of adulteration or substitution, without interviewing the employee? |
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| 40.135 |
What does the MRO tell the employee at the beginning of the verification interview? |
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| 40.137 |
On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, or PCP? |
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| 40.139 |
On what basis does the MRO verify test results involving opiates? |
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| 40.141 |
How does the MRO obtain information for the verification decision? |
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| 40.145 |
On what basis does the MRO verify test results involving adulteration or substitution? |
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| 40.149 |
May the MRO change a verified positive drug test result or refusal to test? |
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| 40.151 |
What are MROs prohibited from doing as part of the verification process? |
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| 40.153 |
How does the MRO notify employees of their right to a test of the split specimen? |
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| 40.155 |
What does the MRO do when a negative or positive test result is also dilute? |
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| 40.159 |
What does the MRO do when a drug test result is invalid? |
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| 40.161 |
What does the MRO do when a drug test specimen is rejected for testing? |
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| 40.163 |
How does the MRO report drug test results? |
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| 40.165 |
To whom does the MRO transmit reports of drug test results?
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| 40.167 |
How are MRO reports of drug results transmitted to the employer? |
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| 40.169 |
Where is other information concerning the role of MROs and the verification process found in this regulation? |
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| 40.171 |
How does an employee request a test of a split specimen? |
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| 40.173 |
Who is responsible for paying for the test of a split specimen? |
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| 40.175 |
What steps does the first laboratory take with a split specimen? |
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| 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? |
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| 40.179 |
What does the second laboratory do with the split specimen when it is tested to reconfirm an adulterated test result? |
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| 40.181 |
What does the second laboratory do with the split specimen when it is tested to reconfirm a substituted test result? |
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| 40.183 |
What information do laboratories report to MROs regarding split specimen results? |
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| 40.185 |
Through what methods and to whom must a laboratory report split specimen results? |
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| 40.187 |
What does the MRO do with split specimen laboratory results? |
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| 40.189 |
Where is other information concerning split specimens found in this regulation?
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| 40.191 |
What is a refusal to take a DOT drug test, and what are the consequences?
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| 40.193 |
What happens when an employee does not provide a sufficient amount of urine for a drug test? |
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| 40.195 |
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? |
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| 40.197 |
What happens when an employer receives a report of a dilute specimen? |
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| 40.199 |
What problems always cause a drug test to be cancelled? |
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| 40.201 |
What problems always cause a drug test to be cancelled and may result in a requirement for another collection? |
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| 40.203 |
What problems cause a drug test to be cancelled unless they are corrected? |
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| 40.205
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How are drug test problems corrected? |
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| 40.207 |
What is the effect of a cancelled drug test? |
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| 40.208 |
What problem requires corrective action but does not result in the cancellation of a test? |
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| 40.209 |
What procedural problems do not result in the cancellation of a test and do not require correction? |
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| 40.211 |
Who conducts DOT alcohol tests? |
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| 40.213 |
What training requirements must STTs and BATs meet? |
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| 40.215 |
What information about the DER do employers have to provide to BATs and STTs? |
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| 40.217
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Where is other information on the role of STTs and BATs found in this regulation? |
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| 40.221 |
Where does an alcohol test take place? |
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| 40.223 |
What steps must be taken to protect the security of alcohol testing sites? |
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| 40.225 |
What form is used for an alcohol test? |
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| 40.227 |
May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests? |
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| 40.229 |
What devices are used to conduct alcohol screening tests? |
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| 40.231
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What devices are used to conduct alcohol confirmation tests? |
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| 40.233 |
What are the requirements for proper use and care of EBTs? |
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| 40.235 |
What are the requirements for proper use and care of ASDs?
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| 40.241 |
What are the first steps in any alcohol screening test? |
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| 40.243 |
What is the procedure for an alcohol screening test using an EBT or non-evidential breath ASD?
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| 40.245 |
What is the procedure for an alcohol screening test using a saliva ASD or a breath tube ASD? |
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| 40.247 |
What procedures does the BAT or STT follow after a screening test result? |
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| 40.251 |
What are the first steps in an alcohol confirmation test? |
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| 40.253 |
What are the procedures for conducting an alcohol confirmation test? |
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| 40.255 |
What happens next after the alcohol confirmation test result? |
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| 40.261 |
What is a refusal to take an alcohol test, and what are the consequences? |
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| 40.263 |
What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test? |
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| 40.265 |
What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test? |
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| 40.267 |
What problems always cause an alcohol test to be cancelled?
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| 40.269
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What problems cause an alcohol test to be cancelled unless they are corrected?
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| 40.271
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How are alcohol testing problems corrected? |
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| 40.273 |
What is the effect of a cancelled alcohol test? |
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| 40.275 |
What is the effect of procedural problems that are not sufficient to cancel an alcohol test? |
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| 40.277 |
Are alcohol tests other than saliva or breath permitted under these regulations? |
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| 40.281 |
Who is qualified to act as a SAP?
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| 40.283 |
How does a certification organization obtain recognition for its members as SAPs? |
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| 40.285 |
When is a SAP evaluation required? |
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| 40.287 |
What information is an employer required to provide concerning SAP services to an employee who has a DOT drug and alcohol regulation violation? |
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| 40.289 |
Are employers required to provide SAP and treatment services to employees? |
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| 40.291 |
What is the role of the SAP in the evaluation, referral, and treatment process of an employee who has violated DOT agency drug and alcohol testing regulations? |
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| 40.293 |
What is the SAP's function in conducting the initial evaluation of an employee? |
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| 40.295 |
May employees or employers seek a second SAP evaluation if they disagree with the first SAP's recommendations? |
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| 40.297 |
Does anyone have the authority to change a SAP's initial evaluation?
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| 40.299 |
What is the SAP's role and what are the limits on a SAP's discretion in referring employees for education and treatment? |
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| 40.301 |
What is the SAP's function in the follow-up evaluation of an employee? |
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| 40.303 |
What happens if the SAP believes the employee needs additional treatment, aftercare, or support group services even after the employee returns to safety-sensitive duties? |
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| 40.305 |
How does the return-to-duty process conclude? |
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| 40.307 |
What is the SAP's function in prescribing the employee's follow-up tests? |
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| 40.309 |
What are the employer's responsibilities with respect to the SAP's directions for follow-up tests? |
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| 40.311 |
What are the requirements concerning SAP reports? |
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| 40.313
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Where is other information on SAP functions and the return-to-duty process found in this regulation? |
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| 40.321 |
What is the general confidentiality rule for drug and alcohol test information?
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| 40.323 |
May program participants release drug or alcohol test information in connection with legal proceedings? |
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| 40.327 |
When must the MRO report medical information gathered in the verification process? |
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| 40.329 |
What information must laboratories, MROs, and other service agents release to employees? |
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| 40.331 |
To what additional parties must employers and service agents release information? |
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| 40.333
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What records must employers keep? |
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| 40.341 |
Must service agents comply with DOT drug and alcohol testing requirements? |
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| 40.343
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What tasks may a service agent perform for an employer? |
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| 40.345 |
In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers? |
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| 40.347 |
What functions may C/TPAs perform with respect to administering testing? |
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| 40.349 |
What records may a service agent receive and maintain? |
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| 40.351 |
What confidentiality requirements apply to service agents?
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| 40.353 |
What principles govern the interaction between MROs and other service agents? |
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| 40.355 |
What limitations apply to the activities of service agents? |
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| 40.361 |
What is the purpose of a public interest exclusion (PIE)? |
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| 40.363 |
On what basis may the Department issue a PIE? |
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| 40.365 |
What is the Department's policy concerning starting a PIE proceeding? |
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| 40.367 |
Who initiates a PIE proceeding? |
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| 40.369 |
What is the discretion of an initiating official in starting a PIE proceeding? |
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| 40.371 |
On what information does an initiating official rely in deciding whether to start a PIE proceeding? |
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| 40.373 |
Before starting a PIE proceeding, does the initiating official give the service agent an opportunity to correct problems? |
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| 40.375 |
How does the initiating official start a PIE proceeding? |
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| 40.377 |
Who decides whether to issue a PIE? |
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| 40.379 |
How do you contest the issuance of a PIE? |
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| 40.381 |
What information do you present to contest the proposed issuance of a PIE? |
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| 40.383 |
What procedures apply if you contest the issuance of a PIE? |
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| 40.385 |
Who bears the burden of proof in a PIE proceeding? |
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| 40.387 |
What matters does the Director decide concerning a proposed PIE? |
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| 40.389 |
What factors may the Director consider? |
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| 40.391 |
What is the scope of a PIE? |
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| 40.393 |
How long does a PIE stay in effect? |
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| 40.395 |
Can you settle a PIE proceeding? |
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| 40.397 |
When does the Director make a PIE decision? |
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| 40.399 |
How does the Department notify service agents of its decision? |
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| 40.401 |
How does the Department notify employers and the public about a PIE? |
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| 40.403 |
Must a service agent notify its clients when the Department issues a PIE? |
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| 40.405 |
May the Federal courts review PIE decisions? |
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| 40.407 |
May a service agent ask to have a PIE reduced or terminated? |
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| 40.409 |
What does the issuance of a PIE mean to transportation employers? |
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| 40.411 |
What is the role of the DOT Inspector General's office? |
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| 40.413 |
How are notices sent to service agents? |