A Guide To Selecting Evidential Breath Testers And .
A Guide to Selecting EvidentialBreath Testers and Training forDOT Alcohol Testing
Executive SummaryThis white paper was created to help organizations andindividuals seeking to purchase Evidential Breath AlcoholTesting equipment and training that complies with U.S.Department of Transportation mandated alcohol testingas specified in 49 CFR Part 40. The recommendations arethose of Lifeloc Technologies derived from our experiencein Workplace Evidential Breath Testing.This white paper also calls out specific features andfunctionality of EBTs that are not covered under DOTregulations but which relate directly to instrument ease ofuse, mobility and maintenance.This document is not meant to be a substitute orshortcut for understanding the DOT rules and regulationscontained in 49 CFR Part 40. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 2
What is 49 CFR Part 40?The Department of Transportation requires all coveredemployers in safety sensitive positions in the federallyregulated Transportation and Pipeline businesses toconduct breath alcohol testing. DOT rule 49 CFR Part 40describes the mandatory procedures for conductingworkplace alcohol testing.Many non-covered employers in industries other thanTransportation choose to conduct alcohol testingaccording to 49 CFR Part 40 because the DOT rules andregulations may already be mandated for other parts oftheir business. Others choose to follow the DOT alcoholtesting rules because they provide legal protections forboth the employer and employees. DOT procedures arewell documented and accepted in practice.DOT alcohol testing always requires a preliminaryscreening test to establish probable cause for a follow-upconfirmation test. The terms “screening” and“confirmation” need clarification. The first test is alwayslabelled as the screening test. If the screening testproduces a “Negative for Alcohol” result (i.e. no breathalcohol detected over .02 BAC) then there is no cause orneed to continue to the second test.If the preliminary screening test records a positive BAC( .02 BAC) it must be followed by a confirmation test. TheDOT considers any screening result over 0.02 BAC assufficient cause to justify a follow-up confirmation test.Conversely, a BAC test result that is under 0.02 does notsupport a confirmation test. Non-DOT mandated breathtesting programs may choose to establish higher or lowercut-off levels than 0.02 BAC.Under DOT rules, the screening test result cannot be usedfor disciplinary or legal action. The confirmation test, alsocalled an evidential test, is the only test from whichdisciplinary or legal action may be taken. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 3
Screening Versus Evidential TestersRecognizing that there are two types of alcohol test, thescreening test and the confirmation test leads us to thefirst important consideration in selecting alcohol testingequipment.The DOT tests and certifies alcohol screening devices andEvidential Breath Testers. Approved screening devicesare listed by the DOT on the Conforming Products List ofAlcohol Screening Devices while approved confirmatorytesting instruments are listed on the Conforming ProductsList of Evidential Breath Testers. Notice that the DOTrefers to the equipment used for the preliminaryscreening test as “screening devices” and theequipment used to perform the confirmation test as“Evidential Breath Testers.” Terms can easily getconfused. Screening devices do not meet the fullrequirements of Section 49 CFR Part 40 for EvidentialBreath Testers.DOT approvedalcohol screeningdevices are notapproved forevidential breath tests.Alcohol Screener or Evidential Tester?The DOT has defined an Evidential Breath Tester (EBT) tobe a device that meets very specific equipment accuracyand performance standards. The DOT then approves andpublishes the manufacturers, makes and models of breathtesting instruments that it considers to be of evidentialquality.Many people ask, “Do I require both a screening deviceand an Evidential Breath Tester?” Typically you don’trequire both. In DOT mandated alcohol tests the screeningtest and the confirmation test can be conducted using oneand the same device – a DOT approved Evidential BreathTester. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comYou do not need topurchase a DOTalcohol screener and aDOT Evidential BreathTester.Page 4
What is an Evidential Breath Tester?The DOT sets out the standards for Evidential BreathTesters in 49 CFR Part 40. These standards include:1)The EBT must have a Quality Assurance Plan (QAP)developed by the manufacturer and approved byNational Highway Traffic Safety Administration(NHTSA) to ensure proper instrument calibration. TheQAP must specify methods used to perform externalcalibration checks on the EBT; the tolerances withinwhich the EBT is regarded as being in propercalibration; and the intervals at which these checksmust be performed. In designating these intervals,the QAP must take into account factors likefrequency of use, environmental conditions (e.g.,temperature, humidity, altitude) and type of operation(e.g., stationary or mobile). The QAP must alsospecify the inspection, maintenance, and calibrationrequirements and intervals for the EBT. The QAP mustalso include instructions for the use and care of theEBT.The Quality AssurancePlan (QAP) is arequirement of allEvidential Breath Testers.2) The specific make and model of the EBT must beapproved by NHSTA and placed on the EvidentialConforming Products List (CPL).The DOT is quick to convey that EBTs are precisioninstruments and must be properly maintained andcalibrated to ensure accuracy. In our experience, the QAPis frequently ignored by potential purchasers of EvidentialBreath Testers.The DOT also specifies that instruments used to conduct 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 5
DOT confirmation tests meet additional requirementsdefined in 49 CFR Part 40.231. Specifically, all EBTs musthave the capability to:1)Provide a printed triplicate result (or threeconsecutive identical copies) of each breath test. AllEBTs must have the capability of outputting testresults to a printing device. Further, it is a DOTrequirement that test results be confidential betweenthe subject and tester. For these reasons most EBTscome with a dedicated mobile printer that allows forportability and test result confidentiality.2)Assign a unique number to each completed test,which the Breath Alcohol Technician (BAT) andemployee can read before each test and which isprinted on each copy of the result. This requirementis fulfilled under instrument software control byprinting a unique (and usually sequential) testnumber for each test result.3)Print on each copy of the result, the manufacturer’sname for the device, its serial number, and the timeof the test. All EBTs must have on-board clocks thatcan time stamp test results. Better EBTs will also keeptrack of mandatory test countdown periods.4) Distinguish alcohol from acetone at the 0.02 alcoholconcentration level.5)Test an Air Blank. An air blank is a test conducted onair, rather than on breath, to ensure that nothingin the ambient air (such as alcohol from handsanitizer) might interfere with the subject’s test result.6)Perform an external Calibration Check. A “CalibrationCheck” is the process of verifying that the EBT ismeasuring BAC accurately. It is often confused withinstrument calibration but it is quite different.Calibration is the process that all EBT’s require from 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comThe six things thatevery Evidential BreathTester must do.All Evidential BreathTesters must1) be on the CPLfor EvidentialBreath Testers2) have a DOTapproved QAPPage 6
time to time to reset the device measurementaccuracy to that of a known standard (often a .04 gasconcentration). Calibration checking is a test toensure the instrument is performing to within theDOT accuracy requirements. When an instrumentfails a calibration check, it may mean that the EBThas drifted outside of the acceptable accuracyspecifications mandated by the DOT. If this occurs theEBT cannot be used to perform DOT confirmationtests, until a successful calibration check isperformed.The DOT requires that whenever a subject testspositive for alcohol above .02 BAC (confirmation test) thatthe positive test be followed as soon as possible with acalibration check. Lifeloc’s QAP recommends thatinstruments always be routinely checked at regularintervals of 30 days or less. Don’t leave routinecalibration checks until you have a positive subject test.You risk having to cancel the positive test if the instrumentfails its subsequent calibration check.You will hear the terms “verification checking” and“accuracy checking” used for a calibration check. This cancause confusion. We recommend you use the DOT phrase- “calibration check” - to be consistent with the protocol.A calibration check can be done manually or automaticallydepending on the equipment manufacturer. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comDon’t leave routinecalibration checks untilyou have a positivesubject test. You riskhaving to cancel thepositive test if theinstrument fails itssubsequent calibrationcheck.Page 7
Working with the ConformingProducts ListAs mentioned previously, there are two conformingproducts lists maintained by the DOT; one for approvedbreath alcohol screening devices and one for EvidentialBreath Testers. Care must be taken to select your breathtester from the correct list.1)Conforming Products List of Alcohol ScreeningDevicesAlcohol Screening Devices are not permissible forconducting confirmation breath alcohol tests.Screening device test results cannot to be used forsubsequent disciplinary action.2)Conforming Products List for Evidential BreathTestersInstruments in this list may be used for bothscreening and confirmation alcohol tests. Thesedevices have been tested and approved by theDepartment of Transportation to meet the requiredstandards specified in 49 CFR Part 40.Cautionary note: Many breath testers on the ConformingProduct List for Evidential Breath Testers do not meet the allthe DOT requirements as defined in part 40.231. The CPL listsdevices for law enforcement testing and for DOT workplacetesting. Often a law enforcement device is not suitable forworkplace testing and vice versa. Further, some devices on theCPL are no longer manufactured and some manufacturers nolonger exist. Since the CPL is published relatively infrequently,it may not always up to date. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 8
Training is as Important as YourInstrumentTo conduct evidential DOT workplace breath alcoholtesting, the instrument operator must be qualified as aBreath Alcohol Technician (BAT) on the specificinstrument that he or she will be using to performconfirmation tests. It is never permissible to conduct testson an instrument for which you have not been trained.This holds even if the different EBT is from the samemanufacturer. It should also be noted that individuals arecertified as BATs, not companies or organizations.While the DOT does not mandate a specific length of timefor Breath Alcohol Technician Training, it is required thatthe course be complete and comprehensive such thatBATs can perform evidential breath tests in aconsistent and uniform manner. In our experiencesuccessful BAT qualification takes the better part of a fullwork day. Beware of providers that promise significantlyless. Breath Alcohol Technician training requiressuccessful completion of two major subject matter areas.1)Procedural training covers the 49 CFR Part 40requirements including background information onthe alcohol rules, Evidential Breath Testermethodology, devices, Quality Assurances Plans,testing location requirements and the Alcohol TestForm. The course also details procedures forpreparing for breath alcohol testing, conductingscreening and confirmation tests, handling refusals,cancelled tests and proper record maintenance anddisclosure.2)Proficiency training requires the BAT applicant tohave a thorough understanding of their EBToperations including messages and commands, airblanks, error conditions and calibration checks. Theapplicant must perform seven successful “live” mocktests in front of a qualified BAT, using the instrument 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comIt is the BreathAlcohol Technicians whomust ensure theirtraining is compliantand up-to date.Page 9
make and model for which they are being qualified, todemonstrate proficiency in the use of their EBT.It is the quality of BAT training and the quality ofinstrument proficiency training that are most often calledinto question in legal proceedings. A best practice isalways to choose an experienced training providercertified by the instrument manufacturer and amanufacturer who will support you in the event of alegal challenge. For a list of Certified Lifeloc MasterTrainers please contact us at training@Lifeloc.com or at1.800.722.4872.Training can be conducted in person or via the web.Lifeloc offers both options. Lifeloc Factory AuthorizedMaster Trainers are highly experienced and qualifiedinstructors who must be recertified every year to beeligible to train on our instruments. Each Master Trainercan demonstrate their certification with a properly datedLifeloc Master Trainer Certificate provided by Lifeloc fromwithin the last year. Beware of trainers who cannot showthat their training is current or factory certified. You risklosing the co-operation and support of the manufacturer ifyour test results are ever challenged.If training is ever called into question, the DOT is clear thatit is the BATs responsibility to ensure their training iscompliant and up to date, not the manufacturer, thetrainer or the subject . It makes good sense not to cutcorners on BAT training.Lifeloc BAT certification is good for 5 years. Refreshertraining is required at minimum of 5 year intervals.Online AccessAll successful Lifeloc online BAT course graduates retainpassword protected access to their course materialsthrough the life of their certification. Since it is the BATs 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 10
responsibility to always be current with DOT rules andregulations we also provide automatic email notificationsto you in the event of new information that requires yourattention.Selecting a Training ProviderIn selecting your training provider, give consideration tothe following: The timeliness and format of the BAT training that willwork best for you (web, classroom or factory). Post-training access to instrument and BAT referencematerials.EASYCAL AutomaticCalibration Station How will changes or updates to the instrument orDOT regulations be communicated to the BAT? Will the manufacturer stand behind users of itsequipment and training if legally challenged? The number of BATs you anticipate. Largeorganizations with many BATs often elect to havetheir own in-house “Provisional Instructor” certified toa higher level to enable them to instruct others intheir own place of employment.EBT Instrument CalibrationEBT Instrument andCalibration KitsInstrument calibration is required as indicated by themanufacturer in the instrument’s QAP. The DOT alsorequires you to maintain a record of calibration checksand calibrations. Your choices for instrument calibrationare to have it performed at the factory or on-site. Themost common industry practice is to perform instrumentcalibration on-site so as to not be without an instrumentor require a loaner from the manufacturer.To streamline the process of instrument calibration, many 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 11
BATs also receive instrument calibration training whichcertifies them as a Calibration Technician. Without thiscertification, neither BATs nor other uncertified personnelmay calibrate an EBT. As with BAT training, the CalibrationTechnician must be certified on the instrument that is tobe calibrated.In Lifeloc terminology this is referred to a C-LOCTcertification.For user convenience, BAT certification and C-LOCTtraining is usually done back to back for new instrumentoperators. In this way, the Breath Alcohol Technician isalso qualified as a C-LOCT to perform routine instrumentmaintenance activities. We recommend this approach.Evidential Breath TesterConsiderationsWhen evaluating instruments and vendors the followinglist of questions will be helpful.1) Ease of use: Which printer - to - instrument connection is rightfor you? Wireless, cabled or docked? How are test results printed and affixed to thealcohol test form? Via tamper proof self-adhesivelabels or paper printouts which require theadditional step of tamper proof tape to secure thetest result to the alcohol test form. How convenient is the instrument and printer formobile testing? Tethered printers or those requiringdocking stations can be less convenient thanBluetooth enabled communications between theEBT and the printer. Is the instrument intuitive to use? Are there builtin safeguards and automated features. For 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 12
example: does the EBT have an automaticcountdown timer to observe the DOT requiredminimum 15 minute waiting period between tests?Does it have reminders for important events likecalibrations? Will it permit tests when it should not,such as after failed air blanks? How will the instrument handle conditions such as“shy lung” – the inability to give a proper breathsample?2) Technical support Can you reach a knowledgeable technical support,in real time, if you have a problem or questionswith your instrument? Is service available in theUnited States? If a BAT gets flustered conducting a test (especiallyafter a positive test) can they get “live help” oreasily access their BAT training materials to remindthem of proper procedure? What is service and repair time? Are loaner devices available?3) Calibration How easy is the equipment to calibrate andcalibration check? Will the instrument automatically calculate altitudecorrection factors at the time of calibration or mustthis done manually?4) Warranty What is the instrument warranty term? Is the fuelcell, the most expensive component in the device,warranted? Are accessories such as the printer andcase included? Pay particular attention to what isnot included. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 13
5) User hygiene Is the instrument designed to direct subject breathflow away from the operator for good hygiene andoperator comfort? Can mouthpieces be affixed without risk of crosscontamination? Can they be ejected while avoidingcontact with saliva from the subject?6) Legal challenges Will the manufacturer be available to answer yourquestions or provide assistance if you have adisputed test result? Will the manufacturer stand behind you and theinstrument if a result goes to court or you undergoa DOT audit? Has the instrument been successfully defendedin court previously? If not, are you comfortable thatthe manufacturer will support you and that theinstrument will prevail a court challenge? 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 14
Lifeloc Evidential Breath TestersLifeloc offers a choice of DOT approved Evidential BreathTesters supported by a network of certified MasterTrainers across the country. Equipment ease of use,intuitive operation and user hygiene are given top priorityin our instrument design. Our instruments come with theindustry’s best warranty and technical support.Lifeloc Evidential Breath Testing instruments listed on theCPL which fully meet the requirements for DOT screeningand confirmation tests are: EV30 Phoenix 6.0 BluetoothThe Lifeloc EV30The EV30 is Lifeloc’ s entry level Evidential Breath Testerdesigned for users who anticipate a low volume of testsand because of this are very budget conscious.The EV30 Kit is an economical pricedevidential breath testing solutionincluding EBT, thermal printer, and mouthpieces. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 15
The Lifeloc Phoenix 6.0BTThe Phoenix 6.0 Bluetooth is Lifeloc’s top of the lineprofessional EBT designed for maximum operatorproductivity and ease of use in any testing environment.Wireless connectivity, automated calibration features, fulltext user prompts for failsafe operation, and a ruggedportable label printer are a few of its more appreciatedfeatures.Shown here is the Phoenix 6.0 Bluetooth Evidential BreathTester with our top of the line Phoenix 6.0BT wirelessportable printer. The Phoenix 6.0BT includes automaticaltitude calibration compensation, onboard EASYMODEDOT compliance testing software. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 16
Key take-aways1)Read and understand DOT 49 CFR Part 40. Thedocument is comprehensive and exists to protect theBAT, the employer and employee. If you havequestions give us a call at 1-800-722-4872.2)Evidential Breath Testers can be used for both DOTalcohol screening tests and for confirmation testswhile alcohol screening devices may only be used forscreening tests. A single Evidential Breath Tester willsatisfy the DOT requirements for both alcoholscreening and confirmatory tests.3)A Quality Assurance Plan (QAP) is required by theDOT of every Evidential Breath Tester and the QAPshould be reviewed when comparing instrumentsand vendors. The QAP exists to ensure yourinvestment is properly maintained and will serve youfor many years to come.4)The DOT maintains an approved list of EvidentialBreath Testers. The onus is on the purchaser to verify1) that the instrument manufacturer and model is onthe Conforming Products List of Evidential BreathTesters and 2) meets the evidential requirements.5)Instrument training is as important as the instrument.It is the Breath Alcohol Technician’s (BAT)responsibility to ensure they know, understand andcomply with the DOT rules for the specific instrumenton which they are conducting evidential testing.6) Usually Calibration Technician training is combinedwith BAT training.7)Consult the instrument manufacturer to ensure youhave convenient access to the type of training thatis best for you (on site or web-based) and that yourTrainer is currently certified on the EBT and ingood standing with the device manufacturer. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 17
Additional resources1)“Common Mistakes & Misconceptions in EvidentialBreath Testing,” by Amy Evans and Barry Knott,Lifeloc Technologies, DATIA focus, Fall 2013, pages9-12.2)“Curbing Workplace Alcohol Abuse,” OccupationalHealth and Safety, by Barry Knott, LifelocTechnologies, Volume 81, Number 10, October 2012,pages 107-110.3) “E-Learning in the Drug and Alcohol Testing Industry,”by Amy Evans, Lifeloc Technologies, DATIAFocus, Winter 2011, pages 36-37.4) “The Facts about Workplace Evidential Breath TesterCalibration,” by Barry Knott, Lifeloc Technologies,DATIA focus, Spring 2013, pages 17-21.5) “49 CFR Part 40,” Procedures for TransportationWorkplace Drug and Alcohol Testing Programs,Updated May 4, 2012, pages 1-101. 2015 Lifeloc Technologies 1.800.722.4872www.lifeloc.comPage 18
12441 W. 49th AveWheat Ridge, CO 80033www.lifeloc.com 800.722.4872
“Evidential Breath Testers.” Terms can easily get confused. Screening devices do not meet the full requirements of Section 49 CFR Part 40 for Evidential Breath Testers. The DOT has defined an Evidential Breath Tester (EBT) to be a device that meets very specific equipment accuracy . and performance standards. The DOT then approves and
An evidential breath tester shall be inspected, verified for accuracy, and certified by a Class IVB operator or the instrument manufacturer’s authorized representative within 120 days of the previous inspection. RULE 4 - Equipment Maintenance Installation, maintenance, and repair of evidential breath test instruments and PBTs
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Newari sentenceswith evidential markerssuch as khanisa can appear without ego-marking even when the subject is a first person pronoun: (9) j ı: 1.erg a:pwa much twan-a drink-perf khanisa evid ‘It appears I drank a lot.’ In this non-ego-marked sentence, the evidential s
“evidential” breath alcohol analyzers and serve to provide the principal means by which a definitive alcohol measurement is obtained. These devices are not to be confused with those that provide a preliminary result, or do not quantitatively indicate a measurement result (i.e. pass/fail devices), or which do not provide a .File Size: 459KBPage Count: 69
2.2.2. Calibration of evidential breath alcohol analyzer The Henry’s law which states that ‘at constant temperature, the amount of a given type and volume of liquid is directly proportional to the partial pressure of that gas in equilibrium with that liquid’ command the relation between the breath alcohol composition and the bloodFile Size: 777KBPage Count: 8
When determining the concentration of alcohol in the breath, a differentiation is made between a screening test and an (evidential) analysis admissible in court. A screening test provides the police officer on the street with an objective aid to decide whether an evidential breath alcohol analysis should be performed or a blood sample taken [1].
Certification and Approval: DOT (as Evidential Breath Tester), CE, IP54, EN15964, Medical CE 23. Countries for Evidential type as option: Police use in Poland, Iran, Vietnam, Singapore, and Korea. 2/5 Contents Breathalyzer ALP-1 (1pc), Plastic hard case (1pc), mouthpiece MP1 (5pcs), Mouthpiece MA1 (For fast mode, 1pc), AA
ASM Handbook Volume 9: Metallography and Microstructures (#06044G) www.asminternational.org. iv Policy on Units of Measure By a resolution of its Board of Trustees, ASM International has adopted the practice of publishing data in both metric and customary U.S. units of measure. In preparing this Handbook, the editors have attempted to present data in metric units based primarily on Syste me .
