Pra - Ost (odapc) - 2105 0529 - Ss - 093020

Department of Transportation
Office of the Secretary
SUPPORTING STATEMENT
49 CFR Part 40
Procedures for Transportation Workplace
Drug and Alcohol Testing Programs
OMB Control # 2105-0529
Summary:
•

This is a request for renewal of the previously approved information collection
2105-0529.

•

The number of estimated annual burden hours has increased by 539,615 hours and
4,637,415 responses compared to the previous estimate.

•

The increase in total burden hours was due to an increase in the number of preemployment tests conducted by employers. See item #15 for more detailed
explanation.

•

Response to Terms of Clearance: No terms of clearance.

Justification
1. Explain the circumstances that make the collection of information necessary. Attach a
copy of the appropriate statue or regulation mandating or authorizing the collection of
information.
Five of the Department’s Operating Administrations (OA) – Federal Motor Carrier Safety
Administration (FMCSA), Federal Aviation Administration (FAA), Federal Transit
Administration (FTA), Federal Railroad Administration (FRA) and the Pipeline and Hazardous
Materials Safety Administration (PHMSA) and the United States Coast Guard (USCG) 1 –
require drug and alcohol testing for safety-sensitive employees in their regulated industries.
With very few exceptions, however, all the drug and alcohol tests performed under the five OA
and USCG regulations are conducted using a single source of drug and alcohol testing
procedures – 49 CFR Part 40. The Office of the Secretary of Transportation (OST) is the
proponent of Part 40.
The Department of Transportation (DOT) first published drug testing procedures – 49 CFR Part
40 – on November 21, 1988 [53 FR 47002] as an interim final rule and a year later on December
1, 1989 issued a final rule [54 FR 49852]. Part 40 prescribed the technical testing process that
had to be adhered to by those required to implement existing OA drug testing regulations.

For purposes of following the requirements of 49 CFR Part 40, “DOT, The Department, DOT Agency” is defined,
at 40.3, to include the United States Coast Guard. The USCG has a memorandum of understanding [see appendix
E] in which it follows 49 CFR Part 40 regulations.
1

On October 28, 1991, the President of the United States signed Public Law 102 - 143, the
Omnibus Transportation Employee Testing Act of 1991 (“the Act”) [Appendix A]. The Act
compelled the Department to prescribe regulations that would require testing of safety-sensitive
employees in the aviation, highway, rail, and transit industries. The Act specifically mandated,
among other things, privacy in collection techniques, incorporation of Department of Health and
Human Services’ (HHS) mandatory guidelines for drug testing and comparable safeguards for
alcohol testing, collection of split samples of a specimen, and confidentiality of test results. It
required pre-employment, random, post-accident, and reasonable suspicion testing. Regulations
prescribed by the Act needed to include provisions for identification of, and opportunity for
treatment for, covered employees in need of assistance due to misuse of alcohol or illegal use of
controlled substances.
The Act required changes to Part 40 (e.g., split specimen testing for drugs and provisions for
alcohol testing) and to some of the OA regulations. The changes to Part 40, as directed by the
Act, were published on February 15, 1994 [59 FR 7340].
In December 2000 [65 FR 79462], Part 40 was revised to produce a cleaner, better organized,
simpler-to-follow rule that incorporated the most important guidance and interpretations and
dealt creatively with numerous changes in the transportation and testing industries. It also served
to introduce procedures designed to strengthen the quality and integrity of the testing program.
Since the December 2000 revision, Part 40 was amended several times. Most recently, on
January 1, 2018 Part 40 was updated to include semi-synthetic opioids into its drug testing panel.
[82 FR 52229]
Overall, Part 40 directs the activities of numerous persons in the drug and alcohol testing
process. Among these are transportation employees and employers, as well as, service agents –
urine collectors, forensic laboratory testing personnel, Medical Review Officers (MRO), Breath
Alcohol Technicians, Screening Test Technicians, and Substance Abuse Professionals.
DOT Goal: The Office of Drug and Alcohol Policy and Compliance (ODAPC) regulation and
associated paperwork burdens support the Department of Transportation’s goals of Safety and
Environmental Sustainability. The regulatory requirement helps to promote the safety of the
traveling public by working toward the elimination of drug and alcohol related transportation
deaths and injuries; and protecting the natural environment by working toward reduction of drug
and alcohol use being factors in toxic spills and releases.
2. Indicate how, by whom, and for what purpose the information is to be used, and the
actual use made of the information.
Part 40 requires the collection of information from a variety of transportation employers,
employees and service agents. To ensure the required quality (e.g., privacy, accuracy and
confidentiality) of the drug and alcohol testing services provided, Part 40 requires documentation
in the collection of urine, breath, and saliva specimens; screening and confirmation of specimen
tests; the medical review of results; and the treatment recommendations for those refusing to test
or for testing positive for drug use or alcohol misuse. This information is used by employers and
Department representatives to ensure that those refusing or testing positive are removed from
safety-sensitive functions, that program problems are immediately identified and corrected, that
quality assurance efforts are working, that security and privacy measures are upheld, and that the
fairness and credibility of the Department’s testing efforts are maintained.

3. Describe whether, and to what extent the collection of information involves the use of
automated, electronic, mechanical, or other forms of information technology. Also
describe any consideration of using information technology to reduce burden.
The Department believes the increased use of electronic methods is both inevitable and
beneficial. Since the program’s inception, Part 40 was updated to permit scanned computer
images for reporting drug and alcohol test results. The Department also permits the electronic
transmission of laboratory results reports to MROs and the electronic storage of certain testing
data and information. Almost all the laboratories submit their reports to MROs electronically.
Furthermore, laboratories are required to submit semi-annual statistics to the Department. They
can mail, fax, or submit them electronically. All the laboratories submit them electronically.
In April 2015, the Department issued a Final Rule to permit employers to use laboratories that
have been approved by the Department of Health and Human Services for the use of electronic
drug testing custody and control forms (eCCF). Currently, there are twelve such drug testing
laboratories which together receive and process approximately 80% of the industries specimens
for testing. Use of the eCCF benefits the DOT drug testing program by:
1) reducing the number of 5-part paper CCFs that laboratories have to print and ship to
employers,
2) improving the accuracy of the data entered onto the eCCF, and
3) generating legible copies each and every time the eCCF is used.
The Department also permits employers to submit year end aggregate testing data (MIS reports see Appendix D) via the Internet. Previous submissions were all completed by hand and mailed
to the respective OAs. A majority of the reports are being submitted via the internet. In our
estimation, approximately 97% of the 2018 MIS reports were submitted electronically.
Finally, in response to the Fighting Opioid Abuse in Transportation Act of 2018, the Department
will be required to amend its drug and alcohol testing regulation 49 CFR Part 40 to permit the
use of electronic forms, signatures and recordkeeping. As required by the Act, the Department
will have 18 months to do so from when the DHHS/SAMHSA Division of Workplace Programs
approves a laboratory for a completely paperless Federal Drug Testing Custody and Control
Form. Among the changes that the Department would propose are provisions authorizing the use
of electronic signatures on background checks and MRO reports, and an electronic version of the
Alcohol Testing Form (ATF), along with updates and minor technical changes to certain
provisions of Part 40.
We see the use of electronic forms, electronic storage and electronic signatures as greatly costreducing innovations that would improve the effectiveness of our program and allow for additional
data collection for our programmatic needs.
4. Describe efforts to identify duplication. Show specifically why any similar information
already available cannot be used or modified for use for the purpose described in item 2
above.
The source of the information collection requirements is unique for each separate occurrence
and, therefore, there is no known duplication of this material. The information submitted or
collected for recordkeeping purposes is unique, and no other existing effort can be used or
modified for these purposes. The data collected is not available from any other source.

5. If the collection of information impacts small businesses or other small entities describe
any methods used to minimize burden.
Most employers regulated by the Department’s drug and alcohol testing regulations and the
USCG are required to submit annual aggregate drug and alcohol testing statistics by completing
the MIS form. In the past, this required the employer to complete the MIS form and then mail or
fax it to the respective regulating DOT Operating Administration. Regulated employers with
fewer than 50 employees may be required to submit MIS data when requested to do so by the
regulating DOT Operating Administration. Employers regulated by the FTA, FRA, and USCG
are required to submit MIS data regardless of size. The Department developed a computer-based
application that permits employers to submit year end aggregate testing data (MIS form)
electronically via the Internet. We estimate, approximately 97% of the 2018 MIS reports were
submitted electronically.
6. Describe the consequences to Federal program or policy activities if the collection is not
conducted or conducted less frequently, as well as any technical or legal obstacles to
reducing burdens.
Many DOT and USCG regulated employers rely on a number of persons or groups to coordinate
and carry out their drug and alcohol testing responsibilities. Without this collection or by
reducing the collection, program auditors and inspectors would not have information adequate to
identify and address problems or compliance efforts in this safety program. In addition, custody
and control is imperative in ensuring that an individual’s drug and alcohol test is an accurate
reflection of the collection and testing event as well as in assigning a scientific result to a
particular individual.
7. Explain any special circumstances that would cause an information collection that
would be inconsistent with the guidelines in 5 CFR 1320.5(d)(2)(i) - (viii).
The information required is not in conflict with these guidelines.
8. If applicable describe efforts to:
Notify the public of information collection prior to OMB submission:
On June 11, 2020, the Office of Drug and Alcohol Policy and Compliance (ODAPC) published a
60-day notice in the Federal Register [85 FR 35689] Docket # DOT-OST-2020-0049, informing
the public of ODAPC’s intention to extend an approved information collection.
On September 3, 2020, ODAPC also published the required 30-day notice in the Federal Register
[85 FR 55065] again informing the public of ODAPC’s request to extend an approved
information collection. The Department identified an error in the calculations presented in the
30-day notice and published a correction on September 30, 2020 [85 FR 61796].
In both Federal Register notices, ODAPC solicited comments on whether the information
collection is necessary for the proper performance of the functions of the Department, including
whether the information will have practical utility.
We asked whether the Department’s estimate of the burden of the proposed information
collection was accurate and for ways to enhance the quality, utility, and clarity of the information
to be collected. The Department sought ways to minimize the burden for those who would have

to provide the information, including the use of automated collection techniques or other forms
of information technology.
There were no comments to the 60-day Federal Register notice. Comments to the 30-day
Federal Register notice are to be sent directly to the Office of Management and Budget.
Consultations outside of agency to obtain other views:
OST regularly consults with representatives from the Department’s OAs, the USCG, and HHS.
OST regularly consults with service agents regarding their concerns with the regulations.
Consultations with representatives of the effected population:
OST regularly consults with DOT OAs, the USCG, employers, and service agents (e.g., Medical
Review Officers, Substance Abuse Professionals, Urine Specimen Collectors, Screening Test
Technicians, Breath Alcohol Technicians, and Consortia/Third Party Administrators), regarding
their concerns with the regulations.
9. Explain any decision to provide payment or gift to respondents, other than
remuneration of contracts or grantees.
There are no circumstances of any payments or gifts to respondents.
10. Describe any assurance of confidentiality provided to respondents and the basis for the
assurance in statue, regulations, or agency policy.
The United States Supreme Court has upheld the privacy and confidentiality elements of the
Department’s testing program and chain-of-custody procedures contained in the Part 40
procedures. Some information required of Part 40 can be released to third parties only after the
appropriate releases of information are signed by the employee.
11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly
considered private.
There are no issues pertaining to questions of this nature.
12. Provide estimates of the hour burden of the collection of information.
A.
B.
C.
D.
E.
F.

Total Number of Respondents:
Total Number of Responses:
Total Annual Hours Requested:
Current OMB Inventory:
Difference:
Explanation for Difference:
1. Program Change:
2. Adjustment:

3,593,202
11,858,782
1,287,811
748,196
539,615 (see item # 15 for an explanation)
0
539,615

PRA Item

Number of
Respondents

Number of
Responses

Burden per
Response (min)

Total Salary
Costs($)

Burden Hours

Exemptions from Regulation Provisions
Requests [40.7(a)]

1

1

180

3

$104

Employer Stand-down Waiver Requests
[40.21(b)]

0

0

480

0

$0

584,628

3,538,179

8

471,757

$16,379,410

3,538,179

3,538,179

4

235,878

$8,189,704

17,840

17,840

90

26,760

$929,107

5,000

5,000

4

333

$11,561

12,000

19,625

4

1,308

$45,425

0

0

30

0

$0

Semi-Annual Laboratory Reports to
Employers [40.111(a)]

23

385,854

4

25,723

$893,123

Semi-Annual Laboratory Reports to DOT
[40.111(d)]

23

46

4

3

$106

1,000

1,000

4

66

$2,291

Employee Testing Records from Previous
Employers [40.25(a)]
Employee Release of Information [40.25(f)]
MIS Form Submission [40.26]
Collector (Qualification and Refresher)
Training Documentation (40.33(b) & (e)]
Collector Error Correction Training
Documentation [40.33(f)]
Laboratory Reports to DOT Regarding
Unlisted Adulterant [40.91(e)]

Medical Review Officer (MRO)
(Qualifications and Continuing Education)
Training Documentation [40.121(c) & (d)]

PRA Item

Number of
Respondents

Number of
Responses

Burden per
Response (min)

Total Salary
Costs($)

Burden Hours

MRO Review of Negative Results
Documentation [[40.127(b)(2)(ii)]

5,000

381,055

4

25,403

$881,992

MRO Failure to Contact Donor
Documentation [40.131(c)(1)]

5,000

63,827

4

4,255

$147,738

MRO Effort to Contact DER Documentation
[40.131(c)(2)(iii)]

5,000

63,827

4

4,255

$147,738

DER Successful Contact Employee
Documentation [40.131(d)]

51,061

51,061

4

3,404

$118,190

DER Failure to Contact Employee
Documentation [40.131(d)(2)(i)]

12,765

12,765

4

851

$29,547

5,000

12,765

4

851

$29,547

Adulterant/Substitution Evaluation
Physician Statements [40.145(g)(2)(ii)(d)]

0

0

30

0

$0

MRO Cancellation of Adulterant /
Substitution for Legitimate Reason Reports
[40.145(g)(5)]

0

0

30

0

$0

Employee Admission of Adulterating /
Substituting Specimen MRO Determination
[40.159(c)]

40

40

4

3

$104

5,000

7,206

4

480

$16,680

35

34

4

2

$69

MRO Verification of Positive Result
Without Interview Documentation [40.133].

Split Specimen Requests by MRO
[40.171(c)]
Split Failure to Reconfirm for Drugs Reports
by MRO [40.187(b)]

PRA Item
Split Failure to Reconfirm for Adulterant /
Substitution Reports by MRO [40.187(c)]

Number of
Respondents

Number of
Responses

Burden per
Response (min)

Total Salary
Costs($)

Burden Hours

5

5

5

1

$34

773

773

5

64

$2,238

0

0

0

0

$0

25,000

154,732

8

20,630

$716,308

2,000

2,000

4

133

$4,617

168

168

4

11

$390

Complete DOT Alcohol Testing Forms
[40.225(a)]

10,000

3,378,454

8

450,460

$15,639,989

Evidential Breath Testing Device Quality
Assurance / Calibration Records
[40.233(c)(4)]

10,000

10,000

4

666

$23,123

Shy Lung Physician Statements
[40.265(c)(2)]

168

168

4

11

$390

Alcohol Test Correction Statements
[40.271(b)(1)&(2)]

337

337

4

22

$781

Shy Bladder Physician Statements
[40.193(f)]
MRO Statements Regarding Physical
Evidence of Drug Use [40.195(b) & (c)]
Drug Test Correction Statements [40.205
(b)(1) & (2)]
Breath Alcohol Technician (BAT) /
Screening Test Technician (STT)
(Qualification and Refresher) Training
Documentation [40.213(b)(c)&(e)]
BAT/STT Error Correction Training
Documentation [40.213(f)]

Number of
Respondents

PRA Item
Substance Abuse Professional (SAP)
(Qualification and Continuing Education)
Training Documentation [40.281(c)&(d)]

Number of
Responses

Burden per
Response (min)

Total Salary
Costs($)

Burden Hours

3,334

3,334

4

222

$7,707

Employer SAP Lists to Employees [40.287]

10,000

115,713

4

7,714

$267,837

SAP Reports to Employers [40.311(c),(d) &
(e)]

10,000

94,456

4

6,297

$218,634

25

25

60

25

$868

Notice of Proposed Exclusion (NOPE) to
Service Agents [40.375(a)]

5

5

600

50

$1,736

Service Agent Requests to Contest Public
Interest Exclusions (PIE) [40.379(b)]

2

2

60

2

$69

Service Agent Information to Argue PIE
[40.379(b)(2)]

2

2

120

8

$277

Service Agent Information to Contest PIE
[40.381(a) & (b)]

2

2

240

8

$277

Notices of PIE to Service Agents [40.399]

1

1

60

1

$34

Notices of PIE to Employer and Public
[40.401 (b) & (d)]

1

1

60

1

$34

Service Agent PIE Notices to Employers
[40.403 (a)]

1

300

30

150

$5,208

3,593,202

11,858,782

2,196

1,287,811

$44,712,987

Correction Notices to Service Agents
[40.373(a)]

Total New

* pro-rated over a 5-year period based upon frequency of training requirement

The salary cost is based upon the Department of Labor’s bureau of Labor Statistics average employee compensation hourly cost in 2019.
NOTE: See Appendix F for explanation worksheets

Supplemental Program Information:
A. Number of Employers and Employees Regulated by DOT’s drug and alcohol testing program
Mode

# of Employers

FMCSA

# of Employees

530,000

4,300,000

FRA

3,750

143,300

FAA

6,600

465,000

FTA

3,391

305,375

PHMSA

5,378

593,854

USCG

4,700

225,000

553,818

6,032,529

Total

[Based on 2020 DOT Operating Administration data call]
B. Service Agents:
Role

#

Urine Collectors

25,000

Laboratories

23

Medical Review Officers (MRO)

5,000

Substance Abuse Professional (SAP)

15,000

Breath Alcohol Technician (BAT) &
Screening Test Technician (STT)

10,000

[Based on ODAPC and HHS data]
C. Drug Testing:
Activity
Drug Tests Annually
Laboratory Non-negative Rate
Laboratory Non-negatives
MRO Verified Positive Rate

MRO Verified Positives
[Based on 2018 MIS, laboratory data]

#
7,736,623
2.75%
212,757
1.33%

102,952

D. Alcohol Testing:
Activity

#

Alcohol Tests Annually

3,378,454

Alcohol Positive Rate

.38%

[Based on 2018 MIS, lab, and FMCSA data]
13. Provide estimates of total annual cost burden to respondents or record keepers resulting
from the collection of information.
There are no costs to the respondents.
14. Provide estimates of annualized cost to the Federal government.
There are no additional costs to the Federal Government.
15. Explain the reasons for any changes or adjustments reported in items 13 or 14 of the
OMB form 83-1.
Each of the line items in the attached PRA Cost Indicator Worksheet provides a narrative as to
how the burden hours and costs were estimated. As indicated in the table below, there was an
overall increase of 539,615 in the total estimated burden hours (most of which were related to preemployment and alcohol testing):
•

The number of requests for information from previous employers (164,179 hours)

•

The number of employees authorizing release of their testing information
(82,089 hours)

•

The number of alcohol tests conducted (244,060 hours)

Itemization of burden is provided in the tables below
Exemptions from Regulation Provisions Requests [40.7(a)]PRA
Previously Approved

Number of
Responses

Burden
Hours
1

3

Current Request

0
1

0
3

Employer Stand-down Waiver Requests [40.21(b)]
Previously Approved
Increase due to change in Agency Estimate
Current Request

5
-5
0

40
-40
0

Increase due to change in Agency Estimate

Employee Testing Records from Previous Employers [40.25(a)]

Number of
Responses
2,306,837

Burden
Hours
307,578

Current Request

1,231,342
3,538,179

164,179
471,757

Current Request

Number of
Responses
2,306,837
1,231,342
3,538,179

Burden
Hours
153,789
82,089
235,878

Current Request

601
17,239
17,840

902
25,858
26,760

Number of
Responses
5,000

Burden
Hours
333

0
5,000

0
333

Number of
Responses
10,144

Burden
Hours
676

9,481

632

Current Request

19,625

1,308

Laboratory Reports to DOT Regarding Unlisted Adulterant
[40.91(e)]
Previously Approved
Increase due to change in Agency Estimate
Difference
Current Request

Number of
Response
0

Burden
Hours
0

0
0

0
0

Semi-Annual Laboratory Reports to Employers [40.111(a)]

Number of
Response
368,599

Burden
Hours
24,573

17,255
385,854

1,150
25,723

Previously Approved
Increase due to change in Agency Estimate

Employee Release of Information [40.25(f)]
Previously Approved
Difference

MIS Form Submission [40.26]
Previously Approved
Increase due to change in Agency Estimate

Collector (Qualification and Refresher) Training Documentation
(40.33(b) & (e)]
Previously Approved
Increase due to change in Agency Estimate
Current Request
Collector Error Correction Training Documentation [40.33(f)]
Previously Approved
Increase due to change in Agency Estimate

Previously Approved
Increase due to change in Agency Estimate
Current Request

Semi-Annual Laboratory Reports to DOT [40.111(d)]

Number of
Response
68
-22
46

Burden
Hours
5
-2
3

Number of
Response

Burden
Hours

Previously Approved

1,000

66

Increase due to change in Agency Estimate

0
1,000

0
66

Number of
Response
311,294

Burden
Hours
20,752

69,761

4,651

381,055

25,403

Number of
Response
33,600

Burden
Hours
2,240

30,227
63,827

2,015
4,255

Number of
Response
33,600

Burden
Hours
2,240

30,227
63,827

2,015
4,255

Number of
Response
26,880

Burden
Hours
1,792

24,181
51,061

1,612
3,404

Previously Approved
Increase due to change in Agency Estimate
Current Request
Medical Review Officer (MRO) (Qualifications and Continuing
Education) Training Documentation [40.121(c) & (d)]

Current Request
MRO Review of Negative Results Documentation
[[40.127(b)(2)(ii)]
Previously Approved
Increase due to change in Agency Estimate
Current Request
MRO Failure to Contact Donor Documentation [40.131(c)(1)]
Previously Approved
Increase due to change in Agency Estimate
Current Request
MRO Effort to Contact DER Documentation [40.131(c)(2)(iii)]
Previously Approved
Increase due to change in Agency Estimate
Current Request
DER Successful Contact Employee Documentation [40.131(d)]
Previously Approved
Increase due to change in Agency Estimate
Current Request

DER Failure to Contact Employee Documentation [40.131(d)(2)(i)]

Number of
Response
6,720

Burden
Hours
448

6,045
12,765

403
851

Number of
Response
6,720

Burden
Hours
448

6,045
12,765

403
851

Number of
Response
0

Burden
Hours
0

0
0

0
0

Number of
Response
0

Burden
Hours
0

Current Request

0
0

0
0

Employee Admission of Adulterating / Substituting Specimen MRO
Determination [40.159(c)]
Previously Approved

Number of
Response
40

Burden
Hours
3

Current Request

0
40

0
3

Current Request

Number of
Response
4,970
2,236
7,206

Burden
Hours
331
149
480

Previously Approved
Increase due to change in Agency Estimate
Current Request
MRO Verification of Positive Result Without Interview
Documentation [40.133].
Previously Approved
Increase due to change in Agency Estimate
Current Request

Adulterant/Substitution Evaluation Physician Statements
[40.145(g)(2)(ii)(d)]
Previously Approved
Increase due to change in Agency Estimate
Current Request
MRO Cancellation of Adulterant / Substitution for Legitimate
Reason Reports [40.145(g)(5)]
Previously Approved
Increase due to change in Agency Estimate

Increase Due to Change in Agency Estimate

Split Specimen Requests by MRO [40.171(c)]
Previously Approved
Increase Due to Change in Agency Estimate

Split Failure to Reconfirm for Drugs Reports by MRO [40.187(b)]

Number of
Response
33

Burden
Hours
2

1
34

0
2

Number of
Response
6

Burden
Hours
1

Current Request

-1
5

0
1

Current Request

Number of
Response
634
139
773

Burden
Hours
53
11
64

Number of
Response
0

Burden
Hours
0

0
0

0
0

Number of
Response
126,800
27,932
154,732

Burden
Hours
16,907
3,723
20,630

Number of
Response

Burden
Hours

2,000

133

0
2,000

0
133

Previously Approved
Increase Due to Change in Agency Estimate
Current Request
Split Failure to Reconfirm for Adulterant / Substitution Reports
by MRO [40.187(c)]
Previously Approved
Increase Due to Change in Agency Estimate

Shy Bladder Physician Statements [40.193(f)]
Previously Approved
Difference

MRO Statements Regarding Physical Evidence of Drug Use
[40.195(b) & (c)]
Previously Approved
Increase Due to Change in Agency Estimate
Current Request
Drug Test Correction Statements [40.205 (b)(1) & (2)]
Previously Approved
Increase Due to Change in Agency Estimate
Current Request
Breath Alcohol Technician (BAT) / Screening Test Technician (STT)
(Qualification and Refresher) Training Documentation
[40.213(b)(c)&(e)]
Previously Approved
Increase Due to Change in Agency Estimate
Current Request

BAT/STT Error Correction Training Documentation [40.213(f)]

Number of
Response
77

Burden
Hours
5

Current Request

168
91

11
6

Current Request

Number of
Response
1,548,000
1,830,454
3,378,454

Burden
Hours
206,400
244,060
450,460

Number of
Response
10,000

Burden
Hours
666

Current Request

0
10,000

0
666

Current Request

Number of
Response
77
91
168

Burden
Hours
5
6
11

Current Request

Number of
Response
155
182
337

Burden
Hours
10
12
22

Number of
Response

Burden
Hours

Previously Approved

3,334

222

Increase Due to Change in Agency Estimate
Current Request

0
3,334

0
222

Current Request

Number of
Response
71,000
44,713
115,713

Burden
Hours
4,733
2,981
7,714

Previously Approved
Increase Due to Change in Agency Estimate

Complete DOT Alcohol Testing Forms [40.225(a)]
Previously Approved
Increase Due to Change in Agency Estimate

Evidential Breath Testing Device Quality Assurance / Calibration
Records [40.233(c)(4)]
Previously Approved
Increase Due to Change in Agency Estimate

Shy Lung Physician Statements [40.265(c)(2)]
Previously Approved
Increase Due to Change in Agency Estimate

Number of Responses
Previously Approved
Increase Due to Change in Agency Estimate

Substance Abuse Professional (SAP) (Qualification and
Continuing Education) Training Documentation [40.281(c)&(d)]

Employer SAP Lists to Employees [40.287]
Previously Approved
Increase Due to Change in Agency Estimate

SAP Reports to Employers [40.311€,(d) & €]

Current Request

Number of
Response
36,000
58,456
94,456

Burden
Hours
2,400
3,897
6,297

Current Request

Number of
Response
25
0
25

Burden
Hours
250
-225
25

Notice of Proposed Exclusion (NOPE) to Service Agents
[40.375(a)]
Previously Approved
Difference
Current Request

Number of
Response
2
3
5

Burden
Hours
20
30
50

Service Agent Requests to Contest Public Interest Exclusions (PIE)
[40.379(b)]
Previously Approved

Number of
Response
2

Burden
Hours
2

0
2

0
2

Number of
Response

Burden
Hours

0
2

0
8

Number of
Response
2

Burden
Hours
8

Current Request

0
2

0
8

Current Request

Number of
Response
1
0
1

Burden
Hours
1
0
1

Previously Approved
Increase Due to Change in Agency Estimate

Correction Notices to Service Agents [40.373(a)]
Previously Approved
Increase Due to Change in Agency Estimate

Increase Due to Change in Agency Estimate
Current Request
Service Agent Information to Argue PIE [40.379(b)(2)]
Previously Approved
Increase Due to Change in Agency Estimate
Current Request
Service Agent Information to Contest PIE [40.381(a) & (b)]
Previously Approved
Increase Due to Change in Agency Estimate

Notices of PIE to Service Agents [40.399]
Previously Approved
Increase Due to Change in Agency Estimate

Notices of PIE to Employer and Public [40.401 (b) & (d)]
Previously Approved
Increase Due to Change in Agency Estimate
Current Request
Service Agent PIE Notices to Employers [40.403 (a)]
Previously Approved
Increase Due to Change in Agency Estimate
Current Request

2105-0529
Previously Requested
Increases Due to Change in Agency Estimate
Burden Requested

Number of
Response
1
0
1

Burden
Hours
1
0
1

Number of
Response
300
0
300

Burden
Hours
150
0
150

Number of
Response

Burden
Hours

7,221,367
11,858,782
19,080,149

748,196
1,287,811
2,036,007

16. For collections of information whose results will be published, outline plans for
tabulation and publication.
The proposed information collection is not slated for publication.
17. If seeking approval not to display the expiration date for OMB approval of the
information collection, explain.
Testing for alcohol (and drugs) as required by the Omnibus Transportation Employee Testing Act
of 1991, is considered a long-term program. There are currently no plans to modify the content of
the information on the alcohol form or the method of conducting alcohol tests. With this in mind,
the DOT considers this form one that will be used well into the future. An expiration date could,
in and of itself, create a problem in the field for the technicians (e.g. an employee might refuse to
take a test because it appears that the form is outdated). Also, in order to take advantage of the
economy of scale, many printers of the form – including the Federal Government Printing Office
– print this form in large quantities. An expiration date may unnecessarily reduce the value of
these forms, and place an undue burden on employers to have more reprinted solely because of
the date.
Similar to the alcohol testing form, the Management Information Form (MIS) has not been
modified and there are no plans to modify the content of the form. The current form has not
changed since its inception. The DOT considers this form one that will be used within the DOT
Operating Administrations and their regulated industries well into the future. The DOT Operating
Administrations would not want any employer to be out of compliance if they used an MIS form
with the incorrect expiration date.
18. Explain each exception to the certification statement identified in item 19 “Certification
for Paperwork Reduction Act Submissions,” of OMB form 83-l.
Not applicable