| Next >>
Subpart J - Alcohol Testing Personnel
§40.211 Who conducts DOT alcohol tests?
(a) Screening test technicians (STTs) and breath alcohol technicians
(BATs) meeting their respective requirements of this subpart are
the only people authorized to conduct DOT alcohol tests.
(b) An STT can conduct only alcohol screening tests, but a BAT
can conduct alcohol screening and confirmation tests.
(c) As a BAT- or STT-qualified immediate supervisor of a particular
employee, you may not act as the STT or BAT when that employee
is tested, unless no other STT or BAT is available and DOT agency
regulations do not prohibit you from doing so.
§40.213 What training requirements must STTs and
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
(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
(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.
§40.215 What information about the DER do employers
have to provide to BATs and STTs?
As an employer, you must provide to the STTs and BATs the name
and telephone number of the appropriate DER (and C/TPA, where
applicable) to contact about any problems or issues that may arise
during the testing process.
§40.217 Where is other information on the role of
STTs and BATs found in this regulation?
You can find other information on the role and functions of STTs
and BATs in the following sections of this part:
§40.3 – definitions.
§40.223 - responsibility for supervising employees being
§§40.225 - 40.227 - use of the alcohol testing form.
§§40.241 - 40.245 - screening test procedures with ASDs
§§40.251 - 40.255 - confirmation test procedures.
§40.261 - refusals to test.
§§40.263 - 40.265 - insufficient saliva or breath.
§40.267 - problems requiring cancellation of tests.
§§40.269 - 40.271 - correcting problems in tests.
| Next >>