Breath Alcohol Technician (BAT) Training & Qualification — 49 CFR §40.213
DOT Breath Alcohol Testing — Introduction
DOT breath alcohol testing is regulated under 49 CFR Part 40, Subparts J–N (Subpart M is the confirmation test specifically). As a qualified BAT, you operate an Evidential Breath Testing device (EBT), conduct screening and confirmation tests, and complete the federal Alcohol Testing Form (ATF). This module covers every step required by §40.213.
What This Module Covers
- The DOT alcohol testing program
- The difference between a BAT and an STT
- EBT operation, calibration, and quality control
- Screening and confirmation procedures
- The 15-minute wait and mouth alcohol
- Refusal, invalid tests, and fatal flaws
- Your §40.213 training and documentation
Who This Is For
BAT candidates and BATs/STTs preparing for the 5-year refresher. You'll also complete proficiency on the specific EBT you'll use.
Regulatory Context
Part 40 Subparts J–N govern alcohol testing for the five DOT modal programs whose alcohol rules incorporate Part 40 — FMCSA, FAA, FRA, FTA and PHMSA. Note: the Coast Guard is a DOT agency for drug testing purposes only. §40.3 states that the USCG regulation does not incorporate Part 40 for its alcohol testing program, so USCG alcohol testing follows 46 CFR 4.06 — within 2 hours of a Serious Marine Incident, not required beyond 8 hours, devices per the manufacturer’s instructions and 46 CFR 4, and non‑testing documented on CG‑2692 / CG‑2692B. USCG drug testing does follow Part 40. The subparts: J alcohol testing personnel (your §40.213 qualification), K sites, forms and equipment, L screening tests, M confirmation tests, N problems in alcohol testing. Subpart M alone covers only the confirmation test. Two procedures exist — Screening (initial) and Confirmation (only for results ≥ 0.02). Two collector types — BAT (full procedure) and STT (Screening Test Technician — screening only).
BAT vs. STT
| Role | Can Perform | Cannot Perform |
|---|---|---|
| BAT | Screening AND Confirmation | — |
| STT | Screening only (breath OR saliva) | Confirmation |
The Two Screening Methods
- EBT — Evidential Breath Testing device. Under §40.3 the BAT is the EBT operator; an STT operates an ASD, not an EBT. A BAT may also run an ASD screening where proficient on that device, but that does not make an STT an EBT operator
- ASD (Alcohol Screening Device) — screening only. Part 40 permits saliva ASDs and breath-tube ASDs, so "ASD" does not mean "saliva". Used by STTs, and by BATs for screening
Confirmation is always an EBT, performed by a BAT.
Result Thresholds
- 0.00 to 0.019 — Negative (no further test needed)
- 0.020 to 0.039 — Confirmation required; if confirmed, removal from safety-sensitive duty for the period set by the employee’s DOT agency rule — FMCSA is 24 hours (§382.505); FAA, FRA, FTA and PHMSA are 8 hours
- 0.040+ — DOT violation; mandatory referral to SAP
The BAT (Breath Alcohol Technician)
A Breath Alcohol Technician is a trained individual who conducts breath alcohol screening AND confirmation testing under §40.213. STTs may only conduct screening with saliva or breath devices. Only the BAT performs the full DOT confirmation procedure.
§40.213 Qualification
- Basic information on DOT alcohol testing rules
- Qualification training on the specific EBT model
- 7 (BAT) or 5 (STT) error-free mock tests
- Refresher every 5 years
Who CANNOT Be a BAT
- 1The donor's immediate supervisor (limited exception)
- 2A safety-sensitive co-worker in the same pool (best practice — avoids an appearance of conflict; not a stated Part 40 prohibition)
- 3The donor themselves
DER Contact
Required at every collection. Without DER contact info on hand, you cannot handle refusals, invalid tests, or other escalation events properly.
The Testing Site
The DOT alcohol testing site has fewer physical requirements than urine — no toilet, no bluing, no plumbing. But privacy, security, and freedom from disturbances are critical, especially during the 15-minute deprivation period.
Site Requirements
- 1Privacy adequate to prevent the test being overseen or overheard — §40.221 (Part 40 requirement)
- 2A clean work surface for the EBT and the ATF
- 3Stable temperature — this comes from the EBT’s own specifications and quality assurance plan, not from Part 40
- 4Power for the EBT if not battery-only — a practical requirement, not a Part 40 one
- 5No food, drink, smoke or vape items within reach of the donor — TestRight practice supporting the §40.251(a) waiting period; Part 40 states the instruction to the employee (§40.251(b)(3)(i)) rather than a site-stocking rule
What's NOT Required (vs. Urine)
- — No toilet
- — No bluing
- — No restroom security checklist
Security During Test
- Donor under your continuous observation during deprivation and testing
- EBT and supplies under your physical control
- ATF visible to donor at signing
The EBT & Supplies
Every DOT confirmation alcohol test is performed on an Evidential Breath Testing device (EBT) from the NHTSA Conforming Products List. The device must be calibrated, in service, and ready before any test begins.
Evidential Breath Testing Device (EBT)
- Listed on the NHTSA Conforming Products List
- Calibration verified per manufacturer interval (typically monthly or after specific event counts)
- Quality Assurance Plan (QAP) on file
- External air blank capability for confirmation
Supplies
- EBT — calibrated and ready
- Disposable mouthpieces — individually wrapped, fresh for every test
- ATF — federal alcohol testing form
- ASD (if used for screening only) — within expiration date
Calibration
Verify EBT calibration per manufacturer schedule. Document every check.
The Alcohol Testing Form (ATF)
The Alcohol Testing Form is a 3-part carbonless form used for every DOT alcohol test. It documents donor, BAT, device, screening result, and (if needed) confirmation result.
The 3 Copies of the ATF
| Copy | Goes To |
|---|---|
| Copy 1 | Employer / DER — the BAT transmits the result to the DER and may do so using Copy 1 (§40.255(a)(5)) |
| Copy 2 | Employee — given to the employee per the ATF instructions and the applicable form-handling provision. §40.255(b)(2) concerns employer storage and confidentiality, not this distribution step — do not cite it here. |
| Copy 3 | BAT / STT records (retain ≥ 30 days; the employer retains records 1 year negative / 5 years non‑negative under §40.333) |
ATF Sections
Step 1 — Employee & Employer
Donor info, employer info, reason for test, DOT agency.
Step 2 — Affirmation (Donor)
Donor reads and signs affirmation.
Step 3 — Test Result (BAT)
The BAT records the device, test time and result, then signs and dates Step 3 (§40.255(a)(1)). The confirmation result is recorded here — not in Step 4.
Step 4 — Employee Certification
Used only when the confirmation result is 0.02 or higher: direct the employee to sign and date Step 4 (§40.255(a)(3)). If they decline, note it on the Remarks line — that is not a refusal to test. The confirmation result itself is recorded in Step 3.
Donor Signs Result
Donor signs the result. Refusal to sign = note in Remarks; not refusal to test.
Employer Information
Just like drug testing, you need specific information from the employer or C/TPA before you start: donor identity data, DOT agency, reason for test, DER contact.
Required Information from Employer
- Donor name, SSN/ID
- Employer name, address, phone
- DER name + telephone
- DOT Agency
- Reason for test (pre-employment, random, RS, post-accident, RTD, follow-up)
Donor ID & the Confirmation Waiting Period
The donor must produce acceptable photo ID — or be positively identified by an employer representative, which §40.241(c) also allows (not a co‑worker or another employee being tested) — then you conduct the screening test. Part 40 does not impose a waiting period before screening. The mandatory 15-minute waiting period comes later — it begins when the screening test is completed and applies before a confirmation test (§40.251(a)(1)).
Acceptable ID
Same as urine — government photo ID, employer photo badge, or in-person ID by an employer representative.
⏱️ The 15-Minute Waiting Period (before confirmation)
When a screening result is 0.02 or higher, a confirmation test is required. The waiting period must last at least 15 minutes, starting when the screening test is completed, and the confirmation test should begin as soon as possible afterwards — no more than 30 minutes after the screening test was completed (§40.251(a)(1)). If more than 30 minutes have passed, you still conduct the confirmation test — note the reason for the delay on the “Remarks” line of the ATF. Exceeding 30 minutes does not cancel the test and is not a reason to start over. You, another BAT/STT, or an employer representative must observe the employee. Tell the employee not to:
- ! Eat or drink
- ! Smoke or vape
- ! Regurgitate or belch into the mouth
- ! Place anything in the mouth (gum, mints, dental product)
⏱️ 15—30 Minute Wait for Confirmation
Between the screening (positive) and confirmation, wait at least 15 minutes, then test as soon as possible — ideally within 30 minutes of the screening test. Going past 30 minutes does not cancel the test: conduct it anyway and record the reason for the delay in Remarks. Continue observation throughout. Same eat/drink/smoke restrictions.
Screening & Confirmation
A DOT alcohol test consists of two phases: Screening (always) and Confirmation (only if screening ≥ 0.02). Before every confirmation test you must conduct an air blank on the EBT you are using and show the reading to the employee (§40.253(a)). A different EBT is not an alternative to the air blank — whichever EBT you use, that EBT gets its own air blank.
Screening Procedure
Greet & Verify ID
Photo ID; explain procedure.
Complete ATF Step 1
Donor signs Step 2 affirmation.
Observe the Donor (no Part 40 wait yet)
Keep the donor in view so nothing enters the mouth. Note: Part 40 imposes no waiting period before the screening test. The mandatory 15-minute wait is a pre-confirmation step that starts when a screening result of 0.02 or higher is completed (§40.251(a)(1)).
Power Up EBT
Run self-test if applicable. Verify ready.
Open Fresh Mouthpiece
In donor's view. Attach to EBT.
Donor Blows
Instruct the donor to blow steadily and forcefully into the mouthpiece for at least six seconds, or until the device indicates an adequate amount of breath has been obtained (§40.243(c)). Teach the six-second floor — “until it beeps” alone is not the regulatory instruction.
Record Result
Show donor the reading. Print to ATF Step 3, or hand-record.
Decide Next Step
< 0.02 → done. ≥ 0.02 → confirmation.
Confirmation Procedure
Wait at Least 15 Minutes
Then test as soon as possible, ideally within 30 minutes. Past 30, still test — note why in Remarks. Observation continues.
Air Blank on the EBT You Are Using
Conduct the air blank on that EBT and obtain 0.00 (§40.253(a)). If it reads above 0.00, repeat; if the second is above 0.00, take the EBT out of service and use another — and give the replacement its own air blank. A different EBT is never a substitute for the air blank. No air blank, or a non-zero one, is a fatal flaw (§40.267(c)(2)–(3)).
Fresh Mouthpiece
New, sealed mouthpiece in donor view.
Confirmation Blow
Give the same instruction as at screening — it is repeated for the confirmation test at §40.253(d): instruct the employee to blow steadily and forcefully into the mouthpiece for at least six seconds, or until the device indicates that an adequate amount of breath has been obtained. Before this, §40.253(c) requires that you and the employee both read the unique test number displayed on the EBT.
Record Result
The confirmation result is the test of record. You sign and date Step 3. Only if the result is 0.02 or higher do you direct the employee to sign and date Step 4 (§40.255).
Employee Signs (if 0.02+) & Receives Copy
Below 0.02, nothing further is required of the employee. At 0.02 or higher they sign Step 4 — and failing to sign does not cancel the test. The employee gets Copy 2.
Notify DER
Immediately transmit any result of 0.02 or higher to the DER (§40.255(a)(5)) — not just 0.04 and above.
When Things Go Sideways
When alcohol results don't line up, you have to know how to respond. Mouth alcohol, refusal, invalid tests, fatal flaws — each has a defined protocol.
Mouth Alcohol — the waiting period at §40.251(a)
Mouth alcohol is residual alcohol in the mouth (from belching, mouthwash, regurgitation, dental fixatives) that briefly elevates the breath result. The control for it is the waiting period required by §40.251(a) — at least 15 minutes from completion of the screening test. §40.251(b)(3)(ii) states the reason in terms: the wait exists “to prevent an accumulation of mouth alcohol from leading to an artificially high reading”. (§40.253(d) is the breath instruction for the confirmation test, not the mouth-alcohol provision — do not cite it here.)
If screening ≥ 0.02 but confirmation comes back lower, the confirmation governs.
Refusal Triggers
- ! Refuses to take the test
- ! Leaves the site before complete
- ! Refuses to sign the Step 2 certification before the test — refusing the required pre‑test certification can be a refusal to test. Refusing to sign Step 4 after a confirmed result of 0.02 or higher is not a refusal — note it in Remarks and carry on (§40.255(a)(3)).
- ! Refuses to attempt — declines to provide breath at all. That is refusal conduct: document it and notify the DER immediately and directly (§40.261(c)). This is not the same as an employee who attempts but cannot produce a sufficient amount of breath — that goes into the §40.265 insufficient-breath (“shy lung”) procedure, with a medical evaluation, and only a failure to undergo that evaluation becomes a refusal under §40.261(a)(5). Do not collapse the two
- ! Engages in conduct that obstructs the test
Fatal Flaws (ATF)
- ! Confirmation conducted before the end of the minimum 15-minute wait (§40.267(c)(1))
- ! No air blank conducted before the confirmation test (§40.267(c)(2))
- ! The air blank before confirmation is not 0.00 (§40.267(c)(3))
- ! The EBT does not print the result (§40.267(c)(4))
- ! The sequential test number or alcohol concentration displayed on the EBT differs from what is printed (§40.267(b))
- ! Next external calibration check is out of QAP tolerance — every result ≥ 0.02 since the last valid check is cancelled (§40.267(c)(5))
Insufficient Breath / Inability to Provide
If the employee does not provide a sufficient amount of breath, §40.265 sets the sequence. Follow it in order — the branch at step 1 is the one that matters most.
Instruct Them to Try Again
Tell the employee to attempt again and explain the proper way to do it. If the employee refuses to make the attempt, discontinue the test, note it on the “Remarks” line of the ATF, and immediately notify the DER — §40.265(b)(1) states this is a refusal to test. Refusing to try is not the same as trying and failing.
You May Allow a Further Attempt
If they attempt again and still fail, you may give another opportunity where you believe there is a strong likelihood it could produce a sufficient amount of breath (§40.265(b)(2)). This is your judgement, not a fixed number of tries.
Consider the Device Options
If your EBT can operate manually, you may attempt the test in manual mode (§40.265(b)(4)). If you are qualified on a saliva ASD and you are still at the screening stage, you may switch to a saliva ASD to complete the screening test only (§40.265(b)(5)) — not the confirmation.
Document and Notify the DER
Once the attempts have failed, note the fact on the “Remarks” line of the ATF and immediately notify the DER (§40.265(b)(3)). Your role ends here.
The Employer Directs the Medical Evaluation
This step belongs to the employer, not the BAT. Under §40.265(c) the employer directs the employee to obtain, within five days, an evaluation from a licensed physician acceptable to the employer who has expertise in the medical issues raised. The employer must tell that physician the test was a DOT breath alcohol test, the consequences of refusing under the applicable DOT agency rule, and that a signed statement of conclusions is required.
Training, Calibration & Documentation
Two separate things get confused here, so keep them apart. Your qualification as a BAT is governed by §40.213 — knowledge of the procedures and current DOT guidance, qualification training on the device(s) you will use, and a proficiency demonstration of 7 error‑free mock tests (BATs) or 5 (STTs). Equipment quality assurance is a different obligation: EBT external calibration checks run under the manufacturer’s NHTSA‑approved quality assurance plan (§40.233), and keeping the device in order is a site and employer responsibility. Calibration is not one of the §40.213 credential requirements — you can be fully qualified on a device that is out of tolerance, and the device still may not be used.
§40.213 BAT Training Requirements
- aBasic information on the DOT alcohol testing program
- bQualification training on the specific EBT
- cProficiency demonstration:
- BATs: 7 error-free mock tests (mix of screening / confirmation / problem)
- STTs: 5 error-free mock tests (screening only)
- dRefresher every 5 years
- eError correction — 3 error-free mocks within 30 days
- fDocumentation — retain qualification records, mock test logs, EBT QAP, calibration records
Quality Assurance Plan (QAP)
The EBT manufacturer supplies a QAP. You're responsible for:
- Calibration verification at the manufacturer's interval
- Recording every QAP event
- Taking out-of-service EBTs offline immediately
- Documenting service and repair
Retention
| Record | Period |
|---|---|
| Negative test ATFs | 1 year |
| ≥ 0.02 ATFs / refusals | 5 years |
| EBT inspection, maintenance & calibration | 2 years — §40.333(a)(3). FMCSA employers: §382.401(b)(1)(v) makes calibration documentation a 5-year record — keep the longer period. |
| BAT qualification records | While active |
Best Practices
Most BAT errors come from short-cutting the 15-minute wait, missing a calibration check, or mishandling a mouth-alcohol result. Build them into a checklist and they won't bite you.
Top 10 BAT Mistakes
- 1Short-cutting the 15-minute deprivation
- 2Not using a fresh mouthpiece for confirmation
- 3Skipping the air blank between screening and confirmation
- 4Recording the screening result as the test of record (it's the confirmation)
- 5Letting the donor handle the mouthpiece out of view
- 6Missing EBT calibration verification
- 7Thinking the DER is only notified at ≥ 0.04 — it is ≥ 0.02
- 8Treating "I can't blow" as automatic refusal — start the protocol first
- 9Filling in ATF Step 4 even though screening was < 0.02
- 10Not documenting Remarks when the donor declines to sign
Best Practices Checklist
- External calibration checks at the intervals the manufacturer’s NHTSA-approved QAP specifies — not "before every shift", which Part 40 does not require (§40.233(c)(1)). Log every check; an EBT that fails one comes out of service
- Eyes on donor through the 15-minute wait
- Fresh mouthpiece every blow, in donor's view
- Air blank for confirmation
- Confirmation is the test of record
- DER notified immediately for ≥ 0.02 results (§40.255(a)(5))
This is the self-study knowledge portion only. Passing the final test (80%+) earns a Certificate of Completion — it does not by itself make you a DOT-qualified BAT. Under 49 CFR §40.213 you must still complete a live Zoom proficiency demonstration monitored by a qualified evaluator — 7 error-free mock tests for a BAT on a DOT-approved EBT, or 5 for an STT on the ASD that trainee will use (§40.213(c), (c)(2)). Your qualification packet is held until your trainer verifies those mock tests. Enroll in the live proficiency session →