Implementation Guidelines - Federal Transit Administration - U.S. ...

the employer’s representative immediately.
The DER must have a mechanism to
establish the identity of the BAT when test
results or other confidential information is
provided over the phone or electronically
(e.g., password). The EBT will produce a
printout of the test results in triplicate or
print three consecutive identical copies of
the results. The three copies of the printout
will be attached to each of the three copies
of the ATF. Copy 1 must be retained by the
BAT, Copy 2 must be provided to the
employee, and Copy 3 must be transmitted
to the employer.
Test Refusal (§40.261). Similar to
drug testing, there are a number of behaviors
defined in the regulation that constitute an
alcohol test refusal. These are listed below.
• Failure to appear for the test
within the timeframe defined by
the employer.
• Failure to remain at the testing
site until the testing process is
complete.
• Failure to attempt to provide a
specimen.
• Failure to provide sufficient
breath with no valid medical
explanation for the inability to
provide the required specimen.
• Failure to undergo a medical
examination associated with
insufficient volume procedures.
• Failure to sign the certification
on Step 2 of the ATF.
• Failure to cooperate with the
collection process.
Anytime an employee exhibits any of
these behaviors, the BAT/STT must
immediately terminate the test, notify the
DER directly, and note the test refusal on
the form.
The DOT and the FTA do not require
pre-employment alcohol testing. However,
if a DOT covered agency chooses to
perform pre-employment alcohol testing, it
may do so as long as the DOT testing
procedures are followed. (§655.41).
Applicants who do not appear for a preemployment
alcohol test or leave the
collection site prior to commencement of the
alcohol testing process are not deemed to
have refused a pre-employment alcohol test.
Insufficient Volume (§40.263;
§40.265). If an employee attempts and fails
to provide enough breath, the BAT must
instruct the employee to make another
attempt to provide a sufficient breath
specimen. The BAT should provide
additional instruction on the technique that
should be followed and coach the employee
through the process. If the second attempt is
unsuccessful, the BAT may provide another
opportunity to the employee to provide a
specimen if the BAT believes it is likely that
the next attempt would be successful.
If the individual is still unable to provide
a sufficient breath specimen, the BAT may
attempt to operate the EBT in manual mode,
or they may use a saliva ASD, if available.
If attempts are still unsuccessful, the
BAT/STT will contact the DER and note the
insufficient volume on the ATF. The
employer must then inform the employee
that he/she has 5 days to obtain a medical
evaluation from a licensed physician to
determine if the insufficient volume had a
valid medical explanation.
The physician has to be acceptable to the
employer and must have expertise in the
medical issues related to the insufficient
volume. The physician shall determine if a
medical condition is present, and if so
determine if the condition has, or with a
high degree of probability could have,
precluded the employee from providing a
Chapter 8. Alcohol Testing Procedures 8-9 August 2002