| Next >>
Subpart C - Urine Collection Personnel
§40.31 Who may collect urine specimens for DOT
(a) Collectors meeting the requirements of this subpart are the
only persons authorized to collect urine specimens for DOT drug
(b) A collector must meet training requirements of §40.33.
(c) As the immediate supervisor of an employee being tested, you
may not act as the collector when that employee is tested, unless
no other collector is available and you are permitted to do so
under DOT agency drug and alcohol regulations.
(d) You must not act as the collector for the employee being tested
if you work for a HHS-certified laboratory (e.g., as a technician
or accessioner) and could link the employee with a urine specimen,
drug testing result, or laboratory report.
§40.33 What training requirements must a collector
To be permitted to act as a collector in the DOT drug testing
program, you must meet each of the requirements of this section:
(a) Basic information. You must be knowledgeable about this part,
the current “DOT Urine Specimen Collection Procedures Guidelines,”
and DOT agency regulations applicable to the employers for whom
you perform collections, and you must keep current on any changes
to these materials. The DOT Urine Specimen Collection Procedures
Guidelines document is available from ODAPC (Department of Transportation,
400 7th Street, S.W., Room 10403, Washington DC, 20590, 202-366-3784,
or on the ODAPC web site (http://www.dot.gov/ost/dapc).
(b) Qualification training. You must receive qualification training
meeting the requirements of this paragraph. Qualification training
must provide instruction on the following subjects:
(1) All steps necessary to complete a collection correctly and
the proper completion and transmission of the CCF;
(2) “Problem” collections (e.g., situations like “shy
bladder” and attempts to tamper with a specimen);
(3) Fatal flaws, correctable flaws, and how to correct problems
in collections; and
(4) The collector’s responsibility for maintaining the integrity
of the collection process, ensuring the privacy of employees being
tested, ensuring the security of the specimen, and avoiding conduct
or statements that could be viewed as offensive or inappropriate;
(c) Initial Proficiency Demonstration. Following your completion
of qualification training under paragraph (b) of this section,
you must demonstrate proficiency in collections under this part
by completing five consecutive error-free mock collections.
(1) The five mock collections must include two uneventful collection
scenarios, one insufficient quantity of urine scenario, one temperature
out of range scenario, and one scenario in which the employee
refuses to sign the CCF and initial the specimen bottle tamper-evident
(2) Another person must monitor and evaluate your performance,
in person or by a means that provides real-time observation and
interaction between the instructor and trainee, and attest in
writing that the mock collections are “error-free.”
This person must be a qualified collector who has demonstrated
necessary knowledge, skills, and abilities by --
(i) Regularly conducting DOT drug test collections for a period
of at least a year;
(ii) Conducting collector training under this part for a year;
(iii) Successfully completing a "train the trainer"
(d) Schedule for qualification training and initial proficiency
demonstration. The following is the schedule for qualification
training and the initial proficiency demonstration you must meet:
(1) If you became a collector before August 1, 2001, and you have
already met the requirements of paragraphs (b) and (c) of this
section, you do not have to meet them again.
(2) If you became a collector before August 1, 2001, and have
yet to meet the requirements of paragraphs (b) and (c) of this
section, you must do so no later than January 31, 2003.
(3) If you become a collector on or after August 1, 2001, you
must meet the requirements of paragraphs (b) and (c) of this section
before you begin to perform collector functions.
(e) Refresher training. No less frequently than every five years
from the date on which you satisfactorily complete the requirements
of paragraphs (b) and (c) of this section, you must complete refresher
training that meets all the requirements of paragraphs (b) and
(c) of this section.
(f) Error Correction Training. If you make a mistake in the collection
process that causes a test to be cancelled (i.e., a fatal or uncorrected
flaw), you must undergo error correction training. This training
must occur within 30 days of the date you are notified of the
error that led to the need for retraining.
(1) Error correction training must be provided and your proficiency
documented in writing by a person who meets the requirements of
paragraph (c)(2) of this section.
(2) Error correction training is required to cover only the subject
matter area(s) in which the error that caused the test to be cancelled
(3) As part of the error correction training, you must demonstrate
your proficiency in the collection procedures of this part by
completing three consecutive error-free mock collections. The
mock collections must include one uneventful scenario and two
scenarios related to the area(s) in which your error(s) occurred.
The person providing the training must monitor and evaluate your
performance and attest in writing that the mock collections were
(g) Documentation. You must maintain documentation showing that
you currently meet all requirements of this section. You must
provide this documentation on request to DOT agency representatives
and to employers and C/TPAs who are using or negotiating to use
§40.35 What information about the DER must employers
provide to collectors?
As an employer, you must provide to collectors the name and telephone
number of the appropriate DER (and C/TPA, where applicable) to
contact about any problems or issues that may arise during the
§40.37 Where is other information on the role of
collectors found in this regulation?
You can find other information on the role and functions of collectors
in the following sections of this part:
§40.3 – definition.
§40.43 - steps to prepare and secure collection sites.
§§40.45 - 40.47 - use of CCF.
§§40.49 – 40.51 - use of collection kit and shipping
§§40.61 - 40.63 - preliminary steps in collections.
§40.65 - role in checking specimens.
§40.67 - role in directly observed collections.
§40.69 - role in monitored collections.
§40.71 - role in split specimen collections.
§40.73 - chain of custody completion and finishing the collection
§40.103 - processing blind specimens.
§40.191 - action in case of refusals to take test.
§40.193 - action in “shy bladder” situations.
§§40.199 - 40.205 - collector errors in tests, effects,
and means of correction.
| Next >>