Addressing Errors in DOT Breath Alcohol Testing

In my nearly 20 years working of in the area of DOT drug and alcohol testing compliance as a DER, Collection Manager, SAP, and TPA, I have learned we are only as strong as are weakest collector.  

As a DOT employer DOT says that the employer has the responsibility to oversee its service agents to ensure compliance.  Quality assurance in this industry is a must. Even an error may appear to be minor, DOT tells us how errors should be addressed. Breath and Salvia testing test for the presence of alcohol.

Here is a breakdown of how to handle Problems in Alcohol Testing.

What To Do When You Find Errors?

An employer has the responsibility to oversee its service agents to ensure compliance. Employers should review every Alcohol Testing Form (ATF) for accuracy and completeness. A Quality Assurance Check is critical to the success of your program.  

• You must document any errors in the testing process, even if they are not severe enough to cancel a test.
  • These flaws may still open the employer/collection site up to enforcement under specific DOT agency regulations
• You must maintain written documentation of the correction with the ATF.
  • Description of error
  • Corrective action - take appropriate action to ensure that the problem does not recur
• You must mark the ATF in such a way (e.g., stamp noting correction, document noting the error) as to make it obvious that you corrected the flaw.

Types of Errors

DOT testing categorizes 3 types of errors:  Fatal Flaws, Correctable Flaws and Procedural Errors.  Each have specific meaning and requirements. It is important to understand the impact of and how to handle each.

FATAL FLAWS (§40.267)
Fatal flaws cause the test to be automatically cancelled and CANNOT be corrected. Additionally, the technician must complete Error Correction Training within 30 days of the date you are notified of the error.

Correctable Flaws (§40.269)
Some types of errors are correctable; however, if they ARE NOT corrected, they would cause the test to be cancelled. As a BAT or STT, or employer, you must cancel an alcohol test if this type of problem occurs and is not corrected.

PROCEDURAL ERRORS (§40.271)
As an STT, BAT, employer, or a service agent administering the testing process, you must document any errors in the testing process of which you become aware, even if they are not “fatal flaws” or “correctable flaws.” 

FATAL FLAWS:  What problems always cause an alcohol test to be cancelled?

• The STT or BAT reads the result either sooner than or later than the time allotted by the manufacturer and this Part (see 40.245(a)(8)for the saliva ASD and §40.245(b)(8) for the breath tube ASD).
• The saliva ASD does not activate (see 40.245(a)(7); or
• The device is used for a test after the expiration date printed on the device or on its package (see 40.245(a)(1)for the saliva ASD and §40.245(b)(1) for the breath tube ASD).
• The breath tube ASD is tested with an analyzer which has not been pre-calibrated for that device's specific lot (see 40.245(b)(1)).
  
  

• The sequential test number or alcohol concentration displayed on the EBT is not the same as the sequential test number or alcohol concentration on the printed result (see 40.253(c),(e) and (f)).

• • The BAT conducts the confirmation test before the end of the minimum 15-minute waiting period (see 40.251(a)(1));
  • The BAT does not conduct an air blank before the confirmation test (see 40.253(a));
  • There is not a 0.00 result on the air blank conducted before the confirmation test (see 40.253(a)(1) and (2));
  • The EBT does not print the result (see 40.253(f)); or
  • The next external calibration check of the EBT produces a result that differs by more than the tolerance stated in the QAP from the known value of the test standard. In this case, every result of 0.02 or above obtained on the EBT since the last valid external calibration check is cancelled (see 40.233(a)(1) and (c)(3)).

Correctable Flaws:  What problems cause an alcohol test to be cancelled unless they are corrected?

1. The BAT or STT does not sign the ATF (see §40.247(a)(1)and 40.255(a)(1)).
2. The BAT or STT fails to note on the “Remarks” line of the ATF that the employee has not signed the ATF after the result is obtained (see 40.255(a)(3)).
3. The BAT or STT uses a non-DOT form for the test (see 40.225(a)).

Procedural Errors:  How are alcohol testing problems corrected?

As a BAT or STT, you have the responsibility of trying to complete successfully an alcohol test for each employee.

1. If, during or shortly after the testing process, you become aware of any event that will cause the test to be cancelled (see 40.267), you must try to correct the problem promptly, if practicable. You may repeat the testing process.
2. If repeating the testing process is necessary, you must begin a new test as soon as possible. You must use a new ATF, a new sequential test number, and, if needed, a new ASD and/or a new EBT. It is permissible to use additional technical capabilities of the EBT (e.g., manual operation) if you have been trained to do so in accordance with 40.213(c).
3. If repeating the testing process is necessary, you are not limited in the number of attempts to complete the test, provided that the employee is making a good faith effort to comply with the testing process.
4. If another testing device is not available for the new test at the testing site, you must immediately notify the DER and advise the DER that the test could not be completed. As the DER who receives this information, you must make all reasonable efforts to ensure that the test is conducted at another testing site as soon as possible.

If, as an STT, BAT, employer or other service agent administering the testing process, you become aware of a “correctable flaw” (see §40.269) that has not already been corrected, you must take all practicable action to correct the problem so that the test is not cancelled.

1. If the problem resulted from the omission of required information, you must, as the person responsible for providing that information, supply in writing the missing information and a signed statement that it is true and accurate. For example, suppose you are a BAT and you forgot to make a notation on the “Remarks” line of the ATF that the employee did not sign the certification. You would, when the problem is called to your attention, supply a signed statement that the employee failed or refused to sign the certification after the result was obtained, and that your signed statement is true and accurate.
2. If the problem is the use of a non-DOT form, you must, as the person responsible for the use of the incorrect form, certify in writing that the incorrect form contains all the information needed for a valid DOT alcohol test. You must also provide a signed statement that the incorrect form was used inadvertently or as the only means of conducting a test, in circumstances beyond your control, and the steps you have taken to prevent future use of non-DOT forms for DOT tests. You must supply this information on the same business day on which you are notified of the problem, transmitting it by fax or courier.

If you cannot correct the problem, you must cancel the test.

Even though service agents cannot be DERs, they can assist DERs with their program administration. A Consortium/Third-party administrator (C/TPA) is a service agent that provides or coordinates of a variety of drug and alcohol testing services and often perform administrative tasks concerning the operation of the employers' drug and alcohol testing programs. The partnership between a C/TPA and the DER is essential in developing a compliant and effective drug and alcohol program. 

As a C/TPA, Spark TS takes pride in ensuring our clients receive excellent customer service and quality assurance checks in the industry. Spark TS is an expert in DOT Workplace Drug and Alcohol Testing Programs.

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We believe that drug and alcohol testing programs play a key role in the safety of the transportation industry. Our online tools significantly simplify drug and alcohol testing administration for the Designated Employer Representative (DER). We are experts in managing federally-mandated drug and alcohol programs including 49 CFR Part 219, 382, and 655.

Our C/TPA services are designed in partnership with you to allow the Designated Employer Representative (DER) to leverage online tools and an industry network so that they can avoid unnecessary administrative tasks and focus on managing a compliant and effective program.

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