Last Updated: 05/28/2023
DOT Rules and Regulations / Part 40: Drug and Alcohol Regulations / Subpart M - Alcohol Confirmation Tests
§ 40.251 What are the first steps in an alcohol confirmation test?
As the BAT for an alcohol confirmation test, you must follow these steps to begin the confirmation test process:
(a) You must carry out a requirement for a waiting period before the confirmation test, by taking the following steps:
(1) You must ensure that the waiting period lasts at least 15 minutes, starting with the completion of the screening test. After the waiting period has elapsed, you should begin the confirmation test as soon as possible, but not more than 30 minutes after the completion of the screening test.
(i) If the confirmation test is taking place at a different location from the screening test (see § 40.247(b)(3)) the time of transit between sites counts toward the waiting period if the STT or BAT who conducted the screening test provided the waiting period instructions.
(ii) If you cannot verify, through review of the ATF, that waiting period instructions were provided, then you must carry out the waiting period requirement.
(iii) You or another BAT or STT, or an employer representative, must observe the employee during the waiting period.
(2) Concerning the waiting period, you must tell the employee:
(i) Not to eat, drink, put anything (e.g., cigarette, chewing gum) into his or her mouth, or belch;
(ii) The reason for the waiting period (i.e., to prevent an accumulation of mouth alcohol from leading to an artificially high reading);
(iii) That following your instructions concerning the waiting period is to the employee's benefit; and
(iv) That the confirmation test will be conducted at the end of the waiting period, even if the instructions have not been followed.
(3) If you become aware that the employee has not followed the instructions, you must note this on the “Remarks” line of the ATF.
(b) If you did not conduct the screening test for the employee, you must require positive identification of the employee, explain the confirmation procedures, and use a new ATF. You must note on the “Remarks” line of the ATF that a different BAT or STT conducted the screening test.
(c) Complete Step 1 of the ATF.
(d) 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 test.
(e) Even if more than 30 minutes have passed since the screening test result was obtained, you must begin the confirmation test procedures in § 40.253, not another screening test.
(f) You must note on the “Remarks” line of the ATF the time that elapsed between the two events, and if the confirmation test could not begin within 30 minutes of the screening test, the reason why.
(g) Beginning the confirmation test procedures after the 30 minutes have elapsed does not invalidate the screening or confirmation tests, but it may constitute a regulatory violation subject to DOT agency sanction.
§ 40.253 What are the procedures for conducting an alcohol confirmation test?
As the BAT conducting an alcohol confirmation test, you must follow these steps in order to complete the confirmation test process:
(a) In the presence of the employee, you must conduct an air blank on the EBT you are using before beginning the confirmation test and show the reading to the employee.
(1) If the reading is 0.00, the test may proceed. If the reading is greater than 0.00, you must conduct another air blank.
(2) If the reading on the second air blank is 0.00, the test may proceed. If the reading is greater than 0.00, you must take the EBT out of service.
(3) If you take an EBT out of service for this reason, no one may use it for testing until the EBT is found to be within tolerance limits on an external check of calibration.
(4) You must proceed with the test of the employee using another EBT, if one is available.
(b) You must open a new individually wrapped or sealed mouthpiece in view of the employee and insert it into the device in accordance with the manufacturer's instructions.
(c) You must ensure that you and the employee read the unique test number displayed on the EBT.
(d) You must 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.
(e) You must show the employee the result displayed on the EBT.
(f) You must show the employee the result and unique test number that the EBT prints out either directly onto the ATF or onto a separate printout.
(g) If the EBT provides a separate printout of the result, you must attach the printout to the designated space on the ATF with tamper-evident tape, or use a self-adhesive label that is tamper-evident.
[65 FR 79526, Dec. 19, 2000, as amended at 66 FR 41954, Aug. 9, 2001]
§ 40.255 What happens next after the alcohol confirmation test result?
(a) After the EBT has printed the result of an alcohol confirmation test, you must, as the BAT, take the following additional steps:
(1) Sign and date Step 3 of the ATF.
(2) If the alcohol confirmation test result is lower than 0.02, nothing further is required of the employee. As the BAT, you must sign and date Step 3 of the ATF.
(3) If the alcohol confirmation test result is 0.02 or higher, direct the employee to sign and date Step 4 of the ATF. If the employee does not do so, you must note this on the “Remarks” line of the ATF. However, this is not considered a refusal to test.
(4) If the test is invalid, tell the employee the test is cancelled and note the problem on the “Remarks” line of the ATF. If practicable, conduct a re-test. (see § 40.271).
(5) Immediately transmit the result directly to the DER in a confidential manner.
(i) You may transmit the results using Copy 1 of the ATF, in person, by telephone, or by electronic means. In any case, you must immediately notify the DER of any result of 0.02 or greater by any means (e.g., telephone or secure fax machine) that ensures the result is immediately received by the DER. You must not transmit these results through C/TPAs or other service agents.
(ii) If you do not make the initial transmission in writing, you must follow up the initial transmission with Copy 1 of the ATF.
(b) As an employer, you must take the following steps with respect to the receipt and storage of alcohol test result information:
(1) If you receive any test results that are not in writing (e.g., by telephone or electronic means), you must establish a mechanism to establish the identity of the BAT sending you the results.
(2) You must store all test result information in a way that protects confidentiality.
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