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Relevant Updates / Links & Training FAQ
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Relevant Updates & Links |
| New 49 CFR Part 40 |
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Effective July 25, 2003, there are new regulations governing the submission of DOT Agency MIS forms. The ODAPC office and the DOT operating agencies have revised the MIS reporting requirements to standardize the collection of alcohol and drug testing data for the agencies. Rather than separate forms for each agency, there is now one MIS form to be used for all agencies. The new form will be used in 2004 for submission of 2003 data. Companies must ensure that they are correctly tracking the data to be submitted.
Instructions for filling out the new form are now contained in Appendix H of 49 CFR Part 40.
download the form (PDF) See the rule change
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| Training FAQ |
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1) What are the minimum requirements of the DOT model course for training Breath Alcohol Technicians?
The DOT model course is designed to be given by an instructor in a classroom-type setting. It is a "complete" course – providing a specific curriculum for the DOT testing procedures of 49 CFR Part 40, and the minimum objectives to be met for the use of an EBT. The course recommends the maximum number of students (8) per instructor, as well as the maximum number of students (4) per EBT. The instructor, through his or her personal interaction with, and observation of, each student, will determine if the student is proficient in the DOT testing procedures and the operation of a particular EBT prior to issuing the documentation attesting to achievement. The DOT emphasizes that this evaluation is not to be taken lightly, and should only be done by the instructor who can personally attest to the student’s proficiency. Upon successful completion of the DOT model course, the student will be ready to conduct a DOT breath alcohol test.
The DOT model course provides a specific curriculum for teaching the DOT alcohol testing procedures of 49 CFR Part 40; these procedures are covered in the first seven units of the course, and are designed to take six and one-half hours of class time to complete. The course also includes an eighth unit, which does not contain a specific curriculum, but sets the minimum objectives to be met for the use of an evidential breath testing (EBT) device. The content segments and learning activities with this unit will vary depending on the EBT(s) used for this unit, and thus, are left to the instructor to develop.
Training/General
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2) What are the qualifications to be a BAT instructor, and where might an employer find sources for BAT instruction?
The new 49 CFR Part 40, effective 8/1/01, requires the BAT instructor to be an individual who has demonstrated the necessary knowledge, skills, and abilities by regularly conducting DOT alcohol tests for a period of at least a year or by completing a "train the trainer" course.
Instructor sources include, but are not limited to, EBT manufacturers, professional trainers and health care providers. Each individual must maintain documentation showing that he/she currently meets all requirements of 49 CFR Part 40 section 40.213 regarding training. The employer must ensure through documentation that each BAT used to conduct a DOT alcohol test has been trained completely.
Training/General
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3) My instrument just failed its accuracy check. What do I do?
Your device needs to be calibrated and then checked by a Factory Authorized calibration technician. If you have not been certified by Intoximeters to calibrate your EBT, then you should send the device to the factory for calibration or locate an authorized calibration technician in your area.
DOT says that inspection, maintenance, and calibration of EBTs needs to be done according to specific criteria - which are set forth in the manufacturer’s quality assurance plan (QAP). Each of these functions also needs to be performed by specific entities- namely the manufacturer of the EBT, a representative certified by the manufacturer of the EBT, a state health agency, or another appropriate state agency (e.g. law enforcement). (Note: It would be reasonable to assume that the state agencies would have received their training in this area from the manufacturer of the EBT.)
The DOT has purposely limited inspection, maintenance, and calibration functions in attempt to increase the overall reliability of industry test results.
Training/General
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4) Are DOT employers required to perform Pre-employment alcohol test on a prospective employee under the DOT rules?
No. But an employer may conduct preemployment alcohol tests (unless under US Coast Guard or RSPA rules) under DOT authority if the following conditions are met: Testing is accomplished for all applicants, the testing must occur after the employee has been told s/he has the job if the test is passed, and the testing must comply with DOT Part 40.
Training/General
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5) Where can I get a copy of the Federal Register?
To access Federal Register documents via the Internet:
1. Go to http://www.gpoaccess.gov/fr/index.html
2. Click on box for Federal Register
3. Check boxes for the types of documents you want to see
4. Enter the date(s) for search
5. Enter keyword "alcohol" or "alcohol & test"
Or, you can call the DOT Office of Drug and Alcohol Policy and Compliance (ODAPC) at 202-366-3784. ODAPC's website
Training/General More Information
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6) Can a DOT form be used for Non-DOT tests? What about a Non-DOT form for a DOT test?
The DOT Alcohol Testing Form (ATF) includes a statement notifying the employee that the test is being conducted under the authority of DOT regulations. For this reason DOT states, "Employers are not permitted to use the ‘DOT form’ for a test not conducted under DOT authority".
DOT employers are subject to audit by the DOT mode they fall under. In the event of an audit, the employer may be required to produce all DOT test forms so the auditor can determine if the employer has been conducting DOT tests as required. If an employer mistakenly uses DOT BATFs for all testing, not just DOT-covered testing, the statistics for DOT reporting may be skewed. Errors such as these could subject an employer to sanctions due to non-compliance.
Effective 8/1/01 the new Part 40 rules state that if the incorrect form was used inadvertently or as the only means of conducting a test, in circumstances beyond your control, that error may be corrected by a written statement from the BAT. The statement must include the reason the incorrect form was used and what steps have been taken to insure the error does not occur again.
Training/General
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7) Does DOT require refresher training for BATs?
Effective 8/1/01 DOT will require refresher training for BATs. Subpart J section 40.213 (e) of the new 49 CFR Part 40 requires refresher training for BATs no less frequently than every 5 years from the date on which you completed your initial BAT training. BATs who were trained before 1/1/98 will be grandfathered until 1/1/03.
You must complete refresher training that meets all requirements of section 40.213 (b) and (c), i.e. a complete course every five years.
Five years is a long time. Common sense would say that the BAT who reviews the material and practices on a routine basis has a better chance of remaining proficient. In many cases, such as where BAT duties are collateral duties, alcohol testing may be only part-time work, at best. In these cases, especially, practice (e.g., reviewing course material) may be the only means to stay proficient.
Any employer who takes an adverse personnel action against an employee who fails a DOT alcohol test should be prepared to defend the training of the BAT during possible litigation proceedings that may develop as a result of that action. Intoximeters strongly advises Instuctors and BATs to practice positive scenarios on a regular basis to maintain an appropriate level of competence. If this type of continuing education is documented by BATs and those who train BATs, it will go a long way toward proving that any particular BAT was competent at the time of a disputed test.
Training/General
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8) Can I use old DOT alcohol testing forms after 8/1/01 or must I only use the new ATFs?
DOT’s technical amendments allow you to use the old ATFs until 1/31/02.
Training/ More Information
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9) What training requirements must STTs and BATs meet?
To be permitted to act as a BAT or STT in the DOT alcohol testing program, you must meet each of the requirements of this section:
(a) Basic information. You must be knowledgeable about the alcohol testing procedures in this part and the current DOT guidance. These documents and information are available from ODAPC (Department of Transportation, 400 7th Street, SW., Room 10403, Washington DC, 20590, 202-366-3784, or on the ODAPC web site, http://www.dot.gov/ost/dapc)).
(b) Qualification training. You must receive qualification training meeting the requirements of this paragraph (b).
1. Qualification training must be in accordance with the DOT Model BAT or STT Course, as applicable. The DOT Model Courses are available from ODAPC (Department of Transportation, 400 7th Street, SW., Room 10403, Washington DC, 20590, 202-366-3784, or on the ODAPC web site, http://www.dot.gov/ost/dapc
2. . The training can also be provided using a course of instruction equivalent to the DOT Model Courses. On request, ODAPC will review BAT and STT instruction courses for equivalency.
(2) Qualification training must include training to proficiency in using the alcohol testing procedures of this part and in the operation of the particular alcohol testing device(s) (i.e., the ASD(s) or EBT(s)) you will be using.
(3) The training must emphasize that you are responsible for maintaining the integrity of the testing process, ensuring the privacy of employees being tested, and avoiding conduct or statements that could be viewed as offensive or inappropriate.
(4) The instructor must be an individual who has demonstrated necessary knowledge, skills, and abilities by regularly conducting DOT alcohol tests as an STT or BAT, as applicable, for a period of at least a year, who has conducted STT or BAT training, as applicable, under this part for a year, or who has successfully completed a "train the trainer" course.
(c) Initial Proficiency Demonstration. Following your completion of qualification training under paragraph (b) of this section, you must demonstrate proficiency in alcohol testing under this part by completing seven consecutive error-free mock tests (BATs) or five consecutive error-free tests (STTs).
(1) Another person must monitor and evaluate your 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.
(2) These tests must use the alcohol testing devices (e.g., EBT(s) or ASD(s)) that you will use as a BAT or STT.
(3) If you are an STT who will be using an ASD that indicates readings by changes, contrasts, or other readings in color, you must demonstrate as part of the mock test that you are able to discern changes, contrasts, or readings correctly.
(d) Schedule for qualification training and initial proficiency demonstration. The following is the schedule for qualification training and the initial proficiency demonstration you must meet:
(1) If you became a BAT or STT before August 1, 2001, you were required to have met the requirements set forth in paragraphs (b) and (c) of this section, and you do not have to meet them again.
(2) If you become a BAT or STT on or after August 1, 2001, you must meet the requirements of paragraphs (b) and (c) of this section before you begin to perform BAT or STT functions.
(e) Refresher training. No less frequently than every five years from the date on which you satisfactorily complete the requirements of paragraphs (b) and (c) of this section, you must complete refresher training that meets all the requirements of paragraphs (b) and (c) of this section. If you are a BAT or STT who completed qualification training before January 1, 1998, you are not required to complete refresher training until January 1, 2003.
(f) Error Correction Training. If you make a mistake in the alcohol testing process that causes a test to be cancelled (i.e., a fatal or uncorrected flaw), you must undergo error correction training. This training must occur within 30 days of the date you are notified of the error that led to the need for retraining.
(1) Error correction training must be provided and your proficiency documented in writing by a person who meets the requirements of paragraph (b)(4) of this section.
(2) Error correction training is required to cover only the subject matter area(s) in which the error that caused the test to be cancelled occurred.
(3) As part of the error correction training, you must demonstrate your proficiency in the alcohol testing procedures of this part by completing three consecutive error-free mock tests. The mock tests must include one uneventful scenario and two scenarios related to the area(s) in which your error(s) occurred. The person providing the training must monitor and evaluate your performance and attest in writing that the mock tests were error-free.
(g) Documentation. You must maintain documentation showing that you currently meet all requirements of this section. You must provide this documentation on request to DOT agency representatives and to employers and C/TPAs who are negotiating to use your services.
(h) Other persons who may serve as BATs or STTs. (1) Anyone meeting the requirements of this section to be a BAT may act as an STT, provided that the individual has demonstrated initial proficiency in the operation of the ASD that he or she is using, as provided in paragraph (c) of this section.
(2) Law enforcement officers who have been certified by state or local governments to conduct breath alcohol testing are deemed to be qualified as BATs. They are not required to also complete the training requirements of this section in order to act as BATs. In order for a test conducted by such an officer to be accepted under DOT alcohol testing requirements, the officer must have been certified by a state or local government to use the EBT or ASD that was used for the test.
Training/ More Information
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10) Under 49 CFR Part 40 rules, who can perform calibrations on an EBT?
The manufacturer of the EBT, a maintenance representative certified by the manufacturer or by a state health agency or other appropriate state agency (see 49 CFR Part 40 - 40.233 - "What are requirements for proper use an care of EBTs?" Subsection (5).)
Training/
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