| Helpful DOT Regulation
Definitions |
| A B
C D E F G H
I J K L M N
O P Q R S
T U V W X Y Z |
| Term |
Definition
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| Acetone
|
Acetone is a byproduct of the metabolism of diabetics.
Heavy dieters can also produce acetone in
their bodies. Acetone may produce a smell
similar to alcohol, but it is not impairing and evidential devices must not
generate an alcohol reading from acetone.
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| Adulterated Specimen |
A specimen that contains a substance that is not expected
to be present in human urine, or contains a substance expected to be present
but is at a concentration so high that it is not consistent with human urine.
|
| Affiliate |
Persons are affiliates of one another if, directly of
indirectly, one controls or has the power to control the other, or a third
party controls or has the power to control both.
Indicators of control include, but are not limited to: interlocking
management or ownership; shared interest among family members; shared
facilities or equipment; or common use of employees.
This definition is used in connection with
the public interest exclusion procedures of Subpart R of Part 40.
|
| Air Blank |
In Evidential Breath Testers (EBTs), an
air blank is a reading of ambient air containing no
alcohol. (EBTs using gas chromatography an air blank is a reading of the device’s internal standard.)
An air blank tests the analytical components of the EBT for alcohol and the reading from that
measurement must be zero after no more than two attempts by the BAT.
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| Alcohol |
The intoxicating agent in beverage alcohol (ethyl alcohol)
or other low molecular weight alcohols, including methyl or isopropyl
alcohol.
|
| Alcohol Concentration |
The alcohol in a volume of breath expressed in terms of
grams of alcohol per 210 liters of breath as indicated by a breath test under
Part 40.
|
| Alcohol Concentration Standard |
A Standard is a benchmark used to make a
comparison. An Alcohol Concentration Standard
is most commonly a canister containing a gas mixture with a known alcohol
concentration. Knowing the concentration of the gas, the BAT introduces it to
the instrument, and compares the reading from the instrument with the known
value of the standard. The reading should not differ by more than ± .005 from
the known value.
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|
Alcohol Screening Device (ASD)
|
A breath or saliva device, other than an EBT, that is
approved by the National Highway Traffic Safety Administration (NHTSA) and
placed on a conforming products list (CPL) for screening devices. ASDs can
only be used for Screening Tests.
|
| Alcohol Testing Site |
A place selected by the employer where employees present
themselves for the purpose of providing breath or saliva samples for an alcohol
test. Alcohol testing sites must be private to insure no unauthorized persons see or
hear the test results.
|
| Alcohol Use |
The drinking or swallowing of any beverage, liquid mixture
or preparation (including any medication), containing alcohol.
|
| Alveoli |
Alveoli are tiny tissue sacs deep in the lungs that are richly supplied with blood
from the heart. By diffusion, some of
the alcohol molecules in the blood partition into the breath deep in the
lungs near the alveoli.
|
| Blind Specimen |
A specimen submitted to a laboratory for quality control
testing purposes, with a fictitious identifier, so that the laboratory cannot
distinguish it from an employee specimen.
|
| Breath Alcohol Technician (BAT) |
A person who instructs and assists employees in the
alcohol testing process and operates an evidential breath testing
device. Training is required to be a
BAT.
|
| Cancelled Test |
A drug or alcohol test that has a problem identified that
cannot be or has not been corrected, or which Part 40 otherwise requires to
be cancelled. A cancelled test is
neither a positive nor a negative test.
|
| Certified Calibration Technician |
DOT states in section 4.233(c)(5) that inspection,
maintenance and calibration of the EBT must be performed by its
manufacturer or a maintenance representative certified by the
manufacturer. Therefore, additional
instruction (over and above the DOT Model Course) is required in order to
calibrate the EBT.
|
| Chain of Custody |
The procedure used to document the handling of a urine
specimen from the time the employee gives the specimen to the collector until
the specimen is destroyed. This
procedure uses the Federal Drug Testing Custody and Control Form (CCF).
|
| Collection Container |
A container into which the employee urinates to provide
the specimen for a drug test.
|
| Collection Site |
A place selected by the employer where employees present
themselves for the purpose of providing a urine specimen for a drug test.
|
| Collector |
A person who instructs and assists employees at a
collection site, who receives and makes an initial inspection of the specimen
provided by those employees and who initiates and completes the CCF.
|
| Confirmation Drug Test |
A second analytical procedure performed on a urine
specimen to identify and quantify the presence of a specific drug or drug metabolite.
|
| Confirmation Test (alcohol) |
Following a screening test with a result of 0.02 or
greater, Part 40 rules require a 15-minute wait and that an
Alcohol Confirmation Test be conducted.
The Confirmation
Test provides quantitative data about the alcohol concentration and is
considered the final test result.
|
| Confirmation Validity Test |
A second test performed on a urine specimen to further
support a validity test result.
|
| Confirmed Drug Test |
A confirmation test result received by an MRO from a
laboratory.
|
| Conforming Products List (Evidential Devices) |
The CPL for Evidential Devices is a list of Evidential Breath Testers that have
met NHTSA’s requirements for precision and accuracy. EBTs can be used for Screening Tests or
(with certain restrictions) Confirmation Tests.
|
| Conforming Products List (Screening Devices) |
The CPL for Screening Devices is a list of Alcohol Screening Devices that have
been approved for use in DOT testing programs.
ASD’s can be used only for Screening Tests.
|
| Consortium/Third Party Administrator (C/TPA) |
A service agent that provides or coordinates the provision
of a variety of drug and alcohol testing services to employers. C/TPAs typically perform administrative
tasks concerning the operation of the employers’ drug and alcohol testing
programs. This term includes, but is not limited to, groups of employers who join together to administer, as a
single entity, the DOT drug and alcohol testing programs of its members.
C/TPAs are not “employers” for purposes of Part 40.
|
| Continuing Education |
Training for Medical Review Officers (MROs) and Substance
Abuse Professionals (SAPs) who have completed qualification training and are
performing MRO or SAP functions.
Continuing education is designed to keep MROs and SAPs current on
changes and developments in the DOT drug and alcohol testing program.
|
| Correlation Studies |
Correlation studies are experiments that have been performed to compare blood alcohol
concentration with breath alcohol concentration. It has been shown through such experiments that a deep lung
breath sample will provide a reading very close (within 5%) to that of a blood
sample taken at the same time.
|
| Designated Employer Representative (DER) |
An employee authorized by the employer to take immediate
action(s) to remove employees from safety-sensitive duties and to make
required decisions in the testing and evaluation processes.
The DER also receives test results and other communications for the employer,
consistent with the requirements of Part 40.
Service agents cannot act as DERs.
The DER name and telephone number must be included on the
Alcohol Testing Form. The BAT should have this information ahead of time,
since the employee to be tested may not know the name of the DER.
|
| Dilute Specimen |
A specimen with creatinine and specific gravity values
that are lower than expected for human urine.
|
| DOT, The Department, DOT Agency |
These terms encompass all DOT agencies, including, but not
limited to, the USCG, the FAA, the FRA, the FMCSA, the FTA, NHTSA, RSPA, and
the Office of the Secretary (OST). These terms include any designee of a DOT
agency.
|
| Drugs |
The drugs for which tests are required under Part 40
and DOT agency regulations are marijuana, cocaine, amphetamines, phencyclidine
(PCP), and opiates.
|
| Employee |
Any person who is designated in a DOT agency regulation as
subject to drug testing and/or alcohol testing. The term includes individuals
currently performing safety-sensitive functions designated in DOT agency
regulations and applicants for employment subject to pre-employment testing.
For purposes of drug testing under Part
40, the term employee has the same meaning as the term “donor” as found on
the CCF and related guidance materials produced by the Department of Health
and Human Services.
|
| Employer |
A person or entity employing one or more employees
(including an individual who is self-employed) subject to DOT agency
regulations requiring compliance with Part 40. The term includes an employer’s officers, representatives, and
management personnel. Service agents are not employers for the purposes of Part 40.
|
| Error Correction Training |
Training provided to BATs, collectors, and Screening Test
Technicians (STTs) following an error that resulted in the cancellation of a
drug or alcohol test. Error
correction training must be provided in person or by a means that provides
real-time observation and interaction between the instructor and trainee.
|
| Evidential Breath Testing Device (EBT) |
A device that measures alcohol concentration in the
breath. EBTs must be approved by NHTSA for the evidential testing of breath
at the .02 and .04 alcohol concentration levels and placed on NHTSA’s
Conforming Products List (CPL) for “Evidential Breath Measurement
Devices”. The devices must be
identified on the CPL as conforming with the model specifications available
from NHTSA’s traffic safety program.
|
| FAA |
Federal Aviation Administration – the DOT agency that oversees and regulates
the airline industry.
|
| Fifteen Minute Wait Period |
If the result of an Alcohol Screening Test is .020 or greater, the employee must
wait 15 minutes before submitting to a Confirmation Test to insure that mouth
alcohol did not contaminate the breath sample.
The
BAT must explain to the employee why they are waiting and that s/he should
not eat, drink, smoke, or put anything in their mouth during this time.
The
BAT is to observe the subject during this period to insure nothing is placed
in the mouth. If the subject does not
follow the BAT’s instructions not to eat or drink, the BAT must make a
notation in the Remarks section and proceed with the Confirmation Test at the
end of the 15-minute wait.
|
| FMCSA |
Federal Motor Carrier Safety Administration – DOT agency regulating drivers
of commercial motor vehicles
|
| FRA |
Federal Railroad Administration – the DOT agency that regulates the railroad industry
|
| FTA |
Federal Transit Administration – DOT agency that regulates public
transportation companies.
|
| HHS |
The Department of Health and Human Services or any
designee of the Secretary, Department of Health and Human Services.
|
| Identification (BAT) |
If the employee requests identification from the
technician, the BAT or STT will provide an ID with their name and their
employer’s name. The technician’s ID
does not have to have a picture or address.
|
| Identification (employee) |
The employee is required to provide a photo identification
prior to the test. The acceptable
forms of ID are:
- a photo ID issued by the employer
- a photo ID issued by a government entity, such as a driver’s license or a military ID card.
If the employee does not have a photo id (except in the
case of an owner/operator), the employer must be contacted to provide
positive identification of the employee.
Faxes and photocopies of ID’s are not acceptable.
|
| Initial Drug Test |
The test used to differentiate a negative specimen from one that requires further testing for drugs or drug metabolites.
|
| Initial Validity Test |
The first test used to determine if a specimen is adulterated, diluted, or substituted.
|
| Insufficient Breath /Insufficient Sample |
This is when the employee is unable, or alleges that he or
she is unable, to provide an amount of breath sufficient to permit a valid
breath test because of a medical condition.
Examples of medical conditions include asthma, bad cold, lung cancer,
one lung, etc. Reference DOT Model Course, Unit VI.
|
| Isopropyl Alcohol |
One of the low molecular weight alcohols that must be detected by an evidential device.
Isopropyl alcohol is antiseptic alcohol or “rubbing alcohol” and, though toxic, may be consumed by some people.
Alcohol devices must be able to detect this and other low molecular weight alcohols.
|
| Laboratory |
Any U.S. laboratory certified by HHS under the National
Laboratory Certification Program as meeting the minimum standards of HHS’s
mandatory guidelines for federal workplace drug testing programs.
|
| Medical Review Officer (MRO) |
A licensed physician who is responsible for receiving and
reviewing laboratory results generated by an employer’s drug testing program
and evaluating medical explanations for certain drug test results.
The MRO does not evaluate alcohol test results, only drug test results.
|
| Methyl Alcohol |
One of the low molecular weight alcohols that must be detected by an evidential
device. Methyl alcohol is sometimes
referred to as “wood alcohol” and is found in industrial solvents.
It is highly toxic, but some people will
drink it and therefore, the devices must detect it.
|
| Negative Alcohol Test Result |
Any breath alcohol test result less than .020 is considered a negative test under the DOT rules and regulations.
|
| NHTSA |
National Highway Traffic Safety Administration. NHTSA is the DOT agency that evaluates
and approves alcohol-testing devices for use in the DOT testing program. In addition, many states rely on the NHTSA
evaluations to select an instrument to use in their DUI programs.
|
| Non-Evidential Breath Testers |
These devices do not have to meet the strict requirements for precision and accuracy necessary for EBTs. For example, some non-evidential
breath testers use a type of technology that might detect substances
in the human breath other than alcohol. This is why they are only allowed for Screening Tests. DOT Confirmation Tests must be performed
using an EBT.
|
| NPRM: Notice of Proposed Rulemaking |
When DOT proposes to make significant changes to there gulations in 49 CFR Part 40, they will first publish an
NPRM in the Federal Register.
The NPRM discusses the proposed rule change and asks for comments from the
public. DOT will incorporate those comments they feel are appropriate and then publish a Final Rule.
This is the process that occurred for the latest rule change which became effective on 8/1/01.
|
| Office of Drug and Alcohol Policy and Compliance (ODAPC) |
The department in the Office of the Secretary, DOT, that
is responsible for coordinating drug and alcohol testing program matters
within the Department and providing information concerning the implementation
of Part 40. This office can be contacted via telephone at (202) 366-3784 or on-line at
www.dot.gov/ost/dapc.
The ODAPC office and the DOT Office of General Counsel (OGC) are the only offices that
can issue official and authoritative interpretations concerning the
provisions of Part 40.
|
| Omnibus Transportation Employee Testing Act of 1991 |
Under the Omnibus Transportation Employee Testing Act of 1991, the Department of Transportation was
required to implement alcohol-testing programs in various transportation
industries. As a result of the Act, the 49 CFR Part 40 rules established
uniform testing procedures that would be used by all DOT operating agencies
conducting alcohol-testing programs under the Act.
|
| Operating Agency |
Thesix DOT agencies covered by Part 40 are referred to as Operating Agencies, or Modes.
|
| Proper Identification |
see Identification (employee) |
| Qualification Training |
The training required in order for a collector, BAT, MRO,
SAP, or STT to be qualified to perform their functions in the DOT drug and
alcohol testing program.
|
| Quality Assurance Program (QAP) |
The DOT requires that each Evidential Breath Tester (EBT)
have a Quality Assurance Program.
The QAP is a set of guidelines to be followed by the user of the EBT to insure the instrument remains accurate and
is operating properly. The QAP is written by the manufacturer of the EBT and must be approved by NHTSA.
Detailed regulatory requirements related to Quality Assurance Plans are found in 49 CFR Part 40.233.
An electronic copy of the Federal Register is included on this cd. (See Reference Tab)
|
| Refresher Training |
The training required periodically for qualified
collectors, BATs, and STTs to review basic requirements and provide
instruction concerning changes in technology (e.g., new testing methods that
may be authorized) and amendments, interpretations, guidance, and issues
concerning Part 40 and DOT agency drug and alcohol testing regulations.
|
| Re-Test |
Under FAA, FTA, and RSPA regulations, an employer may choose to re-test the
employee if the alcohol test result was between .020 - .039.
The purpose of the re-test would be to
allow the employee to return to safety-sensitive duties when their alcohol test
result fell below .020. If an
employer directs the BAT to perform a re-test, then the BAT should begin a
new ATF and record the same reason to test as the original test.
|
| RSPA |
Research and Special Programs Administration – this DOT agency regulates the
pipeline industry.
|
| Scientific Selection Process |
A process of selecting employees for random drug or alcohol testing that
identifies test subjects truly at random, with no bias.
An example of a non-scientific selection
process would be selecting the first 10 people who walk in the door for
randoms. This type of selection would
allow for abuse of the process and does not meet the criteria intended by the
regulations. Computer generated
selection is the most common way this condition of the regulation is satisfied.
|
| Screening Test (alcohol) |
An analytic procedure to determine whether an employee may
have a prohibited concentration of alcohol in a breath or saliva specimen.
|
| Screening Test Technician (STT) |
A person who instructs and assists employees in the alcohol Screening Test
process and operates an ASD. A Screening Test Technician is different from a BAT
and may not perform a Confirmation Test or operate an EBT.
|
| Secretary |
The U.S. Presidential Cabinet post of Secretary of Transportation or the Secretary’s
designee.
|
| Service Agent |
Any person or entity, other than an employee of the employer, who provides services covered under Part 40 to employers and/or
employees in connection with DOT drug and alcohol testing requirements.
This includes, but is not limited to, collectors, BATs, STTs, laboratories, MROs, SAPs, C/TPAs.
Service agents are not employers for purposes of Part 40.
|
| Split Specimen |
Indrug 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.
|
| Substance Abuse Professional (SAP) |
A person who evaluates employees who have violated a DOT drug and/or alcohol
regulations and makes recommendations concerning education, treatment,
follow-up testing, and aftercare. The SAP can be a licensed physician, a licensed
psychologist, a certified employee assistance professional, or someone certified by the NAADAC or by the ICRC.
See Subpart O of Part 40 for details.
|
| Substituted Specimen |
A urine specimen with creatinine and specific gravity values that are so
diminished that they are not consistent with human urine.
|
| Tolerance |
The ability of an individual to mask the symptoms of alcohol consumption.
Experienced drinkers can appear unimpaired at the .02 and .04 levels.
At these lower levels, Supervisor training is essential to insure unbiased probable cause determinations.
|
| Unit VIII – EBT Proficiency |
Unit VIII of the DOT
Model Course specifies the requirements for proficiency in the operation of
the Evidential Breath Tester (EBT) that the BAT will be using for performing
DOT tests.
-
Demonstrate proficiency in administering a breath
alcohol test in accordance with the procedures of 49 CFR Part 40
-
Perform a minimum of seven breath tests using a live
subject on each EBT he/she will be using for testing
-
Show ability to respond to device’s messages and
commands, including what actions to take if an error occurs
-
Tests must be technically correct
-
Must understand accuracy checks and when they should be performed Complete a self-check test to demonstrate knowledge &
proficiency.
|
| USCG |
United States Coast Guard – This DOT agency regulates marine employers.
|
| Verified Test |
A drug test result or validity testing result from an HHS-certified laboratory
that has undergone review and final determination by an MRO.
|
| Volatile |
A compound that has properties such as even dispersion in water, extreme
flammability, and rapid evaporation.
Examples of volatile compounds are
gasoline, ammonia and alcohol.
|
