Quick Reference

Collector Cheat Sheet

Key numbers, rules, and procedures for DOT urine collections — all in one place. Bookmark this page and refer back whenever you need a quick reminder.

Critical Numbers

Numbers You Must Know

4 min Maximum time to check specimen temperature after receiving it
45 mL Minimum specimen volume required to proceed
30 mL Minimum volume poured into Bottle A (primary specimen)
90—100°F Acceptable temperature range for a valid specimen (32—38°C)
3 hrs Maximum shy-bladder period. At 3 hours you discontinue and notify the DER — the outcome is decided later (§40.193(d))
40 oz Fluid offered, distributed reasonably over up to 3 hours (§40.193(b)(1)(ii))
Test Cancellation

Fatal Flaws

The §40.199(b) fatal-flaw list, in full. Anything not on this list does not automatically cancel a test — many serious procedural errors are correctable, and §40.209 confirms that even using an unqualified collector does not by itself cancel the test.

  • There is no CCF
  • A specimen was collected but no specimen was submitted with the CCF
  • No printed collector name AND no collector signature (either one alone is a correctable flaw, not fatal)
  • Two separate collections performed using one CCF
  • Specimen ID numbers on the bottle and the CCF do not match
  • Seal broken or showing tampering, where the split specimen cannot be re-designated
  • Insufficient specimen in the primary bottle for analysis (leakage or other cause) where the specimens cannot be re-designated
  • Oral fluid: the collector used an expired device
  • Oral fluid: the expiration date was omitted from Step 4 and the lab confirmed the device was expired
Fixable Errors

Correctable Flaws

“Correctable flaw” is a term of art with a closed list at §40.203: the collector’s signature omitted from the certification; the employee’s signature omitted without a Remarks note; the certifying scientist’s signature omitted on Copy 1; and use of a non-Federal or expired CCF. Keep three buckets apart. (1) §40.203 — the closed list of correctable flaws above. (2) §40.208 — the specific non-cancelling omissions where corrective action and an MFR are mandatory. (3) §40.209 — titled “What procedural problems do not result in the cancellation of a test and do not require correction?” These you must document, but a signed correction memorandum is not required. Most items below sit in bucket 3. Record them accurately; don’t call them all “correctable flaws” and don’t treat every one as needing an MFR.

  • !
    Collector omitted printing their name on the CCF — document it; this is a §40.209 procedural problem, which that section says does not require correction. It is only fatal where the printed name AND the signature are both missing (§40.199(b)(3))
  • !
    Collector failed to note the temperature was out of range on the CCF — correctable with explanation
  • !
    Donor omitted printing their name on Step 5 of the CCF — donor can provide a written statement
  • !
    CCF Copy 5 not provided to the employee before they left — correctable with a statement explaining the omission
  • !
    Test reason not marked on the CCF — employer or DER can provide a written statement clarifying the reason for test
Problem Scenarios

Temperature Out of Range

Specimen temperature falls outside 90—100°F (32—38°C). Here's exactly what to do.

1
Note the actual temperature on the CCFCheck the "out of range" box and record the temperature reading in the remarks section.
2
Conduct a new collection under direct observationYou must immediately conduct a new collection. §40.65(b)(5) gives two routes: a new urine collection under direct observation (§40.67), or an oral fluid collection. Both specimens are then sent (§40.65(b)(6)). In practice the oral-fluid route is not yet available: DOT oral fluid testing requires two HHS-certified laboratories, and that condition has not been met, so directly observed urine is currently the operative route. §40.65(d) tells you who picks the method: follow the employer’s standing order on specimen type if there is one, and contact the DER if there is not — that decision comes before you select observed urine or oral fluid. What is not optional is acting immediately — the collector does not wait for or assess a medical explanation.
3
Send both specimens to the labThe original out-of-range specimen and the directly observed specimen are both sent. The MRO will determine how to handle the results.
4
Notify the DERReport the objective facts to the employer's Designated Employer Representative: the temperature was out of range, a second collection was conducted, and the reason for it. An out‑of‑range temperature triggers the procedure — it does not by itself establish that substitution or tampering occurred.
Do not discard the original specimen. Even if the temperature was out of range, both specimens go to the lab. That exception is specific. In the ordinary shy-bladder case you do discard the insufficient specimen (§40.193(b)(1)(i)), and at the end of the three-hour period you must discard any specimen previously provided (§40.193(b)(1)(iv)). Discarding is scenario-dependent, not never.
Problem Scenarios

Shy Bladder Procedure

Donor cannot provide a sufficient specimen (less than 45 mL). Do not cancel — follow these steps.

1
Discard the insufficient specimenPour it out in front of the donor. Do not send a specimen less than 45 mL to the lab. Exception (§40.193(b)(1)): do not discard it if the specimen was out of temperature range or showed evidence of adulteration or tampering — that specimen goes to the lab.
2
Offer up to 40 oz of waterUrge the donor to drink up to 40 oz of fluid, distributed reasonably over a period of up to three hours, or until a sufficient specimen is provided (§40.193(b)(1)(ii)). Part 40 sets no fixed serving size or interval.
3
Keep the donor in the waiting areaThe donor must remain at the collection site. They cannot leave and return. If they do leave, you discontinue, note it on the “Remarks” line and notify the DER — the employer decides whether it is a refusal (§40.193(b)(1)(iii)).
4
Allow up to 3 hours totalThe donor has up to 3 hours from the first attempt to provide a sufficient specimen. The clock starts at the first attempt.
5
If 3 hours pass without success — discontinue and notifyDocument the situation on the CCF, note the shy bladder in remarks, and notify the DER. What happens next is not the DER acting alone: under §40.193(c) the DER, after consulting with the MRO, directs the employee to obtain within five days an evaluation from a licensed physician acceptable to the MRO who has expertise in the medical issues raised by the failure to provide a specimen.
Problem Scenarios

Conduct That May Constitute a Refusal

You document the conduct and notify the DER. You do not decide. Deciding whether a refusal occurred is generally the employer’s duty and §40.355(i) bars a service agent from making it for them — but §40.355 contains express exceptions, including determinations Part 40 assigns to the MRO, and the owner-operator situation where a C/TPA may make the no-show determination. Document what you observed and report it; do not state the rule as absolute.

  • Donor fails to appear at the collection site
  • Donor leaves the site before the collection is complete
  • Donor refuses to empty pockets or remove outer garments when directed
  • Donor admits to adulterating or substituting the specimen
  • Donor behaves in a way that clearly indicates intent to tamper with the specimen
  • MRO-directed medical evaluation refused by donor
Declining to sign the CCF is NOT a refusal. §40.79(a)(1): if the donor declines to sign the Step 5 certification or to provide required information, note it on the “Remarks” line (Step 2) and complete the collection. At minimum, print the donor’s name yourself. Do not terminate the collection and do not report it as a refusal.

Watch the specimen type — the rule is the opposite on the alcohol side. Refusing to sign the certification at Step 2 of the ATF is a refusal (§40.261(a)(6), §§40.241(g), 40.251(d)). CCF = drug = not a refusal. ATF = alcohol = refusal.
Do not try to talk the donor into complying. Branch by specimen type — “possible refusal” does not mean “terminate” on the urine side.
URINE. Clear tampering conduct you observe during the collection does not end the collection: §40.63(e) requires a collection to take place immediately under direct observation, the conduct noted in Remarks, the “Observed” box checked, and the DER and collection site supervisor informed. An out-of-range temperature (§40.65(b)(5)) or a specimen showing signs of tampering (§40.65(c)(1)) likewise requires an immediate new collection, not termination. You terminate only when the employee actually refuses the required participation or the recollection — then note it, notify the DER, and let the employer decide (§40.191(a)(4), §40.65(b)(7), §40.65(c)(3)).
ORAL FLUID. The rule is different: under §40.72(a)(3), where materials brought to the site or the employee’s conduct clearly indicate an attempt to adulterate, substitute or alter, the collector must terminate the collection, note the circumstances in Remarks and report to the DER, so the employer can decide whether it is a refusal.
In every case the determination itself is the employer’s — you document and report, you do not decide. Do not attempt to persuade or argue with the donor. Your job is to document accurately — not to negotiate, and not to make the refusal determination.