Training and DOT BAT Procedures FAQ
The Paperwork Reduction Act Burden Statement on the reverse sides of Copy 1 and Copy 2 has been updated to comply with current federal law.
There is a new DOT form number (DOT F 1380).
The instructions on the back of Copy 3 have been expanded to explain that tamper evident tape must not obscure the printed information on the EBT printout when the BAT attaches it to the form.
These changes were initiated in 2008 and finalized in 2010. To determine if you have the right forms, simply look at the bottom left side and verify that the revision date is 5/2008.
If you have not yet ordered new forms please visit our online store to make a purchase now.
BAT or Breath Alcohol Technician is a term that refers specifically to a person trained according to the U. S. Department of Transportation alcohol testing program requirements.
A BAT is knowledgeable about 49 CFR Part 40 alcohol testing procedures and has received qualification training in accordance with the DOT Model BAT course.
The DOT Model Course is intended to be an instructor led course. However, DOT has not limited training requirements to traditional instructor led courses; video and online training are available options. Such “non-traditional” offerings must be equivalent to the training requirements contained in the model course.
The model course 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 testing procedures and device training for BATs go hand-in-hand but when using an online course there could be a delay between receiving the procedures training and device proficiency training. Individuals should arrange both procedural training and instrument proficiency training simultaneously. The entire training process must be completed within 30 days of the start date.
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. All proficiency training must be conducted either face-to-face or in real-time observation and proficiency must be demonstrated in front of an individual who meets the requirements spelled out in Part 40.
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.
The DOT Model Course is available for purchase from the Office of Drug & Alcohol Policy and Compliance. Click on the link below to learn more.
What are the qualifications to be a BAT instructor, and where might an employer find sources for BAT instruction?
49 CFR Part 40.213 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 other service providers. Each individual must maintain documentation showing that he/she currently meets all requirements of 49 CFR Part 40.213 regarding training. The employer must ensure through documentation that each BAT used to conduct a DOT alcohol test has been trained completely.
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.
If your EBT has failed an accuracy check, thus requiring a calibration adjustment, you have several options:
Are DOT employers required to perform Pre-employment alcohol test on a prospective employee under the DOT rules?
No. But an employer may choose to 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 regulations in 49 CFR Part 40.
Information about the reasons for which employers perform alcohol tests on their employees is contained in the regulations for the specific operating agency that governs the employer.
To access Federal Register documents via the Internet:
1. Go to the U.S. Government Printing Office
2. Contact the DOT Office of Drug and Alcohol Policy and Compliance (ODAPC) at 202-366-3784. ODAPC`s website
3. Attend an Intoximeters Breath Alcohol Technician Training course. Training Classes
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 Operating Agency by which they are governed. 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.
49 CFR Part 40.271 states 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.
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 40.233 – “What are requirements for proper use an care of EBTs?” Subsection (c)(5).)
Yes. Subpart J section 40.213 (e) of 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.
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 functions 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 and other obstacles 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.
You can use the old Alcohol Testing Forms until 1/1/2011. DOT requires use of the new form for every DOT-mandated alcohol test as of 1/1/2011.
Originally, the deadline for use of the new ATF was scheduled to be 8/1/2010, but after DOT discovered that there were many service agents and employers who would have to throw away forms, they published an extension of the deadline to 1/1/2011.
Click on the links below if you would like to view the regulatory text.
Do Breath Alcohol Technicians have to particiapte in refresher training to maintain their BAT status?
Yes. According to the DOT regulations a Breath Alcohol Technician must go through retraining no less than every five years to properly maintain their accreditation. Reference 49 CFR Part 40.213
The instructor must be an individual who has done one of the following:
1. Has demonstrated the necessary knowledge, skills and abilities by regularly performing DOT tests for at least a year,
2. Has conducted BAT training for at least a year,
3. Has successfully completed a Train the Trainer course.
Remember that the above requirements mean that the individual has the experience on the same instrument on which they will be training.
Before contracting with a service provider for training, you should educate yourself about the training requirements of DOT. A summary of the DOT training requirements can be downloaded here.
Yes. It doesn’t matter how long you have been conducting DOT breath alcohol tests. Everyone must go through refresher training every 5 years – there are no exceptions or grandfathering.
About 90% of the students who attend our factory BAT courses state that they got at least 1 or 2 new pieces of information that they did not know or had forgotten since their last training. Refreshing your knowledge is a good practice.
Do I need to be trained as an instructor by Intoximeters to train Breath Alcohol Technicians for DOT workplace testing?
No, however you must be trained by an individual with at least one year of experience performing DOT tests or someone who has passed a Train The Trainer class. Additionally, the instructor must follow either the DOT Model course for training or an equivalent class curriculum. The DOT Model Course is available through the DOT website.
As long as you have been regularly conducting alcohol tests with your Intoximeters equipment for at least one year and are thoroughly familiar with the current DOT regulations regarding alcohol testing, you may train others as BATs. You must insure that you train others according to the latest DOT regulations contained in 49 CFR Part 40 and the DOT Model Course. The best way to obtain that information is through a factory Instructor course, but Intoximeters does offer training materials to help with the instruction of BATs.
Please keep in mind that anyone who performs a calibration on the equipment must have a certificate issued by the manufacturer (49 CFR Part 40.233). So, Intoximeters requires that anyone who trains Calibration Technicians must maintain a current Intoximeters Instructor certification.
Click here for a summary of general training information (pdf format).
You can get trained by Intoximeters directly at any of our scheduled courses. Alternatively, other customers who have been through our factory Instructor course and maintained a current factory Instructor status can train Calibration Technicians.
You can request a list of potential instructors in your state through the Training Department.
Do I need to be trained by Intoximeters to train Calibration Technicians on Intoximeters instruments for DOT workplace testing?
All Calibration Technicians must be the actual manufacturer or a maintenance representative certified either by the manufacturer or by a state health agency or other appropriate state agency. Therefore, unless you are an appropriate state agency, you must be authorized by the manufacturer to offer training for Calibration Technicians. This is accomplished by attending a factory BAT/EBT/Cal Tech Instructor Course.
Only Intoximeters Master Trainers.
Calibration Technicians must be trained by the manufacturer or a maintenance representative certified by the manufacturer or by a state health agency or other appropriate state agency. Therefore, unless you are an appropriate state agency, you must be authorized by the manufacturer to offer training for Calibration Technicians. This is accomplished by attending a factory BAT/EBT/Cal Tech Instructor Course.
§ 40.213 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) You must be knowledgeable about the alcohol testing procedures in this part and the current DOT guidance. Procedures and guidance are available from ODAPC (Department of Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590, 202-366-3784, or on the ODAPC Web site, http://www.transportation.gov/odapc). You must keep current on any changes to these materials. You must subscribe to the ODAPC list-serve at (https://www.transportation.gov/odapc/get-odapc-email-updates).
(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, 1200 New Jersey Avenue, SE, Washington, DC 20590, 202–366–3784, or on the ODAPC web site, http://www.dot.gov/odapc). 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) You must meet the requirements of paragraphs (b) and (c) of this section before you begin to perform STT or BAT 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.
(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.
Intoximeters provides online options for several of our training courses.
First, we have an online Computer Based Training program for the Alco-Sensor FST® instrument. This CBT is offered free of charge to ASFST owners but requires that an instrument serial number be entered as part of the registration process. The CBT has both operator and supervisor components. Once a student has registered, he/she may access other on-line resources such as an operator’s manual. Access the ASFST training program here: http://training.intoximeters.wpengine.com/asfst.
Intoximeters has also developed a CBT program for the first component of DOT Breath Alcohol Technician (BAT) training. This DOT Training Unit provides Units I – VII of the DOT Model Course. The interactive program allows the student to study the DOT rules and regulations at their own pace and is designed to replace in-class training requirements of the DOT Model Course for training BATs. Audio and visual explanations and repetition of the key points help students learn the material, pass the Unit quizzes and the overall Mastery Test. Access the DOT training program here: http://training.intoximeters.wpengine.com/webdtu/cd/index.html.
Finally, the Intox Training Academy has developed online EBT Proficiency training courses for the Alco-Sensor IV/RBT IV instrument and the DOT/Workplace versions of the Alco-Sensor VXL device. This allows us to shorten the length of our classes for these instruments and to offer a limited number of webcam sessions for performing the 7 mock tests required by DOT.
Intoximeters workplace training courses are designed to meet the requirements of the U.S. Department of Transportation regulations, which mandates a specific curriculum for training Breath Alcohol Technicians.
Law enforcement regulations and training requirements vary from jurisdiction to jurisdiction.