The liver metabolizes approximately 90% to 95% of the alcohol in the bloodstream.
Through metabolism, the alcohol is detoxified and removed from the blood. Until all the alcohol has been metabolized, it is distributed throughout the body, affecting the brain and other tissues.
About 5% of the alcohol is eliminated from the body through the lungs.
The elimination of alcohol through the lungs during exhalation is the basis for breath alcohol testing.
Sometimes, it isn’t how many drinks a person had that determines impairment, but what the alcohol content was in each drink. Some drinks are more potent than others. For example, a shot of 90 proof whiskey is 45% alcohol, while a 12 oz. can of beer is only 3 to 10% alcohol.
Food
The rate of alcohol absorption depends on how quickly the stomach empties its contents into the small intestine. The greater the dietary fat content in the food, the slower the alcohol will be absorbed into the bloodstream.
Rate of Consumption
Ingesting alcohol at a higher rate than the rate of elimination results in a higher alcohol concentration.
Tolerance
This is the reduced effectiveness of a drug (alcohol) after a period of prolonged use. Studies have shown that chronic alcohol abusers can have twice the tolerance of alcohol than the average person
Other Factors
Medication, fatigue and altitude can all increase the effects of alcohol. These factors may not affect the level of alcohol concentration in the bloodstream, but the individual may exhibit exacerbated signs of intoxication.
alcohol concentration of .020 means that there are .020 grams of alcohol per 210 liters of breath, which equals .020 BrAC or .020 BAC
Quiz:
An EBT must be on the Conforming Products List to be used in the DOT alcohol testing program.
True
What is an Air Blank?
A sample of the ambient air
0.1 Breath Alcohol Content (BAC) equals 0.1 grams of alcohol in how much breath?
210 liters
How long must a BAT wait before administering the confirmation test after a positive screening test?
15 minutes
An EBT measures the alcohol in the ________, which relates directly to the alcohol concentration in the _________?
Breath and Blood
A confirmation test is performed after a screening test result of?
.020 or greater
A fuel cell oxidizes alcohol to generate and measure a small electrical current.
true
What does a proper breath sample consist of?
Deep lung air
Where are the alveoli located?
An EBT must meet the National Highway Traffic Safety Administration’s (NHTSA) specifications for precision and accuracy?
true
Unit EVT
Evidential Breath Testing (EBT) devices must meet certain requirements to be used in certain breath alcohol tests. For example, a screening-only device (testing saliva, etc.) may not be used for a confirmation test. Only certified EBTs meeting DOT requirements may be used for a confirmation test. All Lifeloc EBTs meet DOT functional requirements.
For a confirmation test, an EBT must have the ability to perform the following:
Distinguish alcohol from acetone.
Complete an external calibration check and print calibration check results. A calibration check is a test of the EBT’s ability to produce a quantative result consistent within a given tolerance (/- .005 for Lifeloc devices) with a known alcohol concentration standard. The calibration check is a quality control measure for the EBT.
Produce an air blank prior to the confirmation test.
NOTE: An air blank samples the ambient air to confirm there are no sources of alcohol fumes in the area to interfere with obtaining a valid test result from the subject.
For a confirmation test, an EBT must print test results in triplicate. The three copies are required for three copies of the Alcohol Testing Form (ATF) that must be created.
Printest test results must include:
The manufacture’s name for the device
Serial number of the device
The time and date of the test
An assigned “unique” test number
All of Lifeloc’s EBTs can print out a long or short version of the test results. The long version includes information on the last calibration/calibration check. It’s not necessary that the test result include this information.
To avoid any tampering, store your EBT in a secure area when not in use. Never leave the employee being tested (a.k.a the donor) alone with the EBT.
If there is a possibility that the EBT has been tampered with, such as if it is stored in an unsecured location or been left with the donor, the test results may be invalidated during court. This could affect many cases and your credibility as a BAT.
Quality Assurance Plan (QAP) is a set of standards developed and published by the EBT manufacturer to ensure the accuracy of the breath testing device. Each EBT used for alcohol testing, either screening or confirmation, must have a QAP developed by the manufacturer and approved by NHTSA.
It’s the employer’s responsibility to comply with the QAP published for each device in use. If you are self-employed as a BAT, it’s your responsibility to ensure the QAP is followed for your device.
EBT manufacturers publish a QAP for each EBT model approved by the DOT for confirmation testing. Information presented in the QAP includes the following:
Approved methods used to perform calibration checks
Specific minimum intervals for performing calibration checks
Specific tolerances, which determine if the device is within proper calibration
Specific inspection, maintenance and calibration requirements and intervals for the instrument
Testing site
Privacy
The site must offer privacy to the person being tested. Privacy must be sufficient to prevent unauthorized persons from seeing or hearing test results.
In unusual circumstances, such as testing outdoors or at the scene of an accident (post accident testing), a test may be conducted at a location that does not fully meet the requirements for privacy. The BAT must make every effort to make the test as private as possible.
No Unauthorized Persons
The testing location must prevent unauthorized persons from accessing the location. An “authorized” person is someone authorized by the employer such as a union or legal representative. A friend of the donor or relative is NOT authorized.
The authorized representative is not allowed to interfere with the testing, nor does the BAT have to wait until the representative arrives to begin testing. The BAT may instruct the representative to leave the testing site if they are disruptive. If the representative affects the testing, the BAT must document the information in the remarks section of the Alcohol Testing Form/ATF (discussed later in this course).
One Donor
The testing process must be completed for one donor at a time. Do not allow another donor into the testing area until the current donor’s testing is finished.
If a donor arrives for both a drug and alcohol test, the alcohol test should be given first.
Supervision
The BAT must not leave the donor alone once the testing process has begun. Leaving the donor alone can violate the integrity of the test since the donor can tamper with the equipment or otherwise taint the results.
How many copies of the test result must an Evidential Breath Tester (EBT) print?
3
The printed test result must include the BAT’s name?
false
Who develops the Quality Assurance Plan (QAP)?
EBT Manufacture
Which situation would not be a correct procedure:
You have given a screening test to a donor and the result is positive, while he is waiting 15 minutes for the confirmation test, you give the next donor a screening test.
If a donor arrives for both a drug and alcohol test, the alcohol test should be taken first.
true
The donor is allowed to handle the breath alcohol testing equipment during the 15 minute waiting period.
false
Lifeloc EBT’s have this allowable tolerance for calibration checks:
+/- .005
Who approves the QAP?
NHTSA
EBT does not have to assign a unique number to each alcohol test.
false
Alcohol Testing Form (ATF) is a form used to record and report breath alcohol test results. However, the DOT has issued a specific three-part carbonless ATF for the BAT to complete in all DOT-regulated tests. There are also non-DOT ATFs that can be used in certain situations.
ATF is a three-part carbonless form that must be completed in ink. This means a ballpoint pen should be used for any handwritten information to ensure the information transfers through the carbonless forms.
Each copy of the ATF is labeled with the entity to whom that copy should be distributed. The original is forwarded to the employer. The employee retains one copy. You, as the BAT, retain the third copy.
A breath alcohol test conducted under the employer’s authority/policy may use a non-DOT form. However, the non-DOT form should not be used for a DOT test nor vice versa.
In extenuating circumstances out of the BAT’s control, the BAT may be forced to use a non-DOT ATF on a DOT test. However for the DOT test to be valid, the BAT must sign a statement indicating the following:
The ATF used contains all of the required information for a DOT test
The reason why the non-DOT ATF was used
Steps taken to ensure this error does not happen again
Consistent use of non-DOT ATFs for DOT tests (and vice versa) can be cause for sanctions.
Note: The FRA requires its own specific form for post-accident testing.
If you are temporarily out of ATFs, you can use a photocopy of the DOT ATF. You must have copies of all three pages labeled with the entity to which each page will be distributed (donor, employer, BAT). Be sure to complete all three pages with the exact same information
A screening test is the initial breath alcohol test performed on a donor to determine breath alcohol content (BAC). If a screening test shows a BAC of .020 or higher, a confirmation test must be performed. You will complete the ATF when performing both screening and confirmation tests.
When performing a screening test, ensure the test location provides as much privacy as possible and that no unauthorized personnel are in the test area. Also, avoid any conduct or statements that could be viewed as offensive or inappropriate.
When the screening test is done, you must record the results. For BATs using Lifeloc equipment, this means attaching printouts to the form. For BATs using EBTs that do not print results, the results may be written on the ATF itself. Instructions for this scenario are detailed on page 18 of your BAT Training Student Handbook included with this course. However, written results are only acceptable for screening tests; confirmation tests require printed results.
hat if the donor does not have a photo ID and there’s no employer representative to positively identify him or her?
If the donor cannot be positively identified by either of these means, the test cannot be conducted.
Exception: If the donor is self-employed and has no ID, the BAT may continue the test if the donor can produce two IDs with matching signatures (such as credit cards). The BAT must compare the signatures with the signature in Step 2. If the signatures do not match, the BAT may proceed with the testing but note in the Remarks that “signature identification is unconfirmed.”
Informing the Donor
After the screening test, inform the donor of the following:
The results of the screening test require a confirmation test.
The confirmation test requires a 15-minute waiting period.
The donor will be observed during the waiting period.
During the waiting period, the donor may not:
Eat
Drink
Put any object their mouth
Belch
The waiting period and observation is for the donor’s benefit, as it ensures test results are not tainted by residual mouth alcohol.
During the Wait
The 15-minute waiting period begins when the screening test is completed. The waiting period cannot be less than 15 minutes or greater than 30 minutes. If the confirmation test is taken at another site, the travel time counts towards the waiting period.
Remind the donor not to eat, drink, put anything in their mouth (such as gum or a cigarette) or belch. All of these can affect the test results.
As the BAT, you must spend the 15-minute waiting period observing the donor. You cannot perform screen tests on other donors during the waiting period. The observation requirement increases the integrity of the confirmation test by allowing you to note any non-compliance by the donor in case the results are contested in court.
After the Wait
The confirmation test will be taken after the waiting period even if the donor has disregarded the instruction of not placing anything in their mouth and/ or belching. If the employee does not comply with this instruction, note in the remarks section of the ATF.
f the result of the confirmation test is positive (.020 or higher), you MUST notify the designated employer representative (DER) immediately.
Results to the DER must be transmitted in a confidential manner via writing, in person, telephone or by electronic means.
Click each tab to learn more.
NOTE:Immediately contacting the DER is a good faith effort and must be documented: the time of the call(s), whom did you notify and how, etc. It is not the BAT’s responsibility to restrain the donor, take their keys or call the police.
DER Overview
Each employer will have designated one or more DERs for the purpose of receiving and handling alcohol test results in a confidential manner. All communications by you, as the BAT, to the employer concerning test results will be to the DER whether positive or negative. The immediate notification of the DER for a positive test result (.020 or greater) is to prevent the employee from performing a safety-sensitive function.
If the initial transmission is not in writing (such as via telephone):
The DER must establish a mechanism to verify the identity of who is providing the information.
The BAT must follow up the initial transmission with sending the employer’s copy of the ATF to the DER.
Donor is off-the-clock
What if the BAT is required to conduct a confirmation test but the donor is off duty in 10 minutes?
The waiting period and confirmation test are mandatory, regardless of the fact that the donor is off-the-clock in less than the 15-minute waiting period. The BAT should inform the donor that if he/she leaves before the 15-minute waiting period is up, it is the equivalent of a refusal.
If the donor still leaves without completing the testing process, the BAT makes a note of the situation on the ATF and informs the DER that the donor has left and refused testing.
What if, after the confirmation test, you realize that same mouthpiece was used on the confirmation test as on the screening test?
Cancel the confirmation test by writing VOID across the printed result, provide an explanation in the remarks section of the ATF, and affix the cancelled test results to the ATF. Then, replace the mouthpiece and perform another confirmation test.
What if the printer runs out of paper while printing the results of a test?
Lifeloc EBTs have a memory and the test can be recalled; replace the paper in the printer and follow the instrument’s instructions to recall the test.
On a confirmation test, a donor has a .020 or greater BAC?
Show the donor their test result, complete the ATF, and have the employee sign Step 4. Reiterate to the donor that they have agreed not to drive or perform a safety-sensitive function by signing Step 4 of the ATF. Under the DOT regulations, the BAT is not required to restrain the donor, take their keys or call the police.
KC001 The donor belches after you have instructed them about the 15-minute wait period before their confirmation test; what should you do? Make a note in the Remarks section of the ATF Make a note in the Remarks section of the ATF Correct
KC002 You must show the donor the test result displayed on the device’s screen after the breath alcohol test is performed. True True Correct
KC003 If the confirmation test result is a .019, the donor must sign Step 4. False False Correct
KC004 It is the donor’s responsibility to contact their DER with their test results. False False Correct
KC005 You must use a new mouthpiece for the confirmation test. True True Correct
KC006 Who must perform the confirmation test? Breath Alcohol Technician Breath Alcohol Technician Correct
KC007 If the results of the screening and confirmation test are different, which result is considered the final, evidential result? Confirmation test Confirmation test Correct
KC008 An air blank result must be ? .000 .000 Correct
ctions taken by the donor that constitute a “refusal” include the following:
Refusing to complete and sign step 2 on the ATF.
Unwillingness to provide a breath sample. This includes refusing to blow into the mouthpiece, sucking in breath rather than blowing, and not blowing hard enough or long enough (without medical reason for the failure).
Refusing to cooperate with the testing process in any way that prevents the completion of the test.
Failure to arrive at the testing site within a reasonable amount of time as determined by the employer. This includes a donor failing to arrive at the testing site when called by the TPA. If the donor doesn’t arrive by the pre-determined deadline, the BAT must notify the DER.
Failure to remain at the testing site until the testing process is complete.
Failure to undergo a medical examination or evaluation, as directed by the employer as part of the insufficient breath procedures. This is provided for information purposes only; you as a BAT will not be invloved in this determination.
Refusal Procedures
When the donor declares a refusal or does not cooperate with the testing procedures, explain the consequences of a refusal and encourage the donor to complete the testing.
If the donor still refuses to complete the test:
Note all refusals in the Remarks section of the ATF or in a separate document (if more room is required for explanation) and attach to the ATF
Terminate the testing process
Immediately notify the DER
Distribute copies of the ATF to usual recipients
Medically Unable
If a donor states that they are unable to provide a breath sample due to asthma, emphysema, etc., ask them to try. You can use the manual override mode in Lifeloc EBTs if you determine the donor is really trying to provide a breath sample.
If the donor is medically unable to produce an adequate breath sample, immediately notify the DER and note the reason in the Remarks section of the ATF.
The donor will likely be directed by the employer to undergo a medical examination or evaluation
Able but Unwilling
As the BAT, you can determine whether or not the donor is cooperating. Uncooperative behaviors can include:
Refusing to blow into the mouthpiece
Sucking in breath rather than blowing
Not blowing hard enough
Not blowing long enough
The BAT must allow the donor two attempts at providing a breath sample. After two attempts, the BAT may determine whether or not to allow additional attempts.
If the donor fails to provide an adequate breath sample due to uncooperativeness, it’s the BAT’s right to end the testing as a “refusal.”What Should the BAT do?
If possible, begin a new screening or confirmation test using a different EBT if the uncomplete test is due to equipment malfunction.
If the testing cannot be completed, cancel the test and note the reason in the remarks section of the ATF (distribute copies to recipients as usual). Contact the DER to make alternate arrangements at another testing site if feasible.
Reasons for Cancelling Tests
You must cancel the test if any of the following occur on a CONFIRMATION TEST:
The BAT conducts the confirmation test before the end of the 15-minute waiting period.
The BAT does not conduct an air blank before the confirmation test.
The air blank result is not .000 before the confirmation test is taken.
The next external calibration check of the EBT produces a result that differs from the tolerance of +/-.005.
The EBT’s unique test number or the alcohol concentration displayed on the EBT is not the same as the unique test number or alcohol concentration on the printed result (this should not occur on a Lifeloc EBT).
The confirmation test does not print.
The ATF is not signed by the BAT, and the corrective action is not accomplished.
The BAT, fails to note a donor’s refusal to sign the ATF and corrective action is not accomplished.
orrective Action
As a BAT administering the testing process, you must take all practicable action to correct the problem and avoid cancelling the test. Some tests do not need to be cancelled if you take corrective action as soon as you realize the error.
If the donor is still at the test site when the error is discovered, obtain the proper signature(s) on all copies of the ATF. If the donor is not available, a memorandum can be issued after the test to correct the flaw.
Omissions: If the problem resulted from the omission of required information, you are responsible for providing that information. Supply the information in writing with a signed statement that the information is true and accurate.
alibration Tolerance
If the calibration check is not within the tolerances of +/-.005, all of the positive confirmation tests since the last valid calibration check must be canceled
NOTE: The Lifeloc QAP allows for two failed air blanks before the EBT has to be calibrated. While the positive confirmation test must still be cancelled, the BAT should perform a second calibration check. Only if this second check is out of range should a calibration be performed.
Cancellation Procedures
Confirmation test errors that cannot be (or are not) corrected are considered fatal flaws.
The BAT must cancel the test.
The BAT must contact the DER within 48 hours of the cancelled test.
The BAT must receive error correction training if the cancellation is due to his/her error.
An employer cannot ask you to conduct a non-DOT test because the DOT test was cancelled.
NOTE: No person concerned with the testing process may declare a test cancelled based on a mistake in the process that does not have a significant adverse effect on the right of the donor to a fair and accurate test. For example, the test should not be cancelled if the employee does not sign in Step 4 of the ATF. Use corrective action instead.
Corrective Action Memorandum
For some corrective actions occurring after the confirmation test is completed, you can use a memorandum to provide information and certify results. This memorandum must be sent to the DER the same day as the test.
For example, if the problem is the use of a non-DOT ATF for a DOT test, you must certify in writing that the incorrect ATF contains all required information for a valid test. You can use a simple memorandum similar to the Sample Error Affidavit supplied in this course to provide this certification.
To access this memorandum file, click Attachments, then scroll down to Sample Error Affidavit. The file will open in a PDF viewer in a separate window.
raining Requirements
The training must occur within 30 days of the date the BAT is notified of or discovers the error.
Error correction training is required to cover only the error(s) that caused the test to be cancelled.
The BAT must complete three consecutive error free mock tests: one uneventful scenario and two scenarios related to the area(s) in which the error(s) occurred.
The person providing the training must meet the same requirements as a BAT instructor. The trainer must evaluate the BATs performance and attest in writing that the mock tests were error free.
Compliance
If error training is not completed within 30 days, the individual is out of compliance and cannot function as a BAT. However, the BAT may continue to perform breath alcohol testing during the 30-day period.
It is the BAT’s responsibility to keep and maintain all records of training and provide it upon request to DOT representatives, employers and TPAs who use their services. These records must be presented in a timely manner if requested. However, it is not required that the BAT carry these records on their person.
Equipment Failure
Error training is not required if an alcohol test is cancelled due to equipment malfunction, unless the failure was due to the BAT’s failure to properly maintain the equipment.
However, error training is required if the BAT does not attempt to accomplish the test following the equipment failure using another EBT – provided that an additional unit was reasonably available.
KC001 You have begun the testing procedures; the donor is to complete and sign Step 2 of the ATF but will not do so. Refusal Refusal Correct
KC002 The donor gets up and leaves in the middle of the testing procedures. R = Refusal R = Refusal Correct
KC003 You have taken a positive screening test, you are beginning the confirmation test and the device will not conduct an air blank. C = Cancelled C = Cancelled Correct
KC004 You have begun the testing procedure and the fire alarm goes off. U = Uncompleted U = Uncompleted Correct
KC005 You forgot to observe the 15-minute waiting period prior to conducting the confirmation test. C = Cancelled C = Cancelled Correct
KC006 The BAT ends the testing because the donor is uncooperative. R = Refusal R = Refusal Correct
KC007 The EBT is malfunctioning and there is no backup device. U = Uncompleted U = Uncompleted Correct
KC008 How many days does a BAT have to complete error correction training? 30 Days 30 Days Correct
KC009 An employer can ask you to conduct a Non DOT test because the DOT test was cancelled. False True Inorrect
KC010 The DER must be notified in the event of an uncompleted test. True False Inorrect
A BAT usually testifies during a trial where the confirmation test results are .040 or higher.
If called to testify, a BAT may be responsible for the following:
Describing the DOT alcohol procedures
Verifying current training to conduct alcohol testing in general, as well as proficiency on the EBT used
Verifying signatures on documents that they prepared
Proving Consistency
Documentation can prove that you conduct all testing and calibrations in a consistent manner. This is important as lawyers may suggest the test results were the consequence of faulty equipment or procedures.
You can prove procedural consistency by always using the laminated card discussed in Unit IV. Be sure each donor sees you using the card.
Keeping records of tests performed shows how often you perform tests and can be used to prove a level of proficiency. If you don’t have an opportunity to perform actual tests on a regular bases, perform and record practice tests to keep your skills sharp.
Keeping EBT calibration records allows you to prove that you have kept your equipment in good order.
Test Results
All DOT agencies follow the same storage requirements for BAC test records:
Confirmation positive results (BAC = .020 or higher) — five years
Documentation of refusals and follow-up tests — five years
KC001 A positive confirmation test result must be stored for how long? 5 Years 5 Years Correct
KC002 Records of a negative or cancelled test must be stored for how long? 1 years 1 years Correct
KC003 For most DOT agencies, inspection, maintenance and calibration records of an EBT must be stored for how long? 2 years 2 years Correct
KC004 It is recommended that a BAT keep their copy of any test for how long? 30 Days 30 Days Correct
KC005 An agency with regulatory authority over you or the donor may request a copy of the donor’s test. True True Correct
Negative and cancelled tests — one year
EBT records are kept to ensure that the EBT is being maintained properly in accordance with the manufacturer’s QAP. EBT records allow you to prove the calibration checks/calibrations are being done at the required intervals.
For employers regulated by most DOT agencies, records of EBT inspection, maintenance and calibration must be kept for two years. However, please note that the FMCSA requires that calibration records be kept five years.
AT Documentation
BATs are responsible for maintaining documentation showing that they are qualified and to produce records if required by a DOT agency, employer or service agent. The BAT does not need to carry this documentation to all test locations, but must have quick access to the documentation.
There is no central system tracking BAT qualification, so if you lose your documentation, you may not be able to obtain another copy unless your employer keeps a copy on file. Lifeloc can provide copies of your C-LOCT, but not of the BAT qualification.
As a BAT, it is recommended that you maintain your copy of the donor’s alcohol test result for at least 30 days.
A BAT’s employer cannot refuse them access to their training record; the record is the BAT’s not the employer’s. An employer can and should keep copies of the BAT’s documentation.
ontrolled Access
Controlled access includes a locked cabinet or rooms requiring entrance by sign in, lock and key etc. Only employees with the “need to know” should have access.
All records, regardless of how they are stored, must be producible within two business days. Records must be easily and quickly accessible, legible and stored in a well organized way. Electronically stored documents must be formatted in an easily viewable format.
Disclosure of testing information or records to unauthorized persons is not permitted.
The only persons authorized to receive test result or records are:
The donor. You must provide alcohol test information to the donor if you receive a written request from him or her.
An agency with regulatory authority over you or the donor. You must provide alcohol test records concerning the donor when requested by the DOT or its agencies.
If requested by the National Traffic Safety Board as part of an accident investigation, you must provide information concerning post accident testing.
Note that the employer should already have a copy of the testing records from the distribution of the ATF. Only employees directly involved in the case should be permitted access to the records.
Attachments
49 CFR PART40 manual drug – alcohol testing
dot agency -runs 5 areas