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FTA Drug & Alcohol Program National Conference. Universal City, CA March, 2010. Joseph Lofgren FTA Audit Team Leader. Collection Site Inspections. Why Inspect?. Why Inspect? . Vendor Oversight – Collections. Scheduled up to one month ahead of time Open Process

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Collection site inspections l.jpg

FTA Drug & Alcohol Program

National Conference

Universal City, CA

March, 2010

Joseph Lofgren

FTA Audit Team Leader

Collection Site Inspections





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  • Scheduled up to one month ahead of time

  • Open Process

  • Instruction/Seminar Format

  • Identity & Purpose clearly stated

  • Includes academic review of scenarios (non-normal collections)

  • ‘Mock’ sample

Collection Site Visits – FTA Method


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  • Inspector carries questionnaire

  • Can get a thorough understanding of collection site policy and collector’s knowledge

  • Can openly inspect equipment, facility, and security of enclosure

  • Can openly inspect credentials and certifications

FTA Method - Pros


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  • Rest of process missing

  • Errors collector usually makes might be fixed by nature of mock

FTA Method - Cons


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  • Begin with:

    • FTA Collection Site Questionnaires (http://transit-safety.fta.dot.gov/DrugAndAlcohol/TechnicalAssistance/default.asp)

    • Both Drug and Alcohol questionnaires available

    • Set a date

    • Familiarize yourself fully with the questionnaire

    • A review of CCFs/ATFs from site beforehand is extremely helpful

Collection Site Visits


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Collection Site Visits


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  • Mock Collection

    • A demonstration of procedures used during normal/uneventful collections

    • Corrections should be conveyed after the mock

    • Collector should perform mock just as he or she normally would

Collection Site Visits


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  • Unusual collections review

    • Is an academic discussion covering scenarios specifically described in 49 CFR Part 40

      • Shy Bladder

      • Refusals

      • Direct Observation

      • And More!

    • Does not usually include demonstrations

Collection Site Visits


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Collection Site VisitsA quick guide to beginning a mock collection


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The Breath Alcohol Test §40.211-§40.279


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  • Request photo ID (if not done already)

  • Use a Federal Alcohol Testing Form (ATF)?

  • Complete the form correctly and in order?

    • 1-2-3-(4)

  • Use a NHTSA-approved EBT (breath device) or ASD (saliva testing device)?

Does the BA Technician (BAT):


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Does the BAT/Site:


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Does the BAT/Site:


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Does the BAT:


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The Urine Drug Collection or non-evidential breath testing device?§40.31-§40.73 &§40.191- §40.209


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  • Request photo ID (if not done already) or non-evidential breath testing device?

  • Instruct donor to remove outer garments?

  • Instruct donor to empty pockets?

  • Allow the donor to keep wallet?

  • Explain the procedures?

    • Including showing the donor the instructions printed on the back of the form

Does the collector:


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  • Ask donor to wash hands? or non-evidential breath testing device?

  • Secure all internal water sources?

  • Open sealed specimen containers in front of donor

  • Give donor a 55ml container?

Does the collector:


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Does the collector:


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  • Give the donor a 4-minute time limit? or non-evidential breath testing device?

    NOTE: This presentation describes MOCK-collections only. Auditors recommend using a water specimen (low temperature reading can be disregarded)

Does the collector:


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>Twelve pieces of paraphernalia found at this major US airport collection facility.

Once in the enclosure:


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Once in the enclosure:


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Does the collector:


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Does the collector:


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Demonstration of Correct CCF Steps or non-evidential breath testing device?


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- or non-evidential breath testing device?

Steps 1 & 2


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What’s Wrong or Missing? or non-evidential breath testing device?

29


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30 or non-evidential breath testing device?


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31 or non-evidential breath testing device?


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32 or non-evidential breath testing device?


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Does the collector:


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Does the collector:


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  • Shy Bladders or non-evidential breath testing device?

  • Uncooperative donor

  • Direct Observation

Discussion Topics


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  • Donor or non-evidential breath testing device?must make initial attempt, even if:

    • Waiting for representative, or

    • “Just doesn’t have to go”

  • Donor has 3hrs to provide specimen

    • beginning with QNS cup

  • Donor may have up to 40 ounces of fluid over 3hrs

    • Doesn’t have to drink

    • Measurements must be:

      • Consistent

      • Accurate

Shy Bladder


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  • If a donor is uncooperative: or non-evidential breath testing device?

    • Terminate test

    • Record actions in “Remarks” section

    • Call DER

  • This is a refusal to test

  • This goes for being uncooperative for directly observed or monitored tests as well… Collector is in Charge!

Uncooperative Donors


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  • If donor: or non-evidential breath testing device?

    • Removes tampering materials from pockets

    • Behaves in a way that “clearly indicates an attempt to tamper with a specimen”

    • Provides a specimen out of temp

    • Provides an adulterated/tampered specimen

  • Collector must require Direct Observation

Direct Observation


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  • D.O. collection must occur immediately or non-evidential breath testing device?

  • Same-gender observer

    • Need not be a trained collector

  • Observer must:

    • Require that donor disrobe (to chest, knees) and rotate to display absence of devices

    • Watch urine travel from body to cup

    • Record name on CCF (if not collector)

Direct Observation Cont.


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  • Frequency of courier or non-evidential breath testing device?

    • Daily

  • Security of stored specimen

    • No access by “civilians”

  • General facility security & privacy

    • Back doors, “lock boxes”

  • Fixing Flaws

    • Immediate or next business day

  • Collector training and retraining

    • Mock collections in training

    • 30 days to retrain after a Fatal Flaw

Discussion Topics


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  • Have your correct phone number? or non-evidential breath testing device?

  • Transmit Copy 2 of the CCF directly to the MRO after each collection?

  • Welcome visits?

  • Exhibit consistent refresher training?

  • Afford donors confidentiality and privacy before, during, and after the collection?

Does the site:


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  • Communicate directly with the DER? or non-evidential breath testing device?

  • Use the correct forms?

  • Understand the importance of the collection process as relates to your compliance?

Does the site:


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Does the site:


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  • Get questionnaires ( or non-evidential breath testing device?http://transit-safety.fta.dot.gov/DrugAndAlcohol/TechnicalAssistance/default.asp or Audit Team Leader)

  • Make an appointment

  • Visit & evaluate

  • Require corrective actions

    • Give them a due-date!

  • Re-visit

Next steps:


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  • Should be your partner in this process

Remember: Your collection site


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Thank you required

Joseph Lofgren

FTA Drug & Alcohol Audit Team


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