What You Need to Know About What You Need to Know About DOT Drug & Alcohol Collections DOT Drug & Alcohol Collections

& Recent Updates& Recent Updates

Presented by: Manny ChavezPresented by: Manny Chavez

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IMPORTANT EVENTS IN 2007 - 2008IMPORTANT EVENTS IN 2007 - 2008

News reports and other investigations News reports and other investigations have raised concerns about significant have raised concerns about significant vulnerabilities in DOT’s drug testing vulnerabilities in DOT’s drug testing program. (e.g. FOX 9 undercover program. (e.g. FOX 9 undercover investigations of five DOT collection sites investigations of five DOT collection sites in Minnesota) in Minnesota)

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Important Events in 2007- 2008 Important Events in 2007- 2008 (cont’d)(cont’d)

Continuing use of products designed to Continuing use of products designed to “beat” the drug test brazenly marketed on “beat” the drug test brazenly marketed on the internet. (Examples: the internet. (Examples: Whizzinator, Whizzinator, Urinator, the WedgeUrinator, the Wedge))

Congressional hearings on challenges to Congressional hearings on challenges to establishing an effective drug testing establishing an effective drug testing programprogram

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Important Events in 2007- 2008 Important Events in 2007- 2008 (cont’d)(cont’d)

GAO undercover investigations (May - GAO undercover investigations (May - September 2007) of DOT collection sites September 2007) of DOT collection sites around the country focused on the motor around the country focused on the motor carrier industrycarrier industry

GAO released report to Congress on GAO released report to Congress on options to improve drug testing programs options to improve drug testing programs and better identify illegal drug users and and better identify illegal drug users and keep them off the road (May 2008)keep them off the road (May 2008)

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Important Events in 2007- 2008 Important Events in 2007- 2008 (cont’d)(cont’d)

October 14, 2008: Federal prosecutors October 14, 2008: Federal prosecutors won a 19-count indictment against Puck won a 19-count indictment against Puck Technology, maker of the Technology, maker of the Whizzinator and Whizzinator and Number 1, Number 1, and its owners (Gerald Wills and its owners (Gerald Wills and Robert Catalano) for fraud and selling and Robert Catalano) for fraud and selling drug paraphernalia.drug paraphernalia.

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Important Events in 2007- 2008 Important Events in 2007- 2008 (cont’d)(cont’d)

November 24, 2008: Wills and Catalano November 24, 2008: Wills and Catalano pleaded guilty to one count of conspiracy pleaded guilty to one count of conspiracy to defraud the federal agency that to defraud the federal agency that administers federal workplace drug testing administers federal workplace drug testing programs, and one count of conspiracy to programs, and one count of conspiracy to sell drug paraphernalia sell drug paraphernalia

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Results of GAO Investigations Results of GAO Investigations Applicable to all Transportation ModesApplicable to all Transportation Modes

Lack of compliance with specimen Lack of compliance with specimen collection protocols (22 out of 24 were not collection protocols (22 out of 24 were not in compliance with some of the protocols)in compliance with some of the protocols)

Subversion of the drug test is possibleSubversion of the drug test is possibleSmall vials in socks or undergarments Small vials in socks or undergarments

containing synthetic urine or drug-free urinecontaining synthetic urine or drug-free urineUseUse of adulterantsof adulterants

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Results of GAO Investigations Results of GAO Investigations Applicable to all Modes (cont’d)Applicable to all Modes (cont’d)

Limitations to the test itself (DOT only Limitations to the test itself (DOT only tests for 5 illegal drugs)tests for 5 illegal drugs)

Lack of disclosure of past positive drug Lack of disclosure of past positive drug teststests

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Options Identified by GAOOptions Identified by GAO(May 2008)(May 2008)

Providing and publicizing information Providing and publicizing information regarding drug testing requirements regarding drug testing requirements through promotional materials, website, through promotional materials, website, conferencesconferences

Increasing oversight and enforcement Increasing oversight and enforcement authority over service agentsauthority over service agents

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Options Identified by GAOOptions Identified by GAO(May 2008) (Cont’d)(May 2008) (Cont’d)

Strengthening the enforcement of safety Strengthening the enforcement of safety audits for new carriers (FMCSA)audits for new carriers (FMCSA)

Adopting federal legislation prohibiting the Adopting federal legislation prohibiting the sale, manufacture, or use of drug testing sale, manufacture, or use of drug testing subversion productssubversion products

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Options Identified by GAO Options Identified by GAO (May 2008) (cont’d)(May 2008) (cont’d)

Testing for additional illegal drugs or some Testing for additional illegal drugs or some prescription drugsprescription drugs

Developing a national database reporting Developing a national database reporting requirement and authority to suspend a requirement and authority to suspend a CDL for a positive drug test result or test CDL for a positive drug test result or test refusalrefusal

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2009 UPDATES2009 UPDATESDOT made available the Collection Site DOT made available the Collection Site

Security & Integrity poster and 10 Steps Security & Integrity poster and 10 Steps VideoVideo

H.R. 858 (Drug Testing Integrity Act of H.R. 858 (Drug Testing Integrity Act of 2009) was introduced in Congress on 2009) was introduced in Congress on 2/4/092/4/09

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Collector IdentifiedCollector Identified ““A person who instructs and assists A person who instructs and assists

employees at a collection site, who employees at a collection site, who receives and makes an initial inspection of receives and makes an initial inspection of the specimen provided by those the specimen provided by those employees, and who initiates and employees, and who initiates and completes the CCF.”completes the CCF.” 49 CFR 40.349 CFR 40.3

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DOT Urine Specimen Collection DOT Urine Specimen Collection GuidelinesGuidelines

“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.”

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Qualified ServicesQualified Services

Collection Site Personnel Training Collection Site Personnel Training Requirements:Requirements:

Qualified as Qualified as “Collector”“Collector” Qualified as Qualified as “BAT/STT”“BAT/STT”

Basic informationBasic informationQualification trainingQualification training Initial proficiency demonstrationInitial proficiency demonstrationRefresher trainingRefresher trainingError correction trainingError correction training

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Requirements For Collection SiteRequirements For Collection Site

Privacy enclosure for urinationPrivacy enclosure for urination Single toilet room preferredSingle toilet room preferred

Toilet or void receptacleToilet or void receptacleWater source for hand washing, Water source for hand washing,

preferably outside privacy enclosurepreferably outside privacy enclosureRestricted access during collectionRestricted access during collection

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Requirements For Collection Site Requirements For Collection Site (Cont’d)(Cont’d)

Other water sources in privacy Other water sources in privacy enclosure turned off or securedenclosure turned off or secured

If facility is normally used for other If facility is normally used for other purposes, restrict access to purposes, restrict access to collection materials and specimenscollection materials and specimens

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Employee BriefingEmployee Briefing

Collector verifies employee identityCollector verifies employee identityDonor checks outer garmentsDonor checks outer garmentsEmpty pockets and display contentsEmpty pockets and display contents

Allow employee to keep wallet, Allow employee to keep wallet, footwearfootwear

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Urine Specimen Collection Urine Specimen Collection Procedures (Cont’d)Procedures (Cont’d)

Collection site personnel inspects Collection site personnel inspects collection room collection room before and afterbefore and after each specimen collectioneach specimen collection

Collector completes step 1 of CCFCollector completes step 1 of CCFEmployees must wash their hands Employees must wash their hands

after being directed to by the after being directed to by the CollectorCollector

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Urine Specimen Collection Urine Specimen Collection Procedures (Cont’d)Procedures (Cont’d)

Employee or collector selects wrapped Employee or collector selects wrapped single specimen collection cup and single specimen collection cup and unwraps in presence of bothunwraps in presence of both

Collector gives employee collection Collector gives employee collection container and directs him to provide at container and directs him to provide at least 45 ml of urine in privacy enclosureleast 45 ml of urine in privacy enclosure

Collector instructs employee not to flush Collector instructs employee not to flush toilettoilet

Collector may set a reasonable time for Collector may set a reasonable time for voidingvoiding

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Urine Specimen Collection Urine Specimen Collection Procedures (Cont’d)Procedures (Cont’d)

Check specimen temperature within 4 Check specimen temperature within 4 minutes.minutes.

Inspect specimen for signs of tampering Inspect specimen for signs of tampering or adulterationor adulteration

Check specimen for adequacy (at least Check specimen for adequacy (at least 45 ml)45 ml)

Complete step 2 of the CCFComplete step 2 of the CCF

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Urine Specimen Collection Urine Specimen Collection Procedures (Cont’d)Procedures (Cont’d)

Collector splits specimen into two bottles (primary - 30 ml and split - 15 ml) Do NOT top offCollector seals, labels, and dates the bottles in full view of the employee

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Urine Specimen Collection Urine Specimen Collection Procedures (Cont’d)Procedures (Cont’d)

Employee initials labels Employee initials labels afterafter labels labels are applied to bottlesare applied to bottles

Employee reads, signs, and Employee reads, signs, and provides requested information on provides requested information on step 5 copy 2 of CCF. Refusal to step 5 copy 2 of CCF. Refusal to sign is not a refusal to testsign is not a refusal to test

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Urine Specimen Collection Urine Specimen Collection Procedures (Cont’d)Procedures (Cont’d)

Collector signs, dates, and Collector signs, dates, and completes the remainder of the CCFcompletes the remainder of the CCF

Both specimens will be shipped in a Both specimens will be shipped in a single shipping container with the single shipping container with the completed CCFcompleted CCF

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Federal Federal Custody Custody

And And Control Control FormForm

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Medical Medical Review Review Officer Officer CopyCopy

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Distribution of CopiesDistribution of Copies Copy 1Copy 1 Placed in pouch and sent to Placed in pouch and sent to

laboratorylaboratory Copy 2Copy 2 Faxed/given to MRO within 24 Faxed/given to MRO within 24

hourshours Copy 3Copy 3 Collector Copy Collector Copy Copy 4Copy 4 Employer Copy sent (Within Employer Copy sent (Within

24 hours)24 hours) Copy 5Copy 5 Given to Donor (Note: Donor Given to Donor (Note: Donor

maymay list any medications they are list any medications they are taking)taking)

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Unusual CollectionUnusual Collection

Observed CollectionsObserved Collections Same Gender as EmployeeSame Gender as Employee Specimen is Out of Temperature Specimen is Out of Temperature

RangeRange DER or MRO requirementDER or MRO requirement Check for Devices used to Cheat the Check for Devices used to Cheat the

TestTest Return-to-duty & Follow-up TestingReturn-to-duty & Follow-up Testing

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Problem CollectionProblem Collection Insufficient Volume (Shy Bladder)Insufficient Volume (Shy Bladder)

Employee May Drink up to 40 oz. –Not Employee May Drink up to 40 oz. –Not a refusal if donor declines to drinka refusal if donor declines to drink

Distributed reasonably through a Distributed reasonably through a period up to 3 hours or until sufficient period up to 3 hours or until sufficient specimen provided, whichever occurs specimen provided, whichever occurs firstfirst

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Alcohol Testing EquipmentAlcohol Testing Equipment

Use of “Screening Only” Use of “Screening Only” devices ASD/EBTdevices ASD/EBT

Advantage of “EBT” vs. “ASD”Advantage of “EBT” vs. “ASD” Used for “Screening and Used for “Screening and

Confirmation” testsConfirmation” tests

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Saliva Alcohol TestSaliva Alcohol Test

ASDASD

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Screening DevicesScreening Devices

Alco-Sensor IV

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Approved EBT DeviceApproved EBT Device

RBT-IVRBT-IV

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EBT RequirementsEBT Requirements

Approved by the National Highway Approved by the National Highway Traffic Safety Administration (NHTSA), Traffic Safety Administration (NHTSA), listed on the Conforming Products List listed on the Conforming Products List (CPL) without asterisks(CPL) without asterisks

Perform external calibration checks per Perform external calibration checks per NHTSA-approved Quality Assurance NHTSA-approved Quality Assurance Plan (QAP)Plan (QAP)

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Test Refusals Common to Drug Test Refusals Common to Drug and Alcohol Testsand Alcohol Tests

Failure to appear within specified timeFailure to appear within specified time Failure to remain at testing locationFailure to remain at testing location Failure to provide urine specimen or Failure to provide urine specimen or

breath sample as applicable for DOT testbreath sample as applicable for DOT test Failure to provide sufficient volume of Failure to provide sufficient volume of

urine, or breath without valid medical urine, or breath without valid medical explanationexplanation

Failure to undergo a medical examinationFailure to undergo a medical examination Failure to cooperate with any part of the Failure to cooperate with any part of the

testing processtesting process

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Test Refusals Specific to Alcohol Test Refusals Specific to Alcohol TestsTests

Failure to sign the certification Failure to sign the certification on Step 2 of the Alcohol Test on Step 2 of the Alcohol Test FormForm

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Test Refusals Specific to Drug Test Refusals Specific to Drug TestsTests

Failure to permit an observed or Failure to permit an observed or monitor test as required (40.67 (1) monitor test as required (40.67 (1) and 40.69 (g)and 40.69 (g)

Failure to take a second test Failure to take a second test required by the employer or required by the employer or collectorcollector

A drug test result that is verified by A drug test result that is verified by the MRO as adulterated or the MRO as adulterated or substitutedsubstituted

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Test Refusals Specific Test Refusals Specific to Drug Teststo Drug Tests

As of August 25As of August 25thth, 2008 these , 2008 these are considered Test Refusals:are considered Test Refusals:

1. An employee admits to the collector 1. An employee admits to the collector that he or she adulterated or that he or she adulterated or substituted their specimen. substituted their specimen.

2. The employee behaves in a 2. The employee behaves in a confrontational way that disrupts the confrontational way that disrupts the collection processcollection process

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Test Refusals Specific Test Refusals Specific to Drug Teststo Drug Tests

3. The employee fails to follow the 3. The employee fails to follow the observer’s instructions to raise and lower observer’s instructions to raise and lower their clothing and to turn around to permit their clothing and to turn around to permit the observer to determine if the employee the observer to determine if the employee has a prosthetic or other device that could has a prosthetic or other device that could be used to interfere with the collection be used to interfere with the collection process process

4. The employee possesses or wears a 4. The employee possesses or wears a prosthetic or other device that could be prosthetic or other device that could be used to interfere with the collection processused to interfere with the collection process

5. The employee refuses to wash his or her 5. The employee refuses to wash his or her hands – after being directed to do sohands – after being directed to do so

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The following appeared in the 3/3/08 Caledonian-Record of St. Johnsbury, VTThe following appeared in the 3/3/08 Caledonian-Record of St. Johnsbury, VT

2/29/2008 2/29/2008

Police: Man Gets Shot to Avoid WorkPolice: Man Gets Shot to Avoid Work

Associated PressAssociated Press

PASCO, Wash. (AP) - What happened to faking a cough? Sheriff's detectives in PASCO, Wash. (AP) - What happened to faking a cough? Sheriff's detectives in Franklin County said a man had his friend shoot him in the shoulder so he Franklin County said a man had his friend shoot him in the shoulder so he wouldn't have to go to work.wouldn't have to go to work.

When he first spoke with deputies, Daniel Kuch, of Pasco, told them he'd been the When he first spoke with deputies, Daniel Kuch, of Pasco, told them he'd been the victim of a drive-by shooting while he was out jogging Thursday. victim of a drive-by shooting while he was out jogging Thursday.

But detectives told KONA radio that Kuch later acknowledged that he asked his But detectives told KONA radio that Kuch later acknowledged that he asked his friend to shoot him so he could get some time off work and avoid an upcoming friend to shoot him so he could get some time off work and avoid an upcoming drug test.drug test.

The friend, Kurtis Johnson, of Burbank, has been arrested for investigation of The friend, Kurtis Johnson, of Burbank, has been arrested for investigation of reckless endangerment. reckless endangerment.

Kuch was booked into the county jail and is expected to be charged with false Kuch was booked into the county jail and is expected to be charged with false reporting.reporting.

Detectives declined to say where Kuch works, or whether he still has a job.Detectives declined to say where Kuch works, or whether he still has a job.It wasn't known if he had obtained a lawyer.It wasn't known if he had obtained a lawyer.