DOT D&A binder: add Section 11 — Practical Guidance for the Administrator
Adds the real-world know-how a first-time DER needs beyond the bare regs: - Owner-operators / one-driver companies (must use a consortium; cannot self-test or self-select) — the most misunderstood case. - Audits & penalties: what the new-entrant safety audit asks for and the consequences of no program (civil penalties, failed audit, out-of-service). - Problem test results: dilute, shy bladder, cancelled test, split-specimen. - Prescriptions / marijuana / CBD (marijuana prohibited regardless of state law; CBD trap; route medical questions to the MRO). - What counts as a refusal (treated as a positive). - Costs & timeline expectations. - DER do's and don'ts (act same-day, keep records separate/confidential, never tip off a random selection, don't interpret results yourself).
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@ -17,6 +17,8 @@ program under the applicable DOT testing regulation:
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8. Recordkeeping instructions + retention schedule
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9. All required compliance forms (Forms A-G), each on its own page
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10. The regulations (citations + how to read the actual rule text)
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11. Practical guidance for the administrator (owner-operators, audits/
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penalties, problem results, marijuana/CBD, refusals, costs, do's & don'ts)
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(+ optional state Drug-Free Workplace addendum)
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Output is **DOCX** so an attorney or the carrier can review and edit it. Each
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@ -428,6 +430,10 @@ def generate_da_binder(
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"use, each on its own page.",
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"**Section 10 — The Regulations.** Citations and how to read the actual "
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"rule text.",
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"**Section 11 — Practical Guidance for the Administrator.** Real-world "
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"answers: owner-operators, audits and penalties, problem test results, "
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"prescriptions/marijuana/CBD, what counts as a refusal, costs, and the "
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"DER's do's and don'ts.",
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])
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if state_dfwp:
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b.body(
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@ -985,6 +991,9 @@ def generate_da_binder(
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"counsel review this program before adoption. Questions: "
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"compliance@performancewest.com.")
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# ── Section 11 — Practical guidance for the administrator ───────────────
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_section_practical_guidance(b, meta, company, random_rate)
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# ── Optional state DFWP addendum ───────────────────────────────────────
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if state_dfwp:
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b.page_break()
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@ -1019,6 +1028,152 @@ def generate_da_binder(
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return str(out)
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# ── Section 11 — Practical guidance ─────────────────────────────────────────
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def _section_practical_guidance(b, meta, company, random_rate):
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b.page_break()
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b.h1("Section 11 — Practical Guidance for the Administrator")
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b.body(
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"The regulations tell you what to do; this section covers the real-"
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"world questions a program administrator runs into. It is practical "
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"guidance, not legal advice — when a situation is serious or unclear, "
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"call your C-TPA/MRO or counsel.")
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b.h2("Owner-operators and one-driver companies")
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b.body(
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"This is the most misunderstood situation. If you are an owner-operator "
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"or a one-driver carrier, you are **both the employer and the covered "
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"employee** — and you may **not** test yourself or run your own random "
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"selection.")
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b.bullets([
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"You **must** join a consortium (C-TPA). The consortium puts you in a "
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"pool with other drivers and does the random selection for you, so the "
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"selection is genuinely random and out of your hands.",
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"You cannot be your own DER for results handling in a way that defeats "
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"the rule; the C-TPA/MRO handles results and notifies you.",
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"You still need a pre-employment negative, you are still subject to "
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"random/post-accident/reasonable-suspicion (someone else must observe "
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"for reasonable suspicion), and you still keep all records.",
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"When you add a driver, you become the employer for that driver and "
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"take on full DER duties for them.",
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])
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b.h2("Audits, penalties, and the new-entrant safety audit")
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b.body(
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"A new motor carrier typically gets a **new-entrant safety audit** in "
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"its first 12 months, and any carrier can be audited later. The "
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"auditor will ask to see your testing program. Have these ready:")
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b.bullets([
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"Your written policy and signed employee acknowledgments (Form A).",
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"Proof of consortium/C-TPA enrollment and your random-selection records "
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"and annual rate calculation.",
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"Pre-employment negative results for every driver before they drove.",
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"Supervisor training certificates (Form F).",
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"Any post-accident, reasonable-suspicion, return-to-duty, and follow-up "
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"records.",
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])
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if meta.get("clearinghouse"):
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b.bullets([
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"FMCSA Clearinghouse: proof of pre-employment full queries and "
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"annual limited queries on every CDL driver, and that you reported "
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"any violations.",
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])
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b.body(
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"**Why this matters:** missing or no testing program is one of the most "
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"common automatic safety-audit failures. It can lead to civil "
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"penalties, a failed new-entrant audit (revoked operating authority), "
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"and drivers placed **out of service**. A driver who tests positive, "
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"refuses, or is 'prohibited' may not operate a CMV.")
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b.h2("Problem test results — what to do")
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b.body("Not every test comes back a clean negative. Know these:")
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b.bullets([
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"**Dilute (negative-dilute):** usually you may (and sometimes must) "
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"direct an immediate recollection under your policy — follow the MRO's "
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"instruction. A positive-dilute is treated as a positive.",
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"**Shy bladder / insufficient specimen:** the collector follows a set "
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"procedure (water, up to three hours). If the employee still cannot "
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"provide enough, the MRO refers them for a medical evaluation; an "
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"unexplained failure is a **refusal**.",
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"**Cancelled test:** a test cancelled for a fatal/correctable flaw is "
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"neither positive nor negative; the MRO/C-TPA will tell you whether a "
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"recollection is required (for pre-employment, return-to-duty, and "
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"follow-up tests, a recollection is required).",
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"**Split-specimen request:** an employee may, within 72 hours of being "
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"told of a verified positive/adulterated/substituted result, request "
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"that the split (Bottle B) be tested at a second lab — at their cost. "
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"Do not remove this right; the MRO handles it.",
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])
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b.h2("Prescriptions, marijuana, and CBD")
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b.bullets([
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"**Marijuana is prohibited** for safety-sensitive employees under "
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"federal law **regardless of state legalization** or a state medical-"
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"marijuana card. A marijuana positive is a violation.",
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"**CBD is a trap.** CBD products are unregulated and may contain enough "
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"THC to cause a positive. Using CBD is **not** a valid medical "
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"explanation to the MRO. Warn your drivers in writing.",
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"**Legitimate prescriptions:** the MRO — not you — evaluates whether a "
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"prescription explains a positive. Drivers should keep prescriptions "
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"current and tell the MRO (not the employer) if contacted. A driver "
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"must not perform safety-sensitive duty on any medication a prescriber "
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"has warned against.",
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"Do not ask drivers to disclose their medications to you; that can "
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"create ADA/privacy problems. Route medical questions to the MRO.",
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])
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b.h2("What counts as a refusal")
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b.body(
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"A refusal is treated exactly like a verified positive and triggers the "
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"full return-to-duty process. Refusals include:")
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b.bullets([
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"Failing to appear for a test within a reasonable time, or leaving the "
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"collection site before the process is complete.",
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"Failing to provide a specimen (without a valid medical reason), or "
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"failing the shy-bladder/insufficient-specimen evaluation.",
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"Refusing to be observed for a directly observed (return-to-duty or "
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"follow-up) collection.",
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"Adulterating, substituting, or tampering with a specimen, or admitting "
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"the specimen was altered.",
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"Failing or declining to take a second test the employer or collector "
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"directs.",
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])
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b.body(
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"Document the time and circumstances (Form C is useful here) and treat "
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"it as a violation — do not let the employee continue safety-sensitive "
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"work.")
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b.h2("Costs and timeline — set expectations")
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b.bullets([
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"Typical out-of-pocket costs: consortium/C-TPA enrollment and per-"
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"driver annual fees, the per-test collection/lab/MRO fee, and "
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"supervisor training. Your provider can give you current pricing.",
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"A pre-employment result is usually back within a couple of business "
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"days (longer if the MRO must investigate a non-negative).",
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"After a violation, the SAP and return-to-duty process is typically "
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"weeks to months and is generally at the employee's expense; you are "
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"not required to return anyone to duty.",
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])
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b.h2("DER do's and don'ts")
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b.bullets([
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"**Do** act on a positive/refusal the **same day** — remove the "
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"employee from safety-sensitive duty immediately.",
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"**Do** keep D&A records **separate and confidential** — not in the "
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"general personnel file, and not shared with people who don't need to "
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"know.",
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"**Do** keep your consortium roster current; an out-of-date roster "
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"skews your random rate and fails audits.",
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"**Don't** warn or 'tip off' a randomly selected employee, delay their "
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"collection, or let them go home first.",
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"**Don't** accept a home/instant test or a non-DOT test in place of a "
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"DOT-required test.",
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"**Don't** try to interpret results yourself — the MRO verifies; you "
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"act on what the MRO/C-TPA reports.",
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"**When in doubt, call** your C-TPA, MRO, or counsel before acting. "
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"Questions: compliance@performancewest.com.",
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])
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# ── Header / footer ─────────────────────────────────────────────────────────
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def _add_header_footer(doc, meta, carrier_name):
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section = doc.sections[0]
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