Num.

Question

Comment(s) / Regulatory Citation(s)

STANDARD COLLECTION WITH NEGATIVE RESULT: Did the collector complete a standard collection with no incorrect or missed steps?

Upon arrival of an employee at the collection site, does the collector positively identify the individual by photo-identification?

To begin all alcohol screening tests, the STT will require the employee to provide positive identification. (Section 40. 241(c))

Was the employee required to sign a consent form?

Do not require an employee to sign a consent, release, waiver of liability, or indemnification agreement with respect to any part of the drug or alcohol testing process covered by this part (including, but not limited to, collections, laboratory testing, MRO, and SAP services). (Section 40. 355(a))

If the employee is also going to take a DOT drug test, was the alcohol test administered first?

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. (Section 40. 241))

Did the STT explain the testing procedure to the employee and/or show the employee the instructions on the back of the ATF?

Explain the testing procedure to the employee, including showing the employee the instructions on the back of the ATF. (Section 40. 241(e))

Did the STT use the breath alcohol testing form prescribed in Part 40?

The form should have “U. S. Department of Transportation (DOT) Breath Alcohol Testing Form” printed across the top. The form should be a carbonless-manifold printed in triplicate. (Section 40. 225(a))

Did the STT complete Step 1 on the Breath Alcohol Testing Form?

The STT shall complete Step 1 on the Breath Alcohol Testing Form. (Section 40. 241(f))

Did the STT then ask the employee to complete Step 2 on the form, signing the certification?

The employee shall then complete Step 2 on the form, signing the certification. (Section 40. 241(g))

Did the STT check the expiration date on the device and show it to the employee?

Check the expiration date on the device and show it to the employee. Do not use the device after its expiration date. (Section 40. 245(b))

Did the STT open an individually wrapped or sealed package containing the device in the presence of the employee?

Open an individually wrapped or sealed package containing the device in the presence of the employee. (Section 40. 245(b))

Did the STT offer the employee the opportunity to use the device?

Offer the employee the opportunity to use the device. If the employee uses it, instruct the employee to insert it into his or her mouth and use it in a manner described by the device's manufacturer. (Section 40. 245(c))

Did the STT note the fact that a saliva test was used in Step 3 of the ATF?

Note the fact that you used saliva ASD in Step 3 of the ATF. (Section 40. 245(j))

INSTRUCT THE STT TO COMPLETE THE TEST AS IF THE RESULT WAS 0. 02 OR GREATER

Did the STT direct the employee to take a confirmation test, sign and date Step 3 of the ATF?

If the test result is an alcohol concentration of 0. 02 or higher, as the BAT or STT, direct the employee to take a confirmation test. (1) The BAT who conducts the confirmation test, must then conduct the test using the procedures beginning at Section 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. (Section 40. 247(b))

Did the STT advise the employee not to eat, drink, belch, or put anything (e. g. , cigarette, chewing gum) into his or her mouth?

Advise the employee not to eat, drink, belch, or put anything (e. g. , cigarette, chewing gum) into his or her mouth. (Section 40. 247(b)(3)(i))

Did the STT note on the “Remarks” line of the ATF that the waiting period instructions were provided?

Note on the “Remarks” line of the ATF that the waiting period instructions were provided. (Section 40. 247(b)(3)(v))

Did the STT then distribute the three parts of the form as provided? Was Copy 1 (white) transmitted to the employer? Was Copy 2 (green) provided to the employee? Was Copy 3 (blue) retained by the STT?

Were all necessary equipment, personnel, and materials for breath testing provided at the location where testing is conducted?

If you are operating an alcohol-testing site, you must ensure that it has all needed personnel, materials, equipment, and facilities to provide for the collection and analysis of breath and/or saliva samples, and a suitable clean surface for writing. If an alcohol testing site fully meeting all the visual and aural privacy requirements of paragraph (c) is not readily available, this part allows a reasonable suspicion or post-accident test to be conducted at a site that partially meets these requirements. In this case, the site must afford visual and aural privacy to the employee to the greatest extent practicable. An alcohol-testing site can be in a medical facility, a mobile facility (e. g. , a van), a dedicated collection facility, or any other location meeting the requirements of this section. (Section 40. 221(d)(f))

Did the STT conduct alcohol testing in a location that affords visual and aural privacy to the individual being tested, sufficient to prevent unauthorized persons from seeing or hearing test results?

While operating an alcohol-testing site, ensure that it provides visual and aural privacy to the employee being tested, sufficient to prevent unauthorized persons from seeing or hearing test results. (Section 40. 221(c), Section 40. 223))

Did the auditor observe that the STT did not leave the alcohol testing location while the testing procedure for a given employee was in progress?

You are not allowed to leave the alcohol-testing site while the testing process for a given employee is in progress, except to notify a supervisor or contact a DER for assistance in the case an employee or other person who obstructs, interferes with, or unnecessarily delays the testing process. (Section 40. 223(e)(3))

WE NOW HAVE SOME QUESTIONS ABOUT TESTING.

How does the employee get to the confirmation-testing site?

Ensure that the BAT, STT, or employer representative observes the employee as he or she is transported to the confirmation-testing site. Direct the employee not to attempt to drive a motor vehicle to the confirmation-testing site. (Section 40. 247(b)(3)(vii))

How are results transmitted to the DER in a confidential manner?

Transmit the result to the DER in a confidential manner, as provided in Section 40. 255. (Section 40. 247(a)(2))

If the result of the screening test is negative, what parts of the ATF are completed?

If the test result is an alcohol concentration of less than 0. 02, sign and date Step 3 of the ATF. (Section 40. 247(a)(1))

If the employee is unconscious or dead, would you conduct a post accident test with the ATS?

The FTA regulations do not provide authority for testing unless the individual is able to give consent. (Section 40. 73))

Can a confirmation test be conducted using a swab?

EBTs on the NHTSA CPL for evidential devices that meet the requirements of paragraph (b) of this section are the only devices permitted for use in conducting alcohol confirmation tests under this part. (Section 40. 231(a))

What is done if the swab is accidentally dropped on the floor before test results are read?

If unable to successfully follow the procedures of paragraphs (c) through (e) of this section (e. g. , the device breaks, device dropped on the floor), discard the device and conduct a new test using a new device. (Section 40. 245(f)(1))

If the test is being repeated because the first swab was dropped on the floor before the reading was taken, is a notation made of why a second test is being conducted?

Note on the “Remarks” line of the ATF the reason for the new test. (Note: The same ATF that began the test may continue to be used. ) (Section 40. 245(f)(3))

What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol-screening test?

Conduct a new screening test using a new screening device. (Section 40. 263(a)(1))

If the screening test is invalid, what do you tell the employee?

If the screening test is invalid, the BAT or STT must 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 Section 40. 271). (Section 40. 247(c))

If the employee refuses to sign step 2, is that a refused test?

The employee is considered to have refused to take an alcohol test if he or she refuses to sign the certification at Step 2 of the ATF. (Section 40. 261(a)(6))

What is done if the employee terminates testing because of a refusal to provide a saliva sample?

There are three procedures (a) Record the event in the remarks section of the form; (b) Terminate the testing process; and (c) Immediately notify the employer. (Section 40. 265(b)(1))

May I see a copy of the new Part 40 regulations?

Collectors in the DOT drug testing program, must meet each of the requirements of this section: Basic information. Collectors must be knowledgeable about this part, the current “DOT Urine Specimen Collection Procedures Guidelines,” and DOT agency regulations applicable to the employers for whom collections are performed, and collectors must keep current on any changes to these materials. The DOT Urine Specimen Collection Procedures Guidelines document is available from ODAPC (Department of Transportation, 400 7th Street, SW. , Room 10403, Washington DC, 20590, 202-366-3784, or on the ODAPC web site. (Section 40. 11(a), Section 40. 33))

Is there one designated employer representative (and an alternate) at the transit operation with which you communicate alcohol-testing results, or are there several persons?

Ask or verify. All communications by STTs to the employer concerning the alcohol testing results of employees are to be made to a designated employer representative (Section 40. 255(5)(i))

WE HAVE SOME QUESTIONS FOR THE PERSON WHO COMMUNICATES POSITIVE RESULTS, AND THE PERSON RESPONSIBLE FOR OVERSIGHT OF THE TESTING

QUALIFICATIONS OF THE STT:

Were the proper STT training and qualification documents maintained at the testing site?

May I see evidence that the collectors have been trained to proficiency in the alcohol testing procedures of Part 40?

Verify that the STTS have been “trained to proficiency. ” (Section 40. 213))

How many consecutive error-free mock tests must the STTs complete in training in order to pass?

Initial Proficiency Demonstration. Following completion of qualification training under paragraph (b) of this section, proficiency in alcohol testing under this part by completing five consecutive error-free mock tests must be demonstrated. Another person must monitor and evaluate the STT’s performance, in person or by a means that provides real-time observation and interaction between the instructor and trainee, and attest in writing that the mock collections are “error-free. ” This person must be an individual who meets the requirements of paragraph (b)(4) of this section. (Section 40. 213 (C)(1))

How frequently must the STTs satisfactorily complete refresher training?

Refresher training. No less frequently than every five years from the date on which the STT satisfactorily completed the requirements of paragraphs (b) and (c) of this section, the STT must complete refresher training that meets all the requirements of paragraphs (b) and (c) of this section. (Section 40. 213(e))

What problems, which left uncorrected, will cause an alcohol test to be cancelled?

Ask The BAT or STT, or employer, must cancel an alcohol test if any of the following problems occur, unless they are corrected. These are “correctable flaws. ” The problems are: The BAT or STT does not sign the ATF (see Section 40. 247(a)(1) and 40. 255(a)(1)). The BAT or STT fails to note on the “Remarks” line of the ATF that the employee has not signed the ATF after the result is obtained (see Section 40. 255(a)(2)). The BAT or STT uses a non-DOT form for the test (see Section 40. 225(a). (Section 40. 269(a)(b)(c))

What is the procedure if someone fails to arrive for his or her scheduled appointment?

When a specific time for an employee's test has been scheduled, or the collection site is at the employee's work site, 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, notify the DER that the employee has not reported for testing. This is a refusal to take a DOT drug test (see Section 40. 191. ) (Section 40. 241(a))

Was the Saliva Alcohol Collection Site prepared for the audit team, and did the vendor cooperate with the audit team and facilitate the audit process, including producing the required records?

THAT WAS THE FINAL QUESTION. THANK YOU FOR YOUR TIME AND INPUT.