DOT Inspectors Formally Visiting Collection Sites

On June 24th two USDOT FMCSA inspectors paid the AADT office a surprise visit. The inspectors were Mr. Francisco Reynoso and Mrs. Cindy Lopez. Their visit was mainly focused on reviewing mock collections of all of our collectors they believed worked from this office. We explained to them that we do not perform collections at our main business address and, in fact, have never done collections at this address. Inspector Lopez indicated that she had documentation that showed our address as a collection site. We explained that we used to have an outside sales rep in San Diego who did customer on-site collections and utilized the office here as his main address, but he never did any collections at the site.

While they were here, after learning that we do not perform collections at our location, they decided to ask about our program in general, starting with our policy concerning MIS reports. We explained our policy and the fact that MIS reports are completed when a client calls and asks for them. Inspector Lopez said that, while it was unusual to hear any complaints about us, the most common complaint she hears from the clients she talks to in the Inland area was that “we do not give them [the client] the MIS reports.” We explained that our clients are not sent these reports yearly because:

1. not everyone needs them,
   
2. a majority of them get returned by mail, and
   
3. many times they are lost and we have to reprint them any way.

We explained and actually showed them the documentation in the AADT client binder that each client gets, which clearly explains what to do and states that all clients should call us so we can walk them through their compliance requirements and that we would immediately generate a MIS Report when needed or when they receive notice of an inspection.

Inspector Reynoso said he has seen the binder at our clients’ offices. Inspector Lopez had not seen the binder and asked to see it. Dianna Lee showed both of them and walked them through all the different sections and policies.

Inspector Lopez also asked about the trained supervisor policy we have, and we explained the video/DVD training program that clients can purchase. Plus, at least every other year, a mass letter and order form is mailed out to each client that would show, if applicable, that they have an untrained supervisor.

Inspector Lopez said our program looked very thorough and well laid-out. She also said that we appear to provide a lot of guidance to make sure that all aspects of the regulations are explained in detail to our clients. She was also surprised to see that most of our customer service representatives had, in fact, been collector-trained and certified. This was apparently very unusual for a TPA to have such well-trained representatives.

Inspector Lopez also asked about the random selections and how they work. We explained that the clients are sent notices, and if there is no response, we then make a phone call within a few weeks and directly speak to them if possible.

Inspector Lopez then asked who had access to the database and random selections, and we explained that only one person has access to enter specimen numbers and testing dates into the system. She then asked about the random selection process and programming, and we explained that we have one programmer, a consultant and not a direct employee, who is the only one with access to the back side of our random generating software.

She then asked if we pull random selections on a quarterly schedule, which, of course, we do normally. She then asked when in the quarter do we pull, and we explained it varied each year and quarter—sometimes we could pull the first week of the quarter, and the next time we might pull near the last week. We believe this to be consistent with the intent of pure randomization.

They finished the inspection by asking for a list of all of the collection sites we use and said that was all they needed. The visit took a total of 30 minutes. The important thing to note, though, was that DOT is serious about collector training because this has traditionally been a weak link in the drug testing industry. DOT’s FMCSA appears to be working to address this problem. Below, we have added the DOT training requirements for collectors.

§40.33 what training requirements must a D.O.T. collector meet?

49 CFR Part 40, Subpart C - Urine Collection Personnel

§40.33 - What training requirements must a collector meet?

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, 1200 New Jersey Avenue, SE, 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 seal.
(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; or
(iii) Successfully completing a “train the trainer” course.

(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 occurred.
(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 “error-free.”

(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 your services.

[65 FR 79526, Dec 19, 2000; 66 FR 3885, Jan. 17, 2001, as amended at 66 FR 41950, Aug. 9, 2001; 73 FR 33329, June 12, 2008]