1. DOT Urine Collection and Breath Alcohol Testing Procedures
Mock Demonstrations and Review of Recent Applicable Rule Changes
Presented by Tiffany Ellefson

2. 2010 Updates Alcohol Testing Form (ATF) was updated
Technical amendment published Feb. 25, authorizes use of updated form.
Initially, Aug. 1, 2010 was published as the last date to use the old form but it was changed to Jan. 1, 2011.
What was changed?
Paperwork Reduction Act Burden Statement on back of Copy1 & 2
Instructions on back of Copy 3

3. ATF Update – Back of Copy 1&2

4. ATF Update – Back of Copy 3

5. 2010 Updates Federal Custody and Control Form (CCF) was updated!!
DOT authorized the use of the new form starting Oct. 1, 2010
Old forms can be used up to Sept. 30, 2011
After Sept. 30, 2011, if the old form is used in error, it will be a correctable flaw.

6. What changed on the CCF?
In Step 1, Federal testing authorities are noted including all of the DOT agencies
Collectors are required to mark the agency who is authorizing the testing
In Step 5A (copy 1), new drug analytes and clarifying drug analytes were added
MDMA, MDA, MDEA (Ecstasy)
∆9-THCA (Marijuana metabolite)
BZE (Cocaine metabolite)

7. What changed on the CCF?
In Step 6 (copy 2), line added for MRO to write on, new line item “other” for refusal to test situations
In Step 7 (copy 2), box was added for MRO to check if the split specimen reported as cancelled
Backside of Copy 5 (Donor Copy), instructions were revised for completing CCF

8. New CCF

9. 2010 Updates
§40.14 What collection information must employers provide to collectors? (NEW!)
Employers must ensure that the collector has the following information for a drug test:
Employee’s Full name and SSN/ID
DER information
Test reason
Whether the collection needs to be observed or not…

10. §40.14 Continued
The following information is also required but can be pre-printed on the CCF:
Lab name & address
Employer name, address, phone & FAX
MRO name, address, phone & FAX
DOT agency which regulates the employee’s duties
Optional: C/TPA name, address, phone & FAX

11. 2010 Update Effective Oct 1, 2010, the drug testing panel was updated:
MDMA, MDA, MDEA (Ecstasy) added
Screening test of 6-AM (Heroin metabolite) added
Cutoff levels for cocaine and amphetamines were lowered

12. DOT Urine Collection Process
DOT Urine Specimen Collection Guidelines – updated 10/1/2010
“The collector has a major role in the success of the DOT’s drug testing program. The collector is the one individual in the testing process with whom all employees have direct, face-to- face contact.”

13. The Collector
Part 40 defines a collector as a trained person who instructs and assists employees at a collection site, who receives and makes an initial inspection of the urine specimen provided by those employees, and who initiates and completes the Federal Drug Testing Custody and Control Form (CCF).

14. Collector’s Training
DOT does not provide or require a “certification” but collector must meet training requirements:
Basic Information
Qualification training
Initial proficiency demonstration (mock collections)
Refresher training
Error Correction Training

15. The Collection Site
Two types: single toilet restroom and multi-stall restroom
Site must have:
Restroom or stall with toilet
Source of water to wash hands
Suitable clean surface for area to complete paperwork and collection steps
Collector must secure water sources and other possible adulterants

16. Security of Collection Site
Prevent unauthorized access to site during collection
Prevent employee or any other person from gaining unauthorized access to collection materials/supplies
Ensure that all authorized person are under supervision of collector or site personnel
Provide for secure handling and storage of specimens

17. Security and Integrity

18. Security and Integrity

19. Collection Supplies Collection kit
Federal Drug Testing Custody and Control Form (CCF)
Bluing agent to add to toilet bowl/water tank
Single use disposable gloves are recommended
Tamper-evident tape for securing faucets, toilet tanks, etc. and signs to prevent entry to collection area

20. Collection Steps Employee reports for test
Collector verifies identity - photo ID
Acceptable methods vs. Unacceptable methods
Collector explains basic collection procedures to employee
Ex. Backside of CCF (copy 5), posters displayed at site, checklists used by collector
Collector reviews CCF and completes Step 1

21. Pre-collection steps
Collector directs the employee to remove unnecessary outer garments
Collector directs the employee to empty pockets and display items
Collector directs the employee to wash and dry their hands

22. Instructions to employee
Collector must inspect the restroom before (& after) every specimen collection
The collector gives a collection kit to the employee or the employee is allowed to select a kit
Collection kit is opened in the presence of both collector and employee
Collector directs the employee to go into restroom, provide a specimen of at least 45 mL, do not flush the toilet and return the specimen to the collector as soon as possible

23. Post collection steps Collector accepts specimen from employee
Collector must check the following:
Temperature of specimen – within 4 minutes
Specimen volume – 45 mL
Signs of adulteration/substitution
Collector completes Step 2 of CCF

24. Accepting/securing specimen
Collector will open specimen bottles
Collector will pour 30 mL into one specimen bottle (primary/A) then at least 15 mL into other specimen bottle (split/B)

25. Sealing specimen bottles
Collector will remove seals from CCF and place on appropriate bottles
Collector will date each seal
Collector will direct the employee to sign their initials on each seal

26. Completing collection
Collector directs the employee to read, sign, and date certification statement in Step 5 of Copy 2
Collector completes Step 4 of Copy 1 – printing & signing their name, noting time, date, and courier

27. Completing collection
Collector reviews CCF then provides Copy 5 to the employee
Collector places specimen bottles and Copy 1 in leak-resistant plastic bag
Collector dismisses employee
Collector prepares specimen for shipment to the laboratory
Must ship within 24 hrs or next business day
Must secure specimens prior to pickup by courier

28. Distributing paperwork
Collector sends Copy 2 to the MRO and Copy 4 to the DER(usually by FAX)
Collector must retain Copy 3 for at least 30 days

29. Shy Bladder Protocol
Occurs when employee isn’t able to provide 45 mL on initial attempt
Employee will be allowed up to 3 hours to provide a valid specimen
Employee will be allowed to drink up to 40 oz of fluids – must be monitored
If unable to provide after 3 hrs, next step will be a medical evaluation

30. Direct Observation Collections
Collections under direct observation are required when:
Temperature out of range
Specimen shows signs of tampering
Collector finds item intended for adulterating or substituting specimen
Directed by MRO
Test reasons are Return to duty and Follow- ups
Specific protocol – lift, lower, turn around

31. Refusal to test (involving collector)
Failure to report for required test
Failure to remain at the collection site until testing process is completed
Failure to allow a direct observed collection or monitored collection
Failure to cooperate with the testing process – ex. Refuse to empty pockets, fail to wash hands, behave in a confrontational manner

32. Refusal to test continued
For a direct observed collection, failure to follow collector’s instructions
Possessing or wearing a prosthetic or other device that could be used to interfere with testing process
Admission to collector (or MRO) that employee adulterated or substituted specimen

33. Beating the drug test Three common methods:
Dilution – adding water (less common) or drinking large quantities of fluids (more common)
Adding adulterant to specimen – designed to breakdown drug metabolites or interfere with laboratory instruments
Substituting a “clean” specimen

37. DOT Alcohol Testing Who can conduct an alcohol test?
STT – Screening Test Technician
BAT – Breath Alcohol Technician
Both have training requirements – same as collector
What instruments can be used?
ASD – Alcohol Screening Devices
EBT – Evidential Breath Tester
Must be on NHTSA CPL (Conforming Products List)

38. Testing Steps Employee provides ID Explain testing procedures
Technician completes step 1 of Alcohol Testing Form (ATF)
Employee signs Step 2 of ATF
Technician performs alcohol test (individual steps will vary depending on device utilized)

39. Testing Steps continued
If screening test results indicate reading:
< test is negative (no further testing needed)
>=0.02 – Confirmation test is required
If negative, technician completes Step 3 then provides employee their copy of ATF
If confirmation required, technician provides instructions to the employee

40. Confirmation Alcohol testing
Must be completed with an EBT
Must be completed within 15 – 30 minutes of the screening test
If confirmation test result reading is:
<0.02 – negative test
0.02 – – removal from duty
>0.04 – positive test
Technician will sign & complete Step 3
Employee will be instructed to sign Step 4 if result is greater than 0.02

41. Refusal to test
In addition to the applicable ones described in the collection section, if the employee refuses to sign Step 2 of the ATF, this will be a refusal to test.

42. Problems in alcohol testing
Shy Breath – unable to provide sufficient breath (or saliva) sample for testing
Employee will be directed for a medical evaluation
Calibration of instruments
Availability of trained BATs/STTs

43. Questions…Contact Information
Tiffany Ellefson, Vice President
Midwest Toxicology Services, Inc.
603 E Washington St, Ste 200
Indianapolis, IN
317/ (office)
317/ (cell)