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

1. What You Need to Know About DOT Drug & Alcohol Collections & Recent Updates Presented by: Manny Chavez

2. IMPORTANT EVENTS IN 2007 - 2008 • News reports and other investigations have raised concerns about significant vulnerabilities in DOT’s drug testing program. (e.g. FOX 9 undercover investigations of five DOT collection sites in Minnesota)

3. Important Events in 2007- 2008 (cont’d) • Continuing use of products designed to “beat” the drug test brazenly marketed on the internet. (Examples: Whizzinator, Urinator, the Wedge) • Congressional hearings on challenges to establishing an effective drug testing program

4. Important Events in 2007- 2008 (cont’d) • GAO undercover investigations (May - September 2007) of DOT collection sites around the country focused on the motor carrier industry • GAO released report to Congress on options to improve drug testing programs and better identify illegal drug users and keep them off the road (May 2008)

5. Important Events in 2007- 2008 (cont’d) • October 14, 2008: Federal prosecutors won a 19-count indictment against Puck Technology, maker of the Whizzinator and Number 1, and its owners (Gerald Wills and Robert Catalano) for fraud and selling drug paraphernalia.

6. Important Events in 2007- 2008 (cont’d) • November 24, 2008: Wills and Catalano pleaded guilty to one count of conspiracy to defraud the federal agency that administers federal workplace drug testing programs, and one count of conspiracy to sell drug paraphernalia

7. Results of GAO Investigations Applicable to all Transportation Modes • Lack of compliance with specimen collection protocols (22 out of 24 were not in compliance with some of the protocols) • Subversion of the drug test is possible • Small vials in socks or undergarments containing synthetic urine or drug-free urine • Useof adulterants

8. Results of GAO Investigations Applicable to all Modes (cont’d) • Limitations to the test itself (DOT only tests for 5 illegal drugs) • Lack of disclosure of past positive drug tests

9. Options Identified by GAO(May 2008) • Providing and publicizing information regarding drug testing requirements through promotional materials, website, conferences • Increasing oversight and enforcement authority over service agents

10. Options Identified by GAO(May 2008) (Cont’d) • Strengthening the enforcement of safety audits for new carriers (FMCSA) • Adopting federal legislation prohibiting the sale, manufacture, or use of drug testing subversion products

11. Options Identified by GAO (May 2008) (cont’d) • Testing for additional illegal drugs or some prescription drugs • Developing a national database reporting requirement and authority to suspend a CDL for a positive drug test result or test refusal

12. 2009 UPDATES • DOT made available the Collection Site Security & Integrity poster and 10 Steps Video • H.R. 858 (Drug Testing Integrity Act of 2009) was introduced in Congress on 2/4/09

13. Collector Identified • “A person who instructs and assists employees at a collection site, who receives and makes an initial inspection of the specimen provided by those employees, and who initiates and completes the CCF.”49 CFR 40.3

14. DOT Urine Specimen Collection Guidelines “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.”

15. Qualified Services Collection Site Personnel Training Requirements: • Qualified as “Collector” • Qualified as “BAT/STT” • Basic information • Qualification training • Initial proficiency demonstration • Refresher training • Error correction training

16. Requirements For Collection Site Privacy enclosure for urination • Single toilet room preferred • Toilet or void receptacle • Water source for hand washing, preferably outside privacy enclosure • Restricted access during collection

17. Requirements For Collection Site (Cont’d) • Other water sources in privacy enclosure turned off or secured • If facility is normally used for other purposes, restrict access to collection materials and specimens

18. Employee Briefing Collector verifies employee identity • Donor checks outer garments • Empty pockets and display contents • Allow employee to keep wallet, footwear

19. Urine Specimen Collection Procedures (Cont’d) • Collection site personnel inspects collection room before and after each specimen collection • Collector completes step 1 of CCF • Employees must wash their hands after being directed to by the Collector

20. Urine Specimen Collection Procedures (Cont’d) • Employee or collector selects wrapped single specimen collection cup and unwraps in presence of both • Collector gives employee collection container and directs him to provide at least 45 ml of urine in privacy enclosure • Collector instructs employee not to flush toilet • Collector may set a reasonable time for voiding

21. Urine Specimen Collection Procedures (Cont’d) • Check specimen temperature within 4 minutes. • Inspect specimen for signs of tampering or adulteration • Check specimen for adequacy (at least 45 ml) • Complete step 2 of the CCF

22. Urine Specimen Collection Procedures (Cont’d) • Collector splits specimen into two bottles (primary - 30 ml and split - 15 ml) Do NOT top off • Collector seals, labels, and dates the bottles in full view of the employee

23. Urine Specimen Collection Procedures (Cont’d) • Employee initials labels after labels are applied to bottles • Employee reads, signs, and provides requested information on step 5 copy 2 of CCF. Refusal to sign is not a refusal to test

24. Urine Specimen Collection Procedures (Cont’d) • Collector signs, dates, and completes the remainder of the CCF • Both specimens will be shipped in a single shipping container with the completed CCF

25. Federal Custody And Control Form

26. Medical Review Officer Copy

27. Distribution of Copies • Copy 1 Placed in pouch and sent to laboratory • Copy 2 Faxed/given to MRO within 24 hours • Copy 3 Collector Copy • Copy 4 Employer Copy sent (Within 24 hours) • Copy 5 Given to Donor (Note: Donor may list any medications they are taking)

28. Unusual Collection • Observed Collections • Same Gender as Employee • Specimen is Out of Temperature Range • DER or MRO requirement • Check for Devices used to Cheat the Test • Return-to-duty & Follow-up Testing

29. Problem Collection • Insufficient Volume (Shy Bladder) • Employee May Drink up to 40 oz. –Not a refusal if donor declines to drink • Distributed reasonably through a period up to 3 hours or until sufficient specimen provided, whichever occurs first

30. Alcohol Testing Equipment • Use of “Screening Only” devices ASD/EBT • Advantage of “EBT” vs. “ASD” • Used for “Screening and Confirmation” tests

31. Saliva Alcohol Test ASD

32. Screening Devices Alco-Sensor IV

33. Approved EBT Device RBT-IV

34. EBT Requirements • Approved by the National Highway Traffic Safety Administration (NHTSA), listed on the Conforming Products List (CPL) without asterisks • Perform external calibration checks per NHTSA-approved Quality Assurance Plan (QAP)

35. Test Refusals Common to Drug and Alcohol Tests • Failure to appear within specified time • Failure to remain at testing location • Failure to provide urine specimen or breath sample as applicable for DOT test • Failure to provide sufficient volume of urine, or breath without valid medical explanation • Failure to undergo a medical examination • Failure to cooperate with any part of the testing process

36. Test Refusals Specific to Alcohol Tests • Failure to sign the certification on Step 2 of the Alcohol Test Form

37. Test Refusals Specific to Drug Tests • Failure to permit an observed or monitor test as required (40.67 (1) and 40.69 (g) • Failure to take a second test required by the employer or collector • A drug test result that is verified by the MRO as adulterated or substituted

38. Test Refusals Specific to Drug Tests As of August 25th, 2008 these are considered Test Refusals: • 1. An employee admits to the collector that he or she adulterated or substituted their specimen. • 2. The employee behaves in a confrontational way that disrupts the collection process

39. Test Refusals Specific to Drug Tests • 3. The employee fails to follow the observer’s instructions to raise and lower their clothing and to turn around to permit the observer to determine if the employee has a prosthetic or other device that could be used to interfere with the collection process • 4. The employee possesses or wears a prosthetic or other device that could be used to interfere with the collection process • 5. The employee refuses to wash his or her hands – after being directed to do so

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44. The following appeared in the 3/3/08 Caledonian-Record of St. Johnsbury, VT 2/29/2008 Police: Man Gets Shot to Avoid Work Associated Press 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 wouldn't have to go to work. 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. 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 drug test. The friend, Kurtis Johnson, of Burbank, has been arrested for investigation of reckless endangerment. Kuch was booked into the county jail and is expected to be charged with false reporting. Detectives declined to say where Kuch works, or whether he still has a job. It wasn't known if he had obtained a lawyer.