[Federal Register Volume 60, Number 76 (Thursday, April 20, 1995)]
[Rules and Regulations]
[Pages 19675-19681]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-9552]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
49 CFR Part 40
[Docket 50018]
RIN 2105-AC20
Procedures for Transportation Workplace Drug and Alcohol Testing
Programs; Procedures for Non-Evidential Alcohol Screening Devices
AGENCY: Office of the Secretary, DOT.
ACTION: Final rule; request for comments.
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SUMMARY: When the Department of Transportation published its final
alcohol testing rules in February 1994, it said that if non-evidential
screening devices were approved, the devices could be used for
screening tests in DOT-mandated alcohol testing programs. Several such
devices have now been determined by the National Highway Traffic Safety
Administration to be capable of detecting the presence of alcohol at
the 0.02 or greater level of alcohol concentration. This rule
establishes procedures for the use of these devices.
DATES: This rule is effective May 22, 1995. Comments on amendments to
Secs. 40.59(c), 40.63(d)(1), and 40.63(e)(2) should be received by June
5, 1995. Late-filed comments will be considered to the extent
practicable.
FOR FURTHER INFORMATION CONTACT: Albert Alvarez, Director, Department
of Transportation, Office of Drug Enforcement and Program Compliance,
400 7th Street SW., Washington, DC 20590, Room 9404A, 202-366-3784; or
Robert C. Ashby, Deputy Assistant General Counsel for Regulation and
Enforcement, 400 7th Street SW., Room 10424, Washington, DC 20590; 202-
366-9306.
SUPPLEMENTARY INFORMATION:
Background
When the Department published its final alcohol testing rules on
February 15, 1994 (59 FR 7302 et seq.), the Department established
breath testing, using evidential breath testing devices (EBTs), as the
method to be used. However, in response to comments requesting
additional flexibility in testing methods, the Department said that--
NHTSA [the National Highway Traffic Safety Administration] will
develop model specifications (using precision and accuracy
criteria), evaluate additional screening devices against them, and
periodically publish a conforming products list of those additional
screening devices (not exclusively breath testing devices) that meet
the model specifications. * * * Please note that the Department will
also have to undertake separate rulemaking proceedings to establish
procedures for the use of any devices after they are approved. (Id.
at 7316.)
NHTSA published model specifications, tested several screening
devices and, on December 2, 1994, published a conforming products list
(CPL) including four non-evidential breath testing devices and one
saliva testing device. As noted in the February 15 common preamble
cited above, before these devices can be used in DOT alcohol testing
programs, this procedural rule has to be issued. When this rule becomes
effective, employers may begin using the approved non-evidential
screening devices.
We emphasize that these devices may be used only for alcohol
screening tests. Confirmation tests must be performed on EBTs. To the
greatest extent feasible, we have drafted these procedures to
incorporate the same basic requirements as the existing alcohol testing
procedures. This makes the procedures simple and achieves the
flexibility that is the goal of using non-evidential devices.
Comments and Responses
As of the close of the comment period, the Department received 23
comments on the January 17, 1995, notice of proposed rulemaking (NPRM)
for this rule (60 FR 3371). Ten of these comments were from employers
or employer associations, another 10 were from manufacturers or
distributors of breath testing equipment, and three were from other
testing industry participants. The comments focused on several issues.
Interval Between Screening and Confirmation Tests
In the NPRM leading to the February 15, 1994, final rule on alcohol
testing procedures (57 FR 59416; December 15, 1992), the Department
proposed a 15-minute waiting period before the confirmation test. The
purpose of this waiting period was to ensure that residual mouth
alcohol did not artificially raise the confirmation test result. The
Department had considered, [[Page 19676]] and asked for comment on, the
idea of requiring such a waiting period before all screening tests, but
we decided against proposing such a requirement because it would waste
employers' and employees' time in the great majority of screening tests
that we expect to be negative. Because the Department believed, and
notable forensic experts in the alcohol testing field agreed, that the
confirmation test should follow the screening test as immediately as
possible, the Department proposed a maximum of 20 minutes (i.e., no
more than 5 minutes beyond the 15-minute waiting period) between the
two tests. The NPRM said that--
The purpose of establishing a maximum limit for the waiting
period is to prevent the manipulation of confirmation results by
affording time for the metabolism of alcohol so that results will be
lower than first recorded on the initial test. Should there be
greater flexibility in the timing of confirmation tests? (Id.)
In the final rule (59 FR 7351; February 15, 1994), the Department
retained the 15-20-minute interval between the screening and
confirmation tests. The preamble discussion of this issue was as
follows:
There were 29 comments concerning the waiting period before the
confirmation test, fifteen of which supported the 15-minute minimum
time proposed in the NPRM. Four comments wanted a shorter interval
(e.g., two or five minutes) and four supported a longer interval
(e.g., 20 or 30 minutes). Two comments opposed any requirement
concerning an interval. Six comments either wanted no maximum
waiting time or preferred to rely on the employer's or EBT
manufacturer's discretion.
The waiting period is important. It is intended to give the
employee the opportunity to ensure that any residual mouth alcohol
does not influence the result of the confirmation test. According to
the Department's information, fifteen minutes is the minimum period
after which one can be confident that any residual mouth alcohol has
disappeared. A shorter interval is not feasible for this reason. At
the same time, waiting a long period between tests can be costly in
terms of lost employee time and could influence the outcome of the
confirmation test. In order to guard against lengthy delays in the
performance of confirmation tests, which can allow alcohol
concentration levels to fall, the final rule retains the 20-minute
maximum. It should be pointed out that failing to observe the
minimum 15-minute period is a ``fatal flaw'' (see Sec. 40.79(a)),
automatically invalidating a test. This is because the Department
believes it is important to prevent artificially high readings due
to mouth alcohol residue. However, taking longer than 20 minutes
between tests is not a ``fatal flaw.'' The Department is aware that
circumstances may sometimes result in stretching the time between
tests for a few additional minutes. (Id.)
In establishing the 15-20-minute interval, then, the Department
considered and decided the issue based on a specific request for and
review of comments.
In the NPRM leading to this final rule, the Department again
addressed this issue.
Confirmation tests must be performed on EBTs, within 20 minutes
of the screening test, as provided in existing 49 CFR 40.65(b). The
Department is aware that increasing this interval for situations in
which non-evidential devices are used could provide additional
flexibility to employers, by increasing the distance that a non-
evidential screening test could be conducted away from a
confirmation EBT. However, as noted in the preamble to the February
15, 1994, final Part 40 rule, conducting the confirmation test
within a brief time from the screening test is important to prevent
metabolization of alcohol over time from negating what would
otherwise be ``positive'' test results. This is no less true in a
case where the screening test is conducted on a non-evidential
device than where the screening test is conducted on an EBT. For
this reason, the Department is not proposing to increase this
interval, though we seek comment on the degree to which an increased
interval between screening and confirmation tests could increase the
utility of non-evidential devices, without concomitant loss of
otherwise positive tests. (60 FR 3371; January 17, 1995.)
The Department received 11 comments on this issue. Four of these
comments, all from breath testing equipment manufacturers or
distributors, recommended retaining the 15-20-minute timeframe for
completing tests. One commented that even a brief increase (e.g., five
minutes) in the interval could result in losing otherwise positive
results. Seven comments (5 employers or employer associations and 2
testing service providers) recommended increasing the interval. The
longer intervals they suggested included 30 minutes, one hour, and two
hours. Their basic rationale was that if employers had to get an
employee from a field site where a non-evidential device was used for a
screening test to a site where an EBT was available within 20 minutes,
it would deter the use of non-evidential screening devices and limit
the cost savings and increased flexibility that would result from using
such devices. Two of the comments said that the loss of otherwise
positive tests could be a small one.
The Department established consequences for employees testing at
the .02 and .04 alcohol concentration levels because even these low
levels of alcohol concentration can adversely affect the performance of
safety-sensitive functions by transportation employees. If, because
long periods of time intervene between screening and confirmation
tests, significant numbers of individuals with such alcohol
concentrations are able to avoid the consequences of their conduct, the
deterrent effects and safety benefits of the alcohol testing rules will
be reduced. Consequently, to help determine its response to the
comments on this issue, the Department obtained further information
about the effects of lengthier delays on tested alcohol concentration.
According to this information, most people (male and female) appear
to eliminate alcohol in a range between 0.01 and 0.02 percent per hour.
This is the range most forensically accepted and commonly cited.
Individual employees' results will, of course, have individual
differences based on such factors as gender, body weight, acquired
tolerance for alcohol, etc. The following chart displays this data. The
chart starts with a screening test alcohol concentration, at the moment
the screening test result is obtained. It then shows what the predicted
range of confirmation tests results would be after a 30-120 minute
interval, assuming (as is very likely to be the case in most instances)
that the individual's alcohol concentration is in the declining phase
at the time of the screening test.
Screening Test Alcohol Concentration
----------------------------------------------------------------------------------------------------------------
Interval .06 .05 .04 .03
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20 minutes...................................... .053-.056 .043-.046 .033-.036 .023-.026
30 minutes...................................... .050-.055 040-.045 .030-.035 .020-.025
40 minutes...................................... .046-.053 .036-.043 .026-.033 <.02-.023 60="" minutes......................................="" .040-.050="" .030-.040="" .020-.030=""><.02-.020 120="" minutes.....................................="" .020-.040=""><.02-.030><.02-.020><.02 ----------------------------------------------------------------------------------------------------------------="" [[page="" 19677]]="" the="" chart="" shows="" that="" at="" any="" of="" the="" alcohol="" concentration="" levels="" shown,="" the="" longer="" intervals="" (e.g.,="" 1-2="" hours)="" suggested="" by="" some="" commenters="" would="" often="" result="" in="" loss="" of="" what="" would="" otherwise="" be="" valid="" ``positive''="" tests,="" or="" even="" the="" loss="" of="" the="" ability="" to="" remove="" individuals="" from="" safety-sensitive="" functions="" for="" eight="" hours="" (24="" hours="" in="" the="" case="" of="" the="" motor="" carrier="" industry).="" the="" department="" does="" not="" have="" data="" that="" allow="" us="" to="" predict="" the="" distribution="" of="" various="" levels="" of="" screen="" positives="" among="" tested="" employees="" (e.g.,="" what="" percentage="" of="" employees="" would="" screen="" at="" .02,="" .04,="" .08,="" 1.0,="" etc.).="" consequently,="" we="" do="" not="" know="" what="" overall="" percentage="" of="" screen="" positives="" would="" be="" lost="" as="" the="" result="" of="" longer="" intervals.="" nevertheless,="" it="" is="" clear="" that="" the="" effect="" of="" longer="" intervals="" would="" be="" to="" effectively="" immunize="" persons="" with="" alcohol="" concentrations="" in="" the="" .03-="" .06="" range="" from="" the="" consequences="" stated="" in="" the="" regulations.="" procedural="" flexibility="" of="" this="" magnitude="" would="" nullify="" the="" intended="" substantive="" impact="" of="" the="" rules.="" the="" department="" does="" not="" believe="" that="" it="" is="" appropriate="" to="" establish="" a="" provision="" which="" it="" knows,="" in="" advance,="" would="" make="" it="" more="" likely="" that="" someone="" who="" had="" violated="" the="" department's="" regulations="" could="" avoid="" accountability="" for="" his="" or="" her="" actions.="" nor="" would="" it="" be="" appropriate="" to="" increase="" significantly="" the="" opportunities="" for="" violators="" to="" manipulate="" the="" system="" to="" their="" advantage.="" based="" on="" three="" years="" of="" rulemaking,="" participants="" had="" reason="" to="" know="" that="" the="" department="" has="" consistently="" expected="" confirmation="" tests="" to="" follow="" screening="" tests="" as="" soon="" as="" possible.="" for="" these="" reasons,="" the="" department="" is="" not="" going="" to="" increase="" the="" interval="" to="" the="" extent="" some="" commenters="" requested.="" however,="" the="" data="" show="" that="" an="" individual="" whose="" alcohol="" concentration="" at="" the="" time="" of="" the="" screening="" test="" was="" .05-.06="" would="" still,="" on="" average,="" test="" at="" .04="" or="" above="" after="" a="" 30-minute="" interval.="" an="" individual="" whose="" alcohol="" concentration="" at="" the="" time="" of="" the="" screening="" test="" was="" .04="" would="" test,="" on="" average,="" below="" .04="" after="" a="" 30-minute="" interval,="" but="" this="" individual="" would="" also="" test="" below="" .04="" after="" the="" present="" 20-minute="" interval.="" consequently,="" increasing="" the="" interval="" from="" 20="" to="" 30="" minutes="" is="" unlikely="" to="" have="" a="" marked="" adverse="" effect="" on="" achieving="" the="" regulation's="" objectives.="" such="" an="" increase="" would="" permit="" employers="" some="" additional="" degree="" of="" flexibility.="" because="" the="" department's="" regulatory="" policy="" is="" to="" provide="" appropriate="" flexibility="" to="" regulated="" parties,="" where="" doing="" so="" does="" not="" adversely="" affect="" the="" safety="" objectives="" of="" a="" rule,="" the="" department="" has="" decided="" to="" increase="" the="" interval="" between="" the="" tests="" from="" 20="" to="" 30="" minutes.="" this="" change,="" to="" sec.="" 40.65(b),="" also="" affects="" the="" interval="" between="" ebt="" screening="" and="" confirmation="" tests.="" one="" question="" that="" some="" comments="" raised="" is="" what="" the="" consequences="" are="" if="" a="" confirmation="" test="" is="" not="" conducted="" within="" 30="" minutes="" of="" the="" screening="" test.="" first,="" the="" department="" reemphasizes="" that="" a="" test="" conducted="" more="" than="" 30="" minutes="" later="" than="" the="" screening="" test="" is="" not="" fatally="" flawed.="" for="" example,="" if="" an="" individual's="" confirmation="" test="" result="" is="" .04="" or="" above,="" the="" test="" is="" valid="" and="" its="" consequences="" apply="" even="" though="" the="" confirmation="" test="" was="" conducted="" more="" than="" 30="" minutes="" after="" the="" screening="" test.="" second,="" an="" employer="" that="" conducts="" confirmation="" tests="" more="" than="" 30="" minutes="" after="" screening="" tests--="" particularly="" if="" the="" employer="" has="" a="" pattern="" or="" practice="" of="" doing="" so--is="" subject="" to="" being="" found="" in="" violation="" of="" an="" operating="" administration's="" regulation.="" this="" has="" similar="" consequences="" to="" any="" other="" finding="" by="" an="" operating="" administration="" that="" an="" employer="" is="" failing="" to="" implement="" the="" regulation="" properly.="" to="" allow="" operating="" administrations="" to="" determine="" whether="" employers="" are="" meeting="" this="" requirement,="" the="" department="" is="" adding="" a="" sentence="" to="" sec.="" 40.65(b)="" instructing="" the="" bat="" conducting="" the="" confirmation="" test="" to="" note,="" in="" the="" remarks="" section="" of="" the="" form,="" any="" occasion="" on="" which="" the="" confirmation="" test="" is="" late="" and="" the="" reason="" for="" the="" delay.="" observation="" during="" transit="" the="" use="" of="" non-evidential="" screening="" devices="" would="" often="" occur="" at="" a="" site="" removed="" from="" the="" site="" of="" the="" ebt="" confirmation="" test.="" in="" this="" situation,="" the="" nprm="" proposed="" that="" the="" employee="" would="" have="" to="" be="" observed="" by="" the="" saliva="" testing="" technician="" (stt)="" or="" an="" employer="" representative="" while="" traveling="" between="" the="" two="" sites.="" two="" breath="" testing="" equipment="" manufacturers="" agreed="" with="" this="" proposal,="" while="" one="" employer="" association="" opposed="" it,="" saying="" it="" was="" unnecessary.="" the="" department="" will="" retain="" this="" provision.="" clearly,="" it="" is="" not="" appropriate="" for="" someone="" who="" has="" just="" tested="" at="" .02="" or="" above="" to="" drive="" himself="" or="" herself="" to="" the="" next="" testing="" site.="" someone="" else="" will="" necessarily="" be="" responsible="" for="" the="" employee's="" transportation.="" that="" someone="" else="" should="" be="" an="" individual="" with="" a="" stake="" in="" the="" success="" of="" the="" testing="" process="" (i.e.,="" an="" stt="" or="" an="" employer="" representative),="" who="" can="" ensure="" that="" the="" employee="" arrives="" at="" the="" confirmation="" testing="" site="" safely="" and="" in="" a="" timely="" manner="" and="" reduce="" the="" probability="" that="" the="" employee="" could="" engage="" in="" behavior="" that="" might="" result="" in="" a="" refused="" or="" invalid="" test.="" this="" person="" should="" also="" be="" responsible="" for="" monitoring="" the="" employee="" with="" respect="" to="" observing="" the="" 15-minute="" deprivation="" period="" between="" the="" initial="" and="" confirmation="" tests.="" (the="" department's="" view="" is="" that="" the="" time="" the="" employee="" spends="" in="" transit="" between="" tests,="" if="" the="" employee="" is="" under="" observation="" as="" provided="" in="" this="" section,="" counts="" toward="" the="" mandatory="" 15-minute="" deprivation="" period.)="" the="" final="" rule="" applies="" this="" same="" requirement="" to="" the="" situation="" in="" which="" an="" ebt="" without="" printing="" capability="" is="" used="" for="" the="" screening="" test="" and="" the="" employee="" is="" taken="" to="" a="" confirmation="" ebt="" for="" the="" confirmation="" test.="" procedures="" for="" screening="" tests="" one="" commenter="" noted="" that="" the="" nprm="" failed="" to="" require="" (as="" existing="" part="" 40="" requires="" for="" breath="" tests)="" that="" the="" stt="" inform="" the="" employee="" about="" the="" procedures="" to="" be="" followed="" in="" the="" test.="" the="" final="" rule="" adds="" this="" requirement.="" the="" nprm="" provided="" that="" the="" stt="" would="" take="" the="" reading="" from="" the="" saliva="" device="" in="" the="" time="" frame="" specified="" by="" the="" manufacturer.="" this="" led="" to="" comments="" that="" the="" testing="" process="" could="" be="" unnecessarily="" delayed,="" since="" the="" manufacturer's="" instructions="" on="" the="" only="" saliva="" device="" now="" approved="" by="" nhtsa="" appeared="" to="" call="" for="" a="" 2-15="" minute="" period="" for="" reading="" the="" device.="" the="" department="" discussed="" this="" matter="" with="" the="" manufacturer,="" which="" said="" that="" the="" device="" may="" always="" be="" read="" after="" two="" minutes.="" after="" 15="" minutes,="" the="" result="" begins="" to="" degrade.="" consistent="" with="" this="" understanding="" of="" the="" device,="" the="" final="" rule="" requires="" stts="" to="" take="" a="" reading="" two="" minutes="" after="" inserting="" the="" swab="" into="" the="" device.="" the="" fatal="" flaws="" section="" now="" provides="" that="" a="" test="" is="" invalid="" if="" the="" reading="" is="" taken="" less="" than="" two="" or="" more="" than="" 15="" minutes="" after="" insertion="" of="" the="" swab="" into="" the="" device.="" one="" of="" the="" issues="" addressed="" in="" the="" nprm="" was="" what="" the="" stt="" should="" do="" when="" a="" saliva="" test="" fails="" (e.g,="" the="" device="" indicates="" that="" a="" sample="" is="" unacceptable,="" the="" swab="" falls="" on="" the="" floor).="" the="" nprm="" proposed="" that,="" in="" this="" case,="" the="" stt="" would="" first="" administer="" another="" saliva="" test,="" using="" a="" new="" saliva="" device.="" there="" were="" no="" comments="" on="" this="" provision,="" which="" the="" department="" will="" retain.="" the="" department="" will="" add="" one="" safeguard="" to="" this="" provision.="" the="" department="" understands="" that,="" at="" least="" in="" some="" cases,="" companies="" may="" pre-place="" saliva="" packages="" in="" workplaces="" (e.g.,="" in="" the="" glove="" compartment="" of="" a="" truck).="" such="" a="" device="" might="" be="" used="" for="" the="" initial="" saliva="" test.="" if="" that="" test="" is="" not="" successfully="" completed,="" the="" final="" rule="" provides="" that="" the="" stt="" must="" use="" a="" new="" device="" that="" has="" been="" in="" the="" stt's="" (or="" employer's)="" possession="" prior="" to="" the="" test,="" rather="" than="" under="" the="" control="" of="" the="" employee.="" this="" [[page="" 19678]]="" safeguard="" will="" help="" to="" preclude="" questions="" about="" whether="" environmental="" degradation="" or="" tampering="" could="" have="" affected="" the="" result="" of="" the="" screening="" test.="" the="" nprm="" proposed="" that="" if="" there="" were="" two="" consecutive="" failures="" of="" saliva="" tests,="" the="" employee="" would="" be="" referred="" for="" a="" breath="" test.="" the="" nprm="" sought="" comment="" on="" whether="" this="" breath="" test="" should="" be="" on="" an="" ebt.="" two="" breath="" testing="" equipment="" manufacturers="" favored="" using="" an="" ebt="" under="" these="" circumstances;="" two="" employer="" groups="" and="" a="" consortium="" thought="" doing="" so="" was="" unnecessary="" (i.e.,="" that="" another="" non-evidential="" test="" was="" adequate).="" the="" department="" has="" concluded="" that="" it="" makes="" the="" most="" sense="" to="" resort="" to="" an="" ebt="" in="" these="" circumstances.="" as="" noted="" in="" the="" nprm="" preamble,="" going,="" after="" two="" saliva="" tests,="" to="" another="" non-evidential="" breath="" testing="" device,="" and="" then="" having="" to="" go="" to="" an="" ebt="" for="" confirmation,="" would="" unnecessarily="" lengthen="" the="" procedure="" and="" could="" result="" in="" the="" loss="" of="" what="" would="" otherwise="" be="" a="" positive="" test.="" the="" department="" believes="" that="" keeping="" the="" procedure="" compact="" is="" most="" consistent="" with="" the="" objectives="" of="" the="" program.="" there="" were="" several="" miscellaneous="" comments="" about="" testing="" procedures.="" one="" asked="" for="" more="" specificity="" about="" the="" type="" of="" gloves="" an="" stt="" should="" use="" if="" the="" stt="" is="" swabbing="" an="" employee's="" mouth.="" the="" department="" believes="" that="" reference="" to="" a="" surgical="" glove--the="" kind="" that="" doctors="" and="" dentists="" use="" in="" examining="" patients--is="" adequate,="" though="" we="" have="" made="" the="" requirement="" more="" specific="" by="" deleting="" the="" nprm's="" reference="" to="" other="" types="" of="" hand="" protection.="" comments="" from="" two="" breath="" testing="" equipment="" manufacturers="" suggested="" that="" there="" should="" be="" serial="" numbers="" for="" each="" saliva="" device="" on="" the="" package="" and="" on="" the="" device="" itself,="" which="" if="" mismatched="" would="" result="" in="" a="" fatal="" flaw.="" given="" that="" the="" procedures="" call="" for="" the="" stt="" to="" open="" the="" package="" in="" the="" presence="" of="" the="" employee,="" matching="" serial="" numbers="" seems="" superfluous="" and="" a="" likely="" source="" of="" unnecessary="" problems="" in="" the="" collection="" process.="" another="" commenter="" suggested="" allowing="" the="" employee="" to="" select="" his="" or="" her="" own="" saliva="" device="" from="" among="" several="" that="" the="" stt="" would="" offer.="" the="" department="" has="" no="" objection="" to="" this="" practice,="" but="" it="" seems="" unnecessary="" to="" require="" stts="" to="" proceed="" in="" this="" fashion.="" the="" nprm="" called="" for="" the="" stt="" to="" use="" a="" logbook="" in="" connection="" with="" a="" non-evidential="" breath="" testing="" device.="" this="" proposed="" requirement="" paralleled="" the="" existing="" part="" 40="" requirement="" for="" situations="" in="" which="" an="" ebt="" without="" printing="" and="" sequential="" numbering="" capability="" is="" used="" for="" a="" screening="" test.="" the="" proposal="" did="" not="" apply="" to="" saliva="" devices,="" since="" a="" logbook="" traveling="" with="" the="" device="" makes="" no="" sense="" in="" the="" context="" of="" a="" disposable="" device.="" in="" reexamining="" this="" requirement="" in="" the="" context="" of="" this="" rulemaking,="" the="" department="" has="" determined="" that="" the="" paperwork="" burden="" involved="" is="" not="" justified="" by="" the="" utility="" of="" the="" requirement="" to="" the="" program.="" it="" essentially="" duplicated="" material="" required="" to="" be="" entered="" on="" the="" form.="" for="" this="" reason,="" the="" department="" will="" not="" make="" the="" proposed="" requirement="" final="" with="" respect="" to="" non-evidential="" breath="" testing="" devices.="" the="" same="" logic="" applies="" to="" the="" existing="" requirement="" for="" using="" a="" logbook="" in="" connection="" with="" ebts="" that="" do="" not="" have="" printout="" and="" sequential="" numbering="" capabilities.="" consequently,="" the="" department="" is="" withdrawing="" this="" requirement="" as="" well.="" the="" amendments="" to="" sec.="" 40.59,="" 40.63(d)(1),="" and="" 40.63(e)(3)="" remove="" references="" to="" this="" requirement.="" one="" of="" the="" amendments="" to="" sec.="" 40.63(e)="" corrects="" a="" codification="" error="" in="" this="" section="" resulting="" from="" the="" department's="" august="" 19,="" 1994,="" amendment="" to="" part="" 40="" (see="" 59="" fr="" 43001).="" this="" action="" redesignates="" the="" presently="" codified="" paragraph="" (e)(3)="" as="" (e)(4),="" and="" adds="" the="" proper="" (e)(3)--="" modified="" to="" delete="" the="" reference="" to="" the="" logbook--back="" into="" the="" section.="" there="" is="" also="" an="" editorial="" correction="" to="" delete="" a="" substantively="" duplicative="" reference="" to="" the="" ``quantitative="" result.''="" the="" section="" already="" requires="" entry="" of="" the="" ``displayed="" result.''="" because="" the="" department="" did="" not="" propose="" to="" do="" so="" in="" the="" nprm,="" we="" will="" seek="" comments="" on="" these="" amendments,="" which="" reduce="" paperwork="" burdens,="" for="" 45="" days.="" forms="" the="" nprm="" suggested="" that="" stts="" conducting="" non-evidential="" breath="" tests="" would="" use="" the="" existing="" breath="" testing="" form,="" while="" stts="" conducting="" saliva="" tests="" would="" use="" a="" modified="" form.="" four="" commenters="" suggested="" having="" one="" form="" for="" all="" tests="" rather="" than="" having="" separate="" forms.="" one="" of="" these="" commenters="" provided="" a="" suggested="" modification="" of="" the="" existing="" alcohol="" testing="" form="" that="" included="" boxes="" to="" check="" for="" what="" sort="" of="" test="" was="" involved.="" three="" other="" commenters="" approved="" the="" idea="" of="" a="" separate="" form="" for="" saliva="" testing.="" one="" of="" these="" suggested="" adding="" blocks="" in="" which="" the="" starting="" and="" ending="" times="" of="" screening="" and="" confirmation="" tests="" would="" be="" noted,="" and="" also="" suggested="" adding="" other="" information="" to="" the="" form,="" such="" as="" initials="" by="" the="" observer="" who="" traveled="" to="" the="" confirmation="" site="" with="" the="" employee,="" the="" serial="" number="" of="" the="" saliva="" device,="" and="" the="" expiration="" date="" of="" the="" saliva="" device.="" the="" department="" is="" persuaded="" that="" for="" the="" sake="" of="" simplicity="" and="" avoiding="" confusion="" in="" the="" program,="" it="" is="" preferable="" to="" have="" only="" one="" form="" used="" in="" dot="" alcohol="" testing.="" the="" department="" believes="" that="" some="" of="" the="" suggestions="" commenters="" made--particularly="" including="" boxes="" to="" check="" off="" indicating="" the="" testing="" method="" and="" the="" inclusion="" of="" starting="" and="" ending="" times="" of="" tests--have="" merit.="" the="" department="" is="" also="" aware,="" however,="" that="" it="" is="" important="" to="" issue="" this="" rule="" as="" soon="" as="" possible="" so="" that="" those="" employers="" who="" choose="" to="" do="" so="" can="" begin="" using="" non-evidential="" devices.="" redesigning="" a="" form,="" securing="" office="" of="" management="" and="" budget="" approval="" for="" it,="" and="" printing="" it="" all="" take="" a="" good="" deal="" of="" time.="" consequently,="" the="" department="" is="" making="" an="" interim="" solution="" part="" of="" this="" final="" rule.="" for="" now,="" employers="" will="" continue="" to="" use="" the="" existing="" alcohol="" form.="" the="" rule="" will="" direct="" stts="" to="" note="" in="" the="" remarks="" section="" of="" the="" form="" that="" a="" non-evidential="" breath="" or="" saliva="" device,="" as="" applicable,="" was="" used="" for="" the="" screening="" test.="" subsequently,="" the="" department="" intends="" to="" revise="" the="" alcohol="" testing="" form,="" incorporating="" some="" of="" the="" ideas="" proposed="" in="" the="" nprm="" and="" in="" the="" comments="" responding="" to="" it.="" after="" the="" revised="" form="" is="" published,="" we="" anticipate="" permitting="" employers="" to="" exhaust="" stocks="" of="" existing="" forms="" before="" being="" required="" to="" use="" it.="" stt="" training="" one="" employer="" and="" nine="" breath="" testing="" equipment="" manufacturers="" or="" distributors="" commented="" on="" the="" nprm's="" proposal="" to="" require="" training="" for="" stts,="" using="" a="" modified="" version="" of="" the="" department's="" bat="" training="" course.="" the="" employer="" wanted="" to="" be="" sure="" that="" stts="" would="" be="" trained="" in="" how="" to="" operate="" the="" non-evidential="" devices="" they="" would="" use.="" the="" nprm="" and="" final="" rule="" both="" provide="" that="" this="" must="" be="" the="" case.="" of="" the="" remaining="" commenters,="" six="" favored="" the="" nprm's="" concept="" of="" using="" a="" modified,="" shorter="" version="" of="" the="" bat="" course="" for="" training="" of="" stts,="" while="" the="" other="" three="" appeared="" to="" favor="" a="" closer="" integration="" of="" bat="" and="" stt="" training.="" the="" department="" is="" aware="" that,="" while="" many="" people="" who="" have="" trained="" as="" bats="" will="" also="" operate="" as="" stts,="" there="" may="" also="" be="" many="" situations="" in="" which,="" in="" order="" to="" gain="" flexibility="" and="" reduce="" costs,="" employers="" may="" wish="" to="" use="" people="" who="" will="" only="" administer="" non-evidential="" screening="" tests.="" for="" this="" reason,="" we="" believe="" it="" is="" reasonable="" to="" establish="" training="" requirements="" for="" individuals="" who="" will="" be="" stts="" only,="" and="" who="" will="" not="" train="" as="" bats.="" the="" department="" has="" prepared="" an="" stt="" training="" course,="" which="" will="" be="" the="" basis="" for="" training="" stts.="" this="" will="" be="" made="" available="" to="" the="" public="" at="" a="" modest="" [[page="" 19679]]="" charge="" from="" the="" government="" printing="" office.="" training="" for="" stts="" (as="" well="" as="" for="" bats="" who="" will="" conduct="" non-evidential="" screening="" tests)="" must="" include="" hands-on="" training="" in="" the="" use="" of="" the="" specific="" non-evidential="" devices="" they="" will="" use.="" if="" the="" screening="" device="" used="" is="" a="" disposable,="" single-use="" device="" that="" requires="" the="" stt="" to="" evaluate="" a="" color="" change,="" some="" criteria="" for="" correct="" judgments="" should="" be="" included="" in="" the="" training.="" quality="" assurance="" plans="" (qaps)="" one="" commenter,="" a="" manufacturer="" of="" standards="" for="" calibrating="" alcohol="" testing="" devices,="" suggested="" that="" there="" be="" qaps="" for="" calibration="" devices.="" there="" is="" a="" nhtsa="" conforming="" products="" list="" for="" such="" devices,="" and="" the="" department="" is="" not="" convinced="" that="" additional="" requirements="" are="" needed="" now.="" another="" commenter="" asked="" who="" is="" responsible="" for="" compliance="" with="" the="" qap.="" the="" manufacturer="" is="" responsible="" for="" creating="" the="" qap="" and="" getting="" nhtsa="" approval="" for="" it,="" and="" the="" employer="" or="" its="" agent="" is="" responsible="" for="" operating="" the="" equipment="" in="" conformity="" with="" it.="" a="" breath="" testing="" manufacturer="" recommended="" that="" saliva="" device="" qaps="" call="" for="" periodic="" testing="" of="" each="" lot="" of="" devices.="" the="" commenter="" said="" that="" environmental="" conditions="" (e.g.,="" storage="" conditions)="" could="" affect="" the="" accuracy="" of="" the="" devices,="" perhaps="" leading="" to="" an="" unacceptable="" number="" of="" false="" negatives.="" the="" department="" is="" concerned="" that="" periodic="" testing="" of="" large="" numbers="" of="" disposable="" devices="" may="" not="" be="" feasible="" and="" could="" be="" overly="" costly="" and="" burdensome.="" employers="" are="" required="" to="" comply="" with="" manufacturers'="" qaps,="" which="" will="" provide="" for="" appropriate="" storage="" conditions.="" while="" the="" department="" will="" not="" impose="" such="" a="" requirement="" as="" part="" of="" this="" final="" rule,="" the="" department="" can="" revisit="" this="" issue="" if="" experience="" suggests="" that="" false="" negatives="" with="" a="" particular="" type="" of="" device="" become="" a="" serious="" problem.="" one="" of="" the="" requirements="" of="" a="" qap="" for="" disposable="" devices="" is="" that="" they="" include="" the="" shelf="" life="" of="" the="" devices.="" with="" the="" qap,="" the="" department="" wishes="" manufacturers="" to="" submit="" the="" data="" on="" which="" the="" shelf="" life="" determination="" for="" the="" device="" is="" based="" (e.g.,="" tests="" over="" time="" of="" devices="" drawn="" from="" manufacturers'="" lots).="" regulatory="" analyses="" and="" notices="" this="" is="" not="" a="" significant="" rule="" under="" executive="" order="" 12866="" or="" under="" the="" department's="" regulatory="" policies="" and="" procedures.="" it="" does="" not="" impose="" costs="" on="" regulated="" parties.="" it="" facilitates="" the="" use="" of="" devices="" that="" may="" increase="" flexibility,="" and="" decrease="" costs,="" for="" employers="" who="" choose="" to="" use="" them.="" there="" are="" not="" sufficient="" federalism="" implications="" to="" warrant="" the="" preparation="" of="" a="" federalism="" assessment.="" the="" department="" certifies="" that="" this="" rule="" will="" not="" have="" a="" significant="" economic="" impact="" on="" a="" substantial="" number="" of="" small="" entities.="" to="" the="" extent="" that="" there="" is="" any="" such="" impact,="" it="" is="" expected="" to="" be="" a="" small="" favorable="" impact,="" since="" some="" small="" entities="" may="" be="" able="" to="" conduct="" screening="" tests="" at="" a="" lower="" cost.="" list="" of="" subjects="" in="" 49="" cfr="" part="" 40="" drug="" testing,="" alcohol="" testing,="" laboratories,="" reporting="" and="" recordkeeping="" requirements,="" safety,="" transportation.="" issued="" this="" 5th="" day="" of="" april,="" 1995,="" at="" washington,="" dc.="" federico="" pena,="" secretary="" of="" transportation.="" for="" the="" reasons="" set="" forth="" in="" the="" preamble,="" 49="" cfr="" part="" 40="" is="" amended="" as="" follows:="" part="" 40--[amended]="" 1.="" the="" authority="" citation="" for="" part="" 40="" continues="" to="" read="" as="" follows:="" authority:="" 49="" u.s.c.="" 102,301,322;="" 49="" u.s.c.="" app.="" 1301nt.,="" app.="" 1434nt.,="" app.="" 2717,="" app.="" 1618a.="" sec.="" 40.51="" [amended]="" 2.="" section="" 40.51(c)="" is="" amended="" by="" adding="" the="" words="" ``or="" non-="" evidential="" alcohol="" screening="" device''="" after="" the="" word="" ``ebt''.="" sec.="" 40.59="" [amended]="" 3.="" the="" heading="" of="" sec.="" 40.59="" is="" revised="" to="" read="" ``the="" breath="" alcohol="" testing="" form''.="" 4.="" section="" 40.59(c)="" is="" removed.="" 5.="" section="" 40.63(d)(1)="" is="" revised="" to="" read="" as="" follows:="" sec.="" 40.63="" procedures="" for="" screening="" tests.="" *="" *="" *="" *="" *="" (d)(1)="" if="" the="" ebt="" does="" not="" meet="" the="" requirements="" of="" sec.="" 40.53(b)="" (1)="" through="" (3),="" the="" bat="" shall="" ensure,="" before="" a="" screening="" test="" is="" administered="" to="" each="" employee,="" that="" he="" or="" she="" and="" the="" employee="" read="" the="" sequential="" test="" number="" displayed="" on="" the="" ebt.="" the="" bat="" shall="" record="" the="" displayed="" result,="" test="" number,="" testing="" device,="" serial="" number="" of="" the="" testing="" device,="" and="" time="" in="" step="" #="" of="" the="" form.="" *="" *="" *="" *="" *="" 6.="" in="" sec.="" 40.63,="" paragraph="" (e)(4)="" is="" removed,="" paragraph="" (e)(3)="" is="" redesignated="" as="" paragraph="" (e)(4),="" and="" a="" new="" paragraph="" (e)(3)="" is="" added,="" to="" read="" as="" follows:="" sec.="" 40.63="" procedures="" for="" screening="" tests.="" *="" *="" *="" *="" *="" (e)="" *="" *="" *="" (3)="" if="" the="" employee="" does="" not="" sign="" the="" certification="" in="" step="" 4="" of="" the="" form="" for="" a="" test,="" it="" shall="" not="" be="" considered="" a="" refusal="" to="" be="" tested.="" in="" this="" event,="" the="" bat="" shall="" note="" the="" employee's="" failure="" to="" sign="" in="" the="" ``remarks''="" section="" of="" the="" form.="" *="" *="" *="" *="" *="" 7.="" a="" new="" sec.="" 40.63(h)="" is="" added,="" to="" read="" as="" follows:="" sec.="" 40.63="" procedures="" for="" screening="" tests.="" *="" *="" *="" *="" *="" (h)="" if="" the="" confirmation="" test="" will="" be="" conducted="" at="" a="" different="" site="" from="" the="" screening="" test,="" the="" employer="" or="" its="" agent="" shall="" ensure="" that--="" (1)="" the="" employee="" is="" advised="" against="" taking="" any="" of="" the="" actions="" mentioned="" in="" the="" first="" sentence="" of="" sec.="" 40.65(b)="" of="" this="" part;="" (2)="" the="" employee="" is="" advised="" that="" he="" or="" she="" must="" not="" drive,="" perform="" safety-sensitive="" duties,="" or="" operate="" heavy="" equipment,="" as="" noted="" in="" block="" 4="" of="" the="" alcohol="" testing="" form;="" and="" (3)="" the="" employee="" is="" under="" observation="" of="" a="" bat,="" stt,="" or="" other="" employer="" personnel="" while="" in="" transit="" from="" the="" screening="" test="" site="" to="" the="" confirmation="" test="" site.="" 8.="" in="" sec.="" 40.65(b),="" the="" third="" sentence="" is="" revised="" to="" read:="" ``the="" confirmation="" test="" shall="" be="" conducted="" within="" 30="" minutes="" of="" the="" completion="" of="" the="" screening="" test.''="" sec.="" 40.65="" [amended]="" 9.="" in="" sec.="" 40.65,="" paragraph="" (b)="" is="" amended="" by="" adding,="" at="" the="" end="" thereof,="" to="" read:="" ``if="" the="" bat="" conducts="" the="" confirmation="" test="" more="" than="" 30="" minutes="" after="" the="" result="" of="" the="" screening="" test="" has="" been="" obtained,="" the="" bat="" shall="" note="" in="" the="" ``remarks''="" section="" of="" the="" form="" the="" time="" that="" elapsed="" between="" the="" screening="" and="" confirmation="" tests="" and="" the="" reason="" why="" the="" confirmation="" test="" could="" not="" be="" conducted="" within="" 30="" minutes="" of="" the="" screening="" test.''="" 10.="" a="" new="" subpart="" d="" of="" part="" 40="" is="" added,="" to="" read="" as="" follows:="" subpart="" d--non-evidential="" alcohol="" screening="" tests="" 40.91--authorization="" for="" use="" of="" non-evidential="" alcohol="" screening="" devices="" 40.93--the="" screening="" test="" technician="" 40.95--quality="" assurance="" plans="" for="" non-evidential="" screening="" devices="" 40.97--locations="" for="" non-evidential="" alcohol="" screening="" tests="" 40.99--testing="" forms="" 40.101--screening="" test="" procedure="" 40.103--refusals="" to="" test="" and="" uncompleted="" tests="" 40.105--inability="" to="" provide="" an="" adequate="" amount="" of="" breath="" or="" saliva="" 40.107--invalid="" tests="" 40.109--availability="" and="" disclosure="" of="" alcohol="" testing="" information="" about="" individual="" employees="" 40.111--maintenance="" and="" disclosure="" of="" records="" concerning="" non-="" evidential="" testing="" devices="" and="" stts.="" [[page="" 19680]]="" subpart="" d--non-evidential="" alcohol="" screening="" devices="" sec.="" 40.91="" authorization="" for="" use="" of="" non-evidential="" alcohol="" screening="" devices.="" non-evidential="" alcohol="" screening="" tests,="" performed="" using="" screening="" devices="" included="" by="" the="" national="" highway="" traffic="" safety="" administration="" on="" its="" conforming="" products="" list="" for="" non-evidential="" screening="" devices,="" may="" be="" used="" in="" lieu="" of="" ebts="" to="" perform="" screening="" tests="" required="" by="" operating="" administrations'="" alcohol="" testing="" regulations.="" non-evidential="" screening="" devices="" may="" not="" be="" used="" for="" confirmation="" alcohol="" tests,="" which="" must="" be="" conducted="" using="" ebts="" as="" provided="" in="" subpart="" c="" of="" this="" part.="" sec.="" 40.93="" the="" screening="" test="" technician.="" (a)="" anyone="" meeting="" the="" requirements="" of="" this="" part="" to="" be="" a="" bat="" may="" act="" as="" a="" screening="" test="" technician="" (stt),="" provided="" that="" the="" individual="" has="" demonstrated="" proficiency="" in="" the="" operation="" of="" the="" non-evidential="" screening="" device="" he="" or="" she="" is="" using.="" (b)="" any="" other="" individual="" may="" act="" as="" an="" stt="" if="" he="" or="" she="" successfully="" completes="" a="" course="" of="" instruction="" concerning="" the="" procedures="" required="" by="" this="" part="" for="" conducting="" alcohol="" screening="" tests.="" only="" the="" department="" of="" transportation="" model="" course,="" or="" a="" course="" of="" instruction="" determined="" by="" the="" department="" of="" transportation's="" office="" of="" drug="" enforcement="" and="" program="" compliance="" to="" be="" equivalent="" to="" it,="" may="" be="" used="" for="" this="" purpose.="" (c)="" with="" respect="" to="" any="" non-evidential="" screening="" device="" involving="" changes,="" contrasts,="" or="" other="" readings="" that="" are="" indicated="" on="" the="" device="" in="" terms="" of="" color,="" stts="" shall,="" in="" order="" to="" be="" regarded="" as="" proficient,="" be="" able="" to="" discern="" correctly="" these="" changes,="" contrasts="" or="" readings.="" (d)="" the="" stt="" shall="" receive="" additional="" training,="" as="" needed,="" to="" ensure="" proficiency,="" concerning="" new="" or="" additional="" devices="" or="" changes="" in="" technology="" that="" he="" or="" she="" will="" use.="" (e)="" the="" employer="" or="" its="" agent="" shall="" document="" the="" training="" and="" proficiency="" of="" each="" stt="" it="" uses="" to="" test="" employees="" and="" maintain="" the="" documentation="" as="" provided="" in="" sec.="" 40.83.="" (f)="" the="" provisions="" of="" sec.="" 40.51(b)="" and="" (c);="" sec.="" 40.57;="" sec.="" 40.59;="" sec.="" 40.61;="" sec.="" 40.63="" (e)(1)-(2),="" (f),="" (g),="" and="" (h);="" sec.="" 40.69;="" and="" sec.="" 40.81;="" and="" other="" provisions,="" as="" applicable,="" of="" this="" part="" apply="" to="" stts="" as="" well="" as="" to="" bats.="" sec.="" 40.95="" quality="" assurance="" plans="" for="" non-evidential="" screening="" devices.="" (a)="" in="" order="" to="" be="" used="" for="" alcohol="" screening="" tests="" subject="" to="" this="" part,="" a="" non-evidential="" screening="" device="" shall="" have="" an="" approved="" quality="" assurance="" plan="" (qap)="" developed="" by="" the="" manufacturer="" and="" approved="" by="" the="" national="" highway="" traffic="" safety="" administration="" (nhtsa).="" (1)="" the="" plan="" shall="" designate="" the="" method="" or="" methods="" to="" be="" used="" to="" perform="" quality="" control="" checks;="" the="" temperatures="" at="" which="" the="" non-="" evidential="" screening="" device="" shall="" be="" stored="" and="" used,="" as="" well="" as="" other="" environmental="" conditions="" (e.g.,="" altitude,="" humidity)="" that="" may="" affect="" the="" performance="" of="" the="" device;="" and,="" where="" relevant,="" the="" shelf="" life="" of="" the="" device.="" (2)="" the="" qap="" shall="" prohibit="" the="" use="" of="" any="" device="" that="" does="" not="" pass="" the="" specified="" quality="" control="" checks="" or="" that="" has="" passed="" its="" expiration="" date.="" (b)="" the="" manufacturers'="" instructions="" on="" or="" included="" in="" the="" package="" for="" each="" saliva="" testing="" device="" shall="" include="" directions="" on="" the="" proper="" use="" of="" the="" device,="" the="" time="" frame="" within="" which="" the="" device="" must="" be="" read="" and="" the="" manner="" in="" which="" the="" reading="" is="" made.="" (c)="" the="" employer="" and="" its="" agents="" shall="" comply="" with="" the="" qap="" and="" manufacturer's="" instructions="" for="" each="" non-evidential="" screening="" device="" it="" uses="" for="" alcohol="" screening="" tests="" subject="" to="" this="" part.="" sec.="" 40.97="" locations="" for="" non-evidential="" alcohol="" screening="" tests.="" (a)="" locations="" for="" non-evidential="" alcohol="" screening="" tests="" shall="" meet="" the="" same="" requirements="" set="" forth="" for="" breath="" alcohol="" testing="" in="" sec.="" 40.57="" of="" this="" part.="" (b)="" the="" stt="" shall="" supervise="" only="" one="" employee's="" use="" of="" a="" non-="" evidential="" screening="" device="" at="" a="" time.="" the="" stt="" shall="" not="" leave="" the="" alcohol="" testing="" location="" while="" the="" screening="" test="" procedure="" for="" a="" given="" employee="" is="" in="" progress.="" sec.="" 40.99="" testing="" forms.="" stts="" conducting="" tests="" using="" a="" non-evidential="" screening="" device="" shall="" use="" the="" alcohol="" testing="" form="" as="" provided="" in="" sec.="" 40.59="" and="" appendix="" b="" of="" this="" part="" for="" the="" screening="" test.="" sec.="" 40.101="" screening="" test="" procedure.="" (a)="" the="" steps="" for="" preparation="" for="" testing="" shall="" be="" the="" same="" as="" provided="" for="" breath="" alcohol="" testing="" in="" sec.="" 40.61="" of="" this="" part.="" (b)="" the="" stt="" shall="" complete="" step="" 1="" on="" the="" form="" required="" by="" sec.="" 40.99.="" the="" employee="" shall="" then="" complete="" step="" 2="" on="" the="" form,="" signing="" the="" certification.="" refusal="" by="" the="" employee="" to="" sign="" this="" certification="" shall="" be="" regarded="" as="" a="" refusal="" to="" take="" the="" test.="" (c)="" if="" the="" employer="" is="" using="" a="" non-evidential="" breath="" testing="" device,="" the="" stt="" shall="" follow="" the="" same="" steps="" outlined="" for="" screening="" tests="" using="" ebts="" in="" sec.="" 40.63.="" (d)="" if="" the="" employer="" is="" using="" a="" saliva="" testing="" device,="" the="" stt="" shall="" take="" the="" following="" steps:="" (1)="" the="" stt="" shall="" explain="" the="" testing="" procedure="" to="" the="" employee.="" (2)="" the="" stt="" shall="" check="" the="" expiration="" date="" of="" the="" saliva="" testing="" device,="" show="" the="" date="" to="" the="" employee,="" and="" shall="" not="" use="" a="" device="" at="" any="" time="" subsequent="" to="" the="" expiration="" date.="" (3)="" the="" stt="" shall="" open="" an="" individually="" sealed="" package="" containing="" the="" device="" in="" the="" presence="" of="" the="" employee.="" (4)="" the="" stt="" shall="" offer="" the="" employee="" the="" opportunity="" to="" use="" the="" swab.="" if="" the="" employee="" chooses="" to="" use="" the="" swab,="" the="" stt="" shall="" instruct="" the="" employee="" to="" insert="" the="" absorbent="" end="" of="" the="" swab="" into="" the="" employee's="" mouth,="" moving="" it="" actively="" throughout="" the="" mouth="" for="" a="" sufficient="" time="" to="" ensure="" that="" it="" is="" completely="" saturated,="" as="" provided="" in="" the="" manufacturer's="" instructions="" for="" the="" device.="" (5)="" if="" the="" employee="" chooses="" not="" to="" use="" the="" swab,="" or="" in="" all="" cases="" in="" which="" a="" new="" test="" is="" necessary="" because="" the="" device="" did="" not="" activate="" (see="" paragraph="" (d)(8)="" of="" this="" section),="" the="" stt="" shall="" insert="" the="" absorbent="" end="" of="" the="" swab="" into="" the="" employee's="" mouth,="" moving="" it="" actively="" throughout="" the="" mouth="" for="" a="" sufficient="" time="" to="" ensure="" that="" it="" is="" completely="" saturated,="" as="" provided="" in="" the="" manufacturer's="" instructions="" for="" the="" device.="" the="" stt="" shall="" wear="" a="" surgical="" grade="" glove="" while="" doing="" so.="" (6)="" the="" stt="" shall="" place="" the="" device="" on="" a="" flat="" surface="" or="" otherwise="" in="" a="" position="" in="" which="" the="" swab="" can="" be="" firmly="" placed="" into="" the="" opening="" provided="" in="" the="" device="" for="" this="" purpose.="" the="" stt="" shall="" insert="" the="" swab="" into="" this="" opening="" and="" maintain="" firm="" pressure="" on="" the="" device="" until="" the="" device="" indicates="" that="" it="" is="" activated.="" (7)="" if="" the="" procedures="" of="" paragraph="" (d)(3)-(d)(5)="" of="" this="" section="" are="" not="" followed="" successfully="" (e.g.,="" the="" swab="" breaks,="" the="" stt="" drops="" the="" swab="" on="" the="" floor="" or="" another="" surface,="" the="" swab="" is="" removed="" or="" falls="" from="" the="" device="" before="" the="" device="" is="" activated),="" the="" stt="" shall="" discard="" the="" device="" and="" swab="" and="" conduct="" a="" new="" test="" using="" a="" new="" device.="" the="" new="" device="" shall="" be="" one="" that="" has="" been="" under="" the="" control="" of="" the="" employer="" or="" stt="" prior="" to="" the="" test.="" the="" stt="" shall="" note="" in="" the="" remarks="" section="" of="" the="" form="" the="" reason="" for="" the="" new="" test.="" in="" this="" case,="" the="" stt="" shall="" offer="" the="" employee="" the="" choice="" of="" using="" the="" swab="" himself="" or="" herself="" or="" having="" the="" stt="" use="" the="" swab.="" if="" the="" procedures="" of="" paragraph="" (d)(3)-(d)(5)="" of="" this="" section="" are="" not="" followed="" successfully="" on="" the="" new="" test,="" the="" collection="" shall="" be="" terminated="" and="" an="" [[page="" 19681]]="" explanation="" provided="" in="" the="" remarks="" section="" of="" the="" form.="" a="" new="" test="" shall="" then="" be="" conducted,="" using="" an="" ebt="" for="" both="" the="" screening="" and="" confirmation="" tests.="" (8)="" if="" the="" procedures="" of="" paragraph="" (d)(3)-(d)(5)="" of="" this="" section="" are="" followed="" successfully,="" but="" the="" device="" is="" not="" activated,="" the="" stt="" shall="" discard="" the="" device="" and="" swab="" and="" conduct="" a="" new="" test,="" in="" the="" same="" manner="" as="" provided="" in="" paragraph="" (d)(7)="" of="" this="" section.="" in="" this="" case,="" the="" stt="" shall="" place="" the="" swab="" into="" the="" employee's="" mouth="" to="" collect="" saliva="" for="" the="" new="" test.="" (9)="" the="" stt="" shall="" read="" the="" result="" displayed="" on="" the="" device="" two="" minutes="" after="" inserting="" the="" swab="" into="" the="" device.="" the="" stt="" shall="" show="" the="" device="" and="" its="" reading="" to="" the="" employee="" and="" enter="" the="" result="" on="" the="" form.="" (10)="" devices,="" swabs,="" gloves="" and="" other="" materials="" used="" in="" saliva="" testing="" shall="" not="" be="" reused,="" and="" shall="" be="" disposed="" of="" in="" a="" sanitary="" manner="" following="" their="" use,="" consistent="" with="" applicable="" requirements.="" (e)="" in="" the="" case="" of="" any="" screening="" test="" performed="" under="" this="" section,="" the="" stt,="" after="" determining="" the="" alcohol="" concentration="" result,="" shall="" follow="" the="" applicable="" provisions="" of="" sec.="" 40.63="" (e)(1)-(2),="" (f),="" (g),="" and="" (h).="" the="" stt="" shall="" also="" enter,="" in="" the="" ``remarks''="" section="" of="" the="" form,="" a="" notation="" that="" the="" screening="" test="" was="" performed="" using="" a="" non-="" evidential="" breath="" testing="" device="" or="" a="" saliva="" device,="" as="" applicable.="" following="" completion="" of="" the="" screening="" test,="" the="" stt="" shall="" date="" the="" form="" and="" sign="" the="" certification="" in="" step="" 3="" of="" the="" form.="" sec.="" 40.103="" refusals="" to="" test="" and="" uncompleted="" tests.="" (a)="" refusal="" by="" an="" employee="" to="" complete="" and="" sign="" the="" alcohol="" testing="" form="" required="" by="" sec.="" 40.99="" (step="" 2),="" to="" provide="" a="" breath="" or="" saliva="" sample,="" to="" provide="" an="" adequate="" amount="" of="" breath,="" or="" otherwise="" to="" cooperate="" in="" a="" way="" that="" prevents="" the="" completion="" of="" the="" testing="" process,="" shall="" be="" noted="" by="" the="" stt="" in="" the="" remarks="" section="" of="" the="" form.="" this="" constitutes="" a="" refusal="" to="" test.="" the="" testing="" process="" shall="" be="" terminated="" and="" the="" stt="" shall="" immediately="" notify="" the="" employer.="" (b)="" if="" the="" screening="" test="" cannot="" be="" completed,="" for="" reasons="" other="" than="" a="" refusal="" by="" the="" employee,="" or="" if="" an="" event="" occurs="" that="" would="" invalidate="" the="" test,="" the="" stt="" shall,="" if="" practicable,="" immediately="" begin="" a="" new="" screening="" test,="" using="" a="" new="" testing="" form="" and,="" in="" the="" case="" of="" a="" test="" using="" a="" saliva="" screening="" device,="" a="" new="" device.="" sec.="" 40.105="" inability="" to="" provide="" an="" adequate="" amount="" of="" breath="" or="" saliva.="" (a)="" if="" an="" employee="" is="" unable="" to="" provide="" sufficient="" breath="" to="" complete="" a="" test="" on="" a="" non-evidential="" breath="" testing="" device,="" the="" procedures="" of="" sec.="" 40.69="" apply.="" (b)="" if="" an="" employee="" is="" unable="" to="" provide="" sufficient="" saliva="" to="" complete="" a="" test="" on="" a="" saliva="" screening="" device="" (e.g.,="" the="" employee="" does="" not="" provide="" sufficient="" saliva="" to="" activate="" the="" device),="" the="" stt,="" as="" provided="" in="" sec.="" 40.101="" of="" this="" part,="" shall="" conduct="" a="" new="" test="" using="" a="" new="" device.="" if="" the="" employee="" refuses="" to="" complete="" the="" new="" test,="" the="" stt="" shall="" terminate="" testing="" and="" immediately="" inform="" the="" employer.="" this="" constitutes="" a="" refusal="" to="" test.="" (c)="" if="" the="" new="" test="" is="" completed,="" but="" there="" is="" an="" insufficient="" amount="" of="" saliva="" to="" activate="" the="" device,="" stt="" shall="" immediately="" inform="" the="" employer,="" which="" shall="" immediately="" cause="" an="" alcohol="" test="" to="" be="" administered="" to="" the="" employee="" using="" an="" ebt.="" sec.="" 40.107="" invalid="" tests.="" an="" alcohol="" test="" using="" a="" non-evidential="" screening="" device="" shall="" be="" invalid="" under="" the="" following="" circumstances:="" (a)="" with="" respect="" to="" a="" test="" conducted="" on="" a="" saliva="" device--="" (1)="" the="" result="" is="" read="" before="" two="" minutes="" or="" after="" 15="" minutes="" from="" the="" time="" the="" swab="" is="" inserted="" into="" the="" device;="" (2)="" the="" device="" does="" not="" activate;="" (3)="" the="" device="" is="" used="" for="" a="" test="" after="" the="" expiration="" date="" printed="" on="" its="" package;="" or="" (4)="" the="" stt="" fails="" to="" note="" in="" the="" remarks="" section="" of="" the="" form="" that="" the="" screening="" test="" was="" conducted="" using="" a="" saliva="" device;="" (b)="" with="" respect="" to="" a="" test="" conducted="" on="" any="" non-evidential="" alcohol="" testing="" device,="" the="" stt="" has="" failed="" to="" note="" on="" the="" remarks="" section="" of="" the="" form="" that="" the="" employee="" has="" failed="" or="" refused="" to="" sign="" the="" form="" following="" the="" recording="" on="" the="" form="" of="" the="" test="" result.="" sec.="" 40.109="" availability="" and="" disclosure="" of="" alcohol="" testing="" information="" about="" individual="" employees.="" the="" provisions="" of="" sec.="" 40.81="" apply="" to="" records="" of="" non-evidential="" alcohol="" screening="" tests.="" sec.="" 40.111="" maintenance="" and="" disclosure="" of="" records="" concerning="" non-="" evidential="" testing="" devices="" and="" stts.="" records="" concerning="" stts="" and="" non-evidential="" testing="" devices="" shall="" be="" maintained="" and="" disclosed="" following="" the="" same="" requirements="" applicable="" to="" bats="" and="" ebts="" under="" sec.="" 40.81="" of="" this="" part.="" [fr="" doc.="" 95-9552="" filed="" 4-19-95;="" 8:45="" am]="" billing="" code="" 4910-62-p="">