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Subpart R – Public Interest Exclusions
§40.361 What is the purpose of a public interest
(a) To protect the public interest, including protecting transportation
employers and employees from serious noncompliance with DOT drug
and alcohol testing rules, the Department’s policy is to
ensure that employers conduct business only with responsible service
(b) The Department therefore uses PIEs to exclude from participation
in DOT’s drug and alcohol testing program any service agent
who, by serious noncompliance with this part or other DOT agency
drug and alcohol testing regulations, has shown that it is not
currently acting in a responsible manner.
(c) A PIE is a serious action that the Department takes only to
protect the public interest. We intend to use PIEs only to remedy
situations of serious noncompliance. PIEs are not used for the
purpose of punishment.
(d) Nothing in this subpart precludes a DOT agency or the Inspector
General from taking other action authorized by its regulations
with respect to service agents or employers that violate its regulations.
§40.363 On what basis may the Department issue a
(a) If you are a service agent, the Department may issue a PIE
concerning you if we determine that you have failed or refused
to provide drug or alcohol testing services consistent with the
requirements of this part or a DOT agency drug and alcohol regulation.
(b) The Department also may issue a PIE if you have failed to
cooperate with DOT agency representatives concerning inspections,
complaint investigations, compliance and enforcement reviews,
or requests for documents and other information about compliance
with this part or DOT agency drug and alcohol regulations.
§40.365 What is the Department’s policy concerning
starting a PIE proceeding?
(a) It is the Department’s policy to start a PIE proceeding
only in cases of serious, uncorrected noncompliance with the provisions
of this part, affecting such matters as safety, the outcomes of
test results, privacy and confidentiality, due process and fairness
for employees, the honesty and integrity of the testing program,
and cooperation with or provision of information to DOT agency
(b) The following are examples of the kinds of serious noncompliance
that, as a matter of policy, the Department views as appropriate
grounds for starting a PIE proceeding. These examples are not
intended to be an exhaustive or exclusive list of the grounds
for starting a PIE proceeding. We intend them to illustrate the
level of seriousness that the Department believes supports starting
a PIE proceeding. The examples follow:
(1) For an MRO, verifying tests positive without interviewing
the employees as required by this part or providing MRO services
without meeting the qualifications for an MRO required by this
(2) For a laboratory, refusing to provide information to the Department,
an employer, or an employee as required by this part; failing
or refusing to conduct a validity testing program when required
by this part; or a pattern or practice of testing errors that
result in the cancellation of tests. (As a general matter of policy,
the Department does not intend to initiate a PIE proceeding concerning
a laboratory with respect to matters on which HHS initiates certification
actions under its laboratory guidelines.);
(3) For a collector, a pattern or practice of directly observing
collections when doing so is unauthorized, or failing or refusing
to directly observe collections when doing so is mandatory;
(4) For collectors, BATs, or STTs, a pattern or practice of using
forms, testing equipment, or collection kits that do not meet
the standards in this part;
(5) For a collector, BAT, or STT, a pattern or practice of “fatal
flaws” or other significant uncorrected errors in the collection
(6) For a laboratory, MRO or C/TPA, failing or refusing to report
tests results as required by this part or DOT agency regulations;
(7) For a laboratory, falsifying, concealing, or destroying documentation
concerning any part of the drug testing process, including, but
not limited to, documents in a “litigation package”;
(8) For SAPs, providing SAP services while not meeting SAP qualifications
required by this part or performing evaluations without face-to-face
(9) For any service agent, maintaining a relationship with another
party that constitutes a conflict of interest under this part
(e.g., a laboratory that derives a financial benefit from having
an employer use a specific MRO);
(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;
(11) For any service agent, disclosing an employee’s test
result information to any party this part or a DOT agency regulation
does not authorize, including by obtaining a “blanket”
consent from employees or by creating a data base from which employers
or others can retrieve an employee’s DOT test results without
the specific consent of the employee;
(12) For any service agent, interfering or attempting to interfere
with the ability of an MRO to communicate with the Department,
or retaliating against an MRO for communicating with the Department;
(13) For any service agent, directing or recommending that an
employer fail or refuse to implement any provision of this part;
(14) With respect to noncompliance with a DOT agency regulation,
conduct that affects important provisions of Department-wide concern
(e.g., failure to properly conduct the selection process for random
§40.367 Who initiates a PIE proceeding?
The following DOT officials may initiate a PIE proceeding:
(a) The drug and alcohol program manager of a DOT agency;
(b) An official of ODAPC, other than the Director; or
(c) The designee of any of these officials.
§40.369 What is the discretion of an initiating official
in starting a PIE proceeding?
(a) Initiating officials have broad discretion in deciding whether
to start a PIE proceeding.
(b) In exercising this discretion, the initiating official must
consider the Department’s policy regarding the seriousness
of the service agent’s conduct (see §40.365) and all
information he or she has obtained to this point concerning the
facts of the case. The initiating official may also consider the
availability of the resources needed to pursue a PIE proceeding.
(c) A decision not to initiate a PIE proceeding does not necessarily
mean that the Department regards a service agent as being in compliance
or that the Department may not use other applicable remedies in
a situation of noncompliance.
§40.371 On what information does an initiating official
rely in deciding whether to start a PIE proceeding?
(a) An initiating official may rely on credible information from
any source as the basis for starting a PIE proceeding.
(b) Before sending a correction notice (see §40.373), the
initiating official informally contacts the service agent to determine
if there is any information that may affect the initiating official’s
determination about whether it is necessary to send a correction
notice. The initiating official may take any information resulting
from this contact into account in determining whether to proceed
under this subpart.
§40.373 Before starting a PIE proceeding, does the
initiating official give the service agent an opportunity to correct
(a) If you are a service agent, the initiating official must send
you a correction notice before starting a PIE proceeding.
(b) The correction notice identifies the specific areas in which
you must come into compliance in order to avoid being subject
to a PIE proceeding.
(c) If you make and document changes needed to come into compliance
in the areas listed in the correction notice to the satisfaction
of the initiating official within 60 days of the date you receive
the notice, the initiating official does not start a PIE proceeding.
The initiating official may conduct appropriate fact finding to
verify that you have made and maintained satisfactory corrections.
When he or she is satisfied that you are in compliance, the initiating
official sends you a notice that the matter is concluded.
§40.375 How does the initiating official start a
(a) As a service agent, if your compliance matter is not correctable
(see §40.373(a)), or if have not resolved compliance matters
as provided in §40.373(c), the initiating official starts
a PIE proceeding by sending you a notice of proposed exclusion
(NOPE). The NOPE contains the initiating official’s recommendations
concerning the issuance of a PIE, but it is not a decision by
the Department to issue a PIE.
(b) The NOPE includes the following information:
(1) A statement that the initiating official is recommending that
the Department issue a PIE concerning you;
(2) The factual basis for the initiating official’s belief
that you are not providing drug and/or alcohol testing services
to DOT-regulated employers consistent with the requirements of
this part or are in serious noncompliance with a DOT agency drug
and alcohol regulation;
(3) The factual basis for the initiating official’s belief
that your noncompliance has not been or cannot be corrected;
(4) The initiating official’s recommendation for the scope
of the PIE;
(5) The initiating official’s recommendation for the duration
of the PIE; and
(6) A statement that you may contest the issuance of the proposed
PIE, as provided in §40.379.
(c) The initiating official sends a copy of the NOPE to the ODAPC
Director at the same time he or she sends the NOPE to you.
§40.377 Who decides whether to issue a PIE?
(a) The ODAPC Director, or his or her designee, decides whether
to issue a PIE. If a designee is acting as the decisionmaker,
all references in this subpart to the Director refer to the designee.
(b) To ensure his or her impartiality, the Director plays no role
in the initiating official’s determination about whether
to start a PIE proceeding.
(c) There is a “firewall” between the initiating official
and the Director. This means that the initiating official and
the Director are prohibited from having any discussion, contact,
or exchange of information with one another about the matter,
except for documents and discussions that are part of the record
of the proceeding.
§40.379 How do you contest the issuance of a PIE?
(a) If you receive a NOPE, you may contest the issuance of the
(b) If you want to contest the proposed PIE, you must provide
the Director information and argument in opposition to the proposed
PIE in writing, in person, and/or through a representative. To
contest the proposed PIE, you must take one or more of the steps
listed in this paragraph (b) within 30 days after you receive
(1) You may request that the Director dismiss the proposed PIE
without further proceedings, on the basis that it does not concern
serious noncompliance with this part or DOT agency regulations,
consistent with the Department’s policy as stated in §40.365.
(2) You may present written information and arguments, consistent
with the provisions of §40.381, contesting the proposed PIE.
(3) You may arrange with the Director for an informal meeting
to present your information and arguments.
(c) If you do not take any of the actions listed in paragraph
(b) of this section within 30 days after you receive the NOPE,
the matter proceeds as an uncontested case. In this event, the
Director makes his or her decision based on the record provided
by the initiating official (i.e., the NOPE and any supporting
information or testimony) and any additional information the Director
§40.381 What information do you present to contest
the proposed issuance of a PIE?
(a) As a service agent who wants to contest a proposed PIE, you
must present at least the following information to the Director:
(1) Specific facts that contradict the statements contained in
the NOPE (see §40.375(b)(2) and (3)). A general denial is
insufficient to raise a genuine dispute over facts material to
the issuance of a PIE;
(2) Identification of any existing, proposed or prior PIE; and
(3) Identification of your affiliates, if any.
(b) You may provide any information and arguments you wish concerning
the proposed issuance, scope and duration of the PIE (see §40.375
(b) (4) and (5).
(c) You may provide any additional relevant information or arguments
concerning any of the issues in the matter.
§40.383 What procedures apply if you contest the
issuance of a PIE?
(a) DOT conducts PIE proceedings in a fair and informal manner.
The Director may use flexible procedures to allow you to present
matters in opposition. The Director is not required to follow
formal rules of evidence or procedure in creating the record of
(b) The Director will consider any information or argument he
or she determines to be relevant to the decision on the matter.
(c) You may submit any documentary evidence you want the Director
to consider. In addition, if you have arranged an informal meeting
with the Director, you may present witnesses and confront any
person the initiating official presents as a witness against you.
(d) In cases where there are material factual issues in dispute,
the Director or his or her designee may conduct additional fact-finding.
(e) If you have arranged a meeting with the Director, the Director
will make a transcribed record of the meeting available to you
on your request. You must pay the cost of transcribing and copying
the meeting record.
§40.385 Who bears the burden of proof in a PIE proceeding?
(a) As the proponent of issuing a PIE, the initiating official
bears the burden of proof.
(b) This burden is to demonstrate, by a preponderance of the evidence,
that the service agent was in serious noncompliance with the requirements
of this part for drug and/or alcohol testing-related services
or with the requirements of another DOT agency drug and alcohol
§40.387 What matters does the Director decide concerning
a proposed PIE?
(a) Following the service agent’s response (see §40.379(b))
or, if no response is received, after 30 days have passed from
the date on which the service agent received the NOPE, the Director
may take one of the following steps:
(1) In response to a request from the service agent (see §40.379(b)(1))
or on his or her own motion, the Director may dismiss a PIE proceeding
if he or she determines that it does not concern serious noncompliance
with this part or DOT agency regulations, consistent with the
Department’s policy as stated in §40.365.
(i) If the Director dismisses a proposed PIE under this paragraph
(a), the action is closed with respect to the noncompliance alleged
in the NOPE.
(ii) The Department may initiate a new PIE proceeding against
you on the basis of different or subsequent conduct that is in
noncompliance with this part or other DOT drug and alcohol testing
(2) If the Director determines that the initiating official’s
submission does not have complete information needed for a decision,
the Director may remand the matter to the initiating official.
The initiating official may resubmit the matter to the Director
when the needed information is complete. If the basis for the
proposed PIE has changed, the initiating official must send an
amended NOPE to the service agent.
(b) The Director makes determinations concerning the following
matters in any PIE proceeding that he or she decides on the merits:
(1) Any material facts that are in dispute;
(2) Whether the facts support issuing a PIE;
(3) The scope of any PIE that is issued; and
(4) The duration of any PIE that is issued.
§40.389 What factors may the Director consider?
This section lists examples of the kind of mitigating and aggravating
factors that the Director may consider in determining whether
to issue a PIE concerning you, as well as the scope and duration
of a PIE. This list is not exhaustive or exclusive. The Director
may consider other factors if appropriate in the circumstances
of a particular case. The list of examples follows:
(a) The actual or potential harm that results or may result from
(b) The frequency of incidents and/or duration of the noncompliance;
(c) Whether there is a pattern or prior history of noncompliance;
(d) Whether the noncompliance was pervasive within your organization,
including such factors as the following:
(1) Whether and to what extent your organization planned, initiated,
or carried out the noncompliance;
(2) The positions held by individuals involved in the noncompliance,
and whether your principals tolerated their noncompliance; and
(3) Whether you had effective standards of conduct and control
systems (both with respect to your own organization and any contractors
or affiliates) at the time the noncompliance occurred;
(e) Whether you have demonstrated an appropriate compliance disposition,
including such factors as the following:
(1) Whether you have accepted responsibility for the noncompliance
and recognize the seriousness of the conduct that led to the cause
for issuance of the PIE;
(2) Whether you have cooperated fully with the Department during
the investigation. The Director may consider when the cooperation
began and whether you disclosed all pertinent information known
(3) Whether you have fully investigated the circumstances of the
noncompliance forming the basis for the PIE and, if so, have made
the result of the investigation available to the Director;
(4) Whether you have taken appropriate disciplinary action against
the individuals responsible for the activity that constitutes
the grounds for issuance of the PIE; and
(5) Whether your organization has taken appropriate corrective
actions or remedial measures, including implementing actions to
(f) With respect to noncompliance with a DOT agency regulation,
the degree to which the noncompliance affects matters common to
the DOT drug and alcohol testing program;
(g) Other factors appropriate to the circumstances of the case.
§40.391 What is the scope of a PIE?
(a) The scope of a PIE is the Department’s determination
about the divisions, organizational elements, types of services,
affiliates, and/or individuals (including direct employees of
a service agent and its contractors) to which a PIE applies.
(b) If, as a service agent, the Department issues a PIE concerning
you, the PIE applies to all your divisions, organizational elements,
and types of services that are involved with or affected by the
noncompliance that forms the factual basis for issuing the PIE.
(c) In the NOPE (see §40.375(b)(4)), the initiating official
sets forth his or her recommendation for the scope of the PIE.
The proposed scope of the PIE is one of the elements of the proceeding
that the service agent may contest (see §40.381(b)) and about
which the Director makes a decision (see §40.387(b)(3)).
(d) In recommending and deciding the scope of the PIE, the initiating
official and Director, respectively, must take into account the
provisions of paragraphs (e) through (j) of this section.
(e) The pervasiveness of the noncompliance within a service agent’s
organization (see §40.389(d)) is an important consideration
in determining the scope of a PIE. The appropriate scope of a
PIE grows broader as the pervasiveness of the noncompliance increases.
(f) The application of a PIE is not limited to the specific location
or employer at which the conduct that forms the factual basis
for issuing the PIE was discovered.
(g) A PIE applies to your affiliates, if the affiliate is involved
with or affected by the conduct that forms the factual basis for
issuing the PIE.
(h) A PIE applies to individuals who are officers, employees,
directors, shareholders, partners, or other individuals associated
with your organization in the following circumstances:
(1) Conduct forming any part of the factual basis of the PIE occurred
in connection with the individual’s performance of duties
by or on behalf of your organization; or
(2) The individual knew of, had reason to know of, approved, or
acquiesced in such conduct. The individual’s acceptance
of benefits derived from such conduct is evidence of such knowledge,
acquiescence, or approval.
(i) If a contractor to your organization is solely responsible
for the conduct that forms the factual basis for a PIE, the PIE
does not apply to the service agent itself unless the service
agent knew or should have known about the conduct and did not
take action to correct it.
(j) PIEs do not apply to drug and alcohol testing that DOT does
(k) The following examples illustrate how the Department intends
the provisions of this section to work:
Example 1 to §40.391. Service Agent P provides a variety
of drug testing services. P’s SAP services are involved
in a serious violation of this Part 40. However, P’s other
services fully comply with this part, and P’s overall management
did not plan or concur in the noncompliance, which in fact was
contrary to P’s articulated standards. Because the noncompliance
was isolated in one area of the organization’s activities,
and did not pervade the entire organization, the scope of the
PIE could be limited to SAP services.
Example 2 to §40.391. Service Agent Q provides a similar
variety of services. The conduct forming the factual basis for
a PIE concerns collections for a transit authority. As in Example
1, the noncompliance is not pervasive throughout Q’s organization.
The PIE would apply to collections at all locations served by
Q, not just the particular transit authority or not just in the
state in which the transit authority is located.
Example 3 to §40.391. Service Agent R provides a similar
array of services. One or more of the following problems exists:
R’s activities in several areas – collections, MROs,
SAPs, protecting the confidentiality of information – are
involved in serious noncompliance; DOT determines that R’s
management knew or should have known about serious noncompliance
in one or more areas, but management did not take timely corrective
action; or, in response to an inquiry from DOT personnel, R’s
management refuses to provide information about its operations.
In each of these three cases, the scope of the PIE would include
all aspects of R’s services.
Example 4 to §40.391. Service Agent W provides only one kind
of service (e.g., laboratory or MRO services). The Department
issues a PIE concerning these services. Because W only provides
this one kind of service, the PIE necessarily applies to all its
Example 5 to §40.391. Service Agent X, by exercising reasonably
prudent oversight of its collection contractor, should have known
that the contractor was making numerous “fatal flaws”
in tests. Alternatively, X received a correction notice pointing
out these problems in its contractor’s collections. In neither
case did X take action to correct the problem. X, as well as the
contractor, would be subject to a PIE with respect to collections.
Example 6 to §40.391. Service Agent Y could not reasonably
have known that one of its MROs was regularly failing to interview
employees before verifying tests positive. When it received a
correction notice, Y immediately dismissed the erring MRO. In
this case, the MRO would be subject to a PIE but Y would not.
Example 7 to §40.391. The Department issues a PIE with respect
to Service Agent Z. Z provides services for DOT-regulated transportation
employers, a Federal agency under the HHS-regulated Federal employee
testing program, and various private businesses and public agencies
that DOT does not regulate. The PIE applies only to the DOT-regulated
transportation employers with respect to their DOT-mandated testing,
not to the Federal agency or the other public agencies and private
businesses. The PIE does not prevent the non-DOT regulated entities
from continuing to use Z’s services.
§40.393 How long does a PIE stay in effect?
(a) In the NOPE (see §40.375(b)(5)), the initiating official
proposes the duration of the PIE. The duration of the PIE is one
of the elements of the proceeding that the service agent may contest
(see §40.381(b)) and about which the Director makes a decision
(b) In deciding upon the duration of the PIE, the Director considers
the seriousness of the conduct on which the PIE is based and the
continued need to protect employers and employees from the service
agent’s noncompliance. The Director considers factors such
as those listed in §40.389 in making this decision.
(c) The duration of a PIE will be between one and five years,
unless the Director reduces its duration under §40.407.
§40.395 Can you settle a PIE proceeding?
At any time before the Director’s decision, you and the
initiating official can, with the Director’s concurrence,
settle a PIE proceeding.
§40.397 When does the Director make a PIE decision?
The Director makes his or her decision within 60 days of the date
when the record of a PIE proceeding is complete (including any
meeting with the Director and any additional fact-finding that
is necessary). The Director may extend this period for good cause
for additional periods of up to 30 days.
§40.399 How does the Department notify service agents
of its decision?
If you are a service agent involved in a PIE proceeding, the Director
provides you written notice as soon as he or she makes a PIE decision.
The notice includes the following elements:
(a) If the decision is not to issue a PIE, a statement of the
reasons for the decision, including findings of fact with respect
to any material factual issues that were in dispute.
(b) If the decision is to issue a PIE --
(1) A reference to the NOPE;
(2) A statement of the reasons for the decision, including findings
of fact with respect to any material factual issues that were
(3) A statement of the scope of the PIE; and
(4) A statement of the duration of the PIE.
§40.401 How does the Department notify employers
and the public about a PIE?
(a) The Department maintains a document called the “List
of Excluded Drug and Alcohol Service Agents.” This document
may be found on the Department’s web site (http://www.dot.gov/ost/dapc).
You may also request a copy of the document from ODAPC.
(b) When the Director issues a PIE, he or she adds to the List
the name and address of the service agent, and any other persons
or organizations, to whom the PIE applies and information about
the scope and duration of the PIE.
(c) When a service agent ceases to be subject to a PIE, the Director
removes this information from the List.
(d) The Department also publishes a Federal Register notice to
inform the public on any occasion on which a service agent is
added to or taken off the List.
§40.403 Must a service agent notify its clients
when the Department issues a PIE?
(a) As a service agent, if the Department issues a PIE concerning
you, you must notify each of your DOT-regulated employer clients,
in writing, about the issuance, scope, duration, and effect of
the PIE. You may meet this requirement by sending a copy of the
Director’s PIE decision or by a separate notice. You must
send this notice to each client within three business days of
receiving from the Department the notice provided for in §40.399(b).
(b) As part of the notice you send under paragraph (a) of this
section, you must offer to transfer immediately all records pertaining
to the employer and its employees to the employer or to any other
service agent the employer designates. You must carry out this
transfer as soon as the employer requests it.
§40.405 May the Federal courts review PIE decisions?
The Director’s decision is a final administrative action
of the Department. Like all final administrative actions of Federal
agencies, the Director’s decision is subject to judicial
review under the Administrative Procedure Act (5 U.S.C. 551 et.
§40.407 May a service agent ask to have a PIE reduced
(a) Yes, as a service agent concerning whom the Department has
issued a PIE, you may request that the Director terminate a PIE
or reduce its duration and/or scope. This process is limited to
the issues of duration and scope. It is not an appeal or reconsideration
of the decision to issue the PIE.
(b) Your request must be in writing and supported with documentation.
(c) You must wait at least nine months from the date on which
the Director issued the PIE to make this request.
(d) The initiating official who was the proponent of the PIE may
provide information and arguments concerning your request to the
(e) If the Director verifies that the sources of your noncompliance
have been eliminated and that all drug or alcohol testing-related
services you would provide to DOT-regulated employers will be
consistent with the requirements of this part, the Director may
issue a notice terminating or reducing the PIE.
§40.409 What does the issuance of a PIE mean to
(a) As an employer, you are deemed to have notice of the issuance
of a PIE when it appears on the List mentioned in §40.401(a)
or the notice of the PIE appears in the Federal Register as provided
in §40.401(d). You should check this List to ensure that
any service agents you are using or planning to use are not subject
to a PIE.
(b) As an employer who is using a service agent concerning whom
a PIE is issued, you must stop using the services of the service
agent no later than 90 days after the Department has published
the decision in the Federal Register or posted it on its web site.
You may apply to the ODAPC Director for an extension of 30 days
if you demonstrate that you cannot find a substitute service agent
within 90 days.
(c) Except during the period provided in paragraph (b) of this
section, you must not, as an employer, use the services of a service
agent that are covered by a PIE that the Director has issued under
this subpart. If you do so, you are in violation of the Department’s
regulations and subject to applicable DOT agency sanctions (e.g.,
civil penalties, withholding of Federal financial assistance).
(d) You also must not obtain drug or alcohol testing services
through a contractor or affiliate of the service agent to whom
the PIE applies.
Example to Paragraph (d). Service Agent R was subject to a PIE
with respect to SAP services. As an employer, not only must you
not use R’s own SAP services, but you also must not use
SAP services you arrange through R, such as services provided
by a subcontractor or affiliate of R or a person or organization
that receives financial gain from its relationship with R.
(e) This section’s prohibition on using the services of
a service agent concerning which the Director has issued a PIE
applies to employers in all industries subject to DOT drug and
alcohol testing regulations.
Example to Paragraph (e). The initiating official for a PIE was
the FAA drug and alcohol program manager, and the conduct forming
the basis of the PIE pertained to the aviation industry. As a
motor carrier, transit authority, pipeline, railroad, or maritime
employer, you are also prohibited from using the services of the
service agent involved in connection with the DOT drug and alcohol
(f) The issuance of a PIE does not result in the cancellation
of drug or alcohol tests conducted using the service agent involved
before the issuance of the Director’s decision or up to
90 days following its publication in the Federal Register or posting
on the Department’s web site, unless otherwise specified
in the Director’s PIE decision or the Director grants an
extension as provided in paragraph (b) of this section.
Example to Paragraph (f). The Department issues a PIE concerning
Service Agent N on September 1. All tests conducted using N’s
services before September 1, and through November 30, are valid
for all purposes under DOT drug and alcohol testing regulations,
assuming they meet all other regulatory requirements.
§40.411 What is the role of the DOT Inspector General’s
(a) Any person may bring concerns about waste, fraud, or abuse
on the part of a service agent to the attention of the DOT Office
of Inspector General.
(b) In appropriate cases, the Office of Inspector General may
pursue criminal or civil remedies against a service agent.
(c) The Office of Inspector General may provide factual information
to other DOT officials for use in a PIE proceeding.
§40.413 How are notices sent to service agents?
(a) If you are a service agent, DOT sends notices to you, including
correction notices, notices of proposed exclusion, decision notices,
and other notices, in any of the ways mentioned in paragraph (b)
or (c) of this section.
(b) DOT may send a notice to you, your identified counsel, your
agent for service of process, or any of your partners, officers,
directors, owners, or joint venturers to the last known street
address, fax number, or e-mail address. DOT deems the notice to
have been received by you if sent to any of these persons.
(c) DOT considers notices to be received by you –
(1) When delivered, if DOT mails the notice to the last known
street address, or five days after we send it if the letter is
(2) When sent, if DOT sends the notice by fax or five days after
we send it if the fax is undeliverable; or
(3) When delivered, if DOT sends the notice by e-mail or five
days after DOTsends it if the e-mail is undeliverable.
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