U.S. Department of TransportationU.S. Department of Transportation
DOT Drug & Alcohol TestingDOT Drug & Alcohol Testing Update forUpdate for
FEDERAL TRANSIT ADMINSTRATIONFEDERAL TRANSIT ADMINSTRATIONANNAUL CONFERENCEANNAUL CONFERENCE
Nashville, TNNashville, TNAPRIL, 2009APRIL, 2009
Current TopicsCurrent Topics
Collection Site Security and IntegrityCollection Site Security and Integrity
Specimen Validity Final RuleSpecimen Validity Final Rule
Myths about Direct ObservationMyths about Direct Observation
On the HorizonOn the Horizon
GAO Report RecommendationsGAO Report RecommendationsMay 2008May 2008
DOT Secretary expedite efforts to:DOT Secretary expedite efforts to:
1. Improve 1. Improve safety auditssafety audits; and; and
2. Implement a 2. Implement a national databasenational database for CDL driver DOT testing violations. for CDL driver DOT testing violations.
Congress consider:Congress consider:
1. Legislation to 1. Legislation to ban productsban products designed to beat drug tests; designed to beat drug tests;
2. Providing 2. Providing civil penalty authoritycivil penalty authority against service agents; and against service agents; and
3. Encouraging or requiring states to 3. Encouraging or requiring states to suspend / revoke CDLssuspend / revoke CDLs of drivers who of drivers who test positive or refuse tests.test positive or refuse tests.
Access to Adulterant & Dilution Materials Access to Adulterant & Dilution Materials
Secure Water Sources Secure Water Sources
Supervise Employees Supervise Employees
Empty PocketsEmpty Pockets
DOT Clandestine InspectionsDOT Clandestine Inspections
Prevalent Egregious FailuresPrevalent Egregious Failures
Unauthorized Personnel Unauthorized Personnel
Wash HandsWash Hands
Time LimitsTime Limits
DOT Clandestine InspectionsDOT Clandestine Inspections
Prevalent Egregious FailuresPrevalent Egregious Failures
““DOT’s 10 Steps to Collection Site Security and Integrity” DOT’s 10 Steps to Collection Site Security and Integrity” – sent to over 23,000 collection sites– sent to over 23,000 collection sites
Flash VideoFlash Video
Increase DOT Agency & USCG Inspector Training and Increase DOT Agency & USCG Inspector Training and Number of Inspections Number of Inspections
Inspection Data BaseInspection Data Base
Clandestine InspectionsClandestine Inspections
Civil Penalty Authority & PIECivil Penalty Authority & PIE
EMPHASIS FOR DOT INSPECTIONS OFEMPHASIS FOR DOT INSPECTIONS OFCOLLECTION SITESCOLLECTION SITES
Recent DOT Regulation & Recent DOT Regulation & Policy UpdatesPolicy Updates
Interim Final Rule ~ June 13, 2008Interim Final Rule ~ June 13, 2008 Permits Employers & TPAs [for Owner-Operators] to report CMV Permits Employers & TPAs [for Owner-Operators] to report CMV
driver testing violations to State CDL licensing authorities.driver testing violations to State CDL licensing authorities.
Final Rule ~June 25, 2008 [effective August 25, 2008]Final Rule ~June 25, 2008 [effective August 25, 2008] Test all DOT specimens for SVT.Test all DOT specimens for SVT. Labs submit semi-annual data reports to DOT.Labs submit semi-annual data reports to DOT. Close endless loop for Invalid Results and streamline results Close endless loop for Invalid Results and streamline results
reporting.reporting. Direct Observation procedures check for beat-the-test devices.Direct Observation procedures check for beat-the-test devices. Collection, SAP, and new Collection, SAP, and new Employer HandbookEmployer Handbook were updated ( were updated (
www.dot.gov/ost/dapcwww.dot.gov/ost/dapc).).
Recent DOT Regulation & Recent DOT Regulation & Policy UpdatesPolicy Updates
Interpretive Qs & As ~ July 31, 2008 Interpretive Qs & As ~ July 31, 2008 New MRO procedures for Invalids with pH in 9.0 - 9.5 range.New MRO procedures for Invalids with pH in 9.0 - 9.5 range.
Federal Register Notice ~August 26, 2008 Federal Register Notice ~August 26, 2008 Announced a 30-day comment period on the issue of whether Announced a 30-day comment period on the issue of whether
direct observations should be mandatory for all return-to-duty and direct observations should be mandatory for all return-to-duty and follow-up tests.follow-up tests.
The comment docket closed on September 25.The comment docket closed on September 25. This Notice postponed the effectiveness of only one of the Final This Notice postponed the effectiveness of only one of the Final
Rule provisions.Rule provisions. The Notice reiterated that the new direct observation provisions The Notice reiterated that the new direct observation provisions
are effective August 25, 2008 for all required direct observationsare effective August 25, 2008 for all required direct observations..
Collector:Collector:
Enhanced direct observation protocolEnhanced direct observation protocol
The observer requests the employee to raise his or her shirt, The observer requests the employee to raise his or her shirt, blouse or dress / skirt, as appropriate, above the waist, just blouse or dress / skirt, as appropriate, above the waist, just above the navel; and lower clothing and underpants to mid-above the navel; and lower clothing and underpants to mid-thigh and show the observer, by turning around, that the thigh and show the observer, by turning around, that the employee does not have such a device.employee does not have such a device.
Specimen Validity Testing (SVT)Specimen Validity Testing (SVT) Final Rule – Effective 08/25/2008Final Rule – Effective 08/25/2008
Lab:Lab:
Specimen Validity Testing is mandatorySpecimen Validity Testing is mandatory
Semi-annual statistics to ODAPCSemi-annual statistics to ODAPC
SVT Final Rule SVT Final Rule Effective 08/25/2008Effective 08/25/2008
Laboratory Drug Testing DataLaboratory Drug Testing DataJuly – December 2008July – December 2008
Total ResultsTotal Results 2,850,1062,850,106
PositivesPositives 46,858 (1.64%)46,858 (1.64%)
AmphetaminesAmphetamines 16.09%16.09%
CocaineCocaine 19.19%19.19%
OpiatesOpiates 11.52%11.52%
PCPPCP 1.76%1.76%
THCTHC 51.45%51.45%
Laboratory Drug Testing DataLaboratory Drug Testing DataJuly – December 2008July – December 2008
Total ResultsTotal Results 2,850,1062,850,106
TamperedTampered 5,106 (0.179%)5,106 (0.179%)
AdulteratedAdulterated 9.3%9.3%
SubstitutedSubstituted 25.0%25.0%
InvalidInvalid 65.7%65.7%
Laboratory Drug Testing DataLaboratory Drug Testing DataJuly – December 2008July – December 2008
Total ResultsTotal Results 2,850,1062,850,106
RejectedRejected 4,636 (0.16%)4,636 (0.16%)
MRO:MRO:
Close the loop on InvalidsClose the loop on Invalids
Procedures for when a negative result is Procedures for when a negative result is requiredrequired
SVT Final Rule SVT Final Rule Effective 08/25/2008Effective 08/25/2008
EmployerEmployer: :
The definition of “refusal” is expanded to include when an employee:The definition of “refusal” is expanded to include when an employee:
Admits to the collector that he/she adulterated or substituted his/her Admits to the collector that he/she adulterated or substituted his/her specimen. specimen.
Behaves in a confrontational way that disrupts the collection process.Behaves in a confrontational way that disrupts the collection process.
Fails to follow the observer’s instructions to raise and lower his/her clothing Fails to follow the observer’s instructions to raise and lower his/her clothing and turn around to permit the observer to determine if he/she has a and turn around to permit the observer to determine if he/she has a prosthetic or other device that could be used to interfere with the collection prosthetic or other device that could be used to interfere with the collection process. process.
Possesses or wears a prosthetic or other device that could be used to Possesses or wears a prosthetic or other device that could be used to interfere with the collection process. interfere with the collection process.
Fails to wash his/her hands after being directed to do so. Fails to wash his/her hands after being directed to do so.
SVT Final Rule - Effective 08/25/2008SVT Final Rule - Effective 08/25/2008
Misinformation about Misinformation about the New Final Rulethe New Final Rule
1.1. MisinformationMisinformation: : “DOT proposed and requires Direct Observation for “DOT proposed and requires Direct Observation for every test.”every test.”
Since 1989, direct observation has been, and will continue to be, Since 1989, direct observation has been, and will continue to be, required for only a handful of DOT tests. And “No,” Direct Observation required for only a handful of DOT tests. And “No,” Direct Observation was not proposed and is not required for every collection. was not proposed and is not required for every collection.
Direct Observation is now, and was in the past, required when:Direct Observation is now, and was in the past, required when: -- Specimens show signs of tampering at collection sites [e.g., cold, hot, -- Specimens show signs of tampering at collection sites [e.g., cold, hot, discolored specimen] and through laboratory testing [e.g., invalid result discolored specimen] and through laboratory testing [e.g., invalid result with no medical explanation, dilute specimens with creatinine 2-5]; with no medical explanation, dilute specimens with creatinine 2-5]; -- The MRO cancels verified positives and refusals to test because the -- The MRO cancels verified positives and refusals to test because the split specimen was not available for testing; and split specimen was not available for testing; and -- Employers direct collection sites to perform Direct Observation for -- Employers direct collection sites to perform Direct Observation for follow-up and return-to-duty testing. follow-up and return-to-duty testing.
The DOT proposes to make Direct Observation mandatory for follow-up The DOT proposes to make Direct Observation mandatory for follow-up and return-to-duty testing, believing that enhancements are needed due and return-to-duty testing, believing that enhancements are needed due to the employee’s heightened reasons to cheat a test because of relapse to the employee’s heightened reasons to cheat a test because of relapse risks from substance abuse.risks from substance abuse.
Misinformation about Misinformation about the New Final Rulethe New Final Rule
2.2. MisinformationMisinformation: : “The DOT requirement that observers “The DOT requirement that observers watch the employee’s urine go directly from the person watch the employee’s urine go directly from the person into the collection cup is brand new.” into the collection cup is brand new.”
Since 1989, the “Since 1989, the “body to bottlebody to bottle” direct observation ” direct observation procedure has been in place. procedure has been in place.
Some collection sites and observers may not have always Some collection sites and observers may not have always adhered to the long-standing requirement.adhered to the long-standing requirement.
Because of the proliferation of devices designed to beat a drug Because of the proliferation of devices designed to beat a drug test, to include realistic-looking prosthetic devices, we added test, to include realistic-looking prosthetic devices, we added another step to the DO process – to raise and lower clothing.another step to the DO process – to raise and lower clothing.
Misinformation about Misinformation about the New Final Rulethe New Final Rule
3.3. MisinformationMisinformation: : “Collection sites and employers are “Collection sites and employers are going to have a difficult time finding same gender going to have a difficult time finding same gender observers, as required in the new rules, because the old observers, as required in the new rules, because the old rule permitted opposite gender observers if the observer rule permitted opposite gender observers if the observer was a medical professional.”was a medical professional.”
Since 1989, observers have had to be the Since 1989, observers have had to be the same gendersame gender as the employee. as the employee.
There have never been opposite gender observers. There have never been opposite gender observers. Not even opposite gender medical professionals could serve as Not even opposite gender medical professionals could serve as
observers. observers. All collection sites and employers have always had to be on All collection sites and employers have always had to be on
“stand-by” for having same gender observers available. “stand-by” for having same gender observers available.
Misinformation about Misinformation about the New Final Rulethe New Final Rule
4.4. MisinformationMisinformation: : “The major TPA & Collection Site organizations “The major TPA & Collection Site organizations say they are not ready for the new Direct Observation procedures.”say they are not ready for the new Direct Observation procedures.”
The vast majority of the major TPAs, collection site organizations, The vast majority of the major TPAs, collection site organizations, and associations representing nearly all of collection sites have and associations representing nearly all of collection sites have assured the DOT that they are ready. assured the DOT that they are ready.
Nearly every small collection organization we have talked with has Nearly every small collection organization we have talked with has told us they are ready, too. told us they are ready, too.
Collection sites who have indicated to DOT that they will not be Collection sites who have indicated to DOT that they will not be ready have also – fairly consistently – told us they often failed to ready have also – fairly consistently – told us they often failed to conduct directly observed collections under the old rules, using the conduct directly observed collections under the old rules, using the old procedures. old procedures.
If sites were ready under the old rules, they If sites were ready under the old rules, they are ready under the new rules!are ready under the new rules!
Misinformation about Misinformation about the New Final Rulethe New Final Rule
5.5. MisinformationMisinformation: : “Only trained collectors “Only trained collectors can be observers.”can be observers.”
Observers have never been required to be trained Observers have never been required to be trained collectors. collectors.
Observers can be trained collectors, but need not be. Observers can be trained collectors, but need not be.
Observers simply need to receive instruction from the Observers simply need to receive instruction from the collector on the correct procedures to follow.collector on the correct procedures to follow.
ODAPC has published an instruction sheet for ODAPC has published an instruction sheet for observers that can be downloaded from our website.observers that can be downloaded from our website.
Misinformation about Misinformation about the New Final Rulethe New Final Rule
6.6. MisinformationMisinformation: : “Collectors can cancel “Collectors can cancel a test if the site does not have a same a test if the site does not have a same gender observer.”gender observer.”
Collection site personnel have no authority to Collection site personnel have no authority to cancel a DOT test. cancel a DOT test.
Part 40 states that, in the event a directly Part 40 states that, in the event a directly observed collection should have been observed collection should have been accomplished but was not, it has to be accomplished but was not, it has to be accomplished when the discovery is made.accomplished when the discovery is made.
Misinformation about Misinformation about the New Final Rulethe New Final Rule
7.7. MisinformationMisinformation: : “When an employer elects to do a “When an employer elects to do a Direct Observation for Return to Duty or Follow-up, the Direct Observation for Return to Duty or Follow-up, the employer can also elect to use the old procedures rather employer can also elect to use the old procedures rather than the new procedures.”than the new procedures.”
Since August 25, 2008, Since August 25, 2008, all all Directly Observed collections Directly Observed collections have been required to use the new procedureshave been required to use the new procedures for for checking for prosthetic and other devices. checking for prosthetic and other devices.
This includes Direct Observations conducted as an employer This includes Direct Observations conducted as an employer option in follow-up and return-to-duty testing situations, as well option in follow-up and return-to-duty testing situations, as well as for mandatory Direct Observations, in situations when the as for mandatory Direct Observations, in situations when the employee submits a cold specimen, or the employee has no employee submits a cold specimen, or the employee has no legitimate medical reason for an invalid test result, etc.legitimate medical reason for an invalid test result, etc.
****NEWNEW** Collection Site Security and ** Collection Site Security and Integrity -Video [March 23, 2009]Integrity -Video [March 23, 2009]
Recent GuidanceRecent Guidance
Collection Site Compliance ReviewsCollection Site Compliance Reviews
MRO GuidelinesMRO Guidelines
Collector GuidelinesCollector Guidelines
On the HorizonOn the Horizon
Office of Drug and Alcohol Office of Drug and Alcohol Policy and CompliancePolicy and Compliance
Mark SniderSenior Policy Advisor
Bohdan BaczaraPolicy Advisor
Vicki BelletMaria Lofton
Administrative
Bob AshbyOffice of General
Counsel
Jim SwartDirector
Patrice KellyDeputy Director
Cindy IngraoSenior Policy Advisor
The ODAPC WebsiteThe ODAPC Website
www.dot.gov/ost/dapcwww.dot.gov/ost/dapc
