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

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ALCOHOL TESTING PROCEDURES ALCOHOL TESTING To the greatest extent possible, is the alcohol test conducted before the drug test? Is the alcohol test performed without undue delay? Are provisions made to conduct alcohol tests during all days and hours that the transit system employees perform safety-sensitive functions? Do you prohibit the use of consent forms? Is the donor’s ID checked? Is there a procedure in place to confirm the donor’s identity if no ID is presented? Is there a procedure in place for notifying the employer if the employee does not report for the test in a timely manner? Is there a procedure in place to notify the BAT/STT of the identity and contact information of the Designated Employer Representative (DER)? Is the initial screen performed by an evidential breath testing device (EBT), or a non-evidential breath-testing device that is on the respective NHTSA Conforming Products List? Is breath specimen for a confirmatory test being collected by a breath alcohol technician (BAT) using an EBT on the conforming products list? Are procedures in place to ensure that an employee with a breath alcohol concentration (BAC) of 0.04 or greater is not allowed to return to duty (if employer has a second chance policy) and perform a safety-sensitive duty until he/she has been evaluated by an SAP and has passed a returnto-duty test? Are procedures in place that ensure that employee with BAC of 0.02 or greater but less than 0.04 is removed from duty for 8 hours or until a retest shows an alcohol concentration of less than 0.02? Does the alcohol testing site: ⎯ Provide visual and aural privacy to the individual being tested? ⎯ Provide security with no unauthorized access at any time when the EBT is unsecured or when testing is occurring? ⎯ Provide all necessary materials and DOT alcohol testing forms? Appendix J. Self-Assessment Checklist J-18 August 2002 A R DMINISTRATIVE EQUIREMENTS Alcohol Testing
Is only one test conducted at a time? Is the new Alcohol Testing Form being used (mandatory by 2/01/02)? Does the BAT wait at least 15 minutes between completion of the screen test and beginning the confirmatory test? Is the confirmation test being conducted within 30 minutes of the initial screen? Are procedures in place to ensure that the BAT and the employee complete, sign, and date the alcohol testing form prior to conducting the breath alcohol test? If the employee fails to sign Step 2 of the ATF, is this considered a test refusal? Is the result of the confirmation test deemed final? Is the collection site providing copies of the alcohol testing form to the correct individuals? ⎯ Copy 1: Breath Alcohol Technician/STT ⎯ Copy 2: Employee ⎯ Copy 3: Employer Will the BAT allow other attempts as necessary to blow into the EBT to obtain a valid test result? EVIDENTIAL BREATH TESTING DEVICE Does a qualified Breath Alcohol Technician (BAT) operate the EBT? Is the collection site’s EBT capable of conducting an airblank and performing an external calibration check? Are there procedures in place to ensure that the BAT is complying with the NHTSA-approved quality assurance plan by ensuring that the external calibration checks of each EBT are performed as described in the manufacturer’s plan? The EBT must be taken out of service if the external calibration check results are outside the tolerances for the EBT. The manufacturer or a certified maintenance representative must perform inspection, maintenance, and calibration of each EBT. Appendix J. Self-Assessment Checklist J-19 August 2002 A R DMINISTRATIVE EQUIREMENTS Alcohol Testing Evidential Breath Testing Device
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October 2009 Implementation Guideli
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Notice This document is disseminate
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METRIC/ENGLISH CONVERSION FACTORS E
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Table of Contents Chapter 1. INTROD
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Table of Contents (continued) Secti
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Chapter 1. INTRODUCTION Section 1.
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Transit employers may go beyond the
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Recommendation: Know the Regulation
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Sample Documentation Chapter 1. Int
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DHHS-Certified Laboratories, Center
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FTA Drug and Alcohol Management Inf
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Research And Special Programs Admin
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employment in safety-sensitive posi
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What happens in these cases? The pu
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Section 3. SAFETY-SENSITIVE • Ope
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performing the volunteer service ar
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Safety-sensitive Examples of Nation
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• A description of the consequenc
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projects, the employer should notif
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Sample Documentation Chapter 2. Reg
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Certification of Compliance for FTA
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4. Atlanta Federal Center Suite 17T
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1. Liability of Service Agents Yasu
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plaintiffs agreed that their positi
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FTA and FMCSA Regulatory Comparison
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FTA and FMCSA Regulatory Comparison
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process ensures that all critical c
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Chapter 3. Program Formulation 3-4
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Chapter 4. POLICY DEVELOPMENT AND C
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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
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policy with the requirement to form
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Do not assume that your contractors
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PRE-EMPLOYMENT DRUG TESTING NOTIFIC
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Sample Program Notification Letter
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authorized by the employer to make
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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
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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
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the “insufficient volume” proce
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for employees what is meant by on-d
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Nonfatal accidents involving a bus,
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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
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In many small transit systems, ever
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Before making the return-to-duty re
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up testing program. The SAP must do
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Employee Discharged BAC >= 0.04 Con
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Employee Discharged Split Specimen
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Sample Documentation Chapter 6. Typ
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1) Accident Report Number: 2) Locat
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Chapter 7. DRUG TESTING PROCEDURES
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Recommendation Multiple Collection
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spouse, relative) or a close person
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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
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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
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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
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Sample Documentation Chapter 8. Alc
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[Federal Register: May 4, 2001 (Vol
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The Conforming Products List is the
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Highway Safety Programs; Model Spec
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45420 Federal Register / Vol. 65, N
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U.S. Department of Transportation (
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Section 1. SAP QUALIFICATIONS A sub
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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
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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
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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
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Chapter 13. THE DRUG-FREE WORKPLACE
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Violations of the act may result in
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Exhibit 13-1 DRUG-FREE WORKPLACE AC
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Chapter 14. SUBSTANCE ABUSE MANAGEM
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Notification of audit Requested mat
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them to move throughout the facilit
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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
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Sample Re-audit Agenda DAY 1 Time A
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Index of Appendices Appendix A. Acr
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AA Alcoholics Anonymous Appendix A.
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RFP Request for Proposal RIA Radio
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Newsletters Appendix B. Additional
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U.S. Department of Labor. What Work
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Other Government Web sites Drug and
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Appendix C Americans with Disabilit
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sensitive duties for the illegal us
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If the individual is qualified and
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allegation of discrimination under
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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
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Federal Register / Vol. 65, No. 141
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Appendix F. Fact Sheets Drug Detect
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Social Issues • Two-thirds of all
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• 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
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Phencyclidine (PCP) Fact Sheet Phen
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Appendix G Questions and Answers
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ecipient, and someone other than th
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Q. Can transit operators receive wa
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Q. If an employee changed jobs prio
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Q. How much training are employers
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acceptable for the company-required
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Q. In a post-accident situation req
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employees and 50 non-DOT employees,
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Q: What actual address is required
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Q: Can a split specimen be sent to
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actual employee of the employer may
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Q: Must collectors, BATs, STTs, MRO
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an observer, or a monitor for co-wo
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Q: If a collector makes an error on
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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
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trolley bus, or vessel. A “mass t
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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 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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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
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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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Page 561 and 562: (a) Each employer shall require a c
Page 563 and 564: 56 for evaluating and resolving pro
Page 565 and 566: qualifying the supervisors to make
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Page 569 and 570: post-accident alcohol test indicati
Page 571 and 572: equired to be maintained by this pa
Page 573 and 574: (b) A certification must be authori
Page 575: Drug-Free Workplace Act
Page 591 and 592: TABLE OF CONTENTS INTRODUCTION ....
Page 593 and 594: egulations that have been made sinc
Page 595 and 596: The behaviors that are prohibited b
Page 597 and 598: ⎯ An individual who refuses to su
Page 599 and 600: 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
Page 605 and 606: LABORATORY TESTING Are all drug tes
Page 607: ⎯ Direct the analysis of the spli
Page 611 and 612: Does the BAT notify the employer’
Page 613 and 614: Does the SAP evaluate whether a saf
Page 615 and 616: ADMINISTRATIVE REQUIREMENTS If a pr
Page 617 and 618: Are procedures in place to have emp
Page 619 and 620: hours following the accident, the e
Page 621 and 622: Are random numbers substituted only
Page 623 and 624: Are employees that are subject to f
Page 625 and 626: OTHER TRAINING Consistent with the
Page 627 and 628: ♦ Documents presented by a covere
Page 629 and 630: CERTIFICATION ♦ Each year transit
Page 631 and 632: A R DMINISTRATIVE EQUIREMENTS Do th
Page 633 and 634: DRUG AND ALCOHOL POLICY REVIEW QUES
Page 635 and 636: Meeting FTA thresholds; Meeting dru
Page 637 and 638: CONSEQUENCES OF A FAILED OR REFUSED
Page 639 and 640: How much notice is given to the emp
Page 641 and 642: RECORDS MANAGEMENT QUESTIONNAIRE AP
Page 643 and 644: If the information requested is not
Page 645 and 646: Has the employer met the minimum an
Page 647 and 648: Do the records indicate that any dr
Page 649 and 650: Does the employer utilize the stand
Page 651 and 652: 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
Page 657 and 658: MEDICAL REVIEW OFFICER (MRO) QUESTI
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What action would you take if the s
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• • • As the SAP, can you sub
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Do you assist your members in any w
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