§ 40.63 What steps does the collector take in the collection process before the employee provides a urine specimen?
Current wording, effective June 1, 2023.
(a)As The BAT shall complete Step 1 on the Breathcollector, Alcoholyou Testingmust Form.take The employee shall then complete Step 2 on the form,following signingsteps thebefore certification. Refusal by the employee toprovides sign this certification shall be regarded as a refusal to take the test.urine specimen:
(ba) AnEnsure individually-sealedall mouthpieceitems shallunder beStep opened1 in view of the employeeCCF andare BATcomplete and attachedaccurate to(e.g., theif EBTStep in1.D accordanceis withnot thechecked, manufacturer'sput instructions.a
(c)Thecheck BATmark shallfor instruct the employee“Specify toDOT blowAgency” forcefullyunder into the mouthpieceauthority forof atwhich least 6 seconds or until the EBTtest indicateswill thattake anplace; adequateif amountthe ofaddress breathwhere hasthe beencollection obtained.is
(d)(1)Ifactually thetaking EBTplace doesis not meetin theStep requirements1.G, ofupdate § 40that.53)
(b) (1)Instruct through (3), the BATemployee shallto ensure,wash beforeand adry screeninghis testor isher administeredhands toat eachthis employee,time. thatYou hemust ortell she and the employee readnot theto sequentialwash testhis numberor displayedher onhands theagain EBT.until Theafter BATdelivering shall record the displayedspecimen result,to testyou. number,You testingmust device,not serialgive number of the testingemployee device,any andfurther timeaccess into Stepwater #or ofother thematerials form.that
(2)Ifcould thebe EBTused doesto notadulterate meetor thedilute requirementsa of § 40specimen.53
(bc)(1) through (3)Select, theor BATallow and the employee shallto takeselect, thean followingindividually steps:wrapped
(i)Showor thesealed employeecollection thecontainer resultfrom displayedcollection onkit the EBTmaterials. TheEither BATyou shallor record the displayed resultemployee, testwith number,both testing device, serial number of theyou testing devicepresent, timemust andunwrap quantifiedor resultbreak in Step 3 of the form.seal
(ii)Record the test number, date of the test,collection namecontainer. ofYou themust BAT,not location,unwrap andor quantifiedbreak test result in the logseal book.on Theany employeespecimen shallbottle initialat thethis log book entrytime.
(3)IfYou themust EBT provides a printed result, but does not printallow the resultsemployee directlyto ontotake theanything form,from the BATcollection shallkit showinto the employeeroom theused resultfor displayedurination onexcept the EBTcollection container.
(d) TheDirect BAT shall then affix the testemployee resultto printoutgo tointo the breathroom alcoholused testfor form in the designated spaceurination, usingprovide a methodspecimen thatof willat provideleast clear45 evidence of removal (e.g.mL, tamper-evidentnot tape).flush
(4)If the EBTtoilet, printsand thereturn testto resultsyou directlywith onto the form,specimen theas BATsoon shallas show the employee thehas resultcompleted displayed on the EBTvoid.
(e)(1) InExcept any case in which the resultcase of thean screeningobserved testor is a breathmonitored alcoholcollection concentration(see of§§ less than 040.02,67 the BAT shall date the form and sign the certification in Step 3 of the form40.69), Theneither employeeyou shallnor signanyone theelse certificationmay andgo fillinto in the dateroom inwith Step 4 of the formemployee.
(2) NoAs further testing is authorized. The BAT shall transmit the resultcollector, ofyou lessmay thanset 0.02 to the employer in a confidentialreasonable manner,time andlimit thefor employer shall receive and store the information so as to ensure that confidentiality is maintained as required by § 40voiding.81.
(3e) IfYou themust employeepay doescareful notattention signto the certificationemployee induring Step 4 of the formentire forcollection aprocess test,to itnote shallany notconduct bethat consideredclearly aindicates refusalan attempt to betamper tested.with Ina thisspecimen event(e.g., thesubstitute BATurine shall note the employee's failure to sign in theplain “Remarks”view sectionor ofan theattempt form.to
(4)Ifbring ainto test result printed by the EBTcollection (seesite paragraphan (d)(3)adulterant or (d)(4)urine of this sectionsubstitute). doesIf notyou matchdetect thesuch displayed resultconduct, oryou ifmust arequire sequentialthat testa numbercollection printedtake byplace theimmediately EBTunder doesdirect notobservation match the sequential test number displayed by the EBT prior to the screening test (see paragraph§ (d40.67)(1) ofand thiscomplete section),Step the2 BATby shallnoting note the disparityconduct in the “Remarks” section.line Bothof the employeeCCF and the BATfact shallthat initial and sign the notation.collection Inwas accordanceobserved withby §checking 40.79, the test“Observed” is invalid and the employee shall be so advisedbox.
(f)IfYou themust result of the screening test is an alcohol concentration of 0.02 or greateralso, aas confirmationsoon test shall be performed as provided in § 40.65.possible,
(g) If the confirmation test will be conducted by a different BATtheinform BAT who conducts the screeningDER test shall complete and signcollection the form and log book entry. The BAT will provide the employee with Copy 2 of the form.site
(h) If the confirmation test will be conducted at a different fromsupervisor the screening test, the employer or its agent shall ensure that—
(1)Thea employeecollection istook advisedplace againstunder takingdirect anyobservation of the actions mentioned in the first sentence of § 40.65(b) of this part;and
(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;
(3)The employee is under observation of a BAT, STT, or other employer personnel while in transit from the screeningreason testfor sitedoing to the confirmation test siteso.
[5965 FR 735779526, FebDec. 1519, 19942000, as amended at 5975 FR 4300159107, AugSept. 1927, 19942010; 6088 FR 1967927641, Apr.May 202, 19952023]
As the collector, you must take the following steps before the employee provides the urine specimen:
(a) Ensure all items under Step 1 of the CCF are complete and accurate (e.g., if Step 1.D is not checked, put a check mark for the “Specify DOT Agency” under the authority of which the test will take place; if the address where the collection is actually taking place is not in Step 1.G, update that.)
(b) Instruct the employee to wash and dry his or her hands at this time. You must tell the employee not to wash his or her hands again until after delivering the specimen to you. You must not give the employee any further access to water or other materials that could be used to adulterate or dilute a specimen.
(c) Select, or allow the employee to select, an individually wrapped or sealed collection container from collection kit materials. Either you or the employee, with both of you present, must unwrap or break the seal of the collection container. You must not unwrap or break the seal on any specimen bottle at this time. You must not allow the employee to take anything from the collection kit into the room used for urination except the collection container.
(d) Direct the employee to go into the room used for urination, provide a specimen of at least 45 mL, not flush the toilet, and return to you with the specimen as soon as the employee has completed the void.
(1) Except in the case of an observed or a monitored collection (see §§ 40.67 and 40.69), neither you nor anyone else may go into the room with the employee.
(2) As the collector, you may set a reasonable time limit for voiding.
(e) You must pay careful attention to the employee during the entire collection process to note any conduct that clearly indicates an attempt to tamper with a specimen (e.g., substitute urine in plain view or an attempt to bring into the collection site an adulterant or urine substitute). If you detect such conduct, you must require that a collection take place immediately under direct observation (see § 40.67) and complete Step 2 by noting the conduct in the “Remarks” line of the CCF and the fact that the collection was observed by checking the “Observed” box. You must also, as soon as possible, inform the DER and collection site supervisor that a collection took place under direct observation and the reason for doing so.
[65 FR 79526, Dec. 19, 2000, as amended at 75 FR 59107, Sept. 27, 2010; 88 FR 27641, May 2, 2023]
Amendment history
5 distinct wordings on file since Oct. 1, 1996- [65 FR 79526, Dec. 19, 2000, as amended at 75 FR 59107, Sept. 27, 2010; 88 FR 27641, May 2, 2023]
- [65 FR 79526, Dec. 19, 2000, as amended at 75 FR 59107, Sept. 27, 2010]
- [65 FR 79526, Dec. 19, 2000, as amended at 75 FR 59107, Sept. 27, 2010]
- Oct. 1, 1996 → Oct. 1, 2001annual editions 1996–2000[59 FR 7357, Feb. 15, 1994, as amended at 59 FR 43001, Aug. 19, 1994; 60 FR 19679, Apr. 20, 1995]
A new entry appears whenever the regulatory words change between government snapshots. Day-precise from the eCFR (2017 onward); before that, one snapshot per annual CFR edition (revised as of October 1). Bracketed citations are the Federal Register history printed with the section. Set a case date in the header to read any earlier wording.