DOT Rule 49 CFR Part 40 Section 40.72
Subpart E - Specimen Collections
§ 40.72 What steps does the collector take in the collection process before the employee provides an oral fluid specimen?
(a) The collector requests that the employee open the employee's mouth, and the collector inspects the oral cavity to ensure that it is free of any items that could impede or interfere with the collection of an oral fluid specimen (e.g., candy, gum, food, or tobacco) or could be used to adulterate, substitute, or alter the specimen.
If the collector finds indication(s) of anything identified above, the collector will ask the employee to lift their tongue and/or separate their cheek from their gum to permit full inspection. If this occurs, the employee may cleanse his or her hands, but must not decline the collector's request for further inspection.
If the employee claims that he or she has a medical condition that prevents opening his or her mouth for inspection, the collector follows the procedure described in § 40.193(a).
If the collector observes materials brought to the collection site or the employee's conduct clearly indicates an attempt to adulterate, substitute, or alter the specimen, the collector must terminate the collection, note the circumstances in the Remarks section of the CCF, and report the circumstances to the DER, so that the employer can decide whether to deem the situation a refusal in accordance with § 40.191(a).
(b) If an item is present that might impede or interfere with the collection of an oral fluid specimen, the collector must request the employee remove the item.
If the employee removes any item that could impede or interfere with the collection of an oral fluid specimen, the employee has abnormally colored saliva, or the employee claims to have “dry mouth,” then the collector must give the employee water, up to 8 ounces, to rinse their mouth. The employee may drink the water. The collector must then wait 10 minutes before beginning the specimen collection.
If the employee refuses to remove the item or rinse, the collector must terminate the collection, note the circumstances in the Remarks section of the CCF, and report the information to the DER to test as described in § 40.191(a)(8) (failure to cooperate), so that the employer can decide whether to deem the situation a refusal.
(c) If there is nothing of concern in the oral cavity and no “dry mouth” condition, the collector starts a 10-minute wait period and proceeds with the steps below before beginning the specimen collection as described in § 40.73.
(d) During the 10-minute wait period:
Review with the employee the procedures required for a successful oral fluid specimen collection as stated in the manufacturer's instructions for the specimen collection device.
Complete all items under Step 1 of the CCF, and for clarification:
(i) In Step 1.D of the CCF, the collector must put a check mark for the “Specify DOT Agency” under whose authority the test will take place.
(ii) In Step 1.G of the CCF for the “Collection Site Address”, the collector must provide the address where the collection took place.
3. The collector will provide, or the employee may select, a specimen collection device that is clean, unused, and wrapped/sealed in original packaging.
(i) The collector will check the expiration date on the device or the package containing the device and show it to the employee.
(ii) The collector must not use the device after its expiration date.
(iii) The collector must open the specimen collection device in view of the employee.
4. The collector will complete Step 2 of the CCF.
(i) Check “Oral Fluid”,
(ii) For “Oral Fluid: Split Type” check “Subdivided”, and
(iii) Check “Each Device Within Expiration Date?” after ensuring the device is within its expiration date.
5. The collector will enter the Split Specimen Device Expiration Date in Step 4 of the CCF. Since the collector will use one oral fluid device that will collect a single specimen, which is then subdivided in the presence of the donor, only one entry in Step 4 is to be made for the device expiration date.
6. The collector must instruct the employee to use hand sanitizer or wash and dry his or her hands.
(e) To the greatest extent practicable, the collector must keep the employee's unwrapped collection device within view of both the collector and the employee, between the time the employee has provided a specimen and the specimen is sealed.
[88 FR 27642, May 2, 2023]