Implementation Guidelines - Federal Transit Administration - U.S. ...

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U.S. Department of Transportation Federal Transit Administration Implementation Guidelines for Drug and Alcohol Regulations in Mass Transit Revised October 2009 Office of Safety and Security
Notice This document is disseminated under the sponsorship of the Department of Transportation in the interest of information exchange. The United States Government assumes no liability for its contents or use thereof. Notice The United States Government does not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the objective of this report.
Page 1: October 2009 Implementation Guideli
Page 5 and 6: METRIC/ENGLISH CONVERSION FACTORS E
Page 7 and 8: Table of Contents Chapter 1. INTROD
Page 9 and 10: Table of Contents (continued) Secti
Page 11 and 12: Chapter 1. INTRODUCTION Section 1.
Page 13 and 14: Transit employers may go beyond the
Page 15 and 16: Recommendation: Know the Regulation
Page 17 and 18: Sample Documentation Chapter 1. Int
Page 19 and 20: DHHS-Certified Laboratories, Center
Page 21 and 22: FTA Drug and Alcohol Management Inf
Page 23 and 24: Research And Special Programs Admin
Page 25 and 26: employment in safety-sensitive posi
Page 27 and 28: What happens in these cases? The pu
Page 29 and 30: Section 3. SAFETY-SENSITIVE • Ope
Page 31 and 32: performing the volunteer service ar
Page 33 and 34: Safety-sensitive Examples of Nation
Page 35 and 36: • A description of the consequenc
Page 37 and 38: projects, the employer should notif
Page 39 and 40: Sample Documentation Chapter 2. Reg
Page 41 and 42: Certification of Compliance for FTA
Page 43 and 44: 4. Atlanta Federal Center Suite 17T
Page 45 and 46: 1. Liability of Service Agents Yasu
Page 47 and 48: plaintiffs agreed that their positi
Page 49 and 50: FTA and FMCSA Regulatory Comparison
Page 51 and 52: FTA and FMCSA Regulatory Comparison
Page 53 and 54:
process ensures that all critical c
Page 55 and 56:
Chapter 3. Program Formulation 3-4
Page 57 and 58:
Chapter 4. POLICY DEVELOPMENT AND C
Page 59 and 60:
concentration of 0.04 or greater th
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has a confirmed alcohol concentrati
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MRO before the employer is notified
Page 65 and 66:
policy with the requirement to form
Page 67 and 68:
Do not assume that your contractors
Page 69 and 70:
PRE-EMPLOYMENT DRUG TESTING NOTIFIC
Page 71 and 72:
Sample Program Notification Letter
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authorized by the employer to make
Page 75 and 76:
The 60 minutes of awareness trainin
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medications which could result in p
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employees who have problems with pr
Page 81 and 82:
particular alcohol testing device t
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emain current with the regulations
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− Changes in Rules, Guidance and
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Exhibit 5-1 Summary of Education an
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Exhibit 5-3 Typical Agenda for Supe
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Exhibit 5-4 REASONABLE SUSPICION TR
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Chapter 6. TYPES OF TESTING Six typ
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Previous DOT Employer Record Check
Page 97 and 98:
the “insufficient volume” proce
Page 99 and 100:
for employees what is meant by on-d
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Nonfatal accidents involving a bus,
Page 103 and 104:
Testing for drugs and alcohol follo
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iases in the process. To be conside
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1. Determine how frequently random
Page 109 and 110:
In many small transit systems, ever
Page 111 and 112:
Before making the return-to-duty re
Page 113 and 114:
up testing program. The SAP must do
Page 115 and 116:
Employee Discharged BAC >= 0.04 Con
Page 117 and 118:
Employee Discharged Split Specimen
Page 119 and 120:
Sample Documentation Chapter 6. Typ
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1) Accident Report Number: 2) Locat
Page 123 and 124:
Chapter 7. DRUG TESTING PROCEDURES
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Recommendation Multiple Collection
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spouse, relative) or a close person
Page 129 and 130:
The DOT requires the new version of
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9. The collector must direct the em
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evening contact telephone numbers i
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temperature range (90.0 to 100.0 F)
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publishes its final rule establishi
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for the preceding 6 months ending o
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Chapter 7. Drug Testing Procedures
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• The MRO will verify the test re
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The MRO may change a verified test
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direct the DER to have the employee
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employee for a retest under direct
Page 151 and 152:
Sample Documentation Chapter 7. Dru
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Collection Site Checklist (cont.) (
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12. You may now wash your hands and
Page 162 and 163:
Privacy Act Statement: (For Federal
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than an EBT, that is approved by th
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Breath Alcohol Technician (§40.213
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availability and the need for backu
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At the conclusion of the screen tes
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sufficient amount of breath. A medi
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In addition to stipulating the cons
Page 176 and 177:
Sample Documentation Chapter 8. Alc
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[Federal Register: May 4, 2001 (Vol
Page 180 and 181:
The Conforming Products List is the
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Highway Safety Programs; Model Spec
Page 184 and 185:
45420 Federal Register / Vol. 65, N
Page 186 and 187:
Page 188:
U.S. Department of Transportation (
Page 194 and 195:
Section 1. SAP QUALIFICATIONS A sub
Page 196 and 197:
Education/Treatment Program Referra
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Employers are not required to follo
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SAP, many employers have looked to
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10 weeks, with most sessions schedu
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_____________________________ _____
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FOLLOW-UP TESTING PROCESS SAP Input
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Alcohol Test Results
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when the applicant was assigned saf
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may arrange to have the consortium
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• Employers and service agents sh
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The list of randomly selected trans
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A. At a Nonprofit Agency or Indepen
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Reporting Period: Laboratory Name a
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Record Retention Checklists (page 2
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Retains CCF1 Split Lab - CCF1 Labor
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CCF1 Split Lab Retains - CCF1 Labor
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U.S. DEPARTMENT OF TRANSPORTATION D
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Chapter 11. CONSORTIA AND THIRD PAR
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Greater Expertise. The FTA and DOT
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Section 2. CONSIDERATIONS IN ESTABL
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esults (≥0.02) between the BAT an
Page 238 and 239:
consideration. Thus, the more diver
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Section 5. IS A CONSORTIUM RIGHT FO
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• Procurement of testing services
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• Consider which consortium model
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Exhibit 11-1 Role of State DOTs in
Page 248 and 249:
Exhibit 11-3 CONSORTIA RESPONSIBILI
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Chapter 12. PROGRAM MONITORING As a
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• Conduct periodic review of serv
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compliance. You are encouraged to c
Page 256 and 257:
Chapter 13. THE DRUG-FREE WORKPLACE
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Violations of the act may result in
Page 260 and 261:
Exhibit 13-1 DRUG-FREE WORKPLACE AC
Page 262 and 263:
Chapter 14. SUBSTANCE ABUSE MANAGEM
Page 264 and 265:
Notification of audit Requested mat
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them to move throughout the facilit
Page 268 and 269:
above materials. ⎯⎯Procedures t
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DAY 3 Time Activity Team Address of
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Date of Collection Jan-01 Nov-00 Se
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Time of the Test Time of the Test 8
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Each auditor will discuss the porti
Page 278 and 279:
Sample Re-audit Agenda DAY 1 Time A
Page 280 and 281:
Index of Appendices Appendix A. Acr
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AA Alcoholics Anonymous Appendix A.
Page 284 and 285:
RFP Request for Proposal RIA Radio
Page 286 and 287:
Newsletters Appendix B. Additional
Page 288 and 289:
U.S. Department of Labor. What Work
Page 290 and 291:
Other Government Web sites Drug and
Page 292 and 293:
Appendix C Americans with Disabilit
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sensitive duties for the illegal us
Page 296 and 297:
If the individual is qualified and
Page 298 and 299:
allegation of discrimination under
Page 300 and 301:
Appendix D. Certified Laboratories
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DrugProof, Divison of Dynacare 543
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One Source Toxicology Laboratory, I
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The following laboratories are volu
Page 308 and 309:
Federal Register / Vol. 65, No. 141
Page 310 and 311:
Page 312 and 313:
Page 314 and 315:
Appendix F. Fact Sheets Drug Detect
Page 316 and 317:
Social Issues • Two-thirds of all
Page 318 and 319:
• The euphoric stimulation increa
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• Paranoia • Profuse sweating a
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connection between marijuana smokin
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Opiates (Narcotics) Fact Sheet Opia
Page 326 and 327:
Phencyclidine (PCP) Fact Sheet Phen
Page 328 and 329:
Appendix G Questions and Answers
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ecipient, and someone other than th
Page 332 and 333:
Q. Can transit operators receive wa
Page 334 and 335:
Q. If an employee changed jobs prio
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Q. How much training are employers
Page 338 and 339:
acceptable for the company-required
Page 340 and 341:
Q. In a post-accident situation req
Page 342 and 343:
employees and 50 non-DOT employees,
Page 344 and 345:
Q: What actual address is required
Page 346 and 347:
Q: Can a split specimen be sent to
Page 348 and 349:
actual employee of the employer may
Page 350 and 351:
Q: Must collectors, BATs, STTs, MRO
Page 352 and 353:
an observer, or a monitor for co-wo
Page 354 and 355:
Q: If a collector makes an error on
Page 356 and 357:
Appendix H Terms and Definitions
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indirectly, one controls or has the
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Confirmation validity test Confirme
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These terms include any designee of
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Medical Review Officer (MRO) A pers
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Random test Reason to believe Reaso
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Safety-sensitive function Any of th
Page 370 and 371:
trolley bus, or vessel. A “mass t
Page 373 and 374:
49 CFR Part 40 Updated August 31, 2
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§ 40.89 What is validity testing,
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Page 4 of 100 § 40.287 What inform
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Page 6 of 100 Subpart A - Administr
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Page 8 of 100 Medical Review Office
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Page 10 of 100 § 40.17 Is an emplo
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Page 12 of 100 (b) You must request
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Page 14 of 100 (4) The collector's
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Page 16 of 100 (1) To avoid distrac
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Page 18 of 100 (f) Direct the emplo
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Page 20 of 100 (g) As the collector
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Page 22 of 100 participate in the D
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Page 24 of 100 (b) You must determi
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Page 26 of 100 (d) If you have not
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Page 28 of 100 December 31 of the p
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Page 30 of 100 (a) Review Copy 2 of
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Page 32 of 100 (1) As the DER, you
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Page 34 of 100 (i) Recent needle tr
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Page 36 of 100 (2) If you receive i
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Page 38 of 100 (iii) If a negative
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Page 40 of 100 (6) Result of the te
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Page 42 of 100 (d) When you receive
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Page 44 of 100 (1) Report that the
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Page 46 of 100 (2) There is not an
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Page 48 of 100 (c) The laboratory r
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Page 50 of 100 (6) The failure to d
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Page 52 of 100 partially meets thes
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Page 54 of 100 (c) As the user of t
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Page 56 of 100 (vi) You must then d
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Page 58 of 100 (i) You may transmit
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Page 60 of 100 (b) In the case of a
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Page 62 of 100 (iii) Key DOT drug t
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Page 64 of 100 § 40.295 May employ
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Page 66 of 100 (e) The requirements
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Page 68 of 100 accident drug test r
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Page 70 of 100 § 40.343 What tasks
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Page 72 of 100 and follow-up testin
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Page 74 of 100 (b) In exercising th
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Page 76 of 100 resubmit the matter
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Page 78 of 100 § 40.397 When does
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Appendix A to Part 40 - DOT Standar
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Appendix C to Part 40-DOT Drug Test
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Page 84 of 100 Appendix E to Part 4
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Appendix G to Part 40—Alcohol Tes
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Page 88 of 100
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Page 90 of 100
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I. Employer: Company Name: Page 92
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Page 94 of 100 The following form a
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Section III. Drug Testing Data Page
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Page 98 of 100 TIP ~ Even though so
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Page 100 of 100 Finally, additional
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49 CFR Part 655
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2 Electronic access to this rule an
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duty and follow-up testing under sp
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When the drug and alcohol rules ini
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the consequences for prohibited dru
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Labor unions: 3 Trade associations:
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FTA Response. FTA opts not to inclu
Page 521 and 522:
Since each employer uses its own te
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Most of the commenters to this sect
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themselves that employees can succe
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Several commenters responding to th
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service providers and the employer.
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esponsibility of FTA transit funds
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26 Federalism assessment. However,
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Part 655 - Prevention of Alcohol Mi
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655.52 Substance abuse professional
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(b) This part must be read in conju
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(2) The volunteer performs a safety
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Refuse to submit means any circumst
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An employer must have an anti-drug
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part. (c) Specific information conc
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(5) Phencyclidine. (c) Consumption
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concentration less than 0.04. This
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§655.43 Reasonable suspicion testi
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48 the reasons the alcohol test was
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(c) Rates for drug testing. (1) Whe
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annual percentage rate under this p
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(a) Each employer shall require a c
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56 for evaluating and resolving pro
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qualifying the supervisors to make
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60 (12) Number of covered employees
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post-accident alcohol test indicati
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equired to be maintained by this pa
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(b) A certification must be authori
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Drug-Free Workplace Act
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TABLE OF CONTENTS INTRODUCTION ....
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egulations that have been made sinc
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The behaviors that are prohibited b
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⎯ An individual who refuses to su
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Have employees been notified that p
Page 601 and 602:
⎯ Add a bluing agent to the toile
Page 603 and 604:
Are employees who are subject to te
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LABORATORY TESTING Are all drug tes
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⎯ Direct the analysis of the spli
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Is only one test conducted at a tim
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Does the BAT notify the employer’
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Does the SAP evaluate whether a saf
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ADMINISTRATIVE REQUIREMENTS If a pr
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Are procedures in place to have emp
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hours following the accident, the e
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Are random numbers substituted only
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Are employees that are subject to f
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OTHER TRAINING Consistent with the
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♦ Documents presented by a covere
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CERTIFICATION ♦ Each year transit
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A R DMINISTRATIVE EQUIREMENTS Do th
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DRUG AND ALCOHOL POLICY REVIEW QUES
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Meeting FTA thresholds; Meeting dru
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CONSEQUENCES OF A FAILED OR REFUSED
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How much notice is given to the emp
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RECORDS MANAGEMENT QUESTIONNAIRE AP
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If the information requested is not
Page 645 and 646:
Has the employer met the minimum an
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Do the records indicate that any dr
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Does the employer utilize the stand
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If tests are cancelled because of a
Page 653 and 654:
If you conducted the initial test,
Page 655 and 656:
SALIVA TEST TECHNICIAN QUESTIONNAIR
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MEDICAL REVIEW OFFICER (MRO) QUESTI
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What action would you take if the s
Page 661 and 662:
• • • As the SAP, can you sub
Page 663:
Do you assist your members in any w
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