82_FR_7784 82 FR 7771 - Procedures for Transportation Workplace Drug and Alcohol Testing Programs: Addition of Certain Schedule II Drugs to the Department of Transportation's Drug-Testing Panel and Certain Minor Amendments

82 FR 7771 - Procedures for Transportation Workplace Drug and Alcohol Testing Programs: Addition of Certain Schedule II Drugs to the Department of Transportation's Drug-Testing Panel and Certain Minor Amendments

DEPARTMENT OF TRANSPORTATION
Office of the Secretary

Federal Register Volume 82, Issue 13 (January 23, 2017)

Page Range7771-7782
FR Document2017-01131

The Department of Transportation is proposing to amend its drug-testing program regulation to add four opioids (hydrocodone, hydromorphone, oxymorphone, and oxycodone) to its drug-testing panel; add methylenedioxyamphetamine (MDA) as an initial test analyte; and remove methylenedioxyethylamphetamine, (MDEA) as a confirmatory test analyte. The proposed revision of the drug-testing panel is intended to harmonize with the revised Mandatory Guidelines established by the U.S. Department of Health and Human Services for Federal drug-testing programs for urine testing. This proposal also adds clarification to certain drug-testing program provisions where necessary, removes outdated information in the regulations that is no longer needed, and proposes to remove the requirement for employers and Consortium/Third Party Administrators to submit blind specimens.

Federal Register, Volume 82 Issue 13 (Monday, January 23, 2017)
[Federal Register Volume 82, Number 13 (Monday, January 23, 2017)]
[Proposed Rules]
[Pages 7771-7782]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-01131]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

49 CFR Part 40

[Docket DOT-OST-2016-0189]
RIN 2105-AE58


Procedures for Transportation Workplace Drug and Alcohol Testing 
Programs: Addition of Certain Schedule II Drugs to the Department of 
Transportation's Drug-Testing Panel and Certain Minor Amendments

AGENCY: Office of the Secretary of Transportation (OST), U.S. 
Department of Transportation (DOT).

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Department of Transportation is proposing to amend its 
drug-testing program regulation to add four opioids (hydrocodone, 
hydromorphone, oxymorphone, and oxycodone) to its drug-testing panel; 
add methylenedioxyamphetamine (MDA) as an initial test analyte; and 
remove methylenedioxyethylamphetamine, (MDEA) as a confirmatory test 
analyte. The proposed revision of the drug-testing panel is intended to 
harmonize with the revised Mandatory Guidelines established by the U.S. 
Department of Health and Human Services for Federal drug-testing 
programs for urine testing. This proposal also adds clarification to 
certain drug-testing program provisions where necessary, removes 
outdated information in the regulations that is no longer needed, and 
proposes to remove the requirement for employers and Consortium/Third 
Party Administrators to submit blind specimens.

DATES: Comments to the notice of proposed rulemaking should be 
submitted by March 24, 2017. Late-filed comments will be considered to 
the extent practicable.

ADDRESSES: To ensure that you do not duplicate your docket submissions, 
please submit them by only one of the following means:
     Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for submitting 
comments.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Ave. SE., West Building Ground Floor 
Room W12-140, Washington, DC 20590-0001.
     Hand delivery: West Building Ground Floor, Room W-12-140, 
1200 New Jersey Ave. SE., between 9 a.m. and 5 p.m., Monday through 
Friday, except Federal holidays. The telephone number is 202-366-9329.
    Instructions: To ensure proper docketing of your comment, please 
include the agency name and docket number DOT-OST-2016-0189 or the 
Regulatory Identification Number (RIN), 2105-AE58, for the rulemaking 
at the beginning of your comments. All comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided.

FOR FURTHER INFORMATION CONTACT: Patrice M. Kelly, Acting Director, 
Office of Drug and Alcohol Policy and Compliance, 1200 New Jersey 
Avenue SE., Washington, DC 20590; telephone number 202-366-3784; 
[email protected].

SUPPLEMENTARY INFORMATION: 

I. Purpose

    The Department of Transportation (DOT or the Department) is issuing 
this notice of proposed rulemaking (NPRM) to revise Part 40 of Title 49 
of the Code of Federal Regulations to harmonize with the revised 
Department of Health and Human Services (HHS) Mandatory Guidelines for 
Federal Workplace Drug Testing Programs using Urine (HHS Mandatory 
Guidelines) published on January 23, 2017, effective October 1, 2017. 
DOT currently requires urine testing for safety-sensitive 
transportation industry employees subject to drug testing under Part 
40.
    There are two changes to the HHS Mandatory Guidelines to which this 
notice proposes to harmonize Part 40. First, the revised HHS Mandatory 
Guidelines, in part, allow Federal agencies with drug-testing 
responsibilities to test for four additional Schedule II (of the 
Controlled Substances Act) prescription medications: Hydrocodone, 
hydromorphone, oxycodone, and oxymorphone. Second, the HHS Mandatory 
Guidelines remove methylenedioxyethylamphetamine, (MDEA) as a 
confirmatory test analyte from the existing drug-testing panel and add 
methylenedioxyamphetamine (MDA) as an initial test analyte.
    In addition to harmonizing with pertinent sections of the HHS 
Mandatory Guidelines for urine testing, we also propose in this NPRM to 
modify (for clarification) certain existing Part 40 provisions that 
cover the handling of urine specimens; to remove provisions that no 
longer are necessary (such as obsolete compliance dates); and to add 
clarifying language to other provisions (such as updated definitions 
and web links where necessary.) The Department also proposes to remove 
existing Part 40 requirements related to blind specimen testing.

II. Authority for This Rulemaking

    This rulemaking is promulgated pursuant to the Omnibus 
Transportation Employee Testing Act (OTETA) of 1991 (Pub. L. 102-143, 
tit. V, 105 Stat. 952). OTETA sets forth DOT reliance on the HHS 
Mandatory Guidelines for scientific testing issues. Section 503 of the 
Supplemental Appropriations Act, 1987 (Pub. L. 100-71, 101 Stat 391, 
468), 5 U.S.C. 7301, and Executive Order 12564 establish HHS as the 
agency that directs scientific and technical guidelines for Federal 
workplace drug-testing programs and standards for certification of 
laboratories engaged in such drug testing. While DOT has discretion 
concerning many aspects of the regulations governing testing in the 
transportation industries' regulated programs, we must follow the HHS 
Mandatory Guidelines for the categories of drugs for which we will 
require testing.

[[Page 7772]]

III. Background

Relevant History of the DOT Drug-Testing Program Regulation

    The Department first published its drug-testing program regulation 
(49 CFR part 40) on November 21, 1988 as an interim final rule (53 FR 
47002). We based the rule on HHS Mandatory Guidelines for Federal 
Workplace Drug Testing Programs (See 53 FR 11970), which, in part, 
required cocaine and marijuana to be screened by Federal agencies. HHS 
based this requirement on the incidence and prevalence of the abuse of 
these two substances in the general population and on the experiences, 
at the time, of the Departments of Defense and Transportation in 
screening their workforces (53 FR 11973-11974). Agencies also were 
authorized under the 1988 HHS Mandatory Guidelines to test for 
phencyclidine, amphetamines, and opiates. Among other provisions from 
those guidelines, DOT incorporated a 5-panel test to include all of the 
drugs HHS authorized and published a final rule on December 1, 1989 (54 
FR 49854).
    We made the last comprehensive revisions to Part 40, on August 16, 
2010 (See 75 FR 49850). This 2010 revision once again harmonized our 
DOT drug-testing program, where necessary, with the HHS Mandatory 
Guidelines effective October 1, 2010 (See 73 FR 7185; 75 FR 22809). 
Specifically, to harmonize we required initial and confirmatory testing 
for methylenedioxymethamphetamine (MDMA); confirmatory testing for MDA 
and MDEA; and initial testing for 6-acetylmorphine (6-AM). We also 
lowered the initial and confirmatory test cutoff concentrations for 
amphetamines and cocaine.
    Just as we have revised Part 40 in the past, we propose to revise 
Part 40 now to harmonize, in pertinent part, with the most recently 
revised HHS Mandatory Guidelines issued on January 23, 2017. HHS has 
set an effective date of October 1, 2017, for compliance with its final 
revision.

Relevant Changes to the HHS Mandatory Guidelines

    HHS monitors drug abuse trends and reviews information on new drugs 
of abuse from sources such as Federal regulators, researchers, the 
drug-testing industry, and public and private sector employers. In its 
May 15, 2015 ``Notice of Proposed Revisions'' (See 80 FR 28103), HHS 
indicated that, since its original Guidelines were published in 1988, a 
number of recommendations have been made for additional drugs to be 
included in Federal workplace drug-testing programs. According to HHS, 
recommendations for the four added semi-synthetic drugs were based on a 
review of scientific information and on input from the Drug Testing 
Advisory Board (DTAB) \1\ on the methods necessary to detect the 
analytes of drugs and on drug abuse trends. With the DTAB 
recommendations, private sector experience findings, and analysis of 
current drug abuse trends, HHS concluded that the additional opioids, 
oxycodone, oxymorphone, hydrocodone, and hydromorphone, should be added 
in the Federal program.
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    \1\ The Drug Testing Advisory Board provides advice to HHS (the 
Administrator of SAMHSA) based on an ongoing review of the 
direction, scope, balance, and emphasis of the Agency's drug-testing 
activities and the drug testing laboratory certification program. 
See http://www.samhsa.gov/about-us/advisory-councils/drug-testing-advisory-board-dtab/board-charter.
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    In its ``Final Notice of Revisions'' HHS acknowledged that, while 
it had proposed MDA and MDEA as initial test analytes, three commenters 
disagreed with the addition of MDA and MDEA as target analytes. HHS 
indicated that the commenters stated that this change would require 
modification of current immunoassay reagents, laboratory processes, or 
both. The commenters noted that this imposes an unnecessary burden for 
compounds with such low incidence in workplace testing. HHS agreed and, 
based on comment, removed MDEA from its Mandatory Guidelines. HHS 
determined that the number of positive MDEA specimens reported by HHS-
certified laboratories does not support testing all specimens for MDEA 
in Federal workplace drug testing programs. HHS indicated that it 
understands that MDA and some other analytes also have a low incidence, 
but believes that continued testing for these analytes is warranted in 
a deterrent program. In particular, inclusion of MDA as an initial and 
confirmatory test analyte is warranted according to HHS because, in 
addition to being a drug of abuse, it is a metabolite of MDEA and MDMA.

Harmonizing Changes to the DOT Drug-Testing Program Regulation

    In keeping with our obligations under OTETA to follow the HHS 
Mandatory Guidelines for the drugs for which we test, we propose to add 
and remove the drugs adopted in the revised HHS Mandatory Guidelines 
for urine. Adding the four semi-synthetic opioids, which are already 
tested for in many transportation employers' non-DOT testing programs, 
would allow the DOT to detect a broader range of potentially impairing 
drugs and thereby enhance the safety of the transportation industry and 
the public they serve.

IV. Discussion of the Proposal

    In this NPRM, in addition to proposing to add and remove drugs on 
the DOT drug-testing panel, we are using this opportunity to make some 
necessary modifications to Part 40. Specifically, we are proposing to 
amend certain provisions related to the testing of urine specimens. For 
example, we would add a new section to Part 40 to emphasize that only 
urine specimens screened and confirmed at HHS certified laboratories 
are currently authorized to be used for drug testing. We also have 
determined, based on a focused analysis of historical drug-testing 
program data, that the burdens associated with blind specimen testing 
may not be cost-beneficial. Therefore, in the interest of reducing 
burden on program participants who are affected by blind specimen 
testing requirements, we propose to remove this requirement from our 
program. We propose other, mainly editorial, revisions to improve the 
efficiency of our program, such as removing compliance dates that are 
no longer needed and updating program web links to reflect those 
currently being used on the DOT Web site.
    Here is a more detailed summary of our specific proposals. We 
propose to:
    1. Amend our drug-testing panel and Medical Review Officer (MRO) 
test result verification procedures to add hydrocodone, hydromorphone, 
oxycodone, and oxymorphone (and their corresponding test cutoff 
concentrations), add MDA as an initial test analyte, and remove MDEA.
    2. Remove, modify, and add some definitions to further clarify our 
program and also to make certain definitions consistent with the 
revised HHS Mandatory Guidelines.
    3. Modify three provisions related to urine specimens. We propose 
to: Add a new provision to indicate that only urine specimens are 
authorized to be used for drug testing under Part 40; revise an 
existing provision to describe the procedure for discarding an original 
urine specimen under certain circumstances; and align our regulations 
with the revised National Laboratory Certification Program (NLCP) 
manual by adding three new ``fatal flaws'' to the existing list of four 
``fatal flaws'' currently found in Part 40.
    4. Remove Part 40 provisions that reference blind specimen testing.
    5. Add emphasis to an existing Part 40 provision that prohibits DNA 
testing of urine specimens.
    6. Amend Sec.  40.141, which refers to how an MRO obtains 
information for the

[[Page 7773]]

verification decision. We would amend this section to add a 
clarification that a ``prescription'' means a ``valid prescription 
under the Controlled Substances Act,'' which is language that already 
exists in Part 40 and add a new paragraph that would harmonize this 
section with Section 3.5 of the HHS Mandatory Guidelines, which allows 
MROs to request additional testing of a specimen in certain 
circumstances.
    7. Modify Sec. Sec.  40.137 and 40.139, the sections that address 
how the MRO must verify test results, by proposing to make minor 
modifications to the section headings and regulatory text to 
incorporate the addition of the four new semi-synthetic opioids.
    8. Include a provision that would require collectors, Substance 
Abuse Professionals (SAPs), MROs, Screening Test Technicians (STTs), 
and Breath Alcohol Technicians (BATs) to subscribe to the DOT Office of 
Drug and Alcohol Policy and Compliance (ODAPC) list-serve.
    9. Remove the list of SAP certification organizations from the list 
of qualifying SAP credentials in Part 40. Instead, we would maintain 
the list of certifying organizations on our Web site.
    10. Provide a provision to prohibit program participants from using 
DOT- (or other Federal agency) branded items (such as logos, titles, 
emblems, etc.) on their Web sites, publications, etc.
    11. Remove certain compliance dates that are now obsolete because 
they are more than 5 years old.
    12. Correct two typos, in Sec. Sec.  40.233(c)(4) and 40.162(c), 
that reference incorrect paragraph sections and make an editorial 
correction in Sec.  40.67(n) that would delete erroneous wording.
    13. Update the following appendices to Part 40: Appendices B and C, 
to add the four new drugs to the drugs listed and remove MDEA; Appendix 
D, to update a web link; and Appendix H, to remove the instruction 
sheet for the Management Information System Data Collection from our 
regulations and move it to our guidance material located on our Web 
site.
    14. Update web links referenced in the current rule that have 
changed on our DOT Web site.

Detailed Discussion of the Proposals

    1. Modification of the Drug-Testing Panel--We propose to modify the 
existing drug-testing panel in Sec.  40.87(a) and the MRO test result 
verification procedures in Sec. Sec.  40.137 and 40.139, to include 
hydrocodone, hydromorphone, oxycodone, and oxymorphone. We also propose 
to remove MDEA from Sec.  40.87(a) and add MDA as an initial test 
analyte as discussed previously in this document. As indicated above in 
the section of this preamble entitled ``II. Authority for this 
Rulemaking,'' OTETA mandates that the DOT drug-testing panel must 
correspond to HHS Mandatory Guidelines for Federal Workplace Drug 
Testing Programs. As such, since the inception of our drug-testing 
program, the DOT has never deviated from HHS on the drugs for which we 
test, the type of specimens which we test, specimen testing validity 
values, or initial and confirmatory cutoff values. This proposal is no 
different. We propose to fully adhere to the revised HHS guidelines 
regarding the drugs for which we propose to require testing.
    Currently, DOT regulations mandate urine testing under a five-panel 
test. We propose to maintain the current five-panel test, but would 
rename the existing opiates category in Sec.  40.85 from ``opiates'' to 
``opioids'' to include the new HHS-mandated drugs.
    Opiates are derived from opium poppy plant alkaloid compounds, and 
include codeine and morphine. Heroin is produced by acetylation of 
morphine. Opioids is a broader term but, for purposes of Part 40, 
includes only opiate and semi-synthetic compounds (i.e., hydrocodone, 
hydromorphone, oxycodone, and oxymorphone). Semi-synthetic opioids 
interact with the body's chemical system in the same way as natural 
opiates (e.g. codeine, morphine, and heroin) and produce similar 
effects. Misuse, abuse, opioid use disorder (addiction), and overdose 
are potential dangers related to prescription opioids.
    The following is a representative sampling of information provided 
by various organizations who have reported on prescription opioid use 
trends over the past few years:
     CDC data from 2012 indicates that 259 million 
prescriptions were written for prescription opioids, which is more than 
enough to give every American adult their own bottle of pills.\2\
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    \2\ Centers for Disease Control and Prevention (2014). Opioid 
Painkiller and Prescribing, Where You Live Makes a Difference. 
Available at: http://www.cdc.gov/vitalsigns/opioid-prescribing/.
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     According to the SAMHSA National Survey on Drug Use and 
Health 2014 data, almost 2 million Americans misused or were dependent 
on prescription opioids.\3\
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    \3\ Substance Abuse and Mental Health Services Administration, 
National Survey on Drug Use and Health, 2014. Available at: http://www.samhsa.gov/data/sites/default/files/NSDUH-FRR1-2014/NSDUH-FRR1-2014.pdf.
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     As posted by the Office of National Drug Control Policy, 
according to the National Center for Health Statistics, the number of 
overdose deaths involving opioids rose from 28,647 in 2014 to 33,091 in 
2015.\4\
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    \4\ https://www.whitehouse.gov/the-press-office/2016/12/08/continued-rise-opioid-overdose-deaths-2015-shows-urgent-need-treatment.
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     National Center for Health Statistics \5\ data indicates 
that every year since 2002 more than 40 percent of the total number of 
overdose deaths in the United States have been related to prescription 
opioids.
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    \5\ https://www.drugabuse.gov/related-topics/trends-statistics/overdose-death-rates.
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    In light of this compelling information regarding opioid use (and 
the national attention being focused on this issue), we propose to 
modify the DOT drug-testing regimen not only to meet our statutory 
obligation under OTETA to do so, but also to raise the level of safety 
for the transportation industry and the public.
    2. Definitions--We propose to revise Sec.  40.3 to make the 
following modifications:
     Blind specimen or blind performance test specimen would be 
removed. Because we are proposing to remove the requirement for blind 
specimen testing, we no longer would need to define this term in Part 
40. In addition, Part 40 provisions do not refer to ``blind performance 
test specimen,'' so we propose to remove it as well.
     DOT, the Department, DOT agency would be revised to make a 
clarification with respect to the status of the U.S. Coast Guard. The 
Coast Guard transferred to the Department of Homeland Security (DHS) in 
2003, and as such, is not part of the DOT. The Coast Guard, however, 
has continued to use Part 40 for most of its drug and alcohol testing 
procedures. This amendment would clarify that, when Part 40 mentions 
DOT agencies, the Coast Guard is included under that heading even 
though it resides in DHS.
     Drugs would be revised (for reasons discussed in detail 
earlier in this preamble) to reflect the addition of hydrocodone, 
hydromorphone, oxycodone, and oxymorphone to the existing DOT drug-
testing panel. Specifically, we would expand the reference to 
``opiates'' in the existing definition to ``opioids.''
    3. Clarification/modifications related to urine specimens--We 
propose the following three amendments relating to the testing of urine 
specimens:
     We propose to add a new Sec.  40.210 entitled: ``Are drug 
tests other than urine permitted under the regulations?'' to indicate 
that only urine specimens are currently authorized for drug testing. 
Adding new Sec.  40.210 would establish

[[Page 7774]]

parity with an existing Part 40 alcohol testing section, Sec.  40.277, 
entitled: ``Are alcohol tests other than saliva or breath permitted 
under these regulations?'' which indicates (for alcohol testing) that 
only saliva and breath are authorized.
     We propose to amend existing Sec.  40.83 and Sec.  40.199 
to include revisions made to the ``fatal flaws'' listing found in the 
latest revision of the NLCP Manual which became effective September 21, 
2016. Existing paragraph (b) of Sec.  40.199 provides for four ``fatal 
flaws'' but would be amended to include three additional fatal flaws 
included in the revised NLCP Manual for a total of seven fatal flaws 
that MROs must consider during the review and verification process.
     We propose to amend paragraph Sec.  40.193(b)(4) to 
address what a collector does when the employee provides a 
``questionable'' specimen (due to signs of tampering or when the 
temperature is out of range), and then the employee does not provide a 
second sufficient specimen under direct observation even after being 
provided with a wait period of up to three hours.
    Currently, Part 40 requires the collector to package and send the 
questionable specimen (i.e., out of temperature range specimen or 
specimen with signs of tampering) to the laboratory along with a second 
sufficient specimen assuming a second specimen was collected 
(Sec. Sec.  40.65(b)(7) & 40.65(c)(2), respectively). Part 40 does not, 
however, instruct the collector on what to do with the questionable 
specimen when the employee does not provide a sufficient specimen after 
a ``shy bladder'' wait period. The instructions in Sec.  40.193(b)(1) 
direct the collector not to discard a questionable specimen; however, 
these instructions are rooted on the assumption that a second specimen 
will be collected. So absent a second sufficient specimen, Sec.  40.193 
does not tell the collector what to do with the questionable specimen.
    Furthermore, we found the following inconsistencies in our guidance 
documents related to questionable specimens. In the July 2008 Q&A on 
Sec.  40.193, the collector is instructed to ``. . . discard any 
specimen the employee previously provided . . .'' However, the Urine 
Specimen Collection Guidelines state that the collector is to send the 
questionable specimen to the laboratory and to immediately initiate 
another collection under direct observation.
    If the employee did not provide a second specimen during the shy 
bladder period, and the collector sends the questionable specimen to 
the laboratory, the MRO must verify the employee's laboratory-reported 
questionable sample. The MRO would also conduct an evaluation to 
determine if a medical condition has, or with a high degree of 
probability could have, precluded the employee from providing a 
sufficient amount of urine.
    The intent of the shy bladder evaluation is to provide the employee 
with an opportunity to provide an explanation for his/her inability to 
provide a sufficient specimen. This rationale becomes clouded when it's 
coupled with a verified drug test result from the same collection 
event. If an employee provides a questionable specimen, the employee 
may have tampered with or substituted his/her specimen. Following this 
logic, the employee should be able to provide a sufficient specimen 
immediately after providing the questionable specimen. If the employee 
cannot provide a sufficient specimen, the employee would have the 
opportunity to provide an explanation for his/her shy bladder via an 
evaluation (Sec.  40.193(c)). Absent a supported medical condition, an 
employee's inability to provide a sufficient specimen indicates that 
the employee chose not to provide a specimen in an effort to avoid a 
positive drug test result. As such, the MRO would report the result as 
a ``refusal to test'' to the employer, further ensuring the safety of 
the traveling public.
    Therefore, we are proposing to require the collector to discard any 
specimen previously collected, thereby leaving the MRO to report only 
the outcome of the required evaluation. The Department seeks comment as 
to whether the proposed amendment to Sec.  40.193 (b)(4) is a 
reasonable approach or whether there may be an alternate solution to 
the proposal.
    4. Removal of blind specimen testing--We are proposing to remove 
existing Part 40 provisions (from Sec. Sec.  40.3, 40.29, 40.103, 
40.105, 40.123, 40.169, and 40.189) that reference blind specimen 
testing. We propose this as a burden-relieving measure for affected 
entities (e.g. employers, C/TPAs, etc.).
    Existing Part 40 defines a blind specimen as ``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.'' Blind specimens are intended to test the accuracy 
and integrity of the laboratory testing system. As part of an overall 
quality control effort, employers have been required, since 1990 (54 FR 
49857), to send blind urine specimens for drug testing to the 
laboratories they use. These samples are made to look like normal 
samples, are packaged in the same manner, and arrive unannounced at the 
laboratory. Only the senders know if the results of the blind specimens 
are negative, positive, adulterated, or substituted.
    Initially, in 1990 (54 FR 49854), the Department required three 
blind test specimens for each 100 employee test specimens. For 
employers with 2000 or more covered employees, approximately 80 percent 
of the samples were required to be negative, with the remaining samples 
positive for one or more of the drugs per sample in a distribution such 
that all the drugs to be tested were included in approximately equal 
frequencies of challenge. The positive samples were required to contain 
only those drugs for which the employer was testing.
    DOT has always been concerned about the burdens associated with 
imposing blind specimen procedures in its drug-testing program and has 
attempted to reduce such burdens incrementally over time. For example, 
in an attempt to simplify the process and reduce burden, in 2001, (65 
FR 79462; December 19, 2000), the Department revised Part 40 blind 
specimen requirements by reducing the number of quarterly blind 
specimens sent to a laboratory from three percent to one percent with a 
maximum number of 50 blinds per quarter.
    In light of this rulemaking and the requirement in Executive Order 
13563 to conduct retrospective analyses, we have once again reviewed 
the impact of blind specimen testing. Upon review, we found that, since 
the 2000 final rule, we did not identify any laboratory problems 
regarding false positives. Any discrepancies that have been brought to 
our attention were problems with the manufacturer of the blinds and not 
the laboratory testing procedures.
    It is also important to remember that the laboratories are 
rigorously inspected through the HHS National Laboratory Certification 
Program (NLCP). After a thorough initial inspection, laboratories are 
inspected semi-annually and receive performance test ``PT'' samples 
every quarter. If there are any discrepancies, NLCP thoroughly 
investigates the matter that requires corrective action as necessary.
    Finally, another important ``check and balance'' already in place 
is the employee's split specimen or the ``B'' bottle. If the employee 
believes that the primary laboratory erred in reporting his/her result 
of the ``A'' bottle, the employee, via the MRO, can request to have 
his/her split (``B'') specimen sent to another laboratory.
    Blind specimen testing requirements have been diligently followed 
over the

[[Page 7775]]

history of our program resulting in no cause for concern regarding 
laboratory accuracy. After 25 years, blind specimen testing has served 
its purpose and is now redundant in urine testing. Therefore, the 
Department seeks comment on any concerns, or unforeseen or unintended 
consequences, associated with our proposal to remove blind specimen 
requirements.
    5. DNA testing--We propose to amend existing Sec.  40.331 to add 
language that would further clarify that Deoxyribonucleic Acid (DNA) 
testing is not allowed for DOT-regulated urine specimens. To add 
further emphasis to this section, we would amend paragraph (f) to add 
the following sentence: DNA testing or other types of identity testing 
are not authorized. Identity testing, to include (DNA) testing, is 
prohibited in Section 3.3 of the HHS Mandatory Guidelines and in Part 
40. The Department's main reason for imposing this prohibition (See 65 
FR 79484, 79530) was to provide a safeguard against employees who would 
attempt to undermine the collection process by substituting a sample 
and, subsequently, request identity testing so that their sample would 
not be a match. If an employee believes there has been an error with 
his/her sample, the employee can request the Bottle B of the specimen 
to be drug tested (but not DNA tested) at a second HHS certified 
laboratory.
    As the Court of Appeals recently validated in Swaters v. Department 
of Transportation, No. 14-1277 (D.C. Cir. June 24, 2016), the 
procedures described in the HHS Mandatory Guidelines and a properly 
completed Federal Drug Testing Custody and Control Form ensure that the 
specimen provided by the donor is the same specimen tested by a 
laboratory. Permitting DNA testing would undermine the integrity of the 
urine testing program because it would legitimize a donor's 
substitution of urine during an unobserved collection. The Court also 
indicated that ``neither the DOT's general rule against releasing urine 
samples for DNA testing, nor its refusal to release the sample in this 
case, is arbitrary, capricious, or contrary to the Omnibus 
Transportation Employee Testing Act of 1991.''
    6. MRO Verification--We propose to amend existing Sec.  40.141 (b) 
to add a parenthetical ``i.e.'' that would indicate that 
``prescription'' is intended to mean (as currently provided in Sec.  
40.135 (e)), ``a legally valid prescription under the Controlled 
Substances Act (CSA).''
    We understand that there may be various definitions for 
``prescription'' under Federal law (e.g., the Controlled Substances Act 
Pub. L. 91-513, tit. II, 84 Stat. 1242 (1970) and the Patient 
Protection and Affordable Care Act, Pub. L. 111-148, 124 Stat. 119 
(2010)). As such, we propose to amend existing Sec.  40.141 (b) to add 
language to indicate that, in the DOT drug-testing program, 
prescription means ``a legally valid prescription under the Controlled 
Substances Act (CSA).'' Doing so will clarify what prescription an MRO 
can accept when verifying an employee's claim that his/her use of a 
prescribed medication was the reason for the laboratory-confirmed 
positive drug result. This clarification does not create a new standard 
because this language is identical to the language used in Sec.  
40.135(e).
    We also propose to modify Sec.  40.141(b) to harmonize, in part, 
with Section 3.5 of the HHS Mandatory Guidelines. Specifically, we 
propose to allow MROs to conduct additional testing (i.e., D, L 
stereoisomers and tetrahydrocannabivarin (THC-V)) of a DOT urine 
specimen, if the MRO determines such testing is necessary for the 
purpose of verifying the drug test result. For example, the MRO could 
request a D, L stereoisomer test of a laboratory confirmed 
methamphetamine result to help rule out whether the result was possibly 
due to the use of an over-the-counter product. Another example would be 
for the MRO to request a THC-V test when verifying a positive marijuana 
test result after a dronabinol (Marinol) \6\ prescription is provided 
by the donor. THC-V testing provides useful information to the MRO when 
determining whether the laboratory-reported positive result for 
marijuana resulted from the employee's use of marijuana. As proposed, 
the MRO would not need to obtain DOT consent prior to requesting the D, 
L stereoisomer testing and/or the THC-V testing. Furthermore, the HHS-
certified laboratory could only conduct these additional tests if its 
testing meets the appropriate validation and quality control 
requirements through the NLCP.
---------------------------------------------------------------------------

    \6\ Generically known as dronabinol, Marinol is a Schedule III 
drug product formulated in sesame oil in soft gelatin capsules, 
containing synthetic delta-9-THC. FDA has approved Marinol for the 
treatment of nausea and vomiting associated with cancer chemotherapy 
and for anorexia. (For further information see 81 FR 53691.)
---------------------------------------------------------------------------

    7. Revision of certain Part 40 provisions to incorporate references 
to the new drugs--We would revise the existing section headings and 
some regulatory text in Sec. Sec.  40.137 and 40.139 to incorporate the 
proposed addition of the new opioids to the drug-testing panel. We 
would revise the section headings, and corresponding regulatory 
language where appropriate in these sections, to clarify our intent 
regarding how the MRO must verify test results. We would revise the 
Sec.  40.137 section heading to add the text ``semi-synthetic opioids'' 
and the Sec.  40.139 section heading so that it would refer to ``6-
acetylmorphine, codeine, and morphine'' specifically. The Department 
also proposes to clarify the example used in Sec.  40.139(c)(3) 
regarding an employee's admission of an unauthorized use of a substance 
when use of that substance is not confirmed by their drug test.
    8. Subscription to ODAPC list-serve--We would amend Sec. Sec.  
40.33, 40.121, 40.213, and 40.281 to require collectors, MROs, STTs and 
BATs, and SAPs to subscribe to the ODAPC list-serve, found on our Web 
site at https://www.transportation.gov/odapc/get-odapc-email-updates. 
The ODAPC list-serve provides an additional means for these individuals 
to meet existing requirements in the referenced sections to ``be 
knowledgeable about'' and to ``keep current on any changes to'' 
materials used in our program. In addition to all of the information 
(web links) available on the ODAPC Web site, the ODAPC list-serve is 
the vehicle that allows us to communicate all program matters of 
importance to our constituency in the most timely manner possible and, 
by extension, enables us to keep our program responsive. The list-serve 
is free of charge to list-serve subscribers.
    9. Nationally Recognized Training Organizations--We propose to 
remove the list of approved certification organizations and their 
respective certified drug and alcohol counselors found in Sec.  40.281, 
paragraph (a)(6) and to display that list on the ODAPC Web site. 
Currently, when a certification organization requests to be added to 
the list of acceptable credentials for a SAP, that organization needs 
to petition the DOT for inclusion. The DOT reviews the petition. If the 
DOT approves the petition, we must initiate a rulemaking process to add 
the SAP certification organization to Part 40. Each time a new 
certification organization is added, the DOT must initiate a separate 
rulemaking action. Because this is a time-consuming process, we are 
proposing to display the list on the ODAPC Web site and update it when 
necessary instead of including all qualified SAP certification 
organizations in the rule language. Any SAP certification organization 
seeking to be added to the web-based list would still need to petition 
the DOT and meet the criteria set forth in Appendix E of Part 40. 
Although this process would remove the public comment requirement of 
rulemaking, DOT would

[[Page 7776]]

fully vet the organization before deciding to add it to the list. 
Therefore, as a burden-relieving measure, the Department proposes to 
remove Sec.  40.281 (a)(6) entirely and henceforth maintain the listing 
of nationally-recognized training or professional organizations in 
guidance material at https://www.transportation.gov/odapc/sap. In this 
manner, we would be able to maintain a more responsive list of 
organizations under which an individual may certify as a SAP and update 
it as needed without undertaking rulemaking action.
    10. Prohibition against use of federal branding--We would amend 
Sec.  40.365 to permit the public interest exclusion of a service agent 
for that agent's use of a DOT, or a DOT Agency's, logo on a Web site, 
in printed materials, or in any other manner that represents that the 
Department has approved, endorsed, or certified the service agent or 
its activities. The use of the DOT or DOT Agency's logo on materials 
generated by the DOT or the DOT Agency are permitted as long as the 
logo was on the original material being reprinted.
    11. Removal of Outdated Compliance Dates--We would remove existing 
compliance dates from several Part 40 sections. Five Part 40 sections 
provide for training with compliance dates dating back to the early 
2000s: Sec.  40.33--A training schedule for collectors for 
qualification training and initial proficiency demonstration; Sec.  
40.121--a training schedule for MROs for qualification training; Sec.  
40.203--a specific timeframe relating to Federal Drug Testing Custody 
and Control Forms that has now expired; Sec.  40.213--a training 
schedule for STTs and BATs for qualification training, initial 
proficiency training, and refresher training; Sec.  40. 281--a training 
schedule for qualification for SAPs. These compliance dates are no 
longer applicable, thus we propose to remove them from these sections 
where they occur.
    12. Editorial corrections--Section 40.162 entitled ``What must MROs 
do with multiple verified results for the same testing event?'' 
contains an incorrect reference to Sec.  40.159(f) in paragraph (c). 
Existing Sec.  40.162(c) refers to how an MRO must handle multiple 
verified non-negative test results and is intended to conform to a 
Sec.  40.159(g) provision that directs the MRO to act on the verified 
non-negative result and not report the invalid result unless the split 
specimen fails to reconfirm the results of the primary specimen. 
Section 40.162(c), however, inadvertently refers to Sec.  40.159(f) 
rather than Sec.  40.159(g) requirements because of a typographical 
error. We would like this 40.162(c) provision to reference Sec.  
40.159(g) which is the correct reference.
    Section 40.233 entitled ``What are the requirements for proper use 
and care of EBTs?'' contains an incorrect reference to Sec.  
40.333(a)(2) in paragraph (c)(4). Existing Sec.  40.233(c)(4) refers to 
maintaining records of the inspection, maintenance, and calibration of 
Evidential Breath Testing devices and is intended to conform to a Sec.  
40.333(a)(3) provision related to the specific timeframe for keeping 
such records. Section 40.233(c)(4), however, inadvertently refers to 
Sec.  40.333(a)(2) rather Sec.  40.333(a)(3) requirements because of a 
typographical error. We would like this Sec.  40.233(c)(4) provision to 
reference Sec.  40.333(a)(3) which is the correct reference.
    Section 40.67 entitled ``When and how is a directly observed 
collection conducted?'' would be revised to remove the words ``As the 
collector'' to clarify that any service agent participating in the 
testing process (not just the collector) who discovers a direct 
observation should have taken place, but did not, would inform the 
employer.
    13. Appendix Items--We propose amendments to four appendices. At 
Appendices B and C, we propose to add to the listing of the new drugs 
to conform with the revised drug testing list in proposed Sec.  40.87 
and also remove references to MDEA in those appendices. These revisions 
are needed to conform with the newly adopted HHS Guidelines that add 
these drugs. At Appendix D, we propose to modify existing web links 
from http://www.dot.gov/ost/odapc to https://www.transportation.gov/odapc. We propose to remove Appendix H in its entirety and relocate it 
to our Web page. This would remove the instruction sheet entitled 
``U.S. Department of Transportation Drug and Alcohol Testing MIS Data 
Collection Form Instruction Sheet'' and the actual MIS Data Collection 
Form. With this change made, we would be able to keep the instruction 
sheet and MIS Data Collection Form updated as necessary without a 
rulemaking action.
    14. Web links/electronic submissions--We would update references to 
web links that have been revised. Periodically our Departmental 
webmaster must update DOT Web sites for any number of reasons. The 
ODAPC Web site ``http://www.dot.gov/ost/odapc'' currently referenced in 
our regulation is now linked at ``https://www.transportation.gov/odapc.'' Therefore, we propose to update the regulation to replace 
http://www.dot.gov/ost/odapc with https://www.transportation.gov/odapc 
where the link occurs in the following sections: Sec. Sec.  40.33, 
40.45, 40.105, 40.121, 40.213, 40.225, and 40.401.

V. Regulatory Analyses and Notices

    Changes to Federal regulations must undergo several analyses. 
First, Executive Orders 12866 and 13563 direct that each Federal agency 
shall propose or adopt a regulation only upon a reasoned determination 
that the benefits of the intended regulation justify its costs. Second, 
the Regulatory Flexibility Act of 1980 (Pub. L. 96-354), as codified in 
5 U.S.C. 601 et seq., requires agencies to analyze the economic impact 
of regulatory changes on small entities. The Paperwork Reduction Act of 
1995 (PRA) (44 U.S.C. 3501 et seq.) requires that DOT consider the 
impact of paperwork and other information collection burdens imposed on 
the public and, under the provisions of PRA section 3507(d), obtain 
approval from OMB for each collection of information it conducts, 
sponsors, or requires through regulations. Section (a)(5) of division H 
of the Fiscal Year 2005 Omnibus Appropriations Act, Public Law 108-447, 
118 Stat. 3268 (Dec. 8, 2004) and section 208 of the E-Government Act 
of 2002, Public Law 107-347, 116 Stat. 2889 (Dec. 17, 2002) requires 
DOT to conduct a Privacy Impact Assessment (PIA) of a regulation that 
will affect the privacy of individuals. Finally, the National 
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321 et seq.) 
requires DOT to analyze this action to determine whether it will have 
an effect on the quality of the environment. This portion of the 
preamble summarizes the DOT's analyses of these impacts with respect to 
this notice.

Executive Order 12866 and 13563 and DOT's Regulatory Policies and 
Procedures

    This proposal is not a significant regulatory action under 
Executive Order 12866 and 13563, as well as the Department's Regulatory 
Policies and Procedures (44 FR 11034). It proposes to harmonize 
specific Part 40 procedures with recently mandated HHS Guidelines and, 
in the interest of improving efficiency, make certain program 
modifications. As such, this proposal would not impose any major policy 
changes and would not impose any significant new costs or burdens. 
Actually, DOT estimates a cost-savings of at least $3.1 million per 
year for the proposed elimination of the requirement for employers to 
submit blind specimen testing to laboratories.

[[Page 7777]]

Costs

    The HHS Mandatory Guidelines addressed the burdens associated with 
the addition of new drugs to the drug-testing panel. The cost impact of 
drug testing for oxycodone, oxymorphone, hydrocodone, and hydromorphone 
would be minimal because HHS has determined that all HHS laboratories 
testing specimens from Federal agencies are currently conducting tests 
for one or more of these analytes on non-regulated urine specimens. HHS 
further indicated in its analysis that laboratory personnel currently 
are trained to test for the additional drugs and test methods already 
have been implemented. Many HHS-certified laboratories conduct non-
regulated tests for transportation employers who already include the 
four proposed drugs in their non-regulated testing programs. For those 
employers, therefore, shifting the four drugs from non-regulated tests 
to regulated tests would not increase testing costs.
    HHS determined that the costs associated with implementation of 
testing for the four additional drugs would be approximately $0.11-
$0.30 per test. Once the testing has been implemented, the cost per 
specimen for initial testing for the added analytes would range from 
$.06 to $0.20 due to reagent costs. Current costs for each confirmatory 
test range from $5.00 to $10.00 for each specimen reported as positive 
due to costs of sample preparation and analysis. HHS indicated that 
based on information from non-regulated workplace drug testing for 
these analytes in 2012 and testing performed on de-identified federally 
regulated specimens in 2011, approximately 1% of the submitted 
specimens is expected to be confirmed as positive for the added 
analytes. Therefore, HHS indicates that the added cost for confirmatory 
testing will be $0.05 to $0.10 per submitted specimen.
    Approximately 6.3 million DOT-regulated tests occur per year. DOT 
considered the maximum ranges HHS provided in its analysis. Therefore, 
with the projected maximum implementation cost per specimen of $0.30, 
the maximum cost per specimen of initial testing at $0.20, and the 
maximum cost per specimen of confirmation testing at $0.10, the 
additional cost per urine test would be an additional $0.60. Under the 
new HHS Mandatory Guidelines, and based on an estimated 6.3 million DOT 
tests conducted annually, a cost of approximately $3,800,000 would be 
realized by employers subject to DOT-regulated testing ($0.60 x 
6,300,000 DOT tests annually = $3,780,000).
    HHS indicated that there will be minimal costs associated with 
adding MDA as an initial test analyte because the current immunoassays 
can be adapted to test for this analyte. According to HHS, before a lab 
is allowed to test regulated specimens for MDA, HHS must test three 
groups of performance test, or ``PT'' samples. HHS provides the PT 
samples at no cost to its certified laboratories but HHS estimates that 
the laboratory costs to conduct the PT testing would range from $900 to 
$1800 for each certified laboratory. There are approximately 27 HHS-
certified laboratories who process DOT drug tests. With the maximum 
cost estimate of $1800 for each certified laboratory, a cost of 
approximately $48,600 would be realized for DOT ($1800 x 27 
laboratories = $48,600.)
    Testing for additional drugs would result in MRO cost as MROs would 
have additional review and verification to conduct. Based on the 
positivity rates from non-regulated workplace drug testing and the 
additional review of specimens confirmed positive for prescription 
medications, HHS estimates that MRO costs would increase by 
approximately 3%. The additional costs for testing and MRO review would 
be incorporated into the overall cost for the Federal agency submitting 
the specimen to the laboratory. HHS bases the estimation of costs 
incurred on overall cost to the Federal agency affected because cost is 
usually based on all specimens submitted from an agency, rather than 
individual specimen testing costs or MRO review of positive specimens. 
Based on this analysis, therefore, DOT would project an additional MRO 
cost of $189,000 (.03 projected increase x 6,300,000 DOT tests 
annually).

Cost-Savings

    DOT estimates a cost-savings of at least $3.1 million per year from 
the proposed elimination of the requirement for employers to submit 
blind specimen testing to laboratories (estimated at approximately $50 
per test). This estimate of cost-savings is based on the regulatory 
analysis performed when DOT reduced blind specimen testing in 2000, 
[see 65 FR 79462, 79517 (Dec 19, 2000)] adjusted for inflation. Based 
on the blind specimen requirements made effective in 2000 for employers 
to submit 1% of 6,300,000 DOT tests for blind testing conducted 
annually at a cost of approximately $50 per test yields a cost-savings 
of $3,150,000 (63,000 x $50).

Net Economic Impact

    The DOT believes the projected cost-savings realized would, for the 
most part, offset the projected cost to the DOT of implementing testing 
for the additional drugs being added to the drug-testing regimen. The 
projected $3,848,600 for the four opioid drugs (and MDA) as well as the 
$189,000 projected MRO costs would result in a total projected cost of 
$4,037,600. The estimated cost impact of this proposal, therefore, 
would be negligible, an estimated $887,600 ($4,037,600-$3,150,000). If 
identifying illicit drug use by safety-sensitive transportation 
employees subjected to drug testing prevents a single serious accident, 
then the benefits of this proposal outweigh its minimal cost. This 
proposal would not have a major impact under Executive Order 12866 
because it would not have an annual effect on the economy of $100 
million or more, nor would it adversely affect any sector of the 
economy.

Regulatory Flexibility Analysis

    The Regulatory Flexibility Act of 1980 (Pub. L. 96-354, ``RFA''), 5 
U.S.C. 601 et seq., establishes ``as a principle of regulatory issuance 
that agencies shall endeavor, consistent with the objectives of the 
rule and of applicable statutes, to fit regulatory and informational 
requirements to the scale of the businesses, organizations, and 
governmental jurisdictions subject to regulation. To achieve this 
principle, agencies are required to solicit and consider flexible 
regulatory proposals and to explain the rationale for their actions to 
assure that such proposals are given serious consideration.'' The RFA 
covers a wide-range of small entities, including small businesses, not-
for-profit organizations, and small governmental jurisdictions.
    Agencies must perform a review to determine whether a proposed rule 
would have a significant economic impact on a substantial number of 
small entities. If the agency determines that it would, the agency must 
prepare a regulatory flexibility analysis. However, if an agency 
determines that it is not expected to have a significant economic 
impact on a substantial number of small entities, section 605(b) 
provides that the head of the agency may so certify, and a regulatory 
flexibility analysis would not be required. The certification must 
include a statement providing the factual basis for this determination, 
and the reasoning should be clear.
    This rulemaking proposes to conform the existing DOT drug-testing 
panel to recently issued HHS Mandatory

[[Page 7778]]

Guidelines and, with certain minor amendments (mostly editorial), to 
improve the efficiency of the DOT drug-testing program. As noted above, 
any costs due to this rule are, for the most part, offset by the cost 
savings from the proposed elimination of the requirement for employers 
to submit blind specimen testing to laboratories. The net costs of this 
rule are negligible overall and would not constitute a significant 
burden to any entity, small or otherwise. Consequently, the DOT 
certifies, under the RFA, that this proposal would not have a 
significant economic impact on a substantial number of small entities.

Federalism

    This proposal has been analyzed in accordance with the principles 
and criteria contained in Executive Order 13132 (``Federalism''). This 
proposal does not include requirements that (1) have substantial direct 
effects on the States, the relationship between the national government 
and the States, or the distribution of power and responsibilities among 
the various levels of government, (2) impose substantial direct 
compliance costs on State and local governments, or (3) preempt State 
law. Therefore, the consultation and funding requirements of Executive 
Order 13132 do not apply.

Paperwork Reduction Act/Privacy Act

    The Paperwork Reduction Act requires that the DOT consider the 
impact of paperwork and other information collection burdens imposed on 
the public. Information collections for Part 40 currently are approved 
under OMB Control No. 2105-0529. The Privacy Act provides safeguards 
against invasion of personal privacy through the misuse of records by 
Federal Agencies. It establishes controls over what personal 
information is collected, maintained, used and disseminated by agencies 
in the executive branch of the Federal government. This proposal would 
not create any new paperwork or other information collection burdens 
needing approval, nor would it require any further protections under 
the Privacy Act.

National Environmental Policy Act

    The Department has analyzed the environmental impacts of this 
proposed action pursuant to the National Environmental Policy Act of 
1969 (NEPA) (42 U.S.C. 4321 et seq.) and has determined that it is 
categorically excluded pursuant to DOT Order 5610.1C, Procedures for 
Considering Environmental Impacts (44 FR 56420, Oct. 1, 1979). 
Categorical exclusions are actions identified in an agency's NEPA 
implementing procedures that do not normally have a significant impact 
on the environment and therefore do not require either an environmental 
assessment (EA) or environmental impact statement (EIS). See 40 CFR 
1508.4. In analyzing the applicability of a categorical exclusion, 
Federal agencies also must consider whether extraordinary circumstances 
are present that would warrant the preparation of an EA or EIS. This 
proposal does not meet any of these criteria. Paragraph 3.c.5 of DOT 
Order 5610.1C incorporates by reference the categorical exclusions for 
all DOT Operating Administrations. This action is covered by the 
categorical exclusion listed in the Federal Highway Administration's 
implementing procedures, ``[p]romulgation of rules, regulations, and 
directives.'' 23 CFR 771.117(c)(20). The agency does not anticipate any 
environmental impacts, and there are no extraordinary circumstances 
present in connection with this rulemaking.

Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) does 
not require a written statement for this final rule because the rule 
does not include a Federal mandate that may result in the expenditure 
in any one year of $155,000,000 or more by State, local, and tribal 
governments, or the private sector.

List of Subjects in 49 CFR Part 40

    Administrative practice and procedures, Alcohol abuse, Alcohol 
testing, Drug abuse, Drug testing, Laboratories, Reporting and 
recordkeeping requirements, Safety, Transportation.

The Proposal

    For reasons discussed in the preamble, the Department of 
Transportation proposes to amend part 40 of Title 49 Code of Federal 
Regulations, as follows:

PART 40--PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL 
TESTING PROGRAMS

0
1. The authority citation for 49 CFR part 40 continues to read as 
follows:

    Authority:  40 U.S.C. 102, 301, 322, 5331, 20140, 31306, and 
54101 et seq.

0
2. Amend Sec.  40.3 as follows:
0
a. Remove the definition ``Blind specimen or blind performance test 
specimen''; and
0
b. Revise and reorder (in correct alphabetical order) the definitions 
``DOT, the Department, DOT Agency'' and ``Drugs'' to read as follows:


Sec.  40.3  What do the terms used in this part mean?

* * * * *
    DOT, The Department, DOT Agency. These terms encompass all DOT 
agencies, including, but not limited to the Federal Aviation 
Administration (FAA), the Federal Railroad Administration (FRA), the 
Federal Motor Carrier Safety Administration (FMCSA), the Federal 
Transit Administration (FTA), the National Highway Traffic Safety 
Administration (NHTSA), the Pipeline and Hazardous Materials Safety 
Administration (PHMSA), and the Office of the Secretary (OST). For 
purposes of this part, the United States Coast Guard (USCG), in the 
Department of Homeland Security, is considered to be a DOT agency. 
These terms include any designee of a DOT agency.
* * * * *
    Drugs. The drugs for which tests are required under this part and 
DOT agency regulations are marijuana, cocaine, amphetamines, 
phencyclidine (PCP), and opioids.
* * * * *
0
3. Revise Sec.  40.26 to read as follows:


Sec.  40.26  What form must an employer use to report Management 
Information System data to a DOT agency?

    As an employer, when you are required to report MIS data to a DOT 
agency, you must use the U.S. Department of Transportation Drug and 
Alcohol Testing MIS Data Collection Form to report that data. You may 
view and download this form and its instructions on the Department's 
Web site (https://www.transportation.gov/odapc). You must submit the 
MIS report in accordance with rule requirements (e.g., dates for 
submission, selection of companies required to submit, and method of 
reporting) established by the DOT agency regulating your operation.


Sec.  40.29  [Amended]

0
4. Amend Sec.  40.29 by removing the entry ``Sec. Sec.  40.103-40.105--
Blind specimen requirements.''
0
5. Amend Sec.  40.33 by revising paragraphs (a) and (d) to read as 
follows:


Sec.  40.33  What training requirements must a collector meet?

* * * * *
    (a) Basic information. You must be knowledgeable about this part, 
the current ``DOT Urine Specimen Collection Procedures Guidelines,'' 
and DOT agency regulations applicable to the employers for whom you 
perform

[[Page 7779]]

collections. The DOT Urine Specimen Collection Procedures Guidelines 
document is available from ODAPC (Department of Transportation, 1200 
New Jersey Avenue SE., Washington, DC 20590, 202-366-3784, or on the 
ODAPC Web site (https://www.transportation.gov/odapc). DOT agency 
regulations are available at each agency's Web site, on the DOT Web 
site (http://www.transportation.dot.gov), or at www.ecfr.gov. You must 
keep current on any changes to these materials. You must subscribe to 
the ODAPC list-serve (https://www.transportation.gov/odapc/get-odapc-email-updates).
* * * * *
    (d) You must meet the requirements of paragraphs (b) and (c) of 
this section before you begin to perform collector functions.
* * * * *
0
6. Amend Sec.  40.67 by revising paragraph (n) to read as follows:


Sec.  40.67  When and how is a directly observed collection conducted?

* * * * *
    (n) As a service agent, when you learn that a directly observed 
collection should have been collected but was not, you must inform the 
employer that it must direct the employee to have an immediate 
recollection under observation.
0
7. Amend Sec.  40.83 by revising paragraph (c) to read as follows:


Sec.  40.83  How do laboratories process incoming specimens?

* * * * *
    (c) You must inspect each specimen and CCF for the following 
``fatal flaws:''
    (1) There is no CCF;
    (2) There is no specimen submitted with the CCF;
    (3) There is no printed collector's name and no collector's 
signature;
    (4) Two separate collections are performed using one CCF;
    (5) The specimen ID numbers on the specimen bottle and the CCF do 
not match;
    (6) The specimen bottle seal is broken or shows evidence of 
tampering, unless a split specimen can be redesignated (see paragraph 
(h) of this section);
    (7) There is an insufficient amount of urine in the primary bottle 
for analysis, unless the specimens can be redesignated (see paragraph 
(h) of this section).
* * * * *
0
8. Revise Sec.  40.85 to read as follows:


Sec.  40.85  What drugs do laboratories test for?

    As a laboratory, you must test for the following five drugs or 
classes of drugs in a DOT drug test. You must not test ``DOT 
specimens'' for any other drugs.
    (a) Marijuana metabolites.
    (b) Cocaine metabolites.
    (c) Amphetamines.
    (d) Opioids.
    (e) Phencyclidine (PCP).
0
9. Amend Sec.  40.87 by revising paragraph (a) to read as follows:


Sec.  40.87  What are the cutoff concentrations for drug tests?

    (a) As a laboratory, you must use the cutoff concentrations 
displayed in the following table for initial and confirmatory drug 
tests. All cutoff concentrations are expressed in nanograms per 
milliliter (ng/mL). The table follows:

----------------------------------------------------------------------------------------------------------------
                                                                  Confirmatory test     Confirmatory test cutoff
       Initial test analyte           Initial test cutoff \1\          analyte               concentration
----------------------------------------------------------------------------------------------------------------
Marijuana metabolites (THCA) \2\..  50 ng/mL \3\..............  THCA.................  15 ng/mL.
Cocaine metabolite                  150 ng/mL \3\.............  Benzoylecgonine......  100 ng/mL.
 (Benzoylecgonine).
Codeine/Morphine..................  2000 ng/mL................  Codeine..............  2000 ng/mL.
                                                                Morphine.............  2000 ng/mL.
Hydrocodone/Hydromorphone.........  300 ng/mL.................  Hydrocodone..........  100 ng/mL.
                                                                Hydromorphone........  100 ng/mL.
Oxycodone/Oxymorphone.............  100 ng/mL.................  Oxycodone............  100 ng/mL.
                                                                Oxymorphone..........  100 ng/mL.
6-Acetylmorphine..................  10 ng/mL..................  6-Acetylmorphine.....  10 ng/mL.
Phencyclidine.....................  25 ng/mL..................  Phencyclidine........  25 ng/mL.
Amphetamine/Methamphetamine.......  500 ng/mL.................  Amphetamine..........  250 ng/mL
                                                                Methamphetamine......  250 ng/mL.
MDMA \4\/MDA \5\..................  500 ng/mL.................  MDMA.................  250 ng/mL.
                                                                MDA..................  250 ng/mL.
----------------------------------------------------------------------------------------------------------------
\1\ For grouped analytes (i.e., two or more analytes that are in the same drug class and have the same initial
  test cutoff):
Immunoassay: The test must be calibrated with one analyte from the group identified as the target analyte. The
  cross-reactivity of the immunoassay to the other analyte(s) within the group must be 80 percent or greater; if
  not, separate immunoassays must be used for the analytes within the group.
Alternate technology: Either one analyte or all analytes from the group must be used for calibration, depending
  on the technology. At least one analyte within the group must have a concentration equal to or greater than
  the initial test cutoff or, alternatively, the sum of the analytes present (i.e., equal to or greater than the
  laboratory's validated limit of quantification) must be equal to or greater than the initial test cutoff.
\2\ An immunoassay must be calibrated with the target analyte, [Delta]-9-tetrahydrocannabinol-9-carboxylic acid
  (THCA).
\3\ Alternate technology (THCA and benzoylecgonine): When using alternate technology to test for THCA and
  Benzoylecgonine, the screening and confirmatory test cutoff concentrations must be the same respectively
  (i.e., 15 ng/mL for THCA and 100 ng/mL for Benzoylecgnine).''
\4\ Methylenedioxymethamphetamine (MDMA).
\5\ Methylenedioxyamphetamine (MDA).

* * * * *


Sec.  40.103  [Removed]

0
10. Remove Sec.  40.103.
0
11. Remove Sec.  40.105.
0
12. Amend Sec.  40.121 by revising paragraphs (b)(3) and (c)(3), and 
the paragraph (d) introductory text to read as follows:


Sec.  40.121  Who is qualified to act as an MRO?

* * * * *
    (b) * * *
    (3) You must be knowledgeable about this part, the DOT MRO 
Guidelines, and the DOT agency regulations applicable to the employers 
for whom you evaluate drug test results, and you must keep current on 
any changes to these materials. You must subscribe to the ODAPC list-
serve at https://www.transportation.gov/odapc/get-odapc-email-updates. 
DOT agency regulations, DOT MRO Guidelines, and other materials are 
available from ODAPC (Department of Transportation, 1200 New Jersey 
Avenue SE.,

[[Page 7780]]

Washington, DC 20590, 202-366-3784, or on the ODAPC Web site (http://www.transportation.gov/odapc).
    (c) * * *
    (3) You must meet the requirements of paragraphs (a), (b), and (c) 
of this section before you begin to perform MRO functions.
    (d) Requalification training. During each five-year period from the 
date on which you satisfactorily completed the examination under 
paragraph (c) (2) of this section or have successfully completed the 
required continuing education requirements, you must complete 
requalification training.
* * * * *
0
13. Amend Sec.  40.123 by revising paragraph (e) to read as follows:


Sec.  40.123  What are the MRO's responsibilities in the DOT drug 
testing program?

* * * * *
    (e) You must act to investigate and correct problems where possible 
and notify appropriate parties (e.g., HHS, DOT, employers, service 
agents) where assistance is needed (e.g., cancelled or problematic 
tests, incorrect results).
* * * * *
0
14. Amend Sec.  40.137 by revising the section heading and paragraph 
(a) to read as follows:


Sec.  40.137  On what basis does the MRO verify test results involving 
marijuana, cocaine, amphetamines, semi-synthetic opioids, or PCP?

    (a) As the MRO, you must verify a confirmed positive test result 
for marijuana, cocaine, amphetamines, semi-synthetic opioids (i.e., 
hydrocodone, hydromorphone, oxycodone, and oxymorphone), and/or PCP 
unless the employee presents a legitimate medical explanation for the 
presence of the drug(s)/metabolite(s) in his or her system.
* * * * *
0
15. Amend Sec.  40.139 by revising the section heading and paragraphs 
(c) introductory text and (c)(3) to read as follows:


Sec.  40.139  On what basis does the MRO verify test results involving 
6-acetylmorphine, codeine, and morphine?

* * * * *
    (c) For all other codeine and morphine positive results, you must 
verify a confirmed positive test result only if you determine that 
there is clinical evidence, in addition to the urine test, of 
unauthorized use of any opium, opiate, or opium derivative (i.e., 
morphine, codeine, or heroin).
    (1) * * *
    (2) * * *
    (3) To be the basis of a verified positive result for codeine or 
morphine, the clinical evidence you find must concern a drug that the 
laboratory found in the specimen. (For example, if the test confirmed 
the presence of codeine, and the employee admits to unauthorized use of 
hydrocodone, you must verify the test positive for codeine. The 
admission must be for the substance that was found through the actual 
drug test).
* * * * *
0
16. Amend Sec.  40.141 by revising paragraph (b) to read as follows:


Sec.  40.141  How does the MRO obtain information for the verification 
decision?

* * * * *
    (b) If the employee asserts that the presence of a drug or drug 
metabolite in his or her specimen results from taking prescription 
medication (i.e., a legally valid prescription under the Controlled 
Substances Act), you must review and take all reasonable and necessary 
steps to verify the authenticity of all medical records the employee 
provides. You may contact the employee's physician or other relevant 
medical personnel for further information. You may request an HHS-
certified laboratory with validated protocols (see Sec.  40.81(c)) to 
conduct D, Lstereoisomer testing or tetrahydrocannabivarin (THC-V) 
testing when verifying lab results, as you determine necessary.
0
17. Amend Sec.  40.162 by revising paragraph (c) to read as follows:


Sec.  40.162  What must MROs do with multiple verified results for the 
same testing event?

* * * * *
    (c) As an exception to paragraphs (a) and (b) of this section, as 
the MRO, you must follow procedures at Sec.  40.159(g) when any 
verified non-negative result is also invalid.


Sec.  40.169  [Amended]

0
18. Amend Sec.  40.169 by removing the entry ``Sec.  40.105--
Notification of discrepancies in blind specimen results.''


Sec.  40.189  [Amended]

0
19. Amend Sec.  40.189 by removing the entry ``Sec.  40.103--Blind 
split specimens.''
0
20. Amend Sec.  40.193 by revising paragraph (b)(4) to read as follows:


Sec.  40.193  What happens when an employee does not provide a 
sufficient amount of urine for a drug test?

* * * * *
    (b) * * *
    (4) If the employee has not provided a sufficient specimen within 
three hours of the first unsuccessful attempt to provide the specimen, 
you must discontinue the collection, note the fact on the ``Remarks'' 
line of the CCF (Step 2), and immediately notify the DER. You must also 
discard any specimen the employee previously provided to include any 
specimen that is `out of temperature range' or shows signs of 
tampering. In the remarks section of the CCF that you will distribute 
to the MRO and DER, you must note the fact that the employee provided 
an `out of temperature range specimen' or `specimen that shows signs of 
tampering' and that it was discarded because the employee did not 
provide a second sufficient specimen.
* * * * *
0
21. Amend Sec.  40.199 by revising paragraph (b) to read as follows:


Sec.  40.199  What problems always cause a drug test to be cancelled?

    (a) * * *
    (b) The following are ``fatal flaws'':
    (1) There is no CCF;
    (2) There is no specimen submitted with the CCF;
    (3) There is no printed collector's name and no collector's 
signature;
    (4) Two separate collections are performed using one CCF;
    (5) The specimen ID numbers on the specimen bottle and the CCF do 
not match;
    (6) The specimen bottle seal is broken or shows evidence of 
tampering (and a split specimen cannot be re-designated, see Sec.  
40.83(h)); and
    (7) Because of leakage or other causes, there is an insufficient 
amount of urine in the primary specimen bottle for analysis and the 
specimens cannot be re-designated (see Sec.  40.83(h)).
* * * * *
0
22. Amend Sec.  40.203 by revising paragraph (d)(3) to read as follows:


Sec.  40.203  What problems cause a drug test to be cancelled unless 
they are corrected?

* * * * *
    (d) * * *
    (3) The collector uses a non-Federal form or an expired CCF for the 
test. This flaw may be corrected through the procedure set forth in 
Sec.  40.205(b)(2), provided that the collection testing process has 
been conducted in accordance with the procedures in this part in an 
HHS-certified laboratory.
0
23. Add Sec.  40.210 in subpart I to read as follows:


Sec.  40.210  Are drug tests other than urine permitted under the 
regulations?

    No. Drug tests other than on urine specimens are not authorized for 
testing under this part. Only urine specimens screened and confirmed at 
HHS

[[Page 7781]]

certified laboratories (see Sec.  40.81) are allowed for drug testing 
under this part. Point-of-collection urine testing or instant tests are 
not authorized.
0
24. Amend Sec.  40.213 by revising paragraphs (a), (d), and (e) to read 
as follows:


Sec.  40.213  What training requirements must STTs and BATs meet?

* * * * *
    (a) You must be knowledgeable about the alcohol testing procedures 
in this part and the current DOT guidance. Procedures and guidance are 
available from ODAPC (Department of Transportation, 1200 New Jersey 
Avenue SE., Washington, DC 20590, 202-366-3784, or on the ODAPC Web 
site, https://www.transportation.gov/odapc). You must keep current on 
any changes to these materials. You must subscribe to the ODAPC list-
serve at (https://www.transportation.gov/odapc/get-odapc-email-updates).
* * * * *
    (d) You must meet the requirements of paragraphs (b) and (c) of 
this section before you begin to perform STT or BAT functions.
    (e) Refresher training. No less frequently than every five years 
from the date on which you satisfactorily complete the requirements of 
paragraphs (b) and (c) of this section, you must complete refresher 
training that meets all the requirements of paragraphs (b) and (c) of 
this section.
* * * * *
0
25. Amend Sec.  40.233 by revising paragraph (c)(4) to read as follows:


Sec.  40.233  What are the requirements for proper use and care of 
EBTs?

* * * * *
    (c) * * *
    (4) You must maintain records of the inspection, maintenance, and 
calibration of EBTs as provided in Sec.  40.333(a)(3).
* * * * *
0
26. Amend Sec.  40.281 by revising paragraphs (a)(6), (b)(3), and 
(c)(3) to read as follows:


Sec.  40.281  Who is qualified to act as a SAP?

* * * * *
    (a) * * *
    (6) You are a drug and alcohol counselor certified by an 
organization listed at https://www.transportation.gov/odapc/sap.
    (b) * * *
    (3) You must be knowledgeable about this part, the DOT agency 
regulations applicable to the employers for whom you evaluate 
employees, and the DOT SAP Guidelines. You must keep current on any 
changes to these materials. You must subscribe to the ODAPC list-serve 
at https://www.transportation.gov/odapc/get-odapc-email-updates. DOT 
agency regulations, DOT SAP Guidelines, and other materials are 
available from ODAPC (Department of Transportation, 1200 New Jersey 
Avenue SE., Washington DC, 20590 (202-366-3784), or on the ODAPC Web 
site (http://www.transportation.gov/odapc).
    (c) * * *
    (3) You must meet the requirements of paragraphs (a), (b), and (c) 
of this section before you begin to perform SAP functions.
* * * * *
0
27. Amend Sec.  40.331 by revising paragraph (f) to read as follows:


Sec.  40.331  To what additional parties must employers and service 
agents release information?

* * * * *
    (f) Except as otherwise provided in this part, as a laboratory you 
must not release or provide a specimen or a part of a specimen to a 
requesting party, without first obtaining written consent from ODAPC. 
DNA testing and other types of identity testing are not authorized and 
ODAPC will not give permission for such testing. If a party seeks a 
court order directing you to release a specimen or part of a specimen 
contrary to any provision of this part, you must take necessary legal 
steps to contest the issuance of the order (e.g., seek to quash a 
subpoena, citing the requirements of Sec.  40.13). This part does not 
require you to disobey a court order, however.
* * * * *
0
28. Amend Sec.  40.365 by revising paragraph (b)(10) to read as 
follows:


Sec.  40.365  What is the Department's policy concerning starting a PIE 
proceeding?

* * * * *
    (b) * * *
    (10) For any service agent, representing falsely that the service 
agent or its activities is approved or certified by the Department or a 
DOT agency (such representation includes, but is not limited to, the 
use of a Department or DOT agency logo, title, or emblem).
* * * * *
0
29. Revise appendix B to part 40 to read as follows:

Appendix B to Part 40--DOT Drug-Testing Semi-Annual Laboratory Report 
to Employers

    The following items are required on each laboratory report:

Reporting Period: (inclusive dates)
Laboratory Identification: (name and address)
Employer Identification: (name; may include Billing Code or ID code)
C/TPA Identification: (where applicable; name and address)

Specimen Results Reported (total number)
By Test Reason
    (a) Pre-employment (number)
    (b) Post-Accident (number)
    (c) Random (number)
    (d) Reasonable Suspicion/Cause (number)
    (e) Return-to-Duty (number)
    (f) Follow-up (number)
    (g) Type of Test Not Noted on CCF (number)
2. Specimens Reported
    (a) Negative (number)
    (b) Negative and Dilute (number)
3. Specimens Reported as Rejected for Testing (total number)
    By Reason
    (a) Fatal flaw (number)
    (b) Uncorrected Flaw (number)
4. Specimens Reported as Positive (total number) By Drug
    (a) Marijuana Metabolite (number)
    (b) Cocaine Metabolite (number)
    (c) Opioids (number)
    (1) Codeine (number)
    (2) Morphine (number)
    (3) 6-AM (number)
    (4) Hydrocodone (number)
    (5) Hydromorphone (number)
    (6) Oxycodone (number)
    (7) Oxymorphone (number)
    (d) Phencyclidine (number)
    (e) Amphetamines (number)
    (1) Amphetamine (number)
    (2) Methamphetamine (number)
    (3) MDMA (number)
    (4) MDA (number)
5. Adulterated (number)
6. Substituted (number)
7. Invalid Result (number)

0
30. Revise appendix C to part 40 to read as follows:

Appendix C to Part 40--DOT Drug-Testing Semi-Annual Laboratory Report 
to DOT

    Mail, fax, or email to:

U.S. Department of Transportation, Office of Drug and Alcohol Policy 
and Compliance, W62-300, 1200 New Jersey Avenue SE., Washington, DC 
20590, Fax: (202) 366-3897, Email: [email protected].

    The following items are required on each report:

Reporting Period: (inclusive dates)
Laboratory Identification: (name and address)
DOT Specimen Results Reported (total number)
2. Negative Results Reported (total number)
    Negative (number)
    Negative-Dilute (number)
3. Rejected for Testing Results Reported (total number)
    By Reason
    (a) Fatal flaw (number)
    (b) Uncorrected Flaw (number)
4. Positive Results Reported (total number)
    By Drug
    (a) Marijuana Metabolite (number)
    (b) Cocaine Metabolite (number)
    (c) Opioids (number)

[[Page 7782]]

    (1) Codeine (number)
    (2) Morphine (number)
    (3) 6-AM (number)
    (4) Hydrocodone (number)
    (5) Hydromorphone (number)
    (6) Oxycodone (number)
    (7) Oxymorphone (number)
    (d) Phencyclidine (number)
    (e) Amphetamines (number)
    (1) Amphetamine (number)
    (2) Methamphetamine (number)
    (3) MDMA (number)
    (4) MDA (number)
5. Adulterated Results Reported (total number)
    By Reason (number)
6. Substituted Results Reported (total number)
7. Invalid Results Reported (total number)
    By Reason (number)

0
31. Revise appendix D to part 40 to read as follows:

Appendix D to Part 40--Report Format: Split Specimen Failure To 
Reconfirm

    Mail, fax, or submit electronically to: U.S. Department of 
Transportation, Office of Drug and Alcohol Policy and Compliance, 
W62-300, 1200 New Jersey Avenue SE., Washington, DC 20590, Fax: 
(202) 366-3897.

    Submit Electronically: https://www.transportation.gov/content/split-specimen-cancellation-notification-49-cfr-part-40187-appendix-d
    The following items are required on each report:

MRO name, address, phone number, and fax number.
2. Collection site name, address, and phone number.
3. Date of collection.
4. Specimen I.D. number.
5. Laboratory accession number.
6. Primary specimen laboratory name, address, and phone number.
7. Date result reported or certified by primary laboratory.
8. Split specimen laboratory name, address, and phone number.
9. Date split specimen result reported or certified by split 
specimen laboratory.
10. Primary specimen results (e.g., name of drug, adulterant) in the 
primary specimen.
11. Reason for split specimen failure-to-reconfirm result (e.g., 
drug or adulterant not present, specimen invalid, split not 
collected, insufficient volume).
12. Actions taken by the MRO (e.g., notified employer of failure to 
reconfirm and requirement for recollection).
13. Additional information explaining the reason for cancellation.
14. Name of individual submitting the report (if not the MRO).

Appendix H to Part 40 [Removed]

0
32. Remove appendix H to part 40.

    Dated: January 12, 2017.
Anthony R. Foxx,
Secretary of Transportation.
[FR Doc. 2017-01131 Filed 1-19-17; 8:45 am]
BILLING CODE P



                                                                            Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules                                              7771

                                                    correspondence related to this case. All                The proposed revision of the drug-                     Mandatory Guidelines) published on
                                                    comments received will be posted                        testing panel is intended to harmonize                 January 23, 2017, effective October 1,
                                                    without change to http://                               with the revised Mandatory Guidelines                  2017. DOT currently requires urine
                                                    www.regulations.gov, including any                      established by the U.S. Department of                  testing for safety-sensitive
                                                    personal and/or business confidential                   Health and Human Services for Federal                  transportation industry employees
                                                    information provided.                                   drug-testing programs for urine testing.               subject to drug testing under Part 40.
                                                    FOR FURTHER INFORMATION CONTACT: Mr.                    This proposal also adds clarification to
                                                                                                                                                                      There are two changes to the HHS
                                                    Michael O. Jackson, Procurement                         certain drug-testing program provisions
                                                                                                            where necessary, removes outdated                      Mandatory Guidelines to which this
                                                    Analyst, at 202–208–4949, for                                                                                  notice proposes to harmonize Part 40.
                                                    clarification of content. For information               information in the regulations that is no
                                                                                                            longer needed, and proposes to remove                  First, the revised HHS Mandatory
                                                    pertaining to status or publication
                                                                                                            the requirement for employers and                      Guidelines, in part, allow Federal
                                                    schedules, contact the Regulatory
                                                                                                            Consortium/Third Party Administrators                  agencies with drug-testing
                                                    Secretariat Division at 202–501–4755.
                                                    Please cite FAR Case 2016–005.                          to submit blind specimens.                             responsibilities to test for four
                                                                                                            DATES: Comments to the notice of                       additional Schedule II (of the Controlled
                                                    SUPPLEMENTARY INFORMATION:
                                                                                                            proposed rulemaking should be                          Substances Act) prescription
                                                    I. Background                                           submitted by March 24, 2017. Late-filed                medications: Hydrocodone,
                                                      DoD, GSA, and NASA published a                        comments will be considered to the                     hydromorphone, oxycodone, and
                                                    proposed rule in the Federal Register at                extent practicable.                                    oxymorphone. Second, the HHS
                                                    81 FR 85914, on November 29, 2016.                      ADDRESSES: To ensure that you do not                   Mandatory Guidelines remove
                                                    The comment period is extended to                       duplicate your docket submissions,                     methylenedioxyethylamphetamine,
                                                    provide additional time for interested                  please submit them by only one of the                  (MDEA) as a confirmatory test analyte
                                                    parties to submit comments on the FAR                   following means:                                       from the existing drug-testing panel and
                                                    case until March 2, 2017.                                 • Federal eRulemaking Portal: Go to                  add methylenedioxyamphetamine
                                                                                                            http://www.regulations.gov and follow                  (MDA) as an initial test analyte.
                                                    List of Subjects in 48 CFR Part 1                       the online instructions for submitting                    In addition to harmonizing with
                                                       Government procurement.                              comments.                                              pertinent sections of the HHS
                                                      Dated: January 17, 2017.                                • Mail: Docket Management Facility,                  Mandatory Guidelines for urine testing,
                                                                                                            U.S. Department of Transportation, 1200
                                                    William F. Clark,                                                                                              we also propose in this NPRM to modify
                                                                                                            New Jersey Ave. SE., West Building
                                                    Director, Office of Governmentwide                                                                             (for clarification) certain existing Part 40
                                                    Acquisition Policy, Office of Acquisition
                                                                                                            Ground Floor Room W12–140,
                                                                                                            Washington, DC 20590–0001.                             provisions that cover the handling of
                                                    Policy, Office of Governmentwide Policy.                                                                       urine specimens; to remove provisions
                                                                                                              • Hand delivery: West Building
                                                    [FR Doc. 2017–01405 Filed 1–19–17; 8:45 am]                                                                    that no longer are necessary (such as
                                                                                                            Ground Floor, Room W–12–140, 1200
                                                    BILLING CODE 6820–EP–P
                                                                                                            New Jersey Ave. SE., between 9 a.m.                    obsolete compliance dates); and to add
                                                                                                            and 5 p.m., Monday through Friday,                     clarifying language to other provisions
                                                                                                            except Federal holidays. The telephone                 (such as updated definitions and web
                                                    DEPARTMENT OF TRANSPORTATION                            number is 202–366–9329.                                links where necessary.) The Department
                                                                                                              Instructions: To ensure proper                       also proposes to remove existing Part 40
                                                    Office of the Secretary                                 docketing of your comment, please                      requirements related to blind specimen
                                                                                                            include the agency name and docket                     testing.
                                                    49 CFR Part 40                                          number DOT–OST–2016–0189 or the
                                                                                                            Regulatory Identification Number (RIN),                II. Authority for This Rulemaking
                                                    [Docket DOT–OST–2016–0189]
                                                                                                            2105–AE58, for the rulemaking at the                     This rulemaking is promulgated
                                                    RIN 2105–AE58                                           beginning of your comments. All                        pursuant to the Omnibus Transportation
                                                                                                            comments received will be posted                       Employee Testing Act (OTETA) of 1991
                                                    Procedures for Transportation                           without change to http://
                                                    Workplace Drug and Alcohol Testing                                                                             (Pub. L. 102–143, tit. V, 105 Stat. 952).
                                                                                                            www.regulations.gov, including any
                                                    Programs: Addition of Certain                                                                                  OTETA sets forth DOT reliance on the
                                                                                                            personal information provided.
                                                    Schedule II Drugs to the Department of                                                                         HHS Mandatory Guidelines for
                                                                                                            FOR FURTHER INFORMATION CONTACT:
                                                    Transportation’s Drug-Testing Panel                                                                            scientific testing issues. Section 503 of
                                                                                                            Patrice M. Kelly, Acting Director, Office
                                                    and Certain Minor Amendments                                                                                   the Supplemental Appropriations Act,
                                                                                                            of Drug and Alcohol Policy and
                                                                                                                                                                   1987 (Pub. L. 100–71, 101 Stat 391,
                                                    AGENCY: Office of the Secretary of                      Compliance, 1200 New Jersey Avenue
                                                                                                                                                                   468), 5 U.S.C. 7301, and Executive
                                                    Transportation (OST), U.S. Department                   SE., Washington, DC 20590; telephone
                                                                                                            number 202–366–3784;                                   Order 12564 establish HHS as the
                                                    of Transportation (DOT).
                                                                                                            ODAPCWebMail@dot.gov.                                  agency that directs scientific and
                                                    ACTION: Notice of proposed rulemaking.
                                                                                                                                                                   technical guidelines for Federal
                                                                                                            SUPPLEMENTARY INFORMATION:
                                                    SUMMARY:   The Department of                                                                                   workplace drug-testing programs and
                                                    Transportation is proposing to amend                    I. Purpose                                             standards for certification of laboratories
                                                    its drug-testing program regulation to                     The Department of Transportation                    engaged in such drug testing. While
mstockstill on DSK3G9T082PROD with PROPOSALS




                                                    add four opioids (hydrocodone,                          (DOT or the Department) is issuing this                DOT has discretion concerning many
                                                    hydromorphone, oxymorphone, and                         notice of proposed rulemaking (NPRM)                   aspects of the regulations governing
                                                    oxycodone) to its drug-testing panel;                   to revise Part 40 of Title 49 of the Code              testing in the transportation industries’
                                                    add methylenedioxyamphetamine                           of Federal Regulations to harmonize                    regulated programs, we must follow the
                                                    (MDA) as an initial test analyte; and                   with the revised Department of Health                  HHS Mandatory Guidelines for the
                                                    remove                                                  and Human Services (HHS) Mandatory                     categories of drugs for which we will
                                                    methylenedioxyethylamphetamine,                         Guidelines for Federal Workplace Drug                  require testing.
                                                    (MDEA) as a confirmatory test analyte.                  Testing Programs using Urine (HHS


                                               VerDate Sep<11>2014   18:58 Jan 19, 2017   Jkt 241001   PO 00000   Frm 00039   Fmt 4702   Sfmt 4702   E:\FR\FM\23JAP1.SGM   23JAP1


                                                    7772                    Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules

                                                    III. Background                                         testing programs. According to HHS,                    the safety of the transportation industry
                                                                                                            recommendations for the four added                     and the public they serve.
                                                    Relevant History of the DOT Drug-
                                                                                                            semi-synthetic drugs were based on a
                                                    Testing Program Regulation                                                                                     IV. Discussion of the Proposal
                                                                                                            review of scientific information and on
                                                       The Department first published its                   input from the Drug Testing Advisory                      In this NPRM, in addition to
                                                    drug-testing program regulation (49 CFR                 Board (DTAB) 1 on the methods                          proposing to add and remove drugs on
                                                    part 40) on November 21, 1988 as an                     necessary to detect the analytes of drugs              the DOT drug-testing panel, we are
                                                    interim final rule (53 FR 47002). We                    and on drug abuse trends. With the                     using this opportunity to make some
                                                    based the rule on HHS Mandatory                         DTAB recommendations, private sector                   necessary modifications to Part 40.
                                                    Guidelines for Federal Workplace Drug                   experience findings, and analysis of                   Specifically, we are proposing to amend
                                                    Testing Programs (See 53 FR 11970),                     current drug abuse trends, HHS                         certain provisions related to the testing
                                                    which, in part, required cocaine and                    concluded that the additional opioids,                 of urine specimens. For example, we
                                                    marijuana to be screened by Federal                     oxycodone, oxymorphone,                                would add a new section to Part 40 to
                                                    agencies. HHS based this requirement                    hydrocodone, and hydromorphone,                        emphasize that only urine specimens
                                                    on the incidence and prevalence of the                  should be added in the Federal program.                screened and confirmed at HHS
                                                    abuse of these two substances in the                      In its ‘‘Final Notice of Revisions’’                 certified laboratories are currently
                                                    general population and on the                           HHS acknowledged that, while it had                    authorized to be used for drug testing.
                                                    experiences, at the time, of the                        proposed MDA and MDEA as initial test                  We also have determined, based on a
                                                    Departments of Defense and                              analytes, three commenters disagreed                   focused analysis of historical drug-
                                                    Transportation in screening their                       with the addition of MDA and MDEA as                   testing program data, that the burdens
                                                    workforces (53 FR 11973–11974).                         target analytes. HHS indicated that the                associated with blind specimen testing
                                                    Agencies also were authorized under                     commenters stated that this change                     may not be cost-beneficial. Therefore, in
                                                    the 1988 HHS Mandatory Guidelines to                    would require modification of current                  the interest of reducing burden on
                                                    test for phencyclidine, amphetamines,                   immunoassay reagents, laboratory                       program participants who are affected
                                                    and opiates. Among other provisions                     processes, or both. The commenters                     by blind specimen testing requirements,
                                                    from those guidelines, DOT                              noted that this imposes an unnecessary                 we propose to remove this requirement
                                                    incorporated a 5-panel test to include all              burden for compounds with such low                     from our program. We propose other,
                                                    of the drugs HHS authorized and                         incidence in workplace testing. HHS                    mainly editorial, revisions to improve
                                                    published a final rule on December 1,                   agreed and, based on comment,                          the efficiency of our program, such as
                                                    1989 (54 FR 49854).                                     removed MDEA from its Mandatory                        removing compliance dates that are no
                                                       We made the last comprehensive                       Guidelines. HHS determined that the                    longer needed and updating program
                                                    revisions to Part 40, on August 16, 2010                number of positive MDEA specimens                      web links to reflect those currently
                                                    (See 75 FR 49850). This 2010 revision                   reported by HHS-certified laboratories                 being used on the DOT Web site.
                                                    once again harmonized our DOT drug-                     does not support testing all specimens                    Here is a more detailed summary of
                                                    testing program, where necessary, with                  for MDEA in Federal workplace drug                     our specific proposals. We propose to:
                                                    the HHS Mandatory Guidelines effective                  testing programs. HHS indicated that it                   1. Amend our drug-testing panel and
                                                    October 1, 2010 (See 73 FR 7185; 75 FR                  understands that MDA and some other                    Medical Review Officer (MRO) test
                                                    22809). Specifically, to harmonize we                   analytes also have a low incidence, but                result verification procedures to add
                                                    required initial and confirmatory testing               believes that continued testing for these              hydrocodone, hydromorphone,
                                                    for methylenedioxymethamphetamine                       analytes is warranted in a deterrent                   oxycodone, and oxymorphone (and
                                                    (MDMA); confirmatory testing for MDA                    program. In particular, inclusion of                   their corresponding test cutoff
                                                    and MDEA; and initial testing for 6-                    MDA as an initial and confirmatory test                concentrations), add MDA as an initial
                                                    acetylmorphine (6–AM). We also                          analyte is warranted according to HHS                  test analyte, and remove MDEA.
                                                    lowered the initial and confirmatory test               because, in addition to being a drug of                   2. Remove, modify, and add some
                                                    cutoff concentrations for amphetamines                  abuse, it is a metabolite of MDEA and                  definitions to further clarify our
                                                    and cocaine.                                            MDMA.                                                  program and also to make certain
                                                       Just as we have revised Part 40 in the                                                                      definitions consistent with the revised
                                                    past, we propose to revise Part 40 now                  Harmonizing Changes to the DOT Drug-                   HHS Mandatory Guidelines.
                                                    to harmonize, in pertinent part, with the               Testing Program Regulation                                3. Modify three provisions related to
                                                    most recently revised HHS Mandatory                        In keeping with our obligations under               urine specimens. We propose to: Add a
                                                    Guidelines issued on January 23, 2017.                  OTETA to follow the HHS Mandatory                      new provision to indicate that only
                                                    HHS has set an effective date of October                Guidelines for the drugs for which we                  urine specimens are authorized to be
                                                    1, 2017, for compliance with its final                  test, we propose to add and remove the                 used for drug testing under Part 40;
                                                    revision.                                               drugs adopted in the revised HHS                       revise an existing provision to describe
                                                    Relevant Changes to the HHS                             Mandatory Guidelines for urine. Adding                 the procedure for discarding an original
                                                    Mandatory Guidelines                                    the four semi-synthetic opioids, which                 urine specimen under certain
                                                                                                            are already tested for in many                         circumstances; and align our regulations
                                                      HHS monitors drug abuse trends and                    transportation employers’ non-DOT                      with the revised National Laboratory
                                                    reviews information on new drugs of                     testing programs, would allow the DOT                  Certification Program (NLCP) manual by
                                                    abuse from sources such as Federal                      to detect a broader range of potentially               adding three new ‘‘fatal flaws’’ to the
                                                    regulators, researchers, the drug-testing
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                                                                                                            impairing drugs and thereby enhance                    existing list of four ‘‘fatal flaws’’
                                                    industry, and public and private sector                                                                        currently found in Part 40.
                                                    employers. In its May 15, 2015 ‘‘Notice                   1 The Drug Testing Advisory Board provides              4. Remove Part 40 provisions that
                                                    of Proposed Revisions’’ (See 80 FR                      advice to HHS (the Administrator of SAMHSA)            reference blind specimen testing.
                                                    28103), HHS indicated that, since its                   based on an ongoing review of the direction, scope,       5. Add emphasis to an existing Part 40
                                                    original Guidelines were published in                   balance, and emphasis of the Agency’s drug-testing     provision that prohibits DNA testing of
                                                                                                            activities and the drug testing laboratory
                                                    1988, a number of recommendations                       certification program. See http://www.samhsa.gov/      urine specimens.
                                                    have been made for additional drugs to                  about-us/advisory-councils/drug-testing-advisory-         6. Amend § 40.141, which refers to
                                                    be included in Federal workplace drug-                  board-dtab/board-charter.                              how an MRO obtains information for the


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                                                                            Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules                                                   7773

                                                    verification decision. We would amend                   analyte as discussed previously in this                number of overdose deaths involving
                                                    this section to add a clarification that a              document. As indicated above in the                    opioids rose from 28,647 in 2014 to
                                                    ‘‘prescription’’ means a ‘‘valid                        section of this preamble entitled ‘‘II.                33,091 in 2015.4
                                                    prescription under the Controlled                       Authority for this Rulemaking,’’ OTETA                    • National Center for Health
                                                    Substances Act,’’ which is language that                mandates that the DOT drug-testing                     Statistics 5 data indicates that every year
                                                    already exists in Part 40 and add a new                 panel must correspond to HHS                           since 2002 more than 40 percent of the
                                                    paragraph that would harmonize this                     Mandatory Guidelines for Federal                       total number of overdose deaths in the
                                                    section with Section 3.5 of the HHS                     Workplace Drug Testing Programs. As                    United States have been related to
                                                    Mandatory Guidelines, which allows                      such, since the inception of our drug-                 prescription opioids.
                                                    MROs to request additional testing of a                 testing program, the DOT has never                        In light of this compelling information
                                                    specimen in certain circumstances.                      deviated from HHS on the drugs for                     regarding opioid use (and the national
                                                       7. Modify §§ 40.137 and 40.139, the                  which we test, the type of specimens                   attention being focused on this issue),
                                                    sections that address how the MRO                       which we test, specimen testing validity               we propose to modify the DOT drug-
                                                    must verify test results, by proposing to               values, or initial and confirmatory cutoff             testing regimen not only to meet our
                                                    make minor modifications to the section                 values. This proposal is no different. We              statutory obligation under OTETA to do
                                                    headings and regulatory text to                         propose to fully adhere to the revised                 so, but also to raise the level of safety
                                                    incorporate the addition of the four new                HHS guidelines regarding the drugs for                 for the transportation industry and the
                                                    semi-synthetic opioids.                                 which we propose to require testing.                   public.
                                                       8. Include a provision that would                       Currently, DOT regulations mandate                     2. Definitions—We propose to revise
                                                    require collectors, Substance Abuse                     urine testing under a five-panel test. We              § 40.3 to make the following
                                                    Professionals (SAPs), MROs, Screening                   propose to maintain the current five-                  modifications:
                                                    Test Technicians (STTs), and Breath                     panel test, but would rename the                          • Blind specimen or blind
                                                    Alcohol Technicians (BATs) to                           existing opiates category in § 40.85 from              performance test specimen would be
                                                    subscribe to the DOT Office of Drug and                 ‘‘opiates’’ to ‘‘opioids’’ to include the              removed. Because we are proposing to
                                                    Alcohol Policy and Compliance                           new HHS-mandated drugs.                                remove the requirement for blind
                                                    (ODAPC) list-serve.                                        Opiates are derived from opium                      specimen testing, we no longer would
                                                       9. Remove the list of SAP certification              poppy plant alkaloid compounds, and                    need to define this term in Part 40. In
                                                    organizations from the list of qualifying               include codeine and morphine. Heroin                   addition, Part 40 provisions do not refer
                                                    SAP credentials in Part 40. Instead, we                 is produced by acetylation of morphine.                to ‘‘blind performance test specimen,’’
                                                    would maintain the list of certifying                   Opioids is a broader term but, for                     so we propose to remove it as well.
                                                    organizations on our Web site.                          purposes of Part 40, includes only                        • DOT, the Department, DOT agency
                                                       10. Provide a provision to prohibit                  opiate and semi-synthetic compounds                    would be revised to make a clarification
                                                    program participants from using DOT-                    (i.e., hydrocodone, hydromorphone,                     with respect to the status of the U.S.
                                                    (or other Federal agency) branded items                 oxycodone, and oxymorphone). Semi-                     Coast Guard. The Coast Guard
                                                    (such as logos, titles, emblems, etc.) on               synthetic opioids interact with the                    transferred to the Department of
                                                    their Web sites, publications, etc.                     body’s chemical system in the same way                 Homeland Security (DHS) in 2003, and
                                                       11. Remove certain compliance dates                  as natural opiates (e.g. codeine,                      as such, is not part of the DOT. The
                                                    that are now obsolete because they are                  morphine, and heroin) and produce                      Coast Guard, however, has continued to
                                                    more than 5 years old.                                  similar effects. Misuse, abuse, opioid                 use Part 40 for most of its drug and
                                                       12. Correct two typos, in                            use disorder (addiction), and overdose                 alcohol testing procedures. This
                                                    §§ 40.233(c)(4) and 40.162(c), that                     are potential dangers related to                       amendment would clarify that, when
                                                    reference incorrect paragraph sections                  prescription opioids.                                  Part 40 mentions DOT agencies, the
                                                    and make an editorial correction in                        The following is a representative                   Coast Guard is included under that
                                                    § 40.67(n) that would delete erroneous                  sampling of information provided by                    heading even though it resides in DHS.
                                                    wording.
                                                       13. Update the following appendices
                                                                                                            various organizations who have                            • Drugs would be revised (for reasons
                                                                                                            reported on prescription opioid use                    discussed in detail earlier in this
                                                    to Part 40: Appendices B and C, to add                  trends over the past few years:
                                                    the four new drugs to the drugs listed                                                                         preamble) to reflect the addition of
                                                                                                               • CDC data from 2012 indicates that                 hydrocodone, hydromorphone,
                                                    and remove MDEA; Appendix D, to                         259 million prescriptions were written
                                                    update a web link; and Appendix H, to                                                                          oxycodone, and oxymorphone to the
                                                                                                            for prescription opioids, which is more                existing DOT drug-testing panel.
                                                    remove the instruction sheet for the                    than enough to give every American
                                                    Management Information System Data                                                                             Specifically, we would expand the
                                                                                                            adult their own bottle of pills.2                      reference to ‘‘opiates’’ in the existing
                                                    Collection from our regulations and                        • According to the SAMHSA National
                                                    move it to our guidance material located                                                                       definition to ‘‘opioids.’’
                                                                                                            Survey on Drug Use and Health 2014                        3. Clarification/modifications related
                                                    on our Web site.                                        data, almost 2 million Americans
                                                       14. Update web links referenced in                                                                          to urine specimens—We propose the
                                                                                                            misused or were dependent on                           following three amendments relating to
                                                    the current rule that have changed on                   prescription opioids.3
                                                    our DOT Web site.                                                                                              the testing of urine specimens:
                                                                                                               • As posted by the Office of National                  • We propose to add a new § 40.210
                                                    Detailed Discussion of the Proposals                    Drug Control Policy, according to the                  entitled: ‘‘Are drug tests other than
                                                      1. Modification of the Drug-Testing                   National Center for Health Statistics, the             urine permitted under the regulations?’’
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                                                    Panel—We propose to modify the                                                                                 to indicate that only urine specimens
                                                                                                              2 Centers for Disease Control and Prevention
                                                    existing drug-testing panel in § 40.87(a)                                                                      are currently authorized for drug testing.
                                                                                                            (2014). Opioid Painkiller and Prescribing, Where
                                                    and the MRO test result verification                    You Live Makes a Difference. Available at: http://     Adding new § 40.210 would establish
                                                    procedures in §§ 40.137 and 40.139, to                  www.cdc.gov/vitalsigns/opioid-prescribing/.
                                                                                                              3 Substance Abuse and Mental Health Services            4 https://www.whitehouse.gov/the-press-office/
                                                    include hydrocodone, hydromorphone,
                                                                                                            Administration, National Survey on Drug Use and        2016/12/08/continued-rise-opioid-overdose-deaths-
                                                    oxycodone, and oxymorphone. We also                     Health, 2014. Available at: http://www.samhsa.gov/     2015-shows-urgent-need-treatment.
                                                    propose to remove MDEA from                             data/sites/default/files/NSDUH-FRR1-2014/                 5 https://www.drugabuse.gov/related-topics/

                                                    § 40.87(a) and add MDA as an initial test               NSDUH-FRR1-2014.pdf.                                   trends-statistics/overdose-death-rates.



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                                                    7774                    Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules

                                                    parity with an existing Part 40 alcohol                 laboratory-reported questionable                       the same manner, and arrive
                                                    testing section, § 40.277, entitled: ‘‘Are              sample. The MRO would also conduct                     unannounced at the laboratory. Only the
                                                    alcohol tests other than saliva or breath               an evaluation to determine if a medical                senders know if the results of the blind
                                                    permitted under these regulations?’’                    condition has, or with a high degree of                specimens are negative, positive,
                                                    which indicates (for alcohol testing) that              probability could have, precluded the                  adulterated, or substituted.
                                                    only saliva and breath are authorized.                  employee from providing a sufficient                      Initially, in 1990 (54 FR 49854), the
                                                       • We propose to amend existing                       amount of urine.                                       Department required three blind test
                                                    § 40.83 and § 40.199 to include revisions                  The intent of the shy bladder                       specimens for each 100 employee test
                                                    made to the ‘‘fatal flaws’’ listing found               evaluation is to provide the employee                  specimens. For employers with 2000 or
                                                    in the latest revision of the NLCP                      with an opportunity to provide an                      more covered employees, approximately
                                                    Manual which became effective                           explanation for his/her inability to                   80 percent of the samples were required
                                                    September 21, 2016. Existing paragraph                  provide a sufficient specimen. This                    to be negative, with the remaining
                                                    (b) of § 40.199 provides for four ‘‘fatal               rationale becomes clouded when it’s                    samples positive for one or more of the
                                                    flaws’’ but would be amended to                         coupled with a verified drug test result               drugs per sample in a distribution such
                                                    include three additional fatal flaws                    from the same collection event. If an                  that all the drugs to be tested were
                                                    included in the revised NLCP Manual                     employee provides a questionable                       included in approximately equal
                                                    for a total of seven fatal flaws that MROs              specimen, the employee may have                        frequencies of challenge. The positive
                                                    must consider during the review and                     tampered with or substituted his/her                   samples were required to contain only
                                                    verification process.                                   specimen. Following this logic, the                    those drugs for which the employer was
                                                       • We propose to amend paragraph                      employee should be able to provide a                   testing.
                                                    § 40.193(b)(4) to address what a                        sufficient specimen immediately after                     DOT has always been concerned
                                                    collector does when the employee                        providing the questionable specimen. If                about the burdens associated with
                                                    provides a ‘‘questionable’’ specimen                    the employee cannot provide a                          imposing blind specimen procedures in
                                                    (due to signs of tampering or when the                  sufficient specimen, the employee                      its drug-testing program and has
                                                    temperature is out of range), and then                  would have the opportunity to provide                  attempted to reduce such burdens
                                                    the employee does not provide a second                  an explanation for his/her shy bladder                 incrementally over time. For example,
                                                    sufficient specimen under direct                        via an evaluation (§ 40.193(c)). Absent a              in an attempt to simplify the process
                                                    observation even after being provided                   supported medical condition, an                        and reduce burden, in 2001, (65 FR
                                                    with a wait period of up to three hours.                employee’s inability to provide a                      79462; December 19, 2000), the
                                                       Currently, Part 40 requires the                      sufficient specimen indicates that the                 Department revised Part 40 blind
                                                    collector to package and send the                       employee chose not to provide a                        specimen requirements by reducing the
                                                    questionable specimen (i.e., out of                     specimen in an effort to avoid a positive              number of quarterly blind specimens
                                                    temperature range specimen or                           drug test result. As such, the MRO                     sent to a laboratory from three percent
                                                    specimen with signs of tampering) to                    would report the result as a ‘‘refusal to              to one percent with a maximum number
                                                    the laboratory along with a second                      test’’ to the employer, further ensuring               of 50 blinds per quarter.
                                                    sufficient specimen assuming a second                   the safety of the traveling public.                       In light of this rulemaking and the
                                                    specimen was collected (§§ 40.65(b)(7) &                   Therefore, we are proposing to require              requirement in Executive Order 13563
                                                    40.65(c)(2), respectively). Part 40 does                the collector to discard any specimen                  to conduct retrospective analyses, we
                                                    not, however, instruct the collector on                 previously collected, thereby leaving the              have once again reviewed the impact of
                                                    what to do with the questionable                        MRO to report only the outcome of the                  blind specimen testing. Upon review,
                                                    specimen when the employee does not                     required evaluation. The Department                    we found that, since the 2000 final rule,
                                                    provide a sufficient specimen after a                   seeks comment as to whether the                        we did not identify any laboratory
                                                    ‘‘shy bladder’’ wait period. The                        proposed amendment to § 40.193 (b)(4)                  problems regarding false positives. Any
                                                    instructions in § 40.193(b)(1) direct the               is a reasonable approach or whether                    discrepancies that have been brought to
                                                    collector not to discard a questionable                 there may be an alternate solution to the              our attention were problems with the
                                                    specimen; however, these instructions                   proposal.                                              manufacturer of the blinds and not the
                                                    are rooted on the assumption that a                        4. Removal of blind specimen                        laboratory testing procedures.
                                                    second specimen will be collected. So                   testing—We are proposing to remove                        It is also important to remember that
                                                    absent a second sufficient specimen,                    existing Part 40 provisions (from                      the laboratories are rigorously inspected
                                                    § 40.193 does not tell the collector what               §§ 40.3, 40.29, 40.103, 40.105, 40.123,                through the HHS National Laboratory
                                                    to do with the questionable specimen.                   40.169, and 40.189) that reference blind               Certification Program (NLCP). After a
                                                       Furthermore, we found the following                  specimen testing. We propose this as a                 thorough initial inspection, laboratories
                                                    inconsistencies in our guidance                         burden-relieving measure for affected                  are inspected semi-annually and receive
                                                    documents related to questionable                       entities (e.g. employers, C/TPAs, etc.).               performance test ‘‘PT’’ samples every
                                                    specimens. In the July 2008 Q&A on                         Existing Part 40 defines a blind                    quarter. If there are any discrepancies,
                                                    § 40.193, the collector is instructed to                specimen as ‘‘a specimen submitted to                  NLCP thoroughly investigates the matter
                                                    ‘‘. . . discard any specimen the                        a laboratory for quality control testing               that requires corrective action as
                                                    employee previously provided . . .’’                    purposes, with a fictitious identifier, so             necessary.
                                                    However, the Urine Specimen                             that the laboratory cannot distinguish it                 Finally, another important ‘‘check and
                                                    Collection Guidelines state that the                    from an employee specimen.’’ Blind                     balance’’ already in place is the
                                                    collector is to send the questionable                   specimens are intended to test the                     employee’s split specimen or the ‘‘B’’
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                                                    specimen to the laboratory and to                       accuracy and integrity of the laboratory               bottle. If the employee believes that the
                                                    immediately initiate another collection                 testing system. As part of an overall                  primary laboratory erred in reporting
                                                    under direct observation.                               quality control effort, employers have                 his/her result of the ‘‘A’’ bottle, the
                                                       If the employee did not provide a                    been required, since 1990 (54 FR                       employee, via the MRO, can request to
                                                    second specimen during the shy bladder                  49857), to send blind urine specimens                  have his/her split (‘‘B’’) specimen sent
                                                    period, and the collector sends the                     for drug testing to the laboratories they              to another laboratory.
                                                    questionable specimen to the laboratory,                use. These samples are made to look                       Blind specimen testing requirements
                                                    the MRO must verify the employee’s                      like normal samples, are packaged in                   have been diligently followed over the


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                                                                            Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules                                             7775

                                                    history of our program resulting in no                  Stat. 1242 (1970) and the Patient                       sections, to clarify our intent regarding
                                                    cause for concern regarding laboratory                  Protection and Affordable Care Act,                     how the MRO must verify test results.
                                                    accuracy. After 25 years, blind specimen                Pub. L. 111–148, 124 Stat. 119 (2010)).                 We would revise the § 40.137 section
                                                    testing has served its purpose and is                   As such, we propose to amend existing                   heading to add the text ‘‘semi-synthetic
                                                    now redundant in urine testing.                         § 40.141 (b) to add language to indicate                opioids’’ and the § 40.139 section
                                                    Therefore, the Department seeks                         that, in the DOT drug-testing program,                  heading so that it would refer to ‘‘6-
                                                    comment on any concerns, or                             prescription means ‘‘a legally valid                    acetylmorphine, codeine, and
                                                    unforeseen or unintended                                prescription under the Controlled                       morphine’’ specifically. The Department
                                                    consequences, associated with our                       Substances Act (CSA).’’ Doing so will                   also proposes to clarify the example
                                                    proposal to remove blind specimen                       clarify what prescription an MRO can                    used in § 40.139(c)(3) regarding an
                                                    requirements.                                           accept when verifying an employee’s                     employee’s admission of an
                                                       5. DNA testing—We propose to amend                   claim that his/her use of a prescribed                  unauthorized use of a substance when
                                                    existing § 40.331 to add language that                  medication was the reason for the                       use of that substance is not confirmed
                                                    would further clarify that                              laboratory-confirmed positive drug                      by their drug test.
                                                    Deoxyribonucleic Acid (DNA) testing is                  result. This clarification does not create                 8. Subscription to ODAPC list-serve—
                                                    not allowed for DOT-regulated urine                     a new standard because this language is                 We would amend §§ 40.33, 40.121,
                                                    specimens. To add further emphasis to                   identical to the language used in                       40.213, and 40.281 to require collectors,
                                                    this section, we would amend paragraph                  § 40.135(e).                                            MROs, STTs and BATs, and SAPs to
                                                    (f) to add the following sentence: DNA                     We also propose to modify § 40.141(b)                subscribe to the ODAPC list-serve,
                                                    testing or other types of identity testing              to harmonize, in part, with Section 3.5                 found on our Web site at https://
                                                    are not authorized. Identity testing, to                of the HHS Mandatory Guidelines.                        www.transportation.gov/odapc/get-
                                                    include (DNA) testing, is prohibited in                 Specifically, we propose to allow MROs                  odapc-email-updates. The ODAPC list-
                                                    Section 3.3 of the HHS Mandatory                        to conduct additional testing (i.e., D, L               serve provides an additional means for
                                                    Guidelines and in Part 40. The                          stereoisomers and                                       these individuals to meet existing
                                                    Department’s main reason for imposing                   tetrahydrocannabivarin (THC–V)) of a                    requirements in the referenced sections
                                                    this prohibition (See 65 FR 79484,                      DOT urine specimen, if the MRO                          to ‘‘be knowledgeable about’’ and to
                                                    79530) was to provide a safeguard                       determines such testing is necessary for                ‘‘keep current on any changes to’’
                                                    against employees who would attempt                     the purpose of verifying the drug test                  materials used in our program. In
                                                    to undermine the collection process by                  result. For example, the MRO could                      addition to all of the information (web
                                                    substituting a sample and, subsequently,                request a D, L stereoisomer test of a                   links) available on the ODAPC Web site,
                                                    request identity testing so that their                  laboratory confirmed methamphetamine                    the ODAPC list-serve is the vehicle that
                                                    sample would not be a match. If an                      result to help rule out whether the result              allows us to communicate all program
                                                    employee believes there has been an                     was possibly due to the use of an over-                 matters of importance to our
                                                    error with his/her sample, the employee                 the-counter product. Another example                    constituency in the most timely manner
                                                    can request the Bottle B of the specimen                would be for the MRO to request a                       possible and, by extension, enables us to
                                                    to be drug tested (but not DNA tested)                  THC–V test when verifying a positive                    keep our program responsive. The list-
                                                    at a second HHS certified laboratory.                   marijuana test result after a dronabinol                serve is free of charge to list-serve
                                                       As the Court of Appeals recently                     (Marinol) 6 prescription is provided by                 subscribers.
                                                    validated in Swaters v. Department of                   the donor. THC–V testing provides                          9. Nationally Recognized Training
                                                    Transportation, No. 14–1277 (D.C. Cir.                  useful information to the MRO when                      Organizations—We propose to remove
                                                    June 24, 2016), the procedures described                determining whether the laboratory-                     the list of approved certification
                                                    in the HHS Mandatory Guidelines and                     reported positive result for marijuana                  organizations and their respective
                                                    a properly completed Federal Drug                       resulted from the employee’s use of                     certified drug and alcohol counselors
                                                    Testing Custody and Control Form                        marijuana. As proposed, the MRO                         found in § 40.281, paragraph (a)(6) and
                                                    ensure that the specimen provided by                    would not need to obtain DOT consent                    to display that list on the ODAPC Web
                                                    the donor is the same specimen tested                   prior to requesting the D, L stereoisomer               site. Currently, when a certification
                                                    by a laboratory. Permitting DNA testing                 testing and/or the THC–V testing.                       organization requests to be added to the
                                                    would undermine the integrity of the                    Furthermore, the HHS-certified                          list of acceptable credentials for a SAP,
                                                    urine testing program because it would                  laboratory could only conduct these                     that organization needs to petition the
                                                    legitimize a donor’s substitution of                    additional tests if its testing meets the               DOT for inclusion. The DOT reviews the
                                                    urine during an unobserved collection.                  appropriate validation and quality                      petition. If the DOT approves the
                                                    The Court also indicated that ‘‘neither                 control requirements through the NLCP.                  petition, we must initiate a rulemaking
                                                    the DOT’s general rule against releasing                  7. Revision of certain Part 40                        process to add the SAP certification
                                                    urine samples for DNA testing, nor its                  provisions to incorporate references to                 organization to Part 40. Each time a new
                                                    refusal to release the sample in this                   the new drugs—We would revise the                       certification organization is added, the
                                                    case, is arbitrary, capricious, or contrary             existing section headings and some                      DOT must initiate a separate rulemaking
                                                    to the Omnibus Transportation                           regulatory text in §§ 40.137 and 40.139                 action. Because this is a time-consuming
                                                    Employee Testing Act of 1991.’’                         to incorporate the proposed addition of                 process, we are proposing to display the
                                                       6. MRO Verification—We propose to                    the new opioids to the drug-testing                     list on the ODAPC Web site and update
                                                    amend existing § 40.141 (b) to add a                    panel. We would revise the section                      it when necessary instead of including
                                                    parenthetical ‘‘i.e.’’ that would indicate                                                                      all qualified SAP certification
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                                                                                                            headings, and corresponding regulatory
                                                    that ‘‘prescription’’ is intended to mean               language where appropriate in these                     organizations in the rule language. Any
                                                    (as currently provided in § 40.135 (e)),                                                                        SAP certification organization seeking
                                                    ‘‘a legally valid prescription under the                   6 Generically known as dronabinol, Marinol is a      to be added to the web-based list would
                                                    Controlled Substances Act (CSA).’’                      Schedule III drug product formulated in sesame oil      still need to petition the DOT and meet
                                                       We understand that there may be                      in soft gelatin capsules, containing synthetic delta-   the criteria set forth in Appendix E of
                                                                                                            9–THC. FDA has approved Marinol for the
                                                    various definitions for ‘‘prescription’’                treatment of nausea and vomiting associated with
                                                                                                                                                                    Part 40. Although this process would
                                                    under Federal law (e.g., the Controlled                 cancer chemotherapy and for anorexia. (For further      remove the public comment
                                                    Substances Act Pub. L. 91–513, tit. II, 84              information see 81 FR 53691.)                           requirement of rulemaking, DOT would


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                                                    7776                    Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules

                                                    fully vet the organization before                       error. We would like this 40.162(c)                    www.transportation.gov/odapc where
                                                    deciding to add it to the list. Therefore,              provision to reference § 40.159(g) which               the link occurs in the following
                                                    as a burden-relieving measure, the                      is the correct reference.                              sections: §§ 40.33, 40.45, 40.105, 40.121,
                                                    Department proposes to remove § 40.281                     Section 40.233 entitled ‘‘What are the              40.213, 40.225, and 40.401.
                                                    (a)(6) entirely and henceforth maintain                 requirements for proper use and care of
                                                                                                            EBTs?’’ contains an incorrect reference                V. Regulatory Analyses and Notices
                                                    the listing of nationally-recognized
                                                    training or professional organizations in               to § 40.333(a)(2) in paragraph (c)(4).                    Changes to Federal regulations must
                                                    guidance material at https://                           Existing § 40.233(c)(4) refers to                      undergo several analyses. First,
                                                    www.transportation.gov/odapc/sap. In                    maintaining records of the inspection,                 Executive Orders 12866 and 13563
                                                    this manner, we would be able to                        maintenance, and calibration of                        direct that each Federal agency shall
                                                    maintain a more responsive list of                      Evidential Breath Testing devices and is               propose or adopt a regulation only upon
                                                    organizations under which an                            intended to conform to a § 40.333(a)(3)                a reasoned determination that the
                                                    individual may certify as a SAP and                     provision related to the specific                      benefits of the intended regulation
                                                    update it as needed without undertaking                 timeframe for keeping such records.                    justify its costs. Second, the Regulatory
                                                    rulemaking action.                                      Section 40.233(c)(4), however,                         Flexibility Act of 1980 (Pub. L. 96–354),
                                                       10. Prohibition against use of federal               inadvertently refers to § 40.333(a)(2)                 as codified in 5 U.S.C. 601 et seq.,
                                                    branding—We would amend § 40.365 to                     rather § 40.333(a)(3) requirements                     requires agencies to analyze the
                                                    permit the public interest exclusion of                 because of a typographical error. We                   economic impact of regulatory changes
                                                    a service agent for that agent’s use of a               would like this § 40.233(c)(4) provision               on small entities. The Paperwork
                                                    DOT, or a DOT Agency’s, logo on a Web                   to reference § 40.333(a)(3) which is the               Reduction Act of 1995 (PRA) (44 U.S.C.
                                                    site, in printed materials, or in any other             correct reference.                                     3501 et seq.) requires that DOT consider
                                                    manner that represents that the                            Section 40.67 entitled ‘‘When and                   the impact of paperwork and other
                                                    Department has approved, endorsed, or                   how is a directly observed collection
                                                                                                                                                                   information collection burdens imposed
                                                    certified the service agent or its                      conducted?’’ would be revised to
                                                                                                                                                                   on the public and, under the provisions
                                                    activities. The use of the DOT or DOT                   remove the words ‘‘As the collector’’ to
                                                                                                                                                                   of PRA section 3507(d), obtain approval
                                                    Agency’s logo on materials generated by                 clarify that any service agent
                                                                                                                                                                   from OMB for each collection of
                                                    the DOT or the DOT Agency are                           participating in the testing process (not
                                                                                                                                                                   information it conducts, sponsors, or
                                                    permitted as long as the logo was on the                just the collector) who discovers a direct
                                                                                                                                                                   requires through regulations. Section
                                                    original material being reprinted.                      observation should have taken place,
                                                                                                                                                                   (a)(5) of division H of the Fiscal Year
                                                       11. Removal of Outdated Compliance                   but did not, would inform the employer.
                                                                                                               13. Appendix Items—We propose                       2005 Omnibus Appropriations Act,
                                                    Dates—We would remove existing
                                                                                                            amendments to four appendices. At                      Public Law 108–447, 118 Stat. 3268
                                                    compliance dates from several Part 40
                                                    sections. Five Part 40 sections provide                 Appendices B and C, we propose to add                  (Dec. 8, 2004) and section 208 of the E-
                                                    for training with compliance dates                      to the listing of the new drugs to                     Government Act of 2002, Public Law
                                                    dating back to the early 2000s: § 40.33—                conform with the revised drug testing                  107–347, 116 Stat. 2889 (Dec. 17, 2002)
                                                    A training schedule for collectors for                  list in proposed § 40.87 and also remove               requires DOT to conduct a Privacy
                                                    qualification training and initial                      references to MDEA in those                            Impact Assessment (PIA) of a regulation
                                                    proficiency demonstration; § 40.121—a                   appendices. These revisions are needed                 that will affect the privacy of
                                                    training schedule for MROs for                          to conform with the newly adopted HHS                  individuals. Finally, the National
                                                    qualification training; § 40.203—a                      Guidelines that add these drugs. At                    Environmental Policy Act of 1969
                                                    specific timeframe relating to Federal                  Appendix D, we propose to modify                       (NEPA) (42 U.S.C. 4321 et seq.) requires
                                                    Drug Testing Custody and Control                        existing web links from http://                        DOT to analyze this action to determine
                                                    Forms that has now expired; § 40.213—                   www.dot.gov/ost/odapc to https://                      whether it will have an effect on the
                                                    a training schedule for STTs and BATs                   www.transportation.gov/odapc. We                       quality of the environment. This portion
                                                    for qualification training, initial                     propose to remove Appendix H in its                    of the preamble summarizes the DOT’s
                                                    proficiency training, and refresher                     entirety and relocate it to our Web page.              analyses of these impacts with respect
                                                    training; § 40. 281—a training schedule                 This would remove the instruction sheet                to this notice.
                                                    for qualification for SAPs. These                       entitled ‘‘U.S. Department of                          Executive Order 12866 and 13563 and
                                                    compliance dates are no longer                          Transportation Drug and Alcohol                        DOT’s Regulatory Policies and
                                                    applicable, thus we propose to remove                   Testing MIS Data Collection Form                       Procedures
                                                    them from these sections where they                     Instruction Sheet’’ and the actual MIS
                                                    occur.                                                  Data Collection Form. With this change                    This proposal is not a significant
                                                       12. Editorial corrections—Section                    made, we would be able to keep the                     regulatory action under Executive Order
                                                    40.162 entitled ‘‘What must MROs do                     instruction sheet and MIS Data                         12866 and 13563, as well as the
                                                    with multiple verified results for the                  Collection Form updated as necessary                   Department’s Regulatory Policies and
                                                    same testing event?’’ contains an                       without a rulemaking action.                           Procedures (44 FR 11034). It proposes to
                                                    incorrect reference to § 40.159(f) in                      14. Web links/electronic                            harmonize specific Part 40 procedures
                                                    paragraph (c). Existing § 40.162(c) refers              submissions—We would update                            with recently mandated HHS Guidelines
                                                    to how an MRO must handle multiple                      references to web links that have been                 and, in the interest of improving
                                                    verified non-negative test results and is               revised. Periodically our Departmental                 efficiency, make certain program
                                                    intended to conform to a § 40.159(g)                    webmaster must update DOT Web sites                    modifications. As such, this proposal
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                                                    provision that directs the MRO to act on                for any number of reasons. The ODAPC                   would not impose any major policy
                                                    the verified non-negative result and not                Web site ‘‘http://www.dot.gov/ost/                     changes and would not impose any
                                                    report the invalid result unless the split              odapc’’ currently referenced in our                    significant new costs or burdens.
                                                    specimen fails to reconfirm the results                 regulation is now linked at ‘‘https://                 Actually, DOT estimates a cost-savings
                                                    of the primary specimen. Section                        www.transportation.gov/odapc.’’                        of at least $3.1 million per year for the
                                                    40.162(c), however, inadvertently refers                Therefore, we propose to update the                    proposed elimination of the requirement
                                                    to § 40.159(f) rather than § 40.159(g)                  regulation to replace http://                          for employers to submit blind specimen
                                                    requirements because of a typographical                 www.dot.gov/ost/odapc with https://                    testing to laboratories.


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                                                                            Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules                                             7777

                                                    Costs                                                      HHS indicated that there will be                    Net Economic Impact
                                                                                                            minimal costs associated with adding                      The DOT believes the projected cost-
                                                      The HHS Mandatory Guidelines                          MDA as an initial test analyte because
                                                    addressed the burdens associated with                                                                          savings realized would, for the most
                                                                                                            the current immunoassays can be                        part, offset the projected cost to the DOT
                                                    the addition of new drugs to the drug-                  adapted to test for this analyte.
                                                    testing panel. The cost impact of drug                                                                         of implementing testing for the
                                                                                                            According to HHS, before a lab is                      additional drugs being added to the
                                                    testing for oxycodone, oxymorphone,
                                                                                                            allowed to test regulated specimens for                drug-testing regimen. The projected
                                                    hydrocodone, and hydromorphone
                                                                                                            MDA, HHS must test three groups of                     $3,848,600 for the four opioid drugs
                                                    would be minimal because HHS has
                                                    determined that all HHS laboratories                    performance test, or ‘‘PT’’ samples. HHS               (and MDA) as well as the $189,000
                                                    testing specimens from Federal agencies                 provides the PT samples at no cost to its              projected MRO costs would result in a
                                                    are currently conducting tests for one or               certified laboratories but HHS estimates               total projected cost of $4,037,600. The
                                                    more of these analytes on non-regulated                 that the laboratory costs to conduct the               estimated cost impact of this proposal,
                                                    urine specimens. HHS further indicated                  PT testing would range from $900 to                    therefore, would be negligible, an
                                                    in its analysis that laboratory personnel               $1800 for each certified laboratory.                   estimated $887,600
                                                    currently are trained to test for the                   There are approximately 27 HHS-                        ($4,037,600¥$3,150,000). If identifying
                                                    additional drugs and test methods                       certified laboratories who process DOT                 illicit drug use by safety-sensitive
                                                    already have been implemented. Many                     drug tests. With the maximum cost                      transportation employees subjected to
                                                    HHS-certified laboratories conduct non-                 estimate of $1800 for each certified                   drug testing prevents a single serious
                                                    regulated tests for transportation                      laboratory, a cost of approximately                    accident, then the benefits of this
                                                    employers who already include the four                  $48,600 would be realized for DOT                      proposal outweigh its minimal cost.
                                                    proposed drugs in their non-regulated                   ($1800 × 27 laboratories = $48,600.)                   This proposal would not have a major
                                                    testing programs. For those employers,                                                                         impact under Executive Order 12866
                                                                                                               Testing for additional drugs would                  because it would not have an annual
                                                    therefore, shifting the four drugs from                 result in MRO cost as MROs would have
                                                    non-regulated tests to regulated tests                                                                         effect on the economy of $100 million
                                                                                                            additional review and verification to                  or more, nor would it adversely affect
                                                    would not increase testing costs.                       conduct. Based on the positivity rates                 any sector of the economy.
                                                      HHS determined that the costs                         from non-regulated workplace drug
                                                    associated with implementation of                       testing and the additional review of                   Regulatory Flexibility Analysis
                                                    testing for the four additional drugs                   specimens confirmed positive for                          The Regulatory Flexibility Act of 1980
                                                    would be approximately $0.11–$0.30                      prescription medications, HHS                          (Pub. L. 96–354, ‘‘RFA’’), 5 U.S.C. 601
                                                    per test. Once the testing has been                     estimates that MRO costs would                         et seq., establishes ‘‘as a principle of
                                                    implemented, the cost per specimen for                  increase by approximately 3%. The                      regulatory issuance that agencies shall
                                                    initial testing for the added analytes                  additional costs for testing and MRO                   endeavor, consistent with the objectives
                                                    would range from $.06 to $0.20 due to                   review would be incorporated into the                  of the rule and of applicable statutes, to
                                                    reagent costs. Current costs for each                   overall cost for the Federal agency                    fit regulatory and informational
                                                    confirmatory test range from $5.00 to                   submitting the specimen to the                         requirements to the scale of the
                                                    $10.00 for each specimen reported as                    laboratory. HHS bases the estimation of                businesses, organizations, and
                                                    positive due to costs of sample                         costs incurred on overall cost to the                  governmental jurisdictions subject to
                                                    preparation and analysis. HHS indicated                 Federal agency affected because cost is                regulation. To achieve this principle,
                                                    that based on information from non-                                                                            agencies are required to solicit and
                                                                                                            usually based on all specimens
                                                    regulated workplace drug testing for                                                                           consider flexible regulatory proposals
                                                                                                            submitted from an agency, rather than
                                                    these analytes in 2012 and testing                                                                             and to explain the rationale for their
                                                                                                            individual specimen testing costs or
                                                    performed on de-identified federally                                                                           actions to assure that such proposals are
                                                                                                            MRO review of positive specimens.
                                                    regulated specimens in 2011,                                                                                   given serious consideration.’’ The RFA
                                                                                                            Based on this analysis, therefore, DOT
                                                    approximately 1% of the submitted                                                                              covers a wide-range of small entities,
                                                    specimens is expected to be confirmed                   would project an additional MRO cost
                                                                                                            of $189,000 (.03 projected increase ×                  including small businesses, not-for-
                                                    as positive for the added analytes.                                                                            profit organizations, and small
                                                    Therefore, HHS indicates that the added                 6,300,000 DOT tests annually).
                                                                                                                                                                   governmental jurisdictions.
                                                    cost for confirmatory testing will be                   Cost-Savings                                              Agencies must perform a review to
                                                    $0.05 to $0.10 per submitted specimen.                                                                         determine whether a proposed rule
                                                      Approximately 6.3 million DOT-                           DOT estimates a cost-savings of at                  would have a significant economic
                                                    regulated tests occur per year. DOT                     least $3.1 million per year from the                   impact on a substantial number of small
                                                    considered the maximum ranges HHS                       proposed elimination of the requirement                entities. If the agency determines that it
                                                    provided in its analysis. Therefore, with               for employers to submit blind specimen                 would, the agency must prepare a
                                                    the projected maximum implementation                    testing to laboratories (estimated at                  regulatory flexibility analysis. However,
                                                    cost per specimen of $0.30, the                         approximately $50 per test). This                      if an agency determines that it is not
                                                    maximum cost per specimen of initial                    estimate of cost-savings is based on the               expected to have a significant economic
                                                    testing at $0.20, and the maximum cost                  regulatory analysis performed when                     impact on a substantial number of small
                                                    per specimen of confirmation testing at                 DOT reduced blind specimen testing in                  entities, section 605(b) provides that the
                                                    $0.10, the additional cost per urine test               2000, [see 65 FR 79462, 79517 (Dec 19,                 head of the agency may so certify, and
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                                                    would be an additional $0.60. Under the                 2000)] adjusted for inflation. Based on                a regulatory flexibility analysis would
                                                    new HHS Mandatory Guidelines, and                       the blind specimen requirements made                   not be required. The certification must
                                                    based on an estimated 6.3 million DOT                   effective in 2000 for employers to                     include a statement providing the
                                                    tests conducted annually, a cost of                     submit 1% of 6,300,000 DOT tests for                   factual basis for this determination, and
                                                    approximately $3,800,000 would be                       blind testing conducted annually at a                  the reasoning should be clear.
                                                    realized by employers subject to DOT-                   cost of approximately $50 per test yields                 This rulemaking proposes to conform
                                                    regulated testing ($0.60 × 6,300,000                    a cost-savings of $3,150,000 (63,000 ×                 the existing DOT drug-testing panel to
                                                    DOT tests annually = $3,780,000).                       $50).                                                  recently issued HHS Mandatory


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                                                    7778                    Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules

                                                    Guidelines and, with certain minor                      implementing procedures that do not                    ‘‘DOT, the Department, DOT Agency’’
                                                    amendments (mostly editorial), to                       normally have a significant impact on                  and ‘‘Drugs’’ to read as follows:
                                                    improve the efficiency of the DOT drug-                 the environment and therefore do not
                                                    testing program. As noted above, any                    require either an environmental                        § 40.3 What do the terms used in this part
                                                                                                                                                                   mean?
                                                    costs due to this rule are, for the most                assessment (EA) or environmental
                                                    part, offset by the cost savings from the               impact statement (EIS). See 40 CFR                     *     *     *     *     *
                                                    proposed elimination of the requirement                 1508.4. In analyzing the applicability of                DOT, The Department, DOT Agency.
                                                    for employers to submit blind specimen                  a categorical exclusion, Federal agencies              These terms encompass all DOT
                                                    testing to laboratories. The net costs of               also must consider whether                             agencies, including, but not limited to
                                                    this rule are negligible overall and                    extraordinary circumstances are present                the Federal Aviation Administration
                                                    would not constitute a significant                      that would warrant the preparation of                  (FAA), the Federal Railroad
                                                    burden to any entity, small or otherwise.               an EA or EIS. This proposal does not                   Administration (FRA), the Federal
                                                    Consequently, the DOT certifies, under                  meet any of these criteria. Paragraph                  Motor Carrier Safety Administration
                                                    the RFA, that this proposal would not                   3.c.5 of DOT Order 5610.1C                             (FMCSA), the Federal Transit
                                                    have a significant economic impact on                   incorporates by reference the categorical              Administration (FTA), the National
                                                    a substantial number of small entities.                 exclusions for all DOT Operating                       Highway Traffic Safety Administration
                                                                                                            Administrations. This action is covered                (NHTSA), the Pipeline and Hazardous
                                                    Federalism                                                                                                     Materials Safety Administration
                                                                                                            by the categorical exclusion listed in the
                                                      This proposal has been analyzed in                    Federal Highway Administration’s                       (PHMSA), and the Office of the
                                                    accordance with the principles and                      implementing procedures,                               Secretary (OST). For purposes of this
                                                    criteria contained in Executive Order                   ‘‘[p]romulgation of rules, regulations,                part, the United States Coast Guard
                                                    13132 (‘‘Federalism’’). This proposal                   and directives.’’ 23 CFR 771.117(c)(20).               (USCG), in the Department of Homeland
                                                    does not include requirements that (1)                  The agency does not anticipate any                     Security, is considered to be a DOT
                                                    have substantial direct effects on the                  environmental impacts, and there are no                agency. These terms include any
                                                    States, the relationship between the                    extraordinary circumstances present in                 designee of a DOT agency.
                                                    national government and the States, or                  connection with this rulemaking.                       *     *     *     *     *
                                                    the distribution of power and                                                                                    Drugs. The drugs for which tests are
                                                    responsibilities among the various                      Unfunded Mandates Reform Act                           required under this part and DOT
                                                    levels of government, (2) impose                          The Unfunded Mandates Reform Act                     agency regulations are marijuana,
                                                    substantial direct compliance costs on                  of 1995 (2 U.S.C. 1531–1538) does not                  cocaine, amphetamines, phencyclidine
                                                    State and local governments, or (3)                     require a written statement for this final             (PCP), and opioids.
                                                    preempt State law. Therefore, the                       rule because the rule does not include                 *     *     *     *     *
                                                    consultation and funding requirements                   a Federal mandate that may result in the               ■ 3. Revise § 40.26 to read as follows:
                                                    of Executive Order 13132 do not apply.                  expenditure in any one year of
                                                    Paperwork Reduction Act/Privacy Act                     $155,000,000 or more by State, local,                  § 40.26 What form must an employer use
                                                                                                            and tribal governments, or the private                 to report Management Information System
                                                       The Paperwork Reduction Act                                                                                 data to a DOT agency?
                                                                                                            sector.
                                                    requires that the DOT consider the                                                                                As an employer, when you are
                                                    impact of paperwork and other                           List of Subjects in 49 CFR Part 40                     required to report MIS data to a DOT
                                                    information collection burdens imposed                                                                         agency, you must use the U.S.
                                                                                                              Administrative practice and
                                                    on the public. Information collections                                                                         Department of Transportation Drug and
                                                                                                            procedures, Alcohol abuse, Alcohol
                                                    for Part 40 currently are approved under                                                                       Alcohol Testing MIS Data Collection
                                                                                                            testing, Drug abuse, Drug testing,
                                                    OMB Control No. 2105–0529. The                                                                                 Form to report that data. You may view
                                                                                                            Laboratories, Reporting and
                                                    Privacy Act provides safeguards against                                                                        and download this form and its
                                                                                                            recordkeeping requirements, Safety,
                                                    invasion of personal privacy through the                                                                       instructions on the Department’s Web
                                                                                                            Transportation.
                                                    misuse of records by Federal Agencies.                                                                         site (https://www.transportation.gov/
                                                    It establishes controls over what                       The Proposal                                           odapc). You must submit the MIS report
                                                    personal information is collected,                        For reasons discussed in the                         in accordance with rule requirements
                                                    maintained, used and disseminated by                    preamble, the Department of                            (e.g., dates for submission, selection of
                                                    agencies in the executive branch of the                 Transportation proposes to amend part                  companies required to submit, and
                                                    Federal government. This proposal                       40 of Title 49 Code of Federal                         method of reporting) established by the
                                                    would not create any new paperwork or                   Regulations, as follows:                               DOT agency regulating your operation.
                                                    other information collection burdens
                                                    needing approval, nor would it require                  PART 40—PROCEDURES FOR                                 § 40.29   [Amended]
                                                    any further protections under the                       TRANSPORTATION WORKPLACE                               ■ 4. Amend § 40.29 by removing the
                                                    Privacy Act.                                            DRUG AND ALCOHOL TESTING                               entry ‘‘§§ 40.103–40.105—Blind
                                                    National Environmental Policy Act                       PROGRAMS                                               specimen requirements.’’
                                                                                                                                                                   ■ 5. Amend § 40.33 by revising
                                                      The Department has analyzed the                       ■ 1. The authority citation for 49 CFR                 paragraphs (a) and (d) to read as follows:
                                                    environmental impacts of this proposed                  part 40 continues to read as follows:
                                                    action pursuant to the National                                                                                § 40.33 What training requirements must a
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                                                                                                              Authority: 40 U.S.C. 102, 301, 322, 5331,            collector meet?
                                                    Environmental Policy Act of 1969
                                                                                                            20140, 31306, and 54101 et seq.
                                                    (NEPA) (42 U.S.C. 4321 et seq.) and has                                                                        *     *     *    *    *
                                                    determined that it is categorically                     ■ 2. Amend § 40.3 as follows:                            (a) Basic information. You must be
                                                    excluded pursuant to DOT Order                          ■ a. Remove the definition ‘‘Blind                     knowledgeable about this part, the
                                                    5610.1C, Procedures for Considering                     specimen or blind performance test                     current ‘‘DOT Urine Specimen
                                                    Environmental Impacts (44 FR 56420,                     specimen’’; and                                        Collection Procedures Guidelines,’’ and
                                                    Oct. 1, 1979). Categorical exclusions are               ■ b. Revise and reorder (in correct                    DOT agency regulations applicable to
                                                    actions identified in an agency’s NEPA                  alphabetical order) the definitions                    the employers for whom you perform


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                                                                                   Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules                                                                                   7779

                                                    collections. The DOT Urine Specimen                                   should have been collected but was not,                             redesignated (see paragraph (h) of this
                                                    Collection Procedures Guidelines                                      you must inform the employer that it                                section).
                                                    document is available from ODAPC                                      must direct the employee to have an                                 *     *    *      *     *
                                                    (Department of Transportation, 1200                                   immediate recollection under                                        ■ 8. Revise § 40.85 to read as follows:
                                                    New Jersey Avenue SE., Washington,                                    observation.
                                                    DC 20590, 202–366–3784, or on the                                     ■ 7. Amend § 40.83 by revising                                      § 40.85       What drugs do laboratories test
                                                    ODAPC Web site (https://                                              paragraph (c) to read as follows:                                   for?
                                                    www.transportation.gov/odapc). DOT                                                                                                           As a laboratory, you must test for the
                                                    agency regulations are available at each                              § 40.83 How do laboratories process
                                                                                                                          incoming specimens?                                                 following five drugs or classes of drugs
                                                    agency’s Web site, on the DOT Web site                                                                                                    in a DOT drug test. You must not test
                                                    (http://www.transportation.dot.gov), or                               *      *    *     *     *
                                                                                                                             (c) You must inspect each specimen                               ‘‘DOT specimens’’ for any other drugs.
                                                    at www.ecfr.gov. You must keep current
                                                    on any changes to these materials. You                                and CCF for the following ‘‘fatal flaws:’’                             (a) Marijuana metabolites.
                                                    must subscribe to the ODAPC list-serve                                   (1) There is no CCF;                                                (b) Cocaine metabolites.
                                                    (https://www.transportation.gov/odapc/                                   (2) There is no specimen submitted                                  (c) Amphetamines.
                                                    get-odapc-email-updates).                                             with the CCF;
                                                                                                                             (3) There is no printed collector’s                                 (d) Opioids.
                                                    *      *   *     *     *
                                                                                                                          name and no collector’s signature;                                     (e) Phencyclidine (PCP).
                                                       (d) You must meet the requirements
                                                    of paragraphs (b) and (c) of this section                                (4) Two separate collections are                                 ■ 9. Amend § 40.87 by revising
                                                    before you begin to perform collector                                 performed using one CCF;                                            paragraph (a) to read as follows:
                                                    functions.                                                               (5) The specimen ID numbers on the
                                                                                                                          specimen bottle and the CCF do not                                  § 40.87 What are the cutoff concentrations
                                                    *      *   *     *     *                                                                                                                  for drug tests?
                                                    ■ 6. Amend § 40.67 by revising
                                                                                                                          match;
                                                    paragraph (n) to read as follows:                                        (6) The specimen bottle seal is broken                             (a) As a laboratory, you must use the
                                                                                                                          or shows evidence of tampering, unless                              cutoff concentrations displayed in the
                                                    § 40.67 When and how is a directly                                    a split specimen can be redesignated                                following table for initial and
                                                    observed collection conducted?                                        (see paragraph (h) of this section);                                confirmatory drug tests. All cutoff
                                                    *     *     *     *    *                                                 (7) There is an insufficient amount of                           concentrations are expressed in
                                                      (n) As a service agent, when you learn                              urine in the primary bottle for analysis,                           nanograms per milliliter (ng/mL). The
                                                    that a directly observed collection                                   unless the specimens can be                                         table follows:

                                                                                                                                                                                                                                            Confirmatory
                                                                                                                                       Initial test
                                                                            Initial test analyte                                                                             Confirmatory test analyte                                        test cutoff
                                                                                                                                         cutoff 1                                                                                           concentration

                                                    Marijuana metabolites (THCA) 2 ................................                50 ng/mL 3 ........   THCA .........................................................................    15 ng/mL.
                                                    Cocaine metabolite (Benzoylecgonine) .....................                     150 ng/mL 3 ......    Benzoylecgonine .......................................................           100 ng/mL.
                                                    Codeine/Morphine ......................................................        2000 ng/mL ......     Codeine .....................................................................     2000 ng/mL.
                                                                                                                                                         Morphine ....................................................................     2000 ng/mL.
                                                    Hydrocodone/Hydromorphone ...................................                  300 ng/mL ........    Hydrocodone .............................................................         100 ng/mL.
                                                                                                                                                         Hydromorphone .........................................................           100 ng/mL.
                                                    Oxycodone/Oxymorphone .........................................                100 ng/mL ........    Oxycodone ................................................................        100 ng/mL.
                                                                                                                                                         Oxymorphone ............................................................          100 ng/mL.
                                                    6-Acetylmorphine .......................................................       10 ng/mL ..........   6-Acetylmorphine .......................................................          10 ng/mL.
                                                    Phencyclidine .............................................................    25 ng/mL ..........   Phencyclidine ............................................................        25 ng/mL.
                                                    Amphetamine/Methamphetamine ..............................                     500 ng/mL ........    Amphetamine ............................................................          250 ng/mL
                                                                                                                                                         Methamphetamine .....................................................             250 ng/mL.
                                                    MDMA 4/MDA 5 ...........................................................       500 ng/mL ........    MDMA ........................................................................     250 ng/mL.
                                                                                                                                                         MDA ...........................................................................   250 ng/mL.
                                                        1 Forgrouped analytes (i.e., two or more analytes that are in the same drug class and have the same initial test cutoff):
                                                       Immunoassay: The test must be calibrated with one analyte from the group identified as the target analyte. The cross-reactivity of the
                                                    immunoassay to the other analyte(s) within the group must be 80 percent or greater; if not, separate immunoassays must be used for the
                                                    analytes within the group.
                                                       Alternate technology: Either one analyte or all analytes from the group must be used for calibration, depending on the technology. At least one
                                                    analyte within the group must have a concentration equal to or greater than the initial test cutoff or, alternatively, the sum of the analytes present
                                                    (i.e., equal to or greater than the laboratory’s validated limit of quantification) must be equal to or greater than the initial test cutoff.
                                                       2 An immunoassay must be calibrated with the target analyte, D-9-tetrahydrocannabinol-9-carboxylic acid (THCA).
                                                       3 Alternate technology (THCA and benzoylecgonine): When using alternate technology to test for THCA and Benzoylecgonine, the screening
                                                    and confirmatory test cutoff concentrations must be the same respectively (i.e., 15 ng/mL for THCA and 100 ng/mL for Benzoylecgnine).’’
                                                       4 Methylenedioxymethamphetamine (MDMA).
                                                       5 Methylenedioxyamphetamine (MDA).




                                                    *       *         *        *        *                                 § 40.121      Who is qualified to act as an                         current on any changes to these
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                                                                                                                          MRO?                                                                materials. You must subscribe to the
                                                    § 40.103       [Removed]                                              *     *      *    *    *                                            ODAPC list-serve at https://
                                                    ■ 10. Remove § 40.103.                                                  (b) * * *                                                         www.transportation.gov/odapc/get-
                                                    ■ 11. Remove § 40.105.                                                  (3) You must be knowledgeable about                               odapc-email-updates. DOT agency
                                                    ■ 12. Amend § 40.121 by revising                                      this part, the DOT MRO Guidelines, and                              regulations, DOT MRO Guidelines, and
                                                    paragraphs (b)(3) and (c)(3), and the                                 the DOT agency regulations applicable                               other materials are available from
                                                    paragraph (d) introductory text to read                               to the employers for whom you evaluate                              ODAPC (Department of Transportation,
                                                    as follows:                                                           drug test results, and you must keep                                1200 New Jersey Avenue SE.,


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                                                    7780                    Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules

                                                    Washington, DC 20590, 202–366–3784,                       (3) To be the basis of a verified                    provide the specimen, you must
                                                    or on the ODAPC Web site (http://                       positive result for codeine or morphine,               discontinue the collection, note the fact
                                                    www.transportation.gov/odapc).                          the clinical evidence you find must                    on the ‘‘Remarks’’ line of the CCF (Step
                                                      (c) * * *                                             concern a drug that the laboratory found               2), and immediately notify the DER. You
                                                      (3) You must meet the requirements of                 in the specimen. (For example, if the                  must also discard any specimen the
                                                    paragraphs (a), (b), and (c) of this                    test confirmed the presence of codeine,                employee previously provided to
                                                    section before you begin to perform                     and the employee admits to                             include any specimen that is ‘out of
                                                    MRO functions.                                          unauthorized use of hydrocodone, you                   temperature range’ or shows signs of
                                                      (d) Requalification training. During                  must verify the test positive for codeine.             tampering. In the remarks section of the
                                                    each five-year period from the date on                  The admission must be for the                          CCF that you will distribute to the MRO
                                                    which you satisfactorily completed the                  substance that was found through the                   and DER, you must note the fact that the
                                                    examination under paragraph (c) (2) of                  actual drug test).                                     employee provided an ‘out of
                                                    this section or have successfully                       *     *     *     *    *                               temperature range specimen’ or
                                                    completed the required continuing                       ■ 16. Amend § 40.141 by revising                       ‘specimen that shows signs of
                                                    education requirements, you must                        paragraph (b) to read as follows:                      tampering’ and that it was discarded
                                                    complete requalification training.                                                                             because the employee did not provide a
                                                                                                            § 40.141 How does the MRO obtain                       second sufficient specimen.
                                                    *     *     *    *     *
                                                                                                            information for the verification decision?
                                                    ■ 13. Amend § 40.123 by revising                                                                               *     *    *     *     *
                                                    paragraph (e) to read as follows:                       *      *      *   *     *                              ■ 21. Amend § 40.199 by revising
                                                                                                               (b) If the employee asserts that the                paragraph (b) to read as follows:
                                                    § 40.123 What are the MRO’s                             presence of a drug or drug metabolite in
                                                    responsibilities in the DOT drug testing                his or her specimen results from taking                § 40.199 What problems always cause a
                                                    program?                                                prescription medication (i.e., a legally               drug test to be cancelled?
                                                    *     *     *    *     *                                valid prescription under the Controlled                  (a) * * *
                                                      (e) You must act to investigate and                   Substances Act), you must review and                     (b) The following are ‘‘fatal flaws’’:
                                                    correct problems where possible and                     take all reasonable and necessary steps                  (1) There is no CCF;
                                                    notify appropriate parties (e.g., HHS,                  to verify the authenticity of all medical                (2) There is no specimen submitted
                                                    DOT, employers, service agents) where                   records the employee provides. You                     with the CCF;
                                                    assistance is needed (e.g., cancelled or                may contact the employee’s physician                     (3) There is no printed collector’s
                                                    problematic tests, incorrect results).                  or other relevant medical personnel for                name and no collector’s signature;
                                                    *     *     *    *     *                                further information. You may request an                  (4) Two separate collections are
                                                    ■ 14. Amend § 40.137 by revising the                    HHS-certified laboratory with validated                performed using one CCF;
                                                    section heading and paragraph (a) to                    protocols (see § 40.81(c)) to conduct D,                 (5) The specimen ID numbers on the
                                                    read as follows:                                        Lstereoisomer testing or                               specimen bottle and the CCF do not
                                                                                                            tetrahydrocannabivarin (THC–V) testing                 match;
                                                    § 40.137 On what basis does the MRO                     when verifying lab results, as you                       (6) The specimen bottle seal is broken
                                                    verify test results involving marijuana,                determine necessary.                                   or shows evidence of tampering (and a
                                                    cocaine, amphetamines, semi-synthetic                   ■ 17. Amend § 40.162 by revising                       split specimen cannot be re-designated,
                                                    opioids, or PCP?
                                                                                                            paragraph (c) to read as follows:                      see § 40.83(h)); and
                                                      (a) As the MRO, you must verify a                                                                              (7) Because of leakage or other causes,
                                                    confirmed positive test result for                      § 40.162 What must MROs do with multiple
                                                                                                                                                                   there is an insufficient amount of urine
                                                    marijuana, cocaine, amphetamines,                       verified results for the same testing event?
                                                                                                                                                                   in the primary specimen bottle for
                                                    semi-synthetic opioids (i.e.,                           *     *     *     *     *                              analysis and the specimens cannot be
                                                    hydrocodone, hydromorphone,                               (c) As an exception to paragraphs (a)                re-designated (see § 40.83(h)).
                                                    oxycodone, and oxymorphone), and/or                     and (b) of this section, as the MRO, you
                                                                                                            must follow procedures at § 40.159(g)                  *     *     *     *    *
                                                    PCP unless the employee presents a
                                                                                                                                                                   ■ 22. Amend § 40.203 by revising
                                                    legitimate medical explanation for the                  when any verified non-negative result is
                                                                                                            also invalid.                                          paragraph (d)(3) to read as follows:
                                                    presence of the drug(s)/metabolite(s) in
                                                    his or her system.                                                                                             § 40.203 What problems cause a drug test
                                                                                                            § 40.169    [Amended]
                                                    *     *     *    *    *                                                                                        to be cancelled unless they are corrected?
                                                                                                            ■ 18. Amend § 40.169 by removing the
                                                    ■ 15. Amend § 40.139 by revising the                                                                           *      *    *     *     *
                                                                                                            entry ‘‘§ 40.105—Notification of
                                                    section heading and paragraphs (c)                                                                                (d) * * *
                                                                                                            discrepancies in blind specimen
                                                    introductory text and (c)(3) to read as                                                                           (3) The collector uses a non-Federal
                                                                                                            results.’’
                                                    follows:                                                                                                       form or an expired CCF for the test. This
                                                                                                            § 40.189    [Amended]                                  flaw may be corrected through the
                                                    § 40.139 On what basis does the MRO                                                                            procedure set forth in § 40.205(b)(2),
                                                    verify test results involving 6-                        ■ 19. Amend § 40.189 by removing the
                                                                                                            entry ‘‘§ 40.103—Blind split                           provided that the collection testing
                                                    acetylmorphine, codeine, and morphine?
                                                                                                            specimens.’’                                           process has been conducted in
                                                    *      *     *     *    *                                                                                      accordance with the procedures in this
                                                                                                            ■ 20. Amend § 40.193 by revising
                                                       (c) For all other codeine and                                                                               part in an HHS-certified laboratory.
                                                                                                            paragraph (b)(4) to read as follows:
                                                    morphine positive results, you must
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                                                                                                                                                                   ■ 23. Add § 40.210 in subpart I to read
                                                    verify a confirmed positive test result                 § 40.193 What happens when an employee                 as follows:
                                                    only if you determine that there is                     does not provide a sufficient amount of
                                                    clinical evidence, in addition to the                   urine for a drug test?                                 § 40.210 Are drug tests other than urine
                                                    urine test, of unauthorized use of any                  *      *      *   *    *                               permitted under the regulations?
                                                    opium, opiate, or opium derivative (i.e.,                  (b) * * *                                             No. Drug tests other than on urine
                                                    morphine, codeine, or heroin).                             (4) If the employee has not provided                specimens are not authorized for testing
                                                       (1) * * *                                            a sufficient specimen within three hours               under this part. Only urine specimens
                                                       (2) * * *                                            of the first unsuccessful attempt to                   screened and confirmed at HHS


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                                                                            Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules                                                 7781

                                                    certified laboratories (see § 40.81) are                must subscribe to the ODAPC list-serve                 Employer Identification: (name; may include
                                                    allowed for drug testing under this part.               at https://www.transportation.gov/                        Billing Code or ID code)
                                                    Point-of-collection urine testing or                    odapc/get-odapc-email-updates. DOT                     C/TPA Identification: (where applicable;
                                                                                                                                                                      name and address)
                                                    instant tests are not authorized.                       agency regulations, DOT SAP
                                                    ■ 24. Amend § 40.213 by revising                        Guidelines, and other materials are                    Specimen Results Reported (total number)
                                                                                                                                                                   By Test Reason
                                                    paragraphs (a), (d), and (e) to read as                 available from ODAPC (Department of                       (a) Pre-employment (number)
                                                    follows:                                                Transportation, 1200 New Jersey                           (b) Post-Accident (number)
                                                                                                            Avenue SE., Washington DC, 20590                          (c) Random (number)
                                                    § 40.213 What training requirements must
                                                                                                            (202–366–3784), or on the ODAPC Web                       (d) Reasonable Suspicion/Cause (number)
                                                    STTs and BATs meet?
                                                                                                            site (http://www.transportation.gov/                      (e) Return-to-Duty (number)
                                                    *      *     *     *    *                               odapc).                                                   (f) Follow-up (number)
                                                       (a) You must be knowledgeable about                     (c) * * *                                              (g) Type of Test Not Noted on CCF
                                                    the alcohol testing procedures in this                     (3) You must meet the requirements of                     (number)
                                                    part and the current DOT guidance.                      paragraphs (a), (b), and (c) of this                   2. Specimens Reported
                                                    Procedures and guidance are available                   section before you begin to perform SAP                   (a) Negative (number)
                                                    from ODAPC (Department of                                                                                         (b) Negative and Dilute (number)
                                                                                                            functions.                                             3. Specimens Reported as Rejected for
                                                    Transportation, 1200 New Jersey
                                                                                                            *      *     *    *    *                                     Testing (total number)
                                                    Avenue SE., Washington, DC 20590,                       ■ 27. Amend § 40.331 by revising                          By Reason
                                                    202–366–3784, or on the ODAPC Web                       paragraph (f) to read as follows:                         (a) Fatal flaw (number)
                                                    site, https://www.transportation.gov/                                                                             (b) Uncorrected Flaw (number)
                                                    odapc). You must keep current on any                    § 40.331 To what additional parties must               4. Specimens Reported as Positive (total
                                                    changes to these materials. You must                    employers and service agents release                         number) By Drug
                                                    subscribe to the ODAPC list-serve at                    information?                                              (a) Marijuana Metabolite (number)
                                                    (https://www.transportation.gov/odapc/                  *      *    *      *    *                                 (b) Cocaine Metabolite (number)
                                                    get-odapc-email-updates).                                  (f) Except as otherwise provided in                    (c) Opioids (number)
                                                                                                            this part, as a laboratory you must not                   (1) Codeine (number)
                                                    *      *     *     *    *                                                                                         (2) Morphine (number)
                                                       (d) You must meet the requirements                   release or provide a specimen or a part
                                                                                                                                                                      (3) 6–AM (number)
                                                    of paragraphs (b) and (c) of this section               of a specimen to a requesting party,                      (4) Hydrocodone (number)
                                                    before you begin to perform STT or BAT                  without first obtaining written consent                   (5) Hydromorphone (number)
                                                    functions.                                              from ODAPC. DNA testing and other                         (6) Oxycodone (number)
                                                       (e) Refresher training. No less                      types of identity testing are not                         (7) Oxymorphone (number)
                                                    frequently than every five years from the               authorized and ODAPC will not give                        (d) Phencyclidine (number)
                                                    date on which you satisfactorily                        permission for such testing. If a party                   (e) Amphetamines (number)
                                                    complete the requirements of                            seeks a court order directing you to                      (1) Amphetamine (number)
                                                                                                            release a specimen or part of a specimen                  (2) Methamphetamine (number)
                                                    paragraphs (b) and (c) of this section,
                                                                                                            contrary to any provision of this part,                   (3) MDMA (number)
                                                    you must complete refresher training                                                                              (4) MDA (number)
                                                    that meets all the requirements of                      you must take necessary legal steps to                 5. Adulterated (number)
                                                    paragraphs (b) and (c) of this section.                 contest the issuance of the order (e.g.,               6. Substituted (number)
                                                    *      *     *     *    *                               seek to quash a subpoena, citing the                   7. Invalid Result (number)
                                                    ■ 25. Amend § 40.233 by revising                        requirements of § 40.13). This part does
                                                                                                            not require you to disobey a court order,              ■ 30. Revise appendix C to part 40 to
                                                    paragraph (c)(4) to read as follows:                                                                           read as follows:
                                                                                                            however.
                                                    § 40.233 What are the requirements for                  *      *    *      *    *                              Appendix C to Part 40—DOT Drug-
                                                    proper use and care of EBTs?                            ■ 28. Amend § 40.365 by revising                       Testing Semi-Annual Laboratory
                                                    *     *     *    *      *                               paragraph (b)(10) to read as follows:                  Report to DOT
                                                      (c) * * *
                                                                                                            § 40.365 What is the Department’s policy                  Mail, fax, or email to:
                                                      (4) You must maintain records of the
                                                    inspection, maintenance, and                            concerning starting a PIE proceeding?                  U.S. Department of Transportation, Office of
                                                                                                            *     *     *     *      *                                Drug and Alcohol Policy and Compliance,
                                                    calibration of EBTs as provided in                                                                                W62–300, 1200 New Jersey Avenue SE.,
                                                    § 40.333(a)(3).                                           (b) * * *
                                                                                                                                                                      Washington, DC 20590, Fax: (202) 366–
                                                    *     *     *    *      *                                 (10) For any service agent,                             3897, Email: ODAPCWebMail@dot.gov.
                                                    ■ 26. Amend § 40.281 by revising                        representing falsely that the service
                                                                                                                                                                      The following items are required on each
                                                    paragraphs (a)(6), (b)(3), and (c)(3) to                agent or its activities is approved or                 report:
                                                    read as follows:                                        certified by the Department or a DOT
                                                                                                                                                                   Reporting Period: (inclusive dates)
                                                                                                            agency (such representation includes,                  Laboratory Identification: (name and address)
                                                    § 40.281   Who is qualified to act as a SAP?            but is not limited to, the use of a                    DOT Specimen Results Reported (total
                                                    *      *     *     *   *                                Department or DOT agency logo, title, or                  number)
                                                       (a) * * *                                            emblem).                                               2. Negative Results Reported (total number)
                                                       (6) You are a drug and alcohol                       *     *     *     *      *                                Negative (number)
                                                    counselor certified by an organization                  ■ 29. Revise appendix B to part 40 to                     Negative-Dilute (number)
                                                    listed at https://                                      read as follows:                                       3. Rejected for Testing Results Reported (total
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                                                    www.transportation.gov/odapc/sap.                                                                                    number)
                                                       (b) * * *                                            Appendix B to Part 40—DOT Drug-                           By Reason
                                                                                                            Testing Semi-Annual Laboratory                            (a) Fatal flaw (number)
                                                       (3) You must be knowledgeable about
                                                                                                            Report to Employers                                       (b) Uncorrected Flaw (number)
                                                    this part, the DOT agency regulations                                                                          4. Positive Results Reported (total number)
                                                    applicable to the employers for whom                      The following items are required on each                By Drug
                                                    you evaluate employees, and the DOT                     laboratory report:                                        (a) Marijuana Metabolite (number)
                                                    SAP Guidelines. You must keep current                   Reporting Period: (inclusive dates)                       (b) Cocaine Metabolite (number)
                                                    on any changes to these materials. You                  Laboratory Identification: (name and address)             (c) Opioids (number)



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                                                    7782                    Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Proposed Rules

                                                       (1) Codeine (number)                                 Appendix D to Part 40—Report Format:                   9. Date split specimen result reported or
                                                       (2) Morphine (number)                                Split Specimen Failure To Reconfirm                         certified by split specimen laboratory.
                                                       (3) 6–AM (number)                                                                                           10. Primary specimen results (e.g., name of
                                                                                                               Mail, fax, or submit electronically to: U.S.             drug, adulterant) in the primary
                                                       (4) Hydrocodone (number)
                                                                                                            Department of Transportation, Office of Drug
                                                       (5) Hydromorphone (number)                                                                                       specimen.
                                                                                                            and Alcohol Policy and Compliance, W62–
                                                       (6) Oxycodone (number)                                                                                      11. Reason for split specimen failure-to-
                                                                                                            300, 1200 New Jersey Avenue SE.,
                                                       (7) Oxymorphone (number)                             Washington, DC 20590, Fax: (202) 366–3897.                  reconfirm result (e.g., drug or adulterant
                                                       (d) Phencyclidine (number)                                                                                       not present, specimen invalid, split not
                                                                                                               Submit Electronically: https://
                                                       (e) Amphetamines (number)                                                                                        collected, insufficient volume).
                                                                                                            www.transportation.gov/content/split-
                                                       (1) Amphetamine (number)                             specimen-cancellation-notification-49-cfr-             12. Actions taken by the MRO (e.g., notified
                                                                                                            part-40187-appendix-d                                       employer of failure to reconfirm and
                                                       (2) Methamphetamine (number)
                                                                                                               The following items are required on each                 requirement for recollection).
                                                       (3) MDMA (number)
                                                                                                            report:                                                13. Additional information explaining the
                                                       (4) MDA (number)
                                                                                                            MRO name, address, phone number, and fax                    reason for cancellation.
                                                    5. Adulterated Results Reported (total                                                                         14. Name of individual submitting the report
                                                          number)                                              number.
                                                                                                            2. Collection site name, address, and phone                 (if not the MRO).
                                                       By Reason (number)
                                                                                                                 number.                                           Appendix H to Part 40 [Removed]
                                                    6. Substituted Results Reported (total                  3. Date of collection.
                                                          number)                                           4. Specimen I.D. number.
                                                    7. Invalid Results Reported (total number)                                                                     ■   32. Remove appendix H to part 40.
                                                                                                            5. Laboratory accession number.
                                                       By Reason (number)                                   6. Primary specimen laboratory name,                     Dated: January 12, 2017.
                                                                                                                 address, and phone number.                        Anthony R. Foxx,
                                                    ■ 31. Revise appendix D to part 40 to                   7. Date result reported or certified by primary
                                                                                                                                                                   Secretary of Transportation.
                                                    read as follows:                                             laboratory.
                                                                                                            8. Split specimen laboratory name, address,            [FR Doc. 2017–01131 Filed 1–19–17; 8:45 am]
                                                                                                                 and phone number.                                 BILLING CODE P
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Document Created: 2017-01-20 01:29:49
Document Modified: 2017-01-20 01:29:49
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionProposed Rules
ActionNotice of proposed rulemaking.
DatesComments to the notice of proposed rulemaking should be submitted by March 24, 2017. Late-filed comments will be considered to the extent practicable.
ContactPatrice M. Kelly, Acting Director, Office of Drug and Alcohol Policy and Compliance, 1200 New Jersey Avenue SE., Washington, DC 20590; telephone number 202-366-3784; [email protected]
FR Citation82 FR 7771 
RIN Number2105-AE58
CFR AssociatedAdministrative Practice and Procedures; Alcohol Abuse; Alcohol Testing; Drug Abuse; Drug Testing; Laboratories; Reporting and Recordkeeping Requirements; Safety and Transportation

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