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Subpart L - Alcohol Screening Tests
§40.241 What are the first steps in any alcohol
As the BAT or STT you will take the following steps to begin all
alcohol screening tests, regardless of the type of testing device
you are using:
(a) When a specific time for an employee's test has been scheduled,
or the collection site is at the employee’s worksite, and
the employee does not appear at the collection site at the scheduled
time, contact the DER to determine the appropriate interval within
which the DER has determined the employee is authorized to arrive.
If the employee's arrival is delayed beyond that time, you must
notify the DER that the employee has not reported for testing.
In a situation where a C/TPA has notified an owner/operator or
other individual employee to report for testing and the employee
does not appear, the C/TPA must notify the employee that he or
she has refused to test.
(b) Ensure that, when the employee enters the alcohol testing
site, you begin the alcohol testing process without undue delay.
For example, you must not wait because the employee says he or
she is not ready or because an authorized employer or employee
representative is delayed in arriving.
(1) If the employee is also going to take a DOT drug test, you
must, to the greatest extent practicable, ensure that the alcohol
test is completed before the urine collection process begins.
(2) If the employee needs medical attention (e.g., an injured
employee in an emergency medical facility who is required to have
a post-accident test), do not delay this treatment to conduct
(c) Require the employee to provide positive identification. You
must see a photo ID issued by the employer (other than in the
case of an owner-operator or other self-employer individual) or
a Federal, state, or local government (e.g., a driver’s
license). You may not accept faxes or photocopies of identification.
Positive identification by an employer representative (not a co-worker
or another employee being tested) is also acceptable. If the employee
cannot produce positive identification, you must contact a DER
to verify the identity of the employee.
(d) If the employee asks, provide your identification to the employee.
Your identification must include your name and your employer’s
name but is not required to include your picture, address, or
(e) Explain the testing procedure to the employee, including showing
the employee the instructions on the back of the ATF.
(f) Complete Step 1 of the ATF.
(g) Direct the employee to complete Step 2 on the ATF and sign
the certification. If the employee refuses to sign this certification,
you must document this refusal on the “Remarks” line
of the ATF and immediately notify the DER. This is a refusal to
§40.243 What is the procedure for an alcohol screening
test using an EBT or non-evidential breath ASD?
As the BAT or STT, you must take the following steps:
(a) Select, or allow the employee to select, an individually wrapped
or sealed mouthpiece from the testing materials.
(b) Open the individually wrapped or sealed mouthpiece in view
of the employee and insert it into the device in accordance with
the manufacturer's instructions.
(c) Instruct the employee to blow steadily and forcefully into
the mouthpiece for at least six seconds or until the device indicates
that an adequate amount of breath has been obtained.
(d) Show the employee the displayed test result.
(e) If the device is one that prints the test number, testing
device name and serial number, time, and result directly onto
the ATF, you must check to ensure that the information has been
printed correctly onto the ATF.
(f) If the device is one that prints the test number, testing
device name and serial number, time and result, but on a separate
printout rather than directly onto the ATF, you must affix the
printout of the information to the designated space on the ATF
with tamper-evident tape or use a self-adhesive label that is
(g) If the device is one that does not print the test number,
testing device name and serial number, time, and result, or it
is a device not being used with a printer, you must record this
information in Step 3 of the ATF.
§40.245 What is the procedure for an alcohol screening
test using a saliva ASD?
As the STT, you must take the following steps:
(a) Check the expiration date on the device and show it to the
employee. You may not use the device after its expiration date.
(b) Open an individually wrapped or sealed package containing
the device in the presence of the employee.
(c) Offer the employee the opportunity to use the device. If the
employee uses it, you must instruct the employee to insert it
into his or her mouth and use it in a manner described by the
(d) If the employee chooses not to use the device, or in all cases
in which a new test is necessary because the device did not activate
(see paragraph (g) of this section), you must insert the device
into the employee's mouth and gather saliva in the manner described
by the device’s manufacturer. You must wear single-use examination
or similar gloves while doing so and change them following each
(e) When the device is removed from the employee’s mouth,
you must follow the manufacturer’s instructions regarding
necessary next steps in ensuring that the device has activated.
(f)(1) If you were unable to successfully follow the procedures
of paragraphs (c) through (e) of this section (e.g., the device
breaks, you drop the device on the floor), you must discard the
device and conduct a new test using a new device.
(2) The new device you use must be one that has been under your
control or that of the employer before the test.
(3) You must note on the “Remarks” line of the ATF
the reason for the new test. (Note: You may continue using the
same ATF with which you began the test.)
(4) You must offer the employee the choice of using the device
or having you use it unless the employee, in the opinion of the
STT or BAT, was responsible (e.g., the employee dropped the device)
for the new test needing to be conducted.
(5) If you are unable to successfully follow the procedures of
paragraphs (c) through (e) of this section on the new test, you
must end the collection and put an explanation on the “Remarks”
line of the ATF.
(6) You must then direct the employee to take a new test immediately,
using an EBT for the screening test.
(g) If you are able to successfully follow the procedures of paragraphs
(c) - (e) of this section, but the device does not activate, you
must discard the device and conduct a new test, in the same manner
as provided in paragraph (f) of this section. In this case, you
must place the device into the employee's mouth to collect saliva
for the new test.
(h) You must read the result displayed on the device no sooner
than the device’s manufacturer instructs. In all cases the
result displayed must be read within 15 minutes of the test. You
must then show the device and its reading to the employee and
enter the result on the ATF.
(i) You must never re-use devices, swabs, gloves or other materials
used in saliva testing.
(j) You must note the fact that you used a saliva ASD in Step
3 of the ATF.
§40.247 What procedures does the BAT or STT follow
after a screening test result?
(a) If the test result is an alcohol concentration of less than
0.02, as the BAT or STT, you must do the following:
(1) Sign and date Step 3 of the ATF; and
(2) Transmit the result to the DER in a confidential manner, as
provided in §40.255 .
(b) If the test result is an alcohol concentration of 0.02 or
higher, as the BAT or STT, you must direct the employee to take
a confirmation test.
(1) If you are the BAT who will conduct the confirmation test,
you must then conduct the test using the procedures beginning
at §40.251 .
(2) If you are not the BAT who will conduct the confirmation test,
direct the employee to take a confirmation test, sign and date
Step 3 of the ATF, and give the employee Copy 2 of the ATF.
(3) If the confirmation test will be performed at a different
site from the screening test, you must take the following additional
(i) Advise the employee not to eat, drink, put anything (e.g.,
cigarette, chewing gum) into his or her mouth, or belch;
(ii) Tell the employee the reason for the waiting period required
by §40.251(a) (i.e., to prevent an accumulation of mouth
alcohol from leading to an artificially high reading);
(iii) Explain that following your instructions concerning the
waiting period is to the employee's benefit;
(iv) Explain that the confirmation test will be conducted at the
end of the waiting period, even if the instructions have not been
(v) Note on the “Remarks” line of the ATF that the
waiting period instructions were provided;
(vi) Instruct the person accompanying the employee to carry a
copy of the ATF to the BAT who will perform the confirmation test;
(vii) Ensure that you or another BAT, STT, or employer representative
observe the employee as he or she is transported to the confirmation
testing site. You must direct the employee not to attempt to drive
a motor vehicle to the confirmation testing site.
(c) If the screening test is invalid, you must, as the BAT or
STT, tell the employee the test is cancelled and note the problem
on the “Remarks” line of the ATF. If practicable,
repeat the testing process (see §40. 271 ).
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