[Federal Register Volume 82, Number 13 (Monday, January 23, 2017)]
[Notices]
[Pages 7920-7970]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-00979]



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Vol. 82

Monday,

No. 13

January 23, 2017

Part II





Department of Health and Human Services





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Substance Abuse and Mental Health Services Administration





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Mandatory Guidelines for Federal Workplace Drug Testing Programs; 
Notice

  Federal Register / Vol. 82 , No. 13 / Monday, January 23, 2017 / 
Notices  

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Mandatory Guidelines for Federal Workplace Drug Testing Programs

AGENCY: Substance Abuse and Mental Health Services Administration 
(SAMHSA), HHS.

ACTION: Revised Mandatory Guidelines by the Secretary of Health and 
Human Services.

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SUMMARY: The Department of Health and Human Services (``HHS'' or 
``Department'') has revised the Mandatory Guidelines for Federal 
Workplace Drug Testing Programs (Guidelines), 73 FR 71858 (November 25, 
2008) for urine testing.

DATES: Effective Date: October 1, 2017.

FOR FURTHER INFORMATION CONTACT: Charles LoDico, M.S., F-ABFT, Division 
of Workplace Programs, Center for Substance Abuse Prevention (CSAP), 
SAMHSA mail to: 5600 Fishers Lane, Room 16N03A, Rockville, MD 20857, 
telephone (240) 276-2600 or email at [email protected].

SUPPLEMENTARY INFORMATION: In particular, these revised Mandatory 
Guidelines for Federal Workplace Drug Testing Programs using Urine 
(UrMG) allow federal executive branch agencies to test for additional 
Schedule II drugs of the Controlled Substances Act (i.e., oxycodone, 
oxymorphone, hydrocodone and hydromorphone) in federal drug-free 
workplace programs, remove methylenedioxyethylamphetamine (MDEA) from 
the authorized drugs in Section 3.4, add methylenedioxyamphetamine 
(MDA) as an initial test analyte, raise the lower pH cutoff from 3 to 4 
for identifying specimens as adulterated, require MRO requalification 
training and re-examination at least every five years after initial MRO 
certification, and allow federal agencies to authorize collection of an 
alternate specimen (e.g., oral fluid) when a donor in their program is 
unable to provide a sufficient amount of urine specimen at the 
collection site. Many of the wording changes and reorganization of the 
UrMG were made for clarity, to use current scientific terminology or 
preferred grammar, and for consistency with the OFMG.

Background

    The Department of Health and Human Services (HHS), by the authority 
of Section 503 of Public Law 100-71, 5 U.S.C. Section 7301, and 
Executive Order No. 12564, has established the scientific and technical 
guidelines for federal workplace drug testing programs and established 
standards for certification of laboratories engaged in urine drug 
testing for federal agencies. As required, HHS originally published the 
Mandatory Guidelines for Federal Workplace Drug Testing Programs 
(Guidelines) in the Federal Register [FR] on April 11, 1988 [53 FR 
11979]. The Substance Abuse and Mental Health Services Administration 
(SAMHSA) subsequently revised the Guidelines on June 9, 1994 [59 FR 
29908], September 30, 1997 [62 FR 51118], November 13, 1998 [63 FR 
63483], April 13, 2004 [69 FR 19644], and November 25, 2008 [73 FR 
71858] with an effective date of May 1, 2010 (correct effective date 
published on December 10, 2008; [73 FR 75122]). The effective date of 
the Guidelines was further changed to October 1, 2010 on April 30, 2010 
[75 FR 22809].
    The proposed Mandatory Guidelines for Federal Workplace Drug 
Testing Programs using Urine (UrMG) published in the Federal Register 
on May 15, 2015 (80 FR 28101) include revisions to the initial and 
confirmatory drug test analytes and methods for urine testing, the 
cutoff for reporting a urine specimen as adulterated based on low pH, 
and the requalification requirements for individuals serving as Medical 
Review Officers (MROs) and, where appropriate, include references to 
the use of an alternate specimen in federal workplace drug testing 
programs. References to an alternate specimen are not applicable until 
final Guidelines are implemented for the use of the alternative 
specimen matrix. The Department published a separate Notice in the May 
15, 2015 Federal Register (80 FR 28054) proposing Mandatory Guidelines 
for Federal Workplace Drug Testing Programs using Oral Fluid (OFMG) to 
allow federal agencies to collect and test oral fluid specimens in 
their workplace drug testing programs. There was a 60-day public 
comment period for both Federal Register Notices, during which 125 
commenters submitted comments on the proposed changes to the 
Guidelines. These commenters were comprised of individuals, 
organizations, and private sector companies. The comments are available 
for public view at http://www.regulations.gov/. All comments were 
reviewed and taken into consideration in the preparation of the revised 
Guidelines. The issues and concerns raised in the public comments for 
the UrMG are set out below. Similar comments are considered together in 
the discussion.

Summary of Public Comments and HHS's Response

    The following comments were directed to the information and 
questions in the preamble.

Costs and Benefits

    The Department requested comments on costs and benefits. One 
commenter disagreed that the cost increase for laboratories to add 
analytes to regulated testing will be minimal, stating that significant 
costs would be incurred for information technology (IT) development, as 
well as incremental costs for additional immunoassays (if required); 
for additional calibrators, controls, and internal standards; and for 
increased confirmatory testing costs (including data review and result 
certification) based on an expected increased positivity rate for 
opioids. One commenter disagreed with the Department's estimated 3% 
cost increase for Medical Review Officers (MROs) and estimated that the 
increase will be 10%. The commenters did not provide any substantive 
evidence or data to support these comments. The Department recognizes 
that there will be start-up costs to laboratories to implement testing 
for the additional analytes for regulated specimens including 
administrative costs, and agrees that the estimated increased costs for 
some MROs may exceed the 3% estimate. The Department's cost analysis 
was based on information provided by multiple HHS-certified 
laboratories and MROs, as well as the estimated number of additional 
positives resulting from the inclusion of the new opioid analytes. 
Costs are expected to vary among individual laboratories and MROs, 
depending on their processes and testing populations. Additional 
information on the estimated costs associated with these Guidelines is 
included under Regulatory Impact and Notices below.

Proposed New Analytes: Oxycodone, Oxymorphone, Hydrocodone, and 
Hydromorphone

    Seven commenters specifically agreed with the addition of these 
drugs to the Guidelines. Two commenters expressed concerns over the 
added drugs, indicating that individuals who follow their physician's 
treatment plan of taking legally prescribed medication would produce 
positive tests, leading to greater reliance on MROs to determine 
whether tests are truly positive (as a result of illegal use) or are 
positive due to prescribed usage of the drugs, and a greater number of 
workers will be subject to scrutiny and their medical

[[Page 7921]]

records examined at length. One of the commenters maintained that such 
testing would exceed the legal mandate under Executive Order No. 12564 
and the promulgation of scientific Guidelines by HHS pursuant to it. 
The Guidelines include requirements to protect individuals' privacy 
while maintaining public safety, including procedures for MRO review to 
verify legitimate drug use and maintain the confidentiality of donor 
drug testing records. The Department provides additional guidance in 
the Medical Review Officer Manual for Federal Workplace Drug Testing 
Programs. The inclusion of these additional drugs in the Guidelines is 
within the scope of the Department's regulatory authority to test for 
illegal drug use under Section 503(a)(1)(A)(ii)(II) of Public Law 100-
71 and Executive Order No. 12564.

New Analytes--Cutoff Concentrations

    Eight commenters addressed the proposed cutoffs for the added 
drugs: Three commenters agreed with the proposed cutoffs; four 
disagreed with the cutoffs for one or more of the added drugs. Of 
these, three commenters stated that the cutoffs are too low: Two of 
these commenters believe that these cutoffs will unnecessarily identify 
workers using prescription drugs and one commenter noted that these 
cutoffs will affect accurate quantitation in routine specimens. The 
Department recognizes that the added analytes will result in an 
increased number of positive opioid results requiring MRO review, and 
has incorporated requirements for MRO requalification and retraining at 
least every five years. Additional guidance and information on the 
added drugs will be provided in the Medical Review Officer Guidance 
Manual for Federal Workplace Drug Testing Programs. The Department 
disagrees that the cutoffs will affect accurate quantitation in routine 
specimens. Information from HHS-certified laboratories indicates that 
testing at these cutoffs can be accomplished with current 
instrumentation. However, the Department has raised the confirmatory 
test cutoffs for oxycodone and oxymorphone from 50 ng/mL to 100 ng/mL. 
These higher cutoffs are supported by a single dose study which showed 
similar detection rates for oxycodone and oxymorphone using either a 50 
ng/mL or 100 ng/mL cutoff.\1\ Use of the 100 ng/mL confirmatory test 
cutoffs is expected to be less analytically challenging for 
laboratories.
    One commenter suggested changing the oxycodone and oxymorphone 
initial test cutoff to 300 ng/mL and changing the hydrocodone and 
hydromorphone initial test cutoff to 100 ng/mL, to equate the detection 
times for these drugs. One commenter requested that the Department 
provide the justification and data used to determine the cutoff levels 
for the added opioids. The Department raised the oxycodone and 
oxymorphone confirmatory test cutoffs to 100 ng/mL as described above. 
The Department has evaluated the comments and has concluded that no 
further change is needed. The selection of cutoff concentration is not 
based solely on the factor of detection times and must take into 
consideration a variety of factors, both pharmacological and chemical. 
Drug potency, disposition in urine, impact and prevalence must be 
considered. For example, oxycodone is approximately twice as potent as 
hydrocodone and may be prescribed in lower doses, thus a cutoff lower 
than that for hydrocodone is warranted. Therefore, in selecting the 
cutoffs, the Department considered the detection times of equipotent 
doses as well as dispositional patterns of each drug in urine. Data on 
the disposition of hydrocodone and oxycodone in urine following 
administration of a single dose can be found in two recently published 
scientific articles.1 2

Medical Review Officer (MRO) Requalification--Continuing Education 
Units (CEUs)

    The Department requested comments on requiring MRO requalification 
continuing education units (CEUs) and on the optimum number of credits 
and the appropriate CEU accreditation bodies should CEUs be required as 
part of MRO requalification. Three commenters agreed with requiring MRO 
recertification, but disagreed with the addition of CEU requirements to 
the Guidelines. Two commenters disagreed with specifying the number of 
CEUs required. Two commenters indicated that certification entities 
already enforce training requirements and recommended that acceptance 
of CEUs be handled by MRO certification boards, not the Department. Two 
commenters recommended a requirement of annual CEUs: One suggested 16 
CEUs and the other recommended three CEUs. One commenter recommended 12 
CEUs prior to initial certification, eight CEUs every five years, and 
also recommended two CEUs related to the new requirements/topics within 
two years of implementation of the revised Guidelines. The Department 
has evaluated the comments and has concluded that requirements for 
continuing education units will remain with the MRO certification 
entities and will not be included in the Guidelines. The Department has 
removed references to MRO training entities in Sections 13.2 and 13.3, 
because training documentation is maintained by MRO certification 
entities. The Department agrees with the comment that MROs should 
receive training on revisions to the Guidelines, and has added item 
Section 13.3(b) to require such training prior to the effective date of 
revised Guidelines.

Discussion of Sections

    The Department has not included a discussion in the preamble of any 
sections for which public comments were not submitted or where minor 
typographical or grammatical changes were made.

Subpart A--Applicability

1.5 What do the terms used in these Guidelines mean?
    One commenter disagreed with the definition for ``dilute specimen'' 
because it does not include numerical values for creatinine and 
specific gravity. The Department has concluded that no change is 
needed; the analytical (numerical) criteria for a dilute specimen are 
provided in Section 3.8.
    One commenter requested that ``external service provider'' be 
defined, because this is a new term included in the proposed 
Guidelines. The Department agrees and has added the definition.
    The Department has added the definition for ``gender identity'' to 
Section 1.5. This term is now used in Guidelines sections addressing 
observed and monitored collections as described in this preamble under 
Sections 4.4, 8.1, 8.10, and 8.12. Gender identity means an 
individual's internal sense of being male or female, which may be 
different from an individual's sex assigned at birth.
    Two commenters disagreed with the proposed definition for ``invalid 
result'' which indicated that an invalid result was reported only when 
an HHS-certified laboratory could not complete testing or obtain a 
valid drug test result. The Department agrees with the commenters and 
has reinstituted the definition from the Guidelines effective October 
1, 2010 (73 FR 71858).
    To address comments described in this preamble under Section 13.1, 
the Department deleted the definition for ``non-medical use of a 
drug.''
    Two commenters found the definition of ``specimen'' confusing, 
because the term ``sample'' used in the definition was also defined as 
a representative portion of a donor's specimen. The

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Department agrees, and has reinstituted some wording for the definition 
of ``specimen'' from the Guidelines effective October 1, 2010 (73 FR 
71858) for clarity.
1.6 What is an agency required to do to protect employee records?
    One commenter suggested that the non-applicability of the Health 
Insurance Portability and Accountability Act (HIPAA) and the Health 
Information Technology for Economic and Clinical Health Act (HITECH) 
should be clearly stated in the Guidelines. The Department has 
evaluated the comment and has concluded that the applicability of HIPAA 
and other relevant privacy laws is clearly stated in Section 1.6. 
Accordingly, except for minor rewording for clarity, no further 
revisions are necessary.
1.7 What is a refusal to take a federally regulated drug test?
    One commenter noted that, per Sections 8.4(c) and 8.9(b), when a 
collector finds an adulterant or substitution product or observes an 
attempt to substitute a urine specimen, this prompts a direct observed 
collection, not a refusal to test. The commenter suggested bringing an 
adulterant or a substitution product to the collection should be a 
refusal to test. The Department has evaluated the comment, and agrees 
that the collector must report a refusal to test when a donor brings 
materials for adulterating, substituting, or diluting the specimen to 
the collection site, or when the collector observes a donor's clear 
attempt to tamper with a specimen. The Department has revised Sections 
1.7, 8.3(h), 8.4(c), and 8.9(b) accordingly.
    One commenter noted that the collector does not report a refusal to 
test when a donor leaves the collection site before the collection 
process begins for a pre-employment test. The commenter recommended 
defining the beginning of the pre-employment test collection process as 
the point at which the donor is asked to present photo identification. 
The Department agrees with the suggestion to define the beginning of 
the collection process specifically for this situation. However, the 
Department has designated the beginning as the step described in 
Section 8.4(a), when the collector provides or the donor selects a 
specimen collection container. The Department has revised Sections 
1.7(a)(2) and (3) to include a reference to this section. All 
subsequent items in Section 1.7(a) (i.e., items 4-13) apply once the 
donor has arrived for the pre-employment test collection.
1.8 What are the potential consequences for refusing to take a 
federally regulated drug test?
    The Department reworded Section 1.8(b) to clarify that the 
requirements in this section apply to donors who fail to appear at the 
collection site in a reasonable time for any test (except a pre-
employment test), as described in Section 1.7(a)(1).

Subpart B--Urine Specimens

2.1 What type of specimen may be collected?
    Two commenters requested clarification on the collection/testing 
scenario where the federal agency authorizes collection of an oral 
fluid specimen, but the contracted laboratory does not perform oral 
fluid testing. The Department has evaluated the comments and has 
concluded that no change is needed. This will be addressed in the 
federal agency plan.
2.2 Under what circumstances may a urine specimen be collected?
    One commenter suggested that the cost of mandatory random drug and 
alcohol testing among airline pilots outweighs the benefit. The 
Department has evaluated the comment and has concluded that no change 
is needed. Airline pilots are subject to drug and alcohol testing under 
DOT regulations. Therefore, this public comment is not relevant to the 
Guidelines. In regard to drug testing of federal agency employees and 
applicants, each federal agency establishes its agency plan based on 
its mission, its employees' duties, and the potential consequences to 
the public health and safety or national security that could result 
from the failure of an employee to adequately perform their duties and 
responsibilities.

Subpart C--Urine Specimen Tests

3.1 Which tests are conducted on a urine specimen?
    One commenter suggested changing the term ``opiates'' to 
``opioids'' in the Guidelines. The Department agrees with the commenter 
and has changed the term ``opiates'' to ``opioids'' where appropriate 
to refer to oxycodone, oxymorphone, hydrocodone, and hydromorphone in 
addition to codeine, morphine, and 6-acetylmorphine (6-AM).
3.2 May a specimen be tested for additional drugs?
    The Department reworded Section 3.2(a) to clarify the additional 
drug tests that may be performed on federal employee specimens.
3.3 May any of the specimens be used for other purposes?
    Section 3.3 states that specimens collected pursuant to Executive 
Order 12564, Public Law 100-71, and these Guidelines may not be used 
for purposes other than drug and validity testing in accordance with 
Subpart C of the Guidelines. One commenter disagreed with prohibiting 
employees from using their drug test specimens for other purposes 
(e.g., deoxyribonucleic acid, DNA, testing). The Department has 
evaluated this comment and has concluded that no change is needed. 
While the Guidelines do not authorize the release of urine specimens, 
or portions thereof, to federal employees, the Guidelines afford 
employees a variety of protections that ensure the identity, security 
and integrity of their specimens. For example, see Sections 8.5(b), 
8.8, and 15.1(a).
    In addition, under Public Law 100-71, Section 503(a)(1)(A)(ii)(I), 
HHS is mandated to establish ``strict procedures governing the chain of 
custody of specimens collected for drug testing . . . .'' Sections 
11.7(a) and 11.20(a) also provide that an ``HHS-certified laboratory 
must control access to the drug testing facility, specimens, aliquots, 
and records,'' and must retain specimens that, among other things, have 
been reported ``drug positive'' for a minimum of one year. Therefore, 
the release of specimens to employees, or to an employee's designee, is 
inconsistent with the mandates of the federal drug testing process, and 
could significantly compromise a specimen's integrity, security, and an 
HHS-certified laboratory's ability to fulfill its regulatory duties 
under the Guidelines.
    One commenter requested further clarification of the phrase 
``unless authorized in accordance with [applicable] federal law'' in 
Section 3.3. The phrase ``unless otherwise authorized in accordance 
with applicable law in Section 3.3(a) does not represent a significant 
change from the intent of the prior Guidelines language. Section 3.3, 
among others, is intended to prohibit the use of specimens for purposes 
other than those specifically authorized by the Guidelines. However, 
there may be circumstances in which federal law authorizes an HHS-
certified laboratory to handle a specimen in a manner that differs from 
the Guidelines. Therefore, the phrase ``unless authorized in accordance 
with applicable federal law'' in Section 3.3 of the Guidelines is 
intended to avoid conflict with other applicable federal law.

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    It should be noted that Section 3.3 specifically prohibits 
conducting deoxyribonucleic acid (DNA) testing on urine specimens, 
unless authorized in accordance with applicable federal law.
3.4 What are the drug test cutoff concentrations for urine?
    The Department proposed methylenedioxyamphetamine (MDA) and 
methylenedioxyethylamphetamine (MDEA) as initial test analytes. Three 
commenters disagreed with the addition of MDA and MDEA as target 
analytes, stating this change would require modification of current 
immunoassay reagents, laboratory processes, or both. The commenters 
noted that this imposes an unnecessary burden for compounds with such 
low incidence in workplace testing. The Department has evaluated the 
comments and has removed MDEA from the Guidelines (i.e., MDEA is no 
longer included as an authorized drug in Section 3.4). The number of 
positive MDEA specimens reported by HHS-certified laboratories (i.e., 
information provided to the Department through the NLCP) does not 
support testing all specimens for MDEA in federal workplace drug 
testing programs. Because MDEA is a Schedule I drug, a federal agency 
may test specimens for MDEA in accordance with Section 3.2 (i.e., on a 
case-by-case basis for reasonable suspicion or post accident testing, 
routinely with a waiver from the Secretary). The Department understands 
that MDA and some other analytes also have a low incidence, but 
believes that continued testing for these analytes is warranted in a 
deterrent program. In particular, inclusion of MDA as an initial and 
confirmatory test analyte is warranted because, in addition to being a 
drug of abuse, it is a metabolite of MDEA and MDMA.
    An HHS-certified laboratory or Instrumented Initial Test Facility 
(IITF) may group analytes for initial testing. For clarity, the 
Department has defined the term ``grouped analytes'' where used in 
footnote 1 of the table in Section 3.4: ``(i.e., two or more analytes 
that are in the same drug class and have the same initial test 
cutoff).''
    The Department proposed criteria for immunoassays for grouped 
analytes such as opioids and amphetamines, specifying the minimum 
cross-reactivity to the other analyte(s) within the group. Two 
commenters disagreed with the added cross-reactivity requirements, 
noting this section should not attempt to provide equivalence between 
immunoassay and other initial testing technologies. One of these 
commenters suggested the Department develop separate requirements for 
initial test methods using an alternate technology or, alternatively, 
require the combined cross-reactivity of low-reacting compounds (e.g., 
hydrocodone and hydromorphone for an opiate assay; MDA and MDEA for an 
amphetamines assay) to be equal to or greater than the cutoff. The 
other commenter recommended not allowing methods other than immunoassay 
for urine initial testing. One commenter stated that cross-reactivity 
specifications for hydromorphone are not necessary, based on their non-
regulated testing results (i.e., confirmatory test concentrations 
detected after using an immunoassay with 60% cross-reactivity for 
hydromorphone). The Department has evaluated the comments and has 
concluded that no change is needed for immunoassay cross-reactivity 
requirements. The requirements in Section 3.4 are necessary to ensure 
consistency in testing among laboratories using different immunoassay 
kits, as well as those using different test methods for initial drug 
testing. Cross-reactivity must be demonstrated and documented by the 
manufacturer (e.g., package insert) and by the HHS-certified laboratory 
or IITF (i.e., assay validation studies, reagent lot verification, and 
batch quality control for any analyte that exhibits less than 100% 
cross-reactivity). The Department will continue to allow the use of 
methods other than immunoassay for initial testing.
    However, the Department has revised Section 3.4 regarding the use 
of alternate technology initial tests for THCA and benzoylecgonine. 
Depending on the technology, the confirmatory test cutoff (i.e., 15 ng/
mL for THCA, 100 ng/mL for benzoylecgonine) must be used as the cutoff 
for an initial test using an alternate technology to ensure consistent 
treatment of specimens. For these analytes, the immunoassay test is not 
specific for the target analyte for the confirmatory test. For example, 
immunoassays for cannabinoids react with multiple compounds that are 
excreted as a result of marijuana use. Therefore, it is necessary to 
use an immunoassay cutoff higher than that of the confirmatory test in 
order to detect the target analyte (THCA) at or above the confirmatory 
test cutoff. An initial test using an alternate technology with 
specificity comparable to the confirmatory test requires use of the 
confirmatory test cutoff.
    Also in Section 3.4, the Department did not specify the target 
analyte to be used to calibrate an initial test for grouped analytes 
such as amphetamines or opioids. Three commenters noted that when an 
immunoassay is calibrated with a low-reacting drug, other analytes may 
exhibit high cross-reactivity, leading to false initial test positives. 
Two of these commenters also noted that this may result in possibly 
different cross-reactivity profiles for some structurally unrelated and 
concomitantly used prescription and/or over the counter drugs. One 
commenter noted that the option to ``include a control containing the 
lowest reacting analyte at its cutoff concentration in each batch'' was 
described in the preamble to the proposed Guidelines, but was not 
specified in Section 3.4 of the Guidelines. It was not the Department's 
intent for the laboratory or IITF to calibrate an immunoassay test 
using an analyte other than that specified by the manufacturer. In the 
preamble to the proposed UrMG, the Department described using a control 
containing the lowest reacting analyte at its cutoff concentration to 
establish the decision point (i.e., when an immunoassay for grouped 
analytes did not demonstrate at least 80% cross-reactivity to each 
analyte). The Department has determined that this approach is not 
necessary, and will not be permitted. There are current immunoassays 
that meet the requirements of this section for two or more analytes in 
a group (i.e., analytes in the same drug class that have the same 
initial test cutoff). As indicated in Section 3.4, the laboratory or 
IITF may use multiple test kits or a single kit to meet the 
requirements.
3.5 May an HHS-certified laboratory perform additional drug and/or 
specimen validity tests on a specimen at the request of the Medical 
Review Officer (MRO)?
    One commenter recommended that HHS maintain a list of allowable 
additional tests and reporting criteria (e.g., threshold for reporting 
as positive, adulterated, substituted, and/or invalid, and a limit of 
detection as appropriate), to ensure consistency among laboratories and 
within the testing program. The Department has evaluated the comment 
and has concluded that no change is needed. The Department does not 
want to limit the analytes that may be tested, and will provide 
guidance to laboratories as needed. It is also noted that the section 
requires all tests to meet appropriate validation and quality control 
requirements. The procedures and specimen records for such tests will 
be reviewed at NLCP inspections. The Department will continue to 
maintain a list of HHS-certified laboratories that choose to perform 
additional tests for regulated specimens.

[[Page 7924]]

    One commenter asked whether an MRO could submit a blanket request 
to perform additional testing (e.g., additional opioid metabolites) for 
all confirmatory specimens (i.e., would laboratories be permitted to 
monitor the additional compounds in all confirmatory test assays?). The 
Department believes that testing all specimens for additional analytes 
may not be appropriate for some tests, especially hydrocodone, 
hydromorphone, oxycodone and oxymorphone. Recent studies show that 
testing for norhydrocodone and or noroxycodone is not necessary for the 
interpretation of all results.1 2 Norhydrocodone and 
noroxycodone metabolites may be helpful for the MRO to interpret test 
results only when a donor's prescription does not support the test 
results. For example, a hydrocodone dose may result in urine 
concentrations of only hydromorphone metabolite above the cutoff. The 
presence of norhydrocodone metabolite would support the use of 
hydrocodone and validate the donor's prescription. The same could be 
said for interpreting test results following an oxycodone dose. The 
presence of noroxycodone metabolite would support the use of oxycodone 
when only oxymorphone was reported as positive. The Department will 
provide guidance on these and other additional tests that may provide 
useful information for the MRO in the Medical Review Officer Guidance 
Manual for Federal Workplace Drug Testing Programs. The Department has 
revised Section 3.5 to clarify that HHS-certified laboratories are 
authorized to perform additional tests upon MRO request on a case-by-
case basis, but are not authorized to routinely perform such tests 
without prior authorization from the Secretary or designated HHS 
representative, with the exception of the determination of D,L 
stereoisomers of amphetamine and methamphetamine. The Department will 
continue to allow HHS-certified laboratories to test for D,L 
amphetamine and methamphetamine routinely or upon MRO request. The 
Department will provide guidance on these and other additional tests 
that may provide useful information for the MRO (e.g., 
tetrahydrocannabivarin) in the Medical Review Officer Guidance Manual 
for Federal Workplace Drug Testing Programs.
    Additional drug and specimen validity testing under Section 3.5 
does not include DNA testing.
3.6 What criteria are used to report a urine specimen as adulterated?
    Two commenters agreed and one disagreed with raising the lower pH 
cutoff from 3.0 to 4.0 for identifying specimens as adulterated. One 
commenter advised caution in changing specimen validity test cutoffs, 
and indicated that the proposed change will require updates to computer 
systems for reporting, calibrators, and controls. One commenter 
indicated that previous review of data (more than 10 years ago) 
indicated this change would have more than doubled the number of low 
pH/adulterated results reported. The commenter that disagreed with 
changing the pH cutoff believes HHS does not have enough scientific 
evidence supporting the change. The Department has evaluated the 
comments and has concluded that no change is needed to the proposed 
cutoff (i.e., 4.0). As stated in the preamble to the proposed 
Guidelines (80 FR 28101), this decision is based on the fact that the 
physiologically minimum achievable urine pH that can be produced by the 
kidneys is about pH 4.5. Furthermore, the Department is not aware of 
any medical conditions or medications that would cause urine pH to be 
less than 4.5.
3.8 What criteria are used to report a urine specimen as dilute?
    One commenter suggested removing the three-decimal place criteria 
for reporting a specimen as dilute. One commenter indicated that the 
criteria for reporting a specimen as dilute in Section 3.8 and 11.19(f) 
were not consistent, and that Section 3.8 does not address the 
situation when creatinine is between 5 and 20 mg/dL and the specific 
gravity is less than 1.0020. This section was intended to clarify that 
only HHS-certified laboratories (and not HHS-certified IITFs) may 
report a specimen as dilute when the creatinine concentration is 
greater than or equal to 2.0 mg/dL and less than or equal to 5 mg/dL, 
and the laboratory must use a four-decimal place refractometer for the 
specific gravity test. The Department will retain the three-decimal 
place criteria in Section 3.8(a) because both HHS-certified IITFs and 
laboratories may use a three-decimal place refractometer for a specific 
gravity screening test when the creatinine concentration is greater 
than 5 mg/dL and less than 20 mg/dL. However, the Department agrees 
that this section did not address all situations, so has revised the 
wording in Section 3.8(b) to be consistent with the wording in 
11.19(f).
3.9 What criteria are used to report an invalid result for a urine 
specimen?
    One commenter suggested increasing the acceptable pH range upper 
end from 9.0 to 9.5 due to heat during summer months. One commenter 
recommended that the Department define requirements to be met before a 
new validity marker is implemented. One commenter suggested that 
additional biomarkers used to support a result of invalid should be 
standardized across all HHS-certified laboratories and one solution to 
donor subversion might be random assignment of collection of 
alternative specimens. The Department has evaluated the comments and 
has concluded that no change is needed. A 2006 study on the stability 
of regulated drug analytes in urine slightly below and within the high 
pH invalid range supports the pH 9.0 decision point due to the loss of 
drug analytes at a pH between 9.0 and 9.5.\3\

Subpart D--Collectors

4.4 What are the requirements to be an observer for a direct observed 
collection?
    One commenter disagreed with the requirement for an observer to be 
the same gender as the donor, and suggested that a physician or health 
care professional (regardless of gender) should be allowed to function 
as an observer. The commenter indicated that gender determination can 
be challenging (i.e., transgender employees). The Department has 
evaluated these comments and agrees that all observed collections must 
be conducted in a professional manner that minimizes discomfort to the 
donor. The Department has revised Sections 4.4(b), 8.1(b), and 8.10 to 
allow the donor to be observed by a person whose gender matches the 
donor's gender, which is determined by the donor's gender identity 
(defined in Section 1.5). The donor's gender identity may be the same 
as or different from the donor's sex assigned at birth. The Department 
also revised Sections 8.1(b) and 8.12 for monitored collections, to 
allow the donor to be monitored by a person whose gender matches the 
donor's gender, unless the monitor is a medical professional (as 
described in Section 8.12).
    The Department disagrees with the commenter's suggestion to allow 
an individual to serve as an observer based solely on their credentials 
as a physician or health care professional. Such credentials alone 
would not guarantee that these individuals could appropriately perform 
the functions of an observer (i.e., as specified in Section 4.4).
    The same commenter expressed concerns over the requirement for an 
observer to have received training, indicating that this would require

[[Page 7925]]

documentation and may make finding short notice observers more 
difficult. The Department disagrees with this comment. These are the 
same requirements as in the Guidelines effective October 1, 2010 (73 FR 
71858). As stated in the preamble to those Guidelines, the training 
elements are included to ensure that the observer interacts with the 
donor in a professional manner, respecting the donor's modesty and 
privacy, and that the collector maintains the confidentiality and 
integrity of collection information.

Subpart F--Federal Drug Testing Custody and Control Form (CCF)

6.1 What federal form is used to document custody and control?
    Two commenters recommended that the Department provide instructions 
on recording results for the added drugs on the CCF until the Federal 
CCF is revised. Three commenters recommended that the CCF be revised to 
address the addition of the oral fluid specimen matrix. One commenter 
encouraged SAMHSA to modify the CCF to account for collections where 
multiple specimens are collected during a single collection event. The 
Department will publish a Federal Register Notice with the revised 
Federal CCF, including changes for the added analytes, with the same 
effective date as these Guidelines. Guidance on the use of the revised 
Federal CCF will be posted on the SAMHSA Web site http://www.samhsa.gov/workplace. In regard to when the collector submits 
multiple urine specimens (i.e., different voids) collected during the 
same testing event, the Department has concluded that no change is 
needed; the collector must use a separate Federal CCF for each 
specimen.
6.2 What happens if the correct OMB approved Federal CCF is not 
available or is not used?
    One commenter questioned the purpose of a Memorandum for the Record 
(MFR) obtained from the collector when an incorrect CCF was used for 
the collection. The commenter suggested that if certain information is 
required to be in the MFR, these requirements should be specified in 
the Guidelines. The commenter suggested that if the purpose of the MFR 
is to correct the collector's behavior (i.e., using an incorrect form), 
then it would be more effective to reject the specimen upon receipt and 
indicate that it was rejected due to the use of an incorrect form. The 
Department has evaluated the comments and has concluded that no change 
is needed. Section 6.2 describes the information required in the MFR 
from the collector. However, the Department reworded items 6.2(b) and 
(c) for clarity.

Subpart H--Urine Specimen Collection Procedure

8.1 What privacy must the donor be given when providing a urine 
specimen?
    As described in this preamble under Section 4.4, the Department has 
revised Section 8.1(b) to require that the gender of the observer 
matches the donor's gender, and that the gender of the monitor matches 
the donor's gender unless the monitor is a medical professional as 
described in Section 8.12.
8.3 What are the preliminary steps in the urine specimen collection 
procedure?
    One commenter was concerned that the Guidelines do not mention 
alcohol testing, which was added to the Department of Transportation 
(DOT) program in 1991. Alcohol testing is outside of the scope of the 
Department's regulatory authority granted by Executive Order 12564 and 
Public Law 100-71.
    In response to comments described under Sections 1.7 and 8.4 in 
this preamble, the Department revised Section 8.3(h) to require the 
collector to report a refusal to test when a donor brings materials for 
adulterating, substituting, or diluting a specimen to the collection 
site.
8.4 What steps does the collector take in the collection procedure 
before the donor provides a urine specimen?
    The proposed section included the same requirement as the 
Guidelines effective October 1, 2010 (73 FR 71858) for the collector to 
perform an observed collection when the donor exhibits conduct that 
clearly indicates an attempt to tamper with a specimen (e.g., 
substitute urine in plain view or an attempt to bring into the 
collection site an adulterant or urine substitute). One commenter 
stated that if the collector finds an adulterant or substitution 
product or observes the donor attempt to substitute a urine specimen, 
this should be a refusal to test. As noted under Section 1.7 in this 
preamble, the Department agrees that the collector must report a 
refusal to test when a donor brings materials for adulterating, 
substituting, or diluting a specimen to the collection site, or when 
the collector observes a donor's clear attempt to tamper with a 
specimen. The Department has revised Section 8.4 accordingly.
8.5 What steps does the collector take during and after the urine 
specimen collection procedure?
8.6 What procedure is used when the donor states that they are unable 
to provide a urine specimen?
    Comments on these two sections are addressed here. Numerous 
commenters expressed concern with the Department's urine collection 
policy, stating that 7 to 10% of Americans have a condition 
(``paruresis''), described as a social anxiety disorder which prevents 
a person from producing urine on demand or in the presence of other 
people. These commenters stated that if the government wants to seek 
the largest group of qualified applicants, the Guidelines should 
specify that a diagnosis of paruresis means non-urine (i.e., oral 
fluid) testing will automatically be provided, and that donors should 
not have to attempt to provide a urine specimen first. The Department 
has evaluated the comments and has concluded that no change is needed. 
The Guidelines will allow a federal agency to use any authorized 
specimen types (e.g., urine, oral fluid, or both) in their drug testing 
programs. The Guidelines will continue to require that the donor be 
allowed reasonable attempts to provide a urine specimen as described in 
Sections 8.5 and 8.6, and allow collection of an authorized alternate 
specimen (i.e., oral fluid).
    Three commenters disagreed with the requirement for the collector 
to contact the agency representative for authorization to collect an 
alternate specimen each time a donor is unable to provide a sufficient 
volume. These commenters suggested that the Guidelines allow this to be 
addressed in established standard protocols for the agency. The 
Department agrees with the commenters. Each federal agency may decide 
whether to require notification in each case or whether to provide a 
standard protocol for collectors to follow. Sections 8.5 and 8.6 have 
been revised accordingly.
    Also in regard to Section 8.6, one commenter indicated that some 
employers may wish to retain urine testing as the primary test due to a 
longer detection window. This commenter raised concern that some donors 
may claim they are unable to provide a urine specimen so that an 
alternative specimen (i.e., OF) with a shorter detection window will be 
collected. The commenter suggested that the Guidelines be changed to 
indicate that an alternative specimen

[[Page 7926]]

may be collected when a donor is physiologically unable to provide a 
urine specimen, and not just when the donor states that they are unable 
to provide a urine specimen. The Department disagrees; collectors are 
not qualified to conduct a medical evaluation to verify or refute the 
donor's claim. It will be the agency's decision to collect urine or an 
authorized alternate specimen, and Sections 13.6 and 13.7 include 
procedures for medical evaluation as needed during the MRO review 
process.
    The Department reworded Section 8.5(d) to clarify that the 
collector must record comments on both CCFs when two specimens from the 
same collection event are forwarded to a laboratory.
8.7 If the donor is unable to provide a urine specimen, may another 
specimen type be collected for testing?
    The Department proposed within Section 8.7 that when the donor is 
unable to provide a urine specimen, another specimen type may be 
collected only if specifically authorized by the agency. One commenter 
disagreed with the Guidelines as written and suggested that when a 
donor cannot provide the primary specimen type, an alternate specimen 
should be collected immediately. The commenter cited the additional 
time and cost (evaluation of donor for ``shy bladder'') as well as the 
fact that the collector may not know the agency's policy on alternate 
specimen types. The Department has concluded that no change is needed 
for Section 8.7 in response to this comment. The Guidelines will 
continue to require that the donor be allowed reasonable attempts to 
provide a urine specimen as described in Sections 8.5 and 8.6. The 
Department has revised those sections to allow a federal agency to 
either require notification in each case or provide a standard protocol 
for collectors to follow when the donor is unable to provide a urine 
specimen. The Department has reworded this section to state ``Yes, if . 
. .'' rather than ``No, unless . . . .'' in response to a federal 
agency's comment and to enhance clarity. The meaning of this section 
remains the same.
8.8 How does the collector prepare the urine specimens?
    In response to a federal agency comment, the Department deleted a 
sentence in item 8.8(h) that required the collector to send a copy of 
the Federal CCF to the HHS-certified laboratory or IITF. The Department 
agreed with the federal agency that this instruction is redundant 
because item 8.8(g) instructs the collector to distribute copies of the 
Federal CCF as required.
8.9 When is a direct observed collection conducted?
    The proposed section included requirements for the collector to 
perform an observed collection when the donor exhibits conduct that 
clearly indicates an attempt to tamper with a specimen or the collector 
observed materials brought by the donor to the collection site for the 
purpose of adulterating, substituting, or diluting the specimen. One 
commenter stated that if the collector finds an adulterant or 
substitution product or observes the donor attempt to substitute a 
urine specimen, this should be a refusal to test. As noted in this 
preamble under Sections 1.7 and 8.4, the Department agrees that the 
collector must report a refusal to test when a donor brings materials 
for adulterating, substituting, or diluting the specimen to the 
collection site, or when the collector observes a donor's clear attempt 
to tamper with a specimen. The Department has revised Section 8.9 
accordingly.
8.10 How is a direct observed collection conducted?
    To address a comment described in this preamble under Section 4.4, 
the Department has revised Section 8.10 to allow the donor to be 
observed by an observer whose gender matches the donor's gender. At the 
beginning of the observed collection, the collector requests that the 
donor document the donor's gender on the Federal CCF and initial the 
annotation. An observer of the same gender is provided, and the 
collector records the name and gender of the observer on the Federal 
CCF.
8.12 How is a monitored collection conducted?
    To address a comment described in this preamble under Section 4.4, 
the Department has revised Section 8.12 to allow the donor to be 
monitored by a monitor whose gender matches the donor's gender, unless 
the monitor is a medical professional (e.g., nurse, doctor, physician's 
assistant, technologist, or technician licensed or certified to 
practice in the jurisdiction in which the collection takes place). As 
described in Section 8.10, at the beginning of the monitored 
collection, the collector follows the same procedure as for observer 
selection in Section 8.10(b). That is, the collector requests that the 
donor document the donor's gender on the Federal CCF and initial the 
annotation. A monitor of the same gender is provided, and the collector 
records the name and gender of the monitor on the Federal CCF. A 
medical professional may serve as the monitor, regardless of gender.

Subpart I--HHS Certification of Laboratories and IITFs

9.5 What are the qualitative and quantitative specifications of 
performance testing (PT) samples?
    One commenter noted that, because proposed initial test 
requirements allow calibration with a low-reacting analyte, PT schemes 
would likely need to be designed based on the specific implementation 
at each laboratory. The commenter provided an example: When an 
immunoassay is calibrated with a drug/metabolite that exhibits 50% 
cross-reactivity, the intended target analyte (``calibrant'') at the 
cutoff concentration would elicit a response well in excess of the 
cutoff. This could result in inaccurate initial test results (i.e., a 
positive initial test result for a specimen containing the calibrant at 
a concentration below the cutoff). The commenter stated that this 
result could be scored as a ``false positive'' PT result. The 
Department has evaluated the comment and has concluded that no change 
is needed. As noted above regarding Section 3.4, it was not the 
Department's intent for the laboratory or IITF to calibrate an 
immunoassay test using an analyte other than that specified by the 
manufacturer. NLCP PT schemes are designed based on known cross-
reactivity profiles of the initial tests used by HHS-certified 
laboratories.
    Also in regard to proposed Section 9.5, one commenter suggested 
that the Guidelines use the same wording as in the Guidelines effective 
October 1, 2010 (73 FR 71858) for retest PT sample specifications 
(i.e., ``. . . may be as low as . . .'' rather than the proposed 
wording ``. . . may be less than. . .''). The Department agrees and has 
reinstituted wording from Section 9.3 of the Guidelines effective 
October 1, 2010 (73 FR 71858) into Section 9.5(a)(1)(ii).

Subpart J--Blind Samples Submitted by an Agency

10.1 What are the requirements for federal agencies to submit blind 
samples to HHS-certified laboratories or IITFs?
    Two commenters disagreed with the proposed limit to the number of 
blind samples required (i.e., a maximum of 400 blind samples per year) 
in Section 10.1(b). The commenters indicated that for a large agency, 
there is a very large difference between 3% and 400 samples and 
suggested keeping only the 3% requirement. Another commenter disagreed 
with the 3% requirement for

[[Page 7927]]

blind samples and requested that the amount to be lowered to 1% to 
lessen the burden on employers. One commenter suggested that the 
wording be modified to clarify that employers are responsible for 
ensuring blind samples are sent to the laboratories, but that 
collectors are tasked with submitting the blind samples. The Department 
has evaluated the comments and has concluded that no change is needed. 
The 400 sample limit was added to reduce the burden on large agencies 
based on the Department's review of agencies' blind testing programs. 
The wording in Section 10.1(a) clearly describes the responsibilities 
of the federal agency and the role of the collector in blind sample 
submission; however, the Department reworded Section 10.3(a) for 
clarity as described below.
10.3 How is a blind sample submitted to an HHS-certified laboratory?
    The Department has reworded Section 10.3(a) to clarify that the 
collector sends a blind sample to a laboratory or IITF as a split 
specimen (i.e., Bottle A and Bottle B).

Subpart K--Laboratory

11.10 What are the requirements for an initial drug test?
    One commenter noted that HHS previously required initial and 
confirmatory testing using different techniques, and asked whether this 
requirement had been removed with allowance of technologies other than 
immunoassay for initial testing. The commenter expressed concern that 
an error in the initial drug test could be repeated in the confirmatory 
drug test using the same method. The Department has evaluated the 
comments and has concluded that no change is needed. The Guidelines 
maintain the requirement for initial and confirmatory tests on two 
separate aliquots to report a result other than negative. The NLCP will 
review validation and quality control records, as well as specimen 
records, to ensure that the initial and confirmatory testing methods 
meet Guidelines requirements and provide scientifically and 
forensically supportable results.
    Also in regard to the proposed Section 11.10, one commenter asked 
whether non-FDA cleared immunoassays were included in the category of 
alternate initial drug test technology. The Department has evaluated 
the comment and has concluded that no change is needed. This section 
clearly distinguishes initial tests using immunoassay from those using 
an alternate technology. Furthermore, Section 1.5 includes the 
definition for ``alternate technology initial drug test.''
11.11 What must an HHS-certified laboratory do to validate an initial 
drug test?
    One commenter noted that an immunoassay initial test calibrated 
with a low-reacting analyte may not be able to meet Guidelines 
requirements for performance of the test around the cutoff 
concentration. The Department has evaluated the comments and has 
concluded that no change is needed. All tests must be validated by the 
HHS-certified laboratory to meet the requirements prior to use for 
regulated drug testing.
    One commenter noted that the requirement in section 11.11(b) for 
reagent verification prior to use is an operational, not a validation, 
requirement. The Departments agrees with the commenter but has 
concluded that no change is needed. While this section addresses 
initial drug test validation requirements, the verification of each new 
reagent lot is essential to verify that lot-to-lot differences have not 
significantly affected assay performance as demonstrated and documented 
during validation. Therefore, this is the most appropriate section of 
the Guidelines to include the requirement.
11.12 What are the batch quality control requirements when conducting 
an initial drug test?
    One commenter noted that this and other sections use inconsistent 
terminology when describing quality controls samples relative to the 
cutoff concentration (i.e., ``25 percent above the cutoff,'' ``75 
percent of the cutoff''). The commenter suggested that the Department 
use one version consistently. The Department has considered the comment 
and has concluded that no change is needed. These terms have been used 
in the Guidelines, in NLCP documents, and in other guidance to HHS-
certified laboratories without issue.
    One commenter asked whether the added analytes affect quality 
control content requirements. The Department has evaluated the comment 
and has concluded that no change is needed. The initial drug test 
quality control requirements in the Guidelines apply to each analyte 
used to calibrate the test (i.e., immunoassay or alternate technology 
initial drug test). When a single immunoassay test is used for two or 
more analytes in a drug class, the HHS-certified laboratory or IITF 
must include a control in accordance with item 11.12(a)(2) for each 
analyte that has less than 100% cross-reactivity with the assay, to 
demonstrate that the requirement for at least 80% cross-reactivity has 
been met.
11.12 What are the batch quality control requirements when conducting 
an initial drug test?
11.15 What are the batch quality control requirements when conducting a 
confirmatory drug test?
    Comments on these two sections are addressed here. One commenter 
requested clarification for the requirement for a drug-free control in 
initial and confirmatory drug test batches (i.e., whether the control 
should contain no drug or whether the control should not contain the 
specific analyte for that test). The Department has evaluated the 
comment and has concluded that no change is needed. These Guidelines 
sections list the requirement for ``at least one control certified to 
contain no drug or drug metabolite,'' meaning that the control must 
contain no regulated drug analytes.
11.16 What are the analytical and quality control requirements for 
conducting specimen validity tests?
    One commenter found the wording of Section 11.16(a) to be 
confusing, noting that a specimen would not be subjected to a second 
specimen validity test when the first test was in the acceptable range. 
The Department agrees with the comment and has revised Section 11.16(a) 
to correctly reflect requirements.
11.18 What are the requirements for conducting each specimen validity 
test?
    One commenter noted that the proposed changes in the lower pH 
cutoff for identifying adulterated specimens and lower pH decision 
point for identifying invalid specimens may cause additional costs for 
manufacturers and laboratories. The Department has evaluated the 
comment and has concluded that no change is needed. The Department 
recognizes that the revised cutoff will necessitate changes by HHS-
certified laboratories as well as by manufacturers of commercial 
quality control samples; however, the 4.0 pH cutoff is supported by 
scientific studies and workplace drug testing data, and is expected to 
reduce the incidence of undetected attempts to subvert the drug test.
11.19 What are the requirements for an HHS-certified laboratory to 
report a test result?
    One commenter suggested that the Department remove the requirement 
for

[[Page 7928]]

an executed CCF as the official report for ``non-negative'' specimens 
and permit the use of an electronic report with the required 
information. The Department has evaluated the comment and has concluded 
that no change is needed. The Federal CCF serves as the chain of 
custody for the specimen from the time of collection until receipt by 
the laboratory and also contains the certification statement signed by 
the certifying scientist. The Federal CCF may be paper or electronic.
11.21 How long must an HHS-certified laboratory retain records?
    In Section 11.21, the Department proposed that laboratories be 
allowed to convert hardcopy records to electronic records for storage 
and then discard the hardcopy records after six months. One commenter 
stated their assumption that this section did not require laboratories 
to convert electronic records to hardcopy records and maintain them for 
six months. This assumption is correct; the intent is to allow 
laboratories to maintain records in electronic format for the required 
storage period. The Department has concluded that no change is needed.
11.22 What statistical summary reports must an HHS-certified laboratory 
provide for urine testing?
    One commenter asked why the proposed Guidelines include a 
requirement for a copy of the semiannual statistical summary report to 
be sent to the Secretary or designated HHS representative. The 
Department included the requirement in Section 11.22 (and in Section 
12.19 for IITFs) to facilitate compilation of statistical information 
for the federal drug-free workplace program. This will not place an 
additional burden on the test facilities other than transmission of the 
report. The Department will continue to evaluate the effectiveness of 
this requirement.

Subpart M--Medical Review Officer (MRO)

13.1 Who may serve as an MRO?
    Three commenters disagreed with the term ``nonmedical use of a 
drug'' used in Section 13.1 (and defined in Section 1.5) and indicated 
that the term changes the role of an MRO from review, verify and 
``report a non-negative result'' to review, verify and ``interpret 
before reporting a result as negative or nonmedical use of a drug.'' 
Two commenters disagreed with use of ``interpretation of results'' to 
supplant ``alternative medical explanation.'' One commenter noted that 
this perceived change in the MRO's role represents an unjustified 
shifting of risk to the MRO. One commenter believes the term presents a 
possible legal flaw to the Guidelines, stating that this term is 
legally different from ``safety concern'' and places MROs in the 
position of being in conflict with the prescribing physician and 
subject to lawsuits. This commenter stated that even a lack of a 
finding of nonmedical use could be an issue if the donor subsequently 
had an accident after using the drug. The same commenter submitted five 
recommendations related to inclusion of prescription drugs in federal 
workplace drug testing programs, to address the commenter's concerns 
with the proposed Guidelines. These five specific recommendations 
pertain to matters that are outside the scope of these Guidelines, and 
therefore are not addressed in the Department's response below.
    The responsibilities of an MRO to interpret results have largely 
remained the same between the Guidelines effective October 1, 2010 (73 
FR 71858) and these Guidelines. As stated in Section 13.5(c) of these 
Guidelines, ``if the donor provides a legitimate medical explanation 
(e.g., a valid prescription) for the positive result, the MRO reports 
the test result as negative to the agency.'' Accordingly, the intent of 
the Guidelines, in this context, is to confirm whether a positive drug 
test is the result of drug use under a valid prescription. Furthermore, 
the term ``alternate medical explanation'' has never been used in the 
Guidelines, but has been used in the HHS Medical Review Officer Manual 
for Federal Workplace Drug Testing Programs.
    For the reasons above, the Department believes that the definition 
of ``nonmedical use of a drug'' and the requirement for a physician 
serving as an MRO to have knowledge of this topic do not fundamentally 
change the MRO's responsibilities. However, to address the commenters' 
concerns, the Department has removed this term from the Guidelines 
(i.e., revised Sections 1.5 and 13.1).
    The Department proposed within Section 13.1 who may serve as an 
MRO. One commenter requested clarification that it is the federal 
agency's burden to ensure that the MRO is certified. One commenter 
asked how the laboratory will be informed that an MRO has met 
requirements for re-qualification. The Department evaluated the 
comments and concluded that no change is needed. The MRO is an employee 
or a contractor of the agency. Therefore, it is the agency's 
responsibility to ensure that the MRO meets the Guidelines 
qualification requirements.
    Two commenters disagreed with the requirement for MRO 
recertification every five years, and recommended that MROs complete 
training every three years. Five commenters stated support for five 
year requalification and examination requirements. The Department has 
evaluated the comments and has concluded that no change is needed. The 
Department will keep the five-year recertification requirement as 
proposed.
13.2 How are nationally recognized entities or subspecialty boards that 
certify MROs approved?
    One commenter agreed with MRO certification/training entities 
submitting the delivery method and content of the MRO examination as 
applicable along with other required documents. One commenter agreed 
with extending time from one to two years for approved MRO 
certification/training entities' resubmission of qualifications for HHS 
approval. The commenter noted that they would support further extension 
to 3 years. One commenter recommended that approval of MRO educational 
courses and content be at the discretion of the MRO certification 
entities, not HHS. Since the certification entities and their 
examinations are subject to HHS oversight and approval, the commenter 
noted that it may be burdensome for HHS to review and approve the 
courses and content, and be a disincentive to development of new 
courses. One commenter recommended that examinations be allowed to be 
in-person or online with appropriate security precautions for each 
delivery method. The Department has evaluated the comments and agrees 
that the submission of training materials to HHS would possibly 
discourage the development of new training courses. Therefore, the 
review of MRO educational courses and content will not be part of the 
approval process for MRO certification entities. As described under 
Medical Review Officer (MRO) requalification--continuing education 
units (CEUs) in this preamble, the Department has removed references to 
MRO training entities in Section 13.2, because training documentation 
is maintained by MRO certification entities. The Department will only 
require the MRO certification entities to submit their examination and 
any other necessary supporting examination materials (e.g., answers, 
examination statistics or background information on questions) that 
will help in the Department's evaluation of the examination. The 
Department will

[[Page 7929]]

review and evaluate the examination delivery method (e.g., in-person or 
online) when reviewing submitted training materials to ensure that the 
delivery method employs appropriate security and identification 
procedures.
13.3 What training is required before a physician may serve as an MRO?
    Five commenters disagreed and one commenter agreed with the added 
requirement for MRO training to include information about how to 
discuss substance misuse and abuse and how to access those services. 
The Department has evaluated the comments and has revised Section 13.3 
to remove this requirement. Federal agencies may provide this 
information to employees and applicants to facilitate their access to 
effective treatment and support recovery. The Department provides 
information to the public on help and treatment for substance misuse 
and abuse, and how to access those services, on the SAMHSA Web site 
http://www.samhsa.gov/.
    One commenter stated that the Department should add a requirement 
for MRO training on what constitutes a refusal to test. One commenter 
suggested that the Department should add a requirement for MRO training 
on when and how to report safety concerns to employers when 
prescription and/or over-the-counter medications may affect 
performance. The Department has evaluated the comments and has 
concluded that no change is needed. Criteria for reporting a refusal to 
test are covered under the topics listed in Section 13.3 such as items 
(a)(4) training on the Guidelines and (a)(5) procedures for 
interpretation, review, and reporting of results. When a donor provides 
a legitimate medical explanation for a positive drug test result (e.g., 
a valid prescription), the Guidelines do not require MROs to contact 
federal agency employers for the purpose of reporting a safety concern. 
Accordingly, MRO training related to reporting ``safety concerns'' does 
not relate to a mandatory function under the Guidelines and, therefore, 
is not an essential component of required MRO training. The Department 
will provide additional guidance in the HHS Medical Review Officer 
Guidance Manual for Federal Workplace Drug Testing Programs.
    In addition, the Department revised Section 13.3 as described under 
Medical Review Officer (MRO) requalification--continuing education 
units (CEUs) in this preamble. The Department removed references to MRO 
training entities, because training documentation is maintained by MRO 
certification entities, and added item 13.3(b) to require MRO training 
on revised Guidelines prior to their effective date.
13.4 What are the responsibilities of an MRO?
    One commenter suggested creating a subset of medical professionals 
trained specifically to determine fitness for duty since an MRO cannot 
determine fitness for duty over the telephone. The Department has 
evaluated the comment and has concluded that no change is needed. 
Fitness for duty evaluations fall outside the purview of the 
Guidelines.
13.5 What must an MRO do when reviewing a urine specimen's test 
results?
    The Department has revised Section 13.5(d)(1) to include an example 
of documentation to support a medical explanation for a positive drug 
test result.
    Three commenters disagreed with MRO procedures for ``a positive 
result for opiates'' (i.e., requirement for clinical evidence of 
illegal use in addition to positive result) and noted that the proposed 
Guidelines wording was not changed to clarify that the described 
procedures do not apply to the added opioids. The Department agrees 
with the commenters and has revised Section 13.5(d) to clarify that the 
procedures do not apply to the added opioid analytes. Wording in 
Section 13.5(d)(2)(i) regarding ``clinical evidence of illegal use'' 
was also edited for clarity and for consistency with the wording in the 
OFMG.
    One commenter disagreed with requirements concerning two separate 
specimens collected at a single test event and sent to the laboratory 
for testing (e.g., a urine specimen outside the acceptable temperature 
range and the subsequently collected specimen). The proposed Guidelines 
require that, when one of the two specimens is negative and other is 
not, the MRO reports only the verified result other than negative. This 
commenter suggested that the MRO cancel the negative result. The 
Department has evaluated the comments and has concluded no change is 
needed. Cancellation of the test may be confusing in the situation 
referenced by the commenter and lead to inappropriate specimen 
recollection. Both the MRO and the federal agency employer will receive 
their Federal CCF copies with explanatory collector remarks in Step 2 
including the specimen identification number of the associated 
specimen, and the MRO may provide additional comment in the MRO's 
report.
    The Department also revised Section 13.5(d) to reflect the policy 
of the Department that passive exposure to marijuana smoke and 
ingestion of food products containing marijuana are not acceptable 
medical explanations for a positive drug test result. Individuals who 
are passively exposed to marijuana smoke or who consume food products 
containing marijuana can pose public safety and/or security 
risks.4 5 Marijuana is listed as a Schedule I drug under the 
Controlled Substances Act.
13.6 What action does the MRO take when the collector reports that the 
donor did not provide a sufficient amount of urine for a drug test?
    One commenter suggested the Guidelines define ``appropriate 
expertise'' of a physician with a list of conditions and an appropriate 
type of physician in an appendix. The same commenter requested medical 
referral information on the employer's actions when a donor could not 
provide a urine specimen and then could not provide an oral fluid 
specimen. The Department has evaluated the comments and has concluded 
that no change is needed. A physician who is a trained MRO will have 
the knowledge necessary to identify another physician with appropriate 
expertise for the medical evaluation. The Department will provide 
additional guidance in the HHS Medical Review Officer Guidance Manual 
for Federal Workplace Drug Testing Programs as appropriate when 
alternate specimen types (e.g., oral fluid) are allowed in federal 
workplace drug testing programs.
    The Department clarified the definition of ``permanent or long-term 
medical conditions'' in Section 13.6(b)(1) based on a federal agency 
comment.

Subpart O--Criteria for Rejecting a Specimen for Testing

15.1 What discrepancies require an HHS-certified laboratory or an HHS-
certified IITF to report a specimen as rejected for testing?
    The Department revised wording in items a and b of this section, 
and included three additional fatal flaws as items f-h, to reflect 
fatal flaws for regulated donor specimens that have been identified by 
HHS-certified laboratories. These fatal flaws were addressed in NLCP 
guidance sent to all HHS-certified and applicant laboratories and IITFs 
on August 9, 2016. In addition, the Department revised this section to 
include an additional item i to allow a laboratory or IITF to reject a 
specimen when they identify a flaw that

[[Page 7930]]

prevents testing or affects the forensic defensibility of the drug 
test, and cannot be corrected. This general item enables laboratories 
and IITFs to reject specimens with fatal flaws that may be rare, but do 
occur. It is not possible to list all such flaws in the Guidelines.
15.3 What discrepancies are not sufficient to require an HHS-certified 
laboratory or an HHS-certified IITF to reject a urine specimen for 
testing or an MRO to cancel a test?
    Two commenters indicated that inclusion of some items as 
insignificant discrepancies contradicts guidance provided to HHS-
certified laboratories and IITFs in NLCP Notices, which required 
laboratories to attempt to recover missing information. One of these 
commenters suggested that if these items are important, they should be 
removed from the ``insignificant'' list. Two commenters disagreed with 
the Guidelines designating the listed omissions and discrepancies as 
``insignificant only when they occur no more than once per month.'' The 
Department has evaluated the comments. The listed discrepancies would 
not result in rejection or cancellation. NLCP Notices requiring 
laboratory action are consistent with this section. However, the 
Department has reworded section 15.3 to not classify these errors as 
insignificant. While these types of errors do not warrant laboratory 
rejection of a specimen or MRO cancellation of a test, as noted in 
section 15.3(c), corrective action must be initiated when they occur 
more than once a month.
    The commenters indicated that this section implies that the MRO 
must keep a log of insignificant errors by laboratory and by collection 
site in order to track frequency. The commenters noted that this is an 
unenforceable policy, that this should be a duty of inspectors of 
laboratories and collection sites, and that requiring MROs to keep 
these types of logs would create significant extra costs. One commenter 
suggested that item 15.3(c) be modified for the MRO to advise the 
collector or laboratory to retrain staff on relevant procedures to 
ensure that collections are completed correctly (rather than directing 
them to immediately take corrective action). The Department has 
evaluated the comments and has concluded that no change is needed. This 
section is the same as in the Guidelines effective October 1, 2010 (73 
FR 71858).
    One commenter suggested modifying 15.3(a)(5) to read ``donor 
identification number'' which would include a social security number or 
an employee identification number since many employers no longer use 
social security numbers for employee identification. The Department 
agrees and has revised Section 15.3(a)(5) to include ``employee 
identification number'' in addition to ``Social Security Number.''.
15.4 What discrepancies may require an MRO to cancel a test?
    One commenter suggested adding the scenario where the donor did not 
sign the CCF because the collector forgot to ask the donor to sign, 
rather than the donor's refusal to sign. The Department has evaluated 
the comment and has concluded that no change is needed. As stated in 
Section 15.4, the MRO contacts the collector ``to obtain a statement to 
verify that the donor refused to sign the MRO copy.''

Regulatory Impact and Notices

Executive Orders 13563 and 12866

    Executive Order 13563 of January 18, 2011 (Improving Regulation and 
Regulatory Review) states ``Our regulatory system must protect public 
health, welfare, safety, and our environment while promoting economic 
growth, innovation, competitiveness, and job creation.'' Consistent 
with this mandate, Executive Order 13563 requires agencies to tailor 
``regulations to impose the least burden on society, consistent with 
obtaining regulatory objectives.'' Executive Order 13563 also requires 
agencies to ``identify and consider regulatory approaches that reduce 
burdens and maintain flexibility and freedom of choice'' while 
selecting ``those approaches that maximize net benefits.'' This notice 
presents a regulatory approach that will reduce burdens to providers 
and to consumers while continuing to provide adequate protections for 
public health and welfare.
    The Secretary has examined the impact of the Guidelines under 
Executive Order 12866, which directs federal agencies to assess all 
costs and benefits of available regulatory alternatives and, when 
regulation is necessary, to select regulatory approaches that maximize 
net benefits (including potential economic, environmental, public 
health and safety, and other advantages; distributive impacts; and 
equity).
    According to Executive Order 12866, a regulatory action is 
``significant'' if it meets any one of a number of specified 
conditions, including having an annual effect on the economy of $100 
million; adversely affecting in a material way a sector of the economy, 
competition, or jobs; or if it raises novel legal or policy issues. The 
Guidelines do establish additional regulatory requirements and allow an 
activity that was otherwise prohibited. The Administrative Procedure 
Act (APA) delineates an exception to its rulemaking procedures for ``a 
matter relating to agency management or personnel'' 5 U.S.C. 553(a)(2). 
Because the Guidelines issued by the Secretary govern federal workplace 
drug testing programs, HHS has taken the position that the Guidelines 
are a ``matter relating to agency management or personnel'' and, thus, 
are not subject to the APA's requirements for notice and comment 
rulemaking. This position is consistent with Executive Order 12564 
regarding Drug-Free Workplaces, which directs the Secretary to 
promulgate scientific and technical guidelines for executive agency 
drug testing programs. However, the statute under which the mandatory 
guidelines were created (Pub. L. 100-71, section 503(a)(3)) required 
notice and comment apart from the APA. This provision provides the 
following:

    (3) Notwithstanding any provision of chapter 5 of title 5, 
United States Code, the mandatory guidelines to be published 
pursuant to subsection (a)(l)(A)(ii) shall be published and made 
effective exclusively according to the provisions of this paragraph. 
Notice of the mandatory guidelines proposed by the Secretary of 
Health and Human Services shall be published in the Federal 
Register, and interested persons shall be given not less than 60 
days to submit written comments on the proposed mandatory 
guidelines. Following review and consideration of written comments, 
final mandatory guidelines shall be published in the Federal 
Register and shall become effective upon publication.

    The Department included a Regulatory Impact and Notices section 
with cost and benefits analysis and burden estimates in the May 15, 
2015 Federal Register Notice for the proposed UrMG (80 FR 28101), and 
requested public comment on all figures and assumptions. The 
Department's projections were developed using information from current 
HHS-certified urine testing laboratories, with input from DOT and the 
Nuclear Regulatory Commission (NRC), and cost analysis was based on 
information provided by multiple HHS-certified laboratories and MROs. 
The Department received no substantive data or evidence through public 
comments in favor of changing the estimated costs and benefits provided 
in the Department's May 2015 Federal Register Notice for the UrMG, and 
therefore, has retained the analysis and estimates provided in that 
notice below. Comments that related to the costs and benefits of this 
rule are summarized and discussed above in the Summary of Public 
Comments and

[[Page 7931]]

HHS's Response under the heading Costs and Benefits.
Need for Revisions to the Guidelines
    The inclusion of oxycodone, oxymorphone, hydrocodone and 
hydromorphone in the URMG was recommended by the DTAB, reviewed by the 
Department's Prescription Drug Subcommittee of the Behavioral Health 
Coordinating Committee, and approved by the SAMHSA Administrator in 
January 2012. This action is supported by various data, described in 
this preamble.1-4 In addition, in 2008, 12 percent of 
military personnel admitted to the illicit use of prescription 
medications. Prevalence testing by the Department of Defense (DoD) in 
2009 indicated that prescription drug abuse exceeded illegal drug 
abuse. Because of this, hydrocodone and hydromorphone testing was added 
to the regular DoD drug testing panel in 2011.
Costs
    Costs associated with the implementation of testing for oxycodone, 
oxymorphone, hydrocodone and hydromorphone will be minimal because the 
Department has determined that all HHS certified laboratories testing 
specimens from federal agencies are currently conducting tests for one 
or more of these analytes on non-regulated urine specimens. Likewise, 
there will be minimal costs associated with changing initial testing to 
include MDA since the current immunoassays can be adapted to test for 
this analyte. Laboratory personnel are currently trained and test 
methods have been implemented. However, there will be some 
administrative costs associated with adding these analytes. Prior to 
being allowed to test regulated specimens for these compounds, HHS 
certified laboratories will be required to demonstrate that their 
performance meets Guideline requirements by testing three (3) groups of 
PT samples. The Department will provide the PT samples through the 
National Laboratory Certification Program (NLCP) at no cost to the 
certified laboratories. Based on costs charged for specimen testing, 
laboratory costs to conduct the PT testing would range from $900 to 
$1,800 for each certified laboratory.
    In Section 3.4, the Department included criteria for calibrating 
initial tests for grouped analytes such as opiates and amphetamines, 
and specified the cross-reactivity of the immunoassay to the other 
analytes(s) within the group. These Guidelines allow the use of methods 
other than immunoassay for initial testing. An immunoassay manufacturer 
may incur costs if they choose to alter their existing product and 
resubmit the immunoassay for FDA clearance.
    For the added opiate analytes, the two immunoassays currently used 
for oxycodone and oxymorphone meet the requirements, and two of the 
three existing opiate immunoassays used in certified laboratories meet 
the requirements for hydrocodone and hydromorphone analysis. The opiate 
immunoassay that does not have sufficient cross-reactivity would be 
acceptable as an initial test under these Guidelines when the lowest-
reacting analyte, hydromorphone, is used to establish a decision point. 
Therefore, the Department assumes that all certified laboratories will 
elect to use existing immunoassays. Thus, the costs associated with 
implementing the initial tests for these analytes is expected to be de 
minimis.
    For amphetamines, one of the three existing 
methylenedioxymethamphetamine (MDMA) immunoassays used in certified 
laboratories meets the requirements. The remaining two exhibit 
insufficient cross-reactivity for MDA. These two immunoassays would be 
acceptable as an initial test under these Guidelines when the lowest-
reacting analyte, MDA, is used to establish a decision point. An 
immunoassay manufacturer may incur costs if they choose to alter their 
existing product and resubmit the immunoassay for FDA clearance. Again, 
the Department assumes that certified laboratories will use the 
existing immunoassays and incur de minimis costs.
    Once the testing has been implemented, the cost per specimen for 
initial testing for the added analytes will range from $.06 to $0.20 
due to reagent costs. Current costs for each confirmatory test range 
from $5.00 to $10.00 for each specimen reported positive, due to sample 
preparation and analysis costs. Based on information from non-regulated 
workplace drug testing for these analytes and testing performed by the 
Department on de-identified federally regulated specimens in 2011, 
approximately 1% of the submitted specimens is expected to be confirmed 
as positive for the added analytes. Therefore, the added cost for 
confirmatory testing will be $0.05 to $0.10 per submitted specimen. 
This would indicate that the cost per specimen submitted for testing 
will increase by $0.11-$0.30. Annual recurring testing costs in the 
table below are based on an estimated number of 6,145,500 specimens.
    The addition of the Schedule II prescription medications will 
require MRO review to verify legitimate drug use. Based on the 
positivity rates from non-regulated workplace drug testing for these 
analytes and the additional review of specimens confirmed positive for 
prescription medications, MRO costs are estimated to increase by 
approximately 3%. The burden of this 3% cost increase is expected to 
shift gradually from MROs to agencies as agencies' existing contracts 
expire and they renegotiate the terms of new contracts, with an 
increase to the total cost of a federal drug test over time to between 
$0.60-$1.35. This cost would indicate a total cost of $3,687,300 to 
$8,296,425 in the urine testing program. A federal agency may also 
incur additional costs (e.g., additional managerial effort to arrange 
substitute workers) when an employee tests positive for a prescription 
medication and is removed from duties during the MRO verification 
process.
    The additional costs for testing and MRO review will be 
incorporated into the overall cost for the federal agency submitting 
the specimen to the laboratory. The estimation of costs incurred is 
based upon overall cost to the federal agency because the review of 
positive specimens is usually based on all specimens submitted from an 
agency, rather than individual specimen testing costs or MRO review of 
positive specimens. Agencies may also incur some costs for training of 
federal employees such as drug program coordinators due to 
implementation of the revised Guidelines. Based on current training 
modules offered to drug program coordinators, and other associated 
costs including travel for 90% of drug program coordinators, the 
estimated total training cost for a one-day training session would be 
between $108,000 and $138,000 (i.e., assuming 8 hours of time 
multiplied by a GS 12/13 wage including benefits and overhead 
adjustments). The Department will offer the choice of online or in-
person training. This will eliminate travel costs for those federal 
agencies who choose to use online training.

[[Page 7932]]



                  Recurring Annual Costs Summary Table
------------------------------------------------------------------------
                                       Lower bound        Upper bound
------------------------------------------------------------------------
Reagent Costs.....................        $368,730.00      $1,229,100.00
Additional Confirmatory tests.....         307,275.00         614,550.00
MRO Costs.........................       3,687,300.00       8,296,425.00
                                   -------------------------------------
    Total annual costs............       4,363,305.00      10,140,075.00
------------------------------------------------------------------------


                 Upfront (One-Time) Costs Summary Table
------------------------------------------------------------------------
                                       Lower bound        Upper bound
------------------------------------------------------------------------
Performance Testing...............         $27,900.00         $55,800.00
Training..........................            108,000            138,000
                                   -------------------------------------
    Total.........................         135,900.00         193,800.00
------------------------------------------------------------------------

Benefits
    The potential benefits of deterring use of oxycodone, oxymorphone, 
hydrocodone and hydromorphone are the prevention of their side effects 
(e.g., anxiety, dizziness, drowsiness, fatigue, and other neurological 
effects), which will result in a healthier and more alert workforce as 
well as avoid the issues associated with addiction and rehabilitation. 
Since the personnel tested under this program are in positions that are 
safety sensitive, potential benefits include decreased risk of 
transportation accidents, decreased risk of low-probability high 
consequence events, more responsible workforce in positions of public 
trust, and potentially reducing individuals' dependence or addiction 
and the personal benefits associated with those conditions.
    Considering the potential health and performance costs of narcotic 
abuse, the benefits to the federal workplace and the individuals within 
that workplace justify the inclusion of oxycodone, oxymorphone, 
hydrocodone and hydromorphone in Federal Workplace Drug Testing 
programs.
Regulatory Flexibility Analysis
    For the reasons outlined above, the Secretary has determined that 
the Guidelines will not have a significant impact upon a substantial 
number of small entities within the meaning of the Regulatory 
Flexibility Act [5 U.S.C. 605(b)]. The flexibility added by the UrMG 
will not require addition expenditures. Therefore, a final regulatory 
flexibility analysis is not required for this notice.
    The Secretary has determined that the Guidelines are not a major 
rule for the purpose of congressional review. For the purpose of 
congressional review, a major rule is one which is likely to cause an 
annual effect on the economy of $100 million; a major increase in costs 
or prices; significant effects on competition, employment, 
productivity, or innovation; or significant effects on the ability of 
U.S.-based enterprises to compete with foreign-based enterprises in 
domestic or export markets. This is not a major rule under the Small 
Business Regulatory Enforcement Fairness Act (SBREFA) of 1996.
Unfunded Mandates
    The Secretary has examined the impact of the Guidelines under the 
Unfunded Mandates Reform Act (UMRA) of 1995 (Pub. L. 104-4). This 
notice does not trigger the requirement for a written statement under 
section 202(a) of the UMRA because the Guidelines do not impose a 
mandate that results in an expenditure of $100 million (adjusted 
annually for inflation) or more by either state, local, and tribal 
governments in the aggregate or by the private sector in any one year.
Environmental Impact
    The Secretary has considered the environmental effects of the UrMG. 
No information or comments have been received that would affect the 
agency's determination there would be a significant impact on the human 
environment and that neither an environmental assessment nor an 
environmental impact statement is required.

Executive Order 13132: Federalism

    The Secretary has analyzed the Guidelines in accordance with 
Executive Order 13132: Federalism. Executive Order 13132 requires 
federal agencies to carefully examine actions to determine if they 
contain policies that have federalism implications or that preempt 
state law. As defined in the Order, ``policies that have federalism 
implications'' refer to regulations, legislative comments or proposed 
legislation, and other policy statements or actions that have 
substantial direct effects on the states, on the relationship between 
the national government and the states, or on the distribution of power 
and responsibilities among the various levels of government.
    In this notice, the Secretary revised the standards for 
certification of laboratories engaged in urine fluid drug testing for 
federal agencies and the use of urine testing in federal drug-free 
workplace programs. The Department of Health and Human Services, by 
authority of Section 503 of Public Law 100-71, 5 U.S.C. Section 7301, 
and Executive Order No. 12564, establishes the scientific and technical 
guidelines for federal workplace drug testing programs and establishes 
standards for certification of laboratories engaged in urine drug 
testing for federal agencies. Because the Mandatory Guidelines govern 
standards applicable to the management of federal agency personnel, 
there should be little, if any, direct effect on the states, on the 
relationship between the national government and the states, or on the 
distribution of power and responsibilities among the various levels of 
government. Accordingly, the Secretary has determined that the 
Guidelines do not contain policies that have federalism implications.
Paperwork Reduction Act of 1995
    The Guidelines contain information collection requirements which 
are subject to review by the Office of Management and Budget (OMB) 
under the Paperwork Reduction Act of 1995 [the PRA 44 U.S.C. 3507(d)]. 
Information collection and recordkeeping requirements which would be 
imposed on laboratories engaged in drug testing for federal agencies 
concern quality assurance and

[[Page 7933]]

quality control documentation, reports, performance testing, and 
inspections as set out in subparts H, I, K, L, M and N. Information 
collection and recordkeeping requirements which would be imposed on 
MROs engaged in drug testing services for federal agencies concern drug 
testing result review and reports as set out in subparts M and N. To 
facilitate ease of use and uniform reporting, a Federal CCF for each 
type of specimen collected will be developed as referenced in section 
6.1. The Department will submit the information collection and 
recordkeeping requirements contained in the Guidelines to OMB for 
review and approval prior to the effective date of the final 
Guidelines. Information collections changed by these Guidelines are not 
effective until approved by OMB.
Privacy Act
    The Secretary has determined that the Guidelines do not contain 
information collection requirements constituting a system of records 
under the Privacy Act. The Federal Register notice announcing the 
Mandatory Guidelines for Federal Workplace Drug Testing Programs using 
Urine is not a system of records as noted in the information 
collection/recordkeeping requirements below. As required, HHS 
originally published the Mandatory Guidelines for Federal Workplace 
Drug Testing Programs (Guidelines) in the Federal Register on April 11, 
1988 [53 FR 11979]. SAMHSA subsequently revised the Guidelines on June 
9, 1994 [59 FR 29908], September 30, 1997 [62 FR 51118], November 13, 
1998 [63 FR 63483], April 13, 2004 [69 FR 19644], and November 25, 2008 
[73 FR 71858] with an effective date of May 1, 2010 (correct effective 
date published on December 10, 2008 [73 FR 75122]). The effective date 
of the Guidelines was further changed to October 1, 2010 on April 30, 
2010 [75 FR 22809].

Executive Order 13175: Consultation and Coordination With Indian Tribal 
Governments

    Executive Order 13175 (65 FR 67249, November 6, 2000) requires 
SAMHSA to develop an accountable process to ensure ``meaningful and 
timely input by tribal officials in the development of regulatory 
policies that have tribal implications.'' ``Policies that have tribal 
implications'' as defined in the Executive Order, include regulations 
that have ``substantial direct effects on one or more Indian tribes, on 
the relationship between the federal government and the Indian tribes, 
or on the distribution of power and responsibilities between the 
federal government and Indian tribes.'' The Guidelines do not have 
tribal implications. The Guidelines will not have substantial direct 
effects on tribal governments, on the relationship between the federal 
government and Indian tribes, or on the distribution of power and 
responsibilities between the federal government and Indian tribes, as 
specified in Executive Order 13175.

Information Collection/Record Keeping Requirements

    The information collection requirements (i.e., reporting and 
recordkeeping) in the current Guidelines (73 FR 71858) are approved by 
the Office of Management and Budget (OMB) under control number 0930-
0158. The Federal Drug Testing Custody and Control Form used to 
document the collection and chain of custody of urine specimens at the 
collection site, for laboratories to report results, and for Medical 
Review Officers to make a determination, the National Laboratory 
Certification Program (NLCP) application, the NLCP Laboratory 
Information Checklist, and recordkeeping requirements in the current 
Guidelines, as approved under control number 0930-0158, will remain in 
effect until these final Guidelines are effective and OMB approves the 
revised information collection. OMB will assign a new control number to 
account for changes associated with the final Guidelines.
    The title, description and respondent description of the 
information collections are shown in the following paragraphs with an 
estimate of the annual reporting, disclosure and recordkeeping burden. 
Included in the estimate is the time for reviewing instructions, 
searching existing data sources, gathering and maintaining the data 
needed, and completing and reviewing the collection of information.
    Title: The Mandatory Guidelines for Federal Workplace Drug Testing 
Programs using Urine Specimens
    Description: The Mandatory Guidelines establish the scientific and 
technical guidelines for federal drug testing programs and establish 
standards for certification of laboratories engaged in drug testing for 
federal agencies under authority of Public Law 100-71, 5 U.S.C. 7301 
note, and Executive Order No. 12564. Federal drug testing programs test 
applicants to sensitive positions, individuals involved in accidents, 
individuals for cause, and random testing of persons in sensitive 
positions.
    Description of Respondents: Individuals or households; businesses; 
or other-for-profit; not-for-profit institutions.
    The burden estimates in the tables below are based on the following 
number of respondents: 38,000 donors who apply for employment in 
testing designated positions, 100 collectors, 30 urine specimen testing 
laboratories, 1 IITF, and 100 MROs.

                                                           Estimate of Annual Reporting Burden
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Number of      Responses/
                 Section                               Purpose                respondents     respondent           Hours/ response          Total hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
9.2(a)(1)...............................  Laboratory or IITF \1\ required               10               1  3...........................              30
                                           to submit application for
                                           certification.
9.12(a)(3)..............................  Materials to submit to become an              10               1  2...........................              20
                                           HHS inspector.
11.3(a).................................  Laboratory submits                            10               1  2...........................              20
                                           qualifications of RP to HHS.
11.4(c).................................  Laboratory submits information                10               1  2...........................              20
                                           to HHS on new RP or alternate
                                           RP.
11.22...................................  Specifications for laboratory                 10               5  0.5.........................              25
                                           semi-annual statistical report
                                           of test results to each federal
                                           agency.
12.3(a).................................  IITF\1\ submits qualifications                 1               1  1...........................               1
                                           of RT to HHS.
12.4(c).................................  IITF\1\ submits information to                 1               1  1...........................               1
                                           HHS on new RT or alternate RT.
12.19...................................  Specifications for IITF \1\ semi-              1               1  1...........................               1
                                           annual statistical report of
                                           test results to each federal
                                           agency.

[[Page 7934]]

 
13.9 and 14.7...........................  Specifies that MRO must report               100              14  0.05 (3 min)................              70
                                           all verified primary and split
                                           specimen test results to the
                                           federal agency.
16.1(b) & 16.5(a).......................  Specifies content of request for               1               1  3...........................               3
                                           informal review of suspension/
                                           proposed revocation of
                                           certification.
16.4....................................  Specifies information appellant                1               1  0.5.........................             0.5
                                           provides in first written
                                           submission when laboratory
                                           suspension/revocation is
                                           proposed.
16.6....................................  Requires appellant to notify                   1               1  0.5.........................             0.5
                                           reviewing official of
                                           resolution status at end of
                                           abeyance period.
16.7(a).................................  Specifies contents of appellant                1               1  50..........................              50
                                           submission for review.
16.9(a).................................  Specifies content of appellant                 1               1  3...........................               3
                                           request for expedited review of
                                           suspension or proposed
                                           revocation.
16.9(c).................................  Specifies contents of review                   1               1  50..........................              50
                                           file and briefs.
                                                                           -----------------------------------------------------------------------------
    Total...............................  ................................             159  ..............  ............................             295
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Although IITFs are allowed under the Guidelines effective October 1, 2010 (73 FR 71858), SAMHSA has not received any IITF applications for
  certification to test federally regulated specimens. IITF numbers are provided in this analysis as placeholders for administrative purposes.

    The following reporting requirements are also in the Guidelines, 
but have not been addressed in the above reporting burden table: 
Collector must report any unusual donor behavior or refusal to 
participate in the collection process on the Federal CCF [Sections 1.8, 
8.9]; collector annotates the Federal CCF when a sample is a blind 
sample [Section 10.3(a)]; MRO notifies the federal agency and HHS when 
an error occurs on a blind sample [Section 10.4(c)]; Section 13.5 
describes the actions an MRO takes to report a primary specimen result; 
Section 14.6 describes the actions an MRO takes to report a split 
specimen result; and Sections 13.6 and 13.7 describe the actions an MRO 
takes for the medical evaluation of a donor who cannot provide a urine 
specimen. SAMHSA has not calculated a separate reporting burden for 
these requirements because they are included in the burden hours 
estimated for collectors to complete Federal CCFs and for MROs to 
report results to federal agencies.

                                                          Estimate of Annual Disclosure Burden
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Number of      Responses/
                 Section                               Purpose                respondents     respondent           Hours/ response          Total hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
8.3(a), 8.5(f)(2) (iii), 8.6(b)(2)......  Collector must contact federal               100               1  0.05 (3 min)................               5
                                           agency point of contact.
11.23, 11.24............................  Information on drug test that                 50              10  3...........................           1,500
                                           laboratory must provide to
                                           federal agency upon request or
                                           to donor through MRO.
12.20, 12.21............................  Information on drug test that                  1               1  1...........................               1
                                           IITF\1\ must provide to federal
                                           agency upon request or to donor
                                           through MRO.
13.8(b).................................  MRO must inform donor of right               100              14  3...........................           4,200
                                           to request split specimen test
                                           when a positive, adulterated,
                                           or substituted result is
                                           reported.
                                                                           -----------------------------------------------------------------------------
    Total...............................  ................................             211  ..............  ............................           5,706
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Although IITFs are allowed under the Guidelines effective October 1, 2010 (73 FR 71858), SAMHSA has not certified any IITFs to test federally
  regulated specimens. IITF numbers are provided in this analysis as placeholders for administrative purposes.

    The following disclosure requirements are also included in the 
Guidelines, but have not been addressed in the above disclosure burden 
table: The collector must explain the basic collection procedure to the 
donor and answer any questions [Section 8.3(e) and (g)]. SAMHSA 
believes having the collector explain the collection procedure to the 
donor and answer any questions is a standard business practice and not 
a disclosure burden.

                                                         Estimate of Annual Recordkeeping Burden
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Number of      Responses/
                 Section                               Purpose                respondents     respondent           Hours/ response          Total hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
8.3, 8.5, 8.8...........................  Collector completes Federal CCF              100             380  0.07 (4 min)................           2,534
                                           for specimen collected.
8.8(d) & (f)............................  Donor initials specimen labels/           38,000               1  0.08 (5 min)................           3,167
                                           seals and signs statement on
                                           the Federal CCF.

[[Page 7935]]

 
11.8(a) & 11.19.........................  Laboratory completes Federal CCF              10           3,800  0.05 (3 min)................           1,900
                                           upon receipt of specimen and
                                           before reporting result.
12.8(a) & 12.15.........................  IITF\1\ completes Federal CCF                  1               1  1...........................               1
                                           upon receipt of specimen and
                                           before reporting result.
13.4(d)(4),13.9(c),14.7(c)..............  MRO completes Federal CCF before             100             380  0.05 (3 min)................           1,900
                                           reporting the primary or split
                                           specimen result.
14.1(b).................................  MRO documents donor's request to             300               1  0.05 (3 min)................              15
                                           have split specimen tested.
                                                                           -----------------------------------------------------------------------------
Total...................................  ................................          38,511  ..............  ............................           9,517
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Although IITFs are allowed under the Guidelines effective October 1, 2010 (73 FR 71858), SAMHSA has not certified any IITFs to test federally
  regulated specimens. IITF numbers are provided in this analysis as placeholders for administrative purposes.

    The Guidelines contain a number of recordkeeping requirements that 
SAMHSA considers not to be an additional recordkeeping burden. In 
subpart D, a trainer is required to document the training of an 
individual to be a collector [Section 4.3(a)(3)] and the documentation 
must be maintained in the collector's training file [Section 4.3(c)]. 
Because this is required by the current Guidelines and is consistent 
with general forensic requirements, SAMHSA believes this training 
documentation is common practice and is not considered an additional 
burden. In subpart F, if a collector uses an incorrect form to collect 
a federal agency specimen, the collector is required to provide a 
statement [Section 6.2(b)] explaining why an incorrect form was used to 
document collecting the specimen. SAMHSA believes this is an extremely 
infrequent occurrence and does not create a significant additional 
recordkeeping burden. Subpart H [Sections 8.4(c), 8.5(d)(2), 8.5(e)(1) 
and (2)] requires collectors to enter any information on the Federal 
CCF of any unusual findings during the urine specimen collection 
procedure. These recordkeeping requirements are an integral part of the 
collection procedure and are essential to documenting the chain of 
custody for the specimens collected. The burden for these entries are 
included in the recordkeeping burden estimated to complete the Federal 
CCF and is, therefore, not considered an additional recordkeeping 
burden. Subpart K describes a number of recordkeeping requirements for 
laboratories associated with their testing procedures, maintaining 
chain of custody, and keeping records [i.e., Sections 11.1(a) and (d); 
11.2(b), (c), and (d); 11.6(b); 11.7(c); 11.8; 11.11(a); 11.14(a); 
11.17; 11.21(a), (b), and (c); 11.22; 11.23(a) and 11.24. These 
recordkeeping requirements are necessary for any laboratory to conduct 
forensic drug testing and to ensure the scientific supportability of 
the test results. Therefore, they are considered to be standard 
business practice and are not considered a burden for this analysis.
    Thus the total annual response burden associated with the testing 
of urine specimens by the laboratories and IITFs is estimated to be 
15,518 hours (that is, the sum of the total hours from the above 
tables). This is in addition to the 1,788,809 hours currently approved 
by OMB under control number 0930-0158 for urine testing under the 
current Guidelines.
    As required by section 3507(d) of the PRA, the Secretary submitted 
a copy of these proposed Guidelines to OMB for its review. Comments on 
the information collection requirements were specifically solicited in 
order to: (1) Evaluate whether the proposed collection of information 
is necessary for the proper performance of HHS's functions, including 
whether the information will have practical utility; (2) evaluate the 
accuracy of HHS's estimate of the burden of the proposed collection of 
information, including the validity of the methodology and assumptions 
used; (3) enhance the quality, utility, and clarity of the information 
to be collected; and (4) minimize the burden of the collection of 
information on those who are to respond, including through the use of 
appropriate automated, electronic, mechanical, or other technological 
collection techniques or other forms of information technology.

References

1. Cone, E.J., Heltsley, R., Black, D.L., Mitchell, J.M., LoDico, 
C.P., Flegel, R.R, 2013. Prescription opioids. I. metabolism and 
excretion patterns of oxycodone in urine following controlled single 
dose administration. J. Anal. Toxicol, 37, 255-264.
2. Cone, E.J., Heltsley. R., Black, D.L., Mitchell, J.M., LoDico, 
C.P., Flegel, R.R, 2013. Prescription opioids. II. metabolism and 
excretion patterns of hydrocodone in urine following controlled 
single dose administration. J. Anal. Toxicol, 37, 486-494.
3. Esposito, F.M., Mitchell, J.M., Baylor, M.R., Bush, D.M, 2006. 
Influence of basic pH on federal regulated drugs in urine at room 
temperature. Poster presented at the Society of Forensic 
Toxicologists (SOFT) Annual Meeting, Austin, TX. October 2006.
4. Cone, E.J., Bigelow, G.E., Herrmann, E.S., Mitchell, J.M., 
LoDico, C., Flegel, R., Vandrey, R, 2015. Nonsmoker exposure to 
secondhand cannabis smoke. III. oral fluid and blood concentrations 
and corresponding subjective effects. J. Anal. Toxicol, 39, 497-509.
5. Hermann, E.S, Cone, E.J., Mitchell, J.M., Bigelow, G.E., LoDico, 
C., Flegel, R., Vandrey, R., 2016. Non-smoker exposure to secondhand 
cannabis smoke II: Effect of room ventilation on the physiological, 
subjective, and behavioral/cognitive effects. Drug alcohol depend, 
151, 194-202.

    Dated: January 11, 2017.
Kana Enomoto,
Acting Deputy Assistant Secretary for Mental Health and Substance Use, 
SAMHSA.
    Dated: January 11, 2017.
Sylvia M. Burwell
Secretary.

    The Mandatory Guidelines using Urine Specimens as revised are 
hereby adopted in accordance with section 503 of Public Law 100-71 and 
Executive Order 12564.

Mandatory Guidelines for Federal Workplace Drug Testing Programs Using 
Urine Specimens

Subpart A--Applicability

1.1 To whom do these Guidelines apply?
1.2 Who is responsible for developing and implementing these 
Guidelines?
1.3 How does a federal agency request a change from these 
Guidelines?
1.4 How are these Guidelines revised?
1.5 What do the terms used in these Guidelines mean?
1.6 What is an agency required to do to protect employee records?

[[Page 7936]]

1.7 What is a refusal to take a federally regulated drug test?
1.8 What are the potential consequences for refusing to take a 
federally regulated drug test?

Subpart B--Urine Specimens

2.1 What type of specimen may be collected?
2.2 Under what circumstances may a urine specimen be collected?
2.3 How is each urine specimen collected?
2.4 What volume of urine is collected?
2.5 How does the collector split the urine specimen?
2.6 When may an entity or individual release a urine specimen?

Subpart C--Urine Specimen Tests

3.1 Which tests are conducted on a urine specimen?
3.2 May a specimen be tested for additional drugs?
3.3 May any of the specimens be used for other purposes?
3.4 What are the drug test cutoff concentrations for urine?
3.5 May an HHS-certified laboratory perform additional drug and/or 
specimen validity tests on a specimen at the request of the Medical 
Review Officer (MRO)?
3.6 What criteria are used to report a urine specimen as 
adulterated?
3.7 What criteria are used to report a urine specimen as 
substituted?
3.8 What criteria are used to report a urine specimen as dilute?
3.9 What criteria are used to report an invalid result for a urine 
specimen?

Subpart D--Collectors

4.1 Who may collect a specimen?
4.2 Who may not collect a specimen?
4.3 What are the requirements to be a collector?
4.4 What are the requirements to be an observer for a direct 
observed collection?
4.5 What are the requirements to be a trainer for collectors?
4.6 What must a federal agency do before a collector is permitted to 
collect a specimen?

Subpart E--Collection Sites

5.1 Where can a collection for a drug test take place?
5.2 What are the requirements for a collection site?
5.3 Where must collection site records be stored?
5.4 How long must collection site records be stored?
5.5 How does the collector ensure the security and integrity of a 
specimen at the collection site?
5.6 What are the privacy requirements when collecting a urine 
specimen?

Subpart F--Federal Drug Testing Custody and Control Form

6.1 What federal form is used to document custody and control?
6.2 What happens if the correct OMB-approved Federal CCF is not 
available or is not used?

Subpart G--Urine Specimen Collection Containers and Bottles

7.1 What is used to collect a urine specimen?
7.2 What are the requirements for a urine collection container and 
specimen bottles?
7.3 What are the minimum performance requirements for a urine 
collection container and specimen bottles?

Subpart H--Urine Specimen Collection Procedure

8.1 What privacy must the donor be given when providing a urine 
specimen?
8.2 What must the collector ensure at the collection site before 
starting a urine specimen collection?
8.3 What are the preliminary steps in the urine specimen collection 
procedure?
8.4 What steps does the collector take in the collection procedure 
before the donor provides a urine specimen?
8.5 What steps does the collector take during and after the urine 
specimen collection procedure?
8.6 What procedure is used when the donor states that they are 
unable to provide a urine specimen?
8.7 If the donor is unable to provide a urine specimen, may another 
specimen type be collected for testing?
8.8 How does the collector prepare the urine specimens?
8.9 When is a direct observed collection conducted?
8.10 How is a direct observed collection conducted?
8.11 When is a monitored collection conducted?
8.12 How is a monitored collection conducted?
8.13 How does the collector report a donor's refusal to test?
8.14 What are a federal agency's responsibilities for a collection 
site?

Subpart I--HHS Certification of Laboratories and IITFs

9.1 Who has the authority to certify laboratories and IITFs to test 
urine specimens for federal agencies?
9.2 What is the process for a laboratory or IITF to become HHS-
certified?
9.3 What is the process for a laboratory or IITF to maintain HHS 
certification?
9.4 What is the process when a laboratory or IITF does not maintain 
its HHS certification?
9.5 What are the qualitative and quantitative specifications of 
performance testing (PT) samples?
9.6 What are the PT requirements for an applicant laboratory?
9.7 What are the PT requirements for an HHS-certified urine 
laboratory?
9.8 What are the PT requirements for an applicant IITF?
9.9 What are the PT requirements for an HHS-certified IITF?
9.10 What are the inspection requirements for an applicant 
laboratory or IITF?
9.11 What are the maintenance inspection requirements for an HHS-
certified laboratory or IITF?
9.12 Who can inspect an HHS-certified laboratory or IITF and when 
may the inspection be conducted?
9.13 What happens if an applicant laboratory or IITF does not 
satisfy the minimum requirements for either the PT program or the 
inspection program?
9.14 What happens if an HHS-certified laboratory or IITF does not 
satisfy the minimum requirements for either the PT program or the 
inspection program?
9.15 What factors are considered in determining whether revocation 
of a laboratory's or IITF's HHS certification is necessary?
9.16 What factors are considered in determining whether to suspend a 
laboratory's or an IITF's HHS certification?
9.17 How does the Secretary notify an HHS-certified laboratory or 
IITF that action is being taken against the laboratory or IITF?
9.18 May a laboratory or IITF that had its HHS certification revoked 
be recertified to test federal agency specimens?
9.19 Where is the list of HHS-certified laboratories and IITFs 
published?

Subpart J--Blind Samples Submitted by an Agency

10.1 What are the requirements for federal agencies to submit blind 
samples to HHS-certified laboratories or IITFs?
10.2 What are the requirements for blind samples?
10.3 How is a blind sample submitted to an HHS-certified laboratory 
or IITF?
10.4 What happens if an inconsistent result is reported for a blind 
sample?

Subpart K--Laboratory

11.1 What must be included in the HHS-certified laboratory's 
standard operating procedure manual?
11.2 What are the responsibilities of the responsible person (RP)?
11.3 What scientific qualifications must the RP have?
11.4 What happens when the RP is absent or leaves an HHS-certified 
laboratory?
11.5 What qualifications must an individual have to certify a result 
reported by an HHS-certified laboratory?
11.6 What qualifications and training must other personnel of an 
HHS-certified laboratory have?
11.7 What security measures must an HHS-certified laboratory 
maintain?
11.8 What are the laboratory chain of custody requirements for 
specimens and aliquots?
11.9 What test(s) does an HHS-certified laboratory conduct on a 
urine specimen received from an IITF?
11.10 What are the requirements for an initial drug test?
11.11 What must an HHS-certified laboratory do to validate an 
initial drug test?
11.12 What are the batch quality control requirements when 
conducting an initial drug test?
11.13 What are the requirements for a confirmatory drug test?
11.14 What must an HHS-certified laboratory do to validate a 
confirmatory

[[Page 7937]]

drug test?
11.15 What are the batch quality control requirements when 
conducting a confirmatory drug test?
11.16 What are the analytical and quality control requirements for 
conducting specimen validity tests?
11.17 What must an HHS-certified laboratory do to validate a 
specimen validity test?
11.18 What are the requirements for conducting each specimen 
validity test?
11.19 What are the requirements for an HHS-certified laboratory to 
report a test result?
11.20 How long must an HHS-certified laboratory retain specimens?
11.21 How long must an HHS-certified laboratory retain records?
11.22 What statistical summary reports must an HHS-certified 
laboratory provide for urine testing?
11.23 What HHS-certified laboratory information is available to a 
federal agency?
11.24 What HHS-certified laboratory information is available to a 
federal employee?
11.25 What types of relationships are prohibited between an HHS-
certified laboratory and an MRO?
11.26 What type of relationship can exist between an HHS-certified 
laboratory and an HHS-certified IITF?

Subpart L--Instrumented Initial Test Facility (IITF)

12.1 What must be included in the HHS-certified IITF's standard 
operating procedure manual?
12.2 What are the responsibilities of the responsible technician 
(RT)?
12.3 What qualifications must the RT have?
12.4 What happens when the RT is absent or leaves an HHS-certified 
IITF?
12.5 What qualifications must an individual have to certify a result 
reported by an HHS-certified IITF?
12.6 What qualifications and training must other personnel of an 
HHS-certified IITF have?
12.7 What security measures must an HHS-certified IITF maintain?
12.8 What are the IITF chain of custody requirements for specimens 
and aliquots?
12.9 What are the requirements for an initial drug test?
12.10 What must an HHS-certified IITF do to validate an initial drug 
test?
12.11 What are the batch quality control requirements when 
conducting an initial drug test?
12.12 What are the analytical and quality control requirements for 
conducting specimen validity tests?
12.13 What must an HHS-certified IITF do to validate a specimen 
validity test?
12.14 What are the requirements for conducting each specimen 
validity test?
12.15 What are the requirements for an HHS-certified IITF to report 
a test result?
12.16 How does an HHS-certified IITF handle a specimen that tested 
positive, adulterated, substituted, or invalid at the IITF?
12.17 How long must an HHS-certified IITF retain a specimen?
12.18 How long must an HHS-certified IITF retain records?
12.19 What statistical summary report must an HHS-certified IITF 
provide?
12.20 What HHS-certified IITF information is available to a federal 
employee?
12.21 What types of relationships are prohibited between an HHS-
certified IITF and an MRO?
12.22 What type of relationship can exist between an HHS-certified 
IITF and an HHS-certified laboratory?

Subpart M--Medical Review Officer (MRO)

13.1 Who may serve as an MRO?
13.2 How are nationally recognized entities or subspecialty boards 
that certify MROs approved?
13.3 What training is required before a physician may serve as an 
MRO?
13.4 What are the responsibilities of an MRO?
13.5 What must an MRO do when reviewing a urine specimen's test 
results?
13.6 What action does the MRO take when the collector reports that 
the donor did not provide a sufficient amount of urine for a drug 
test?
13.7 What happens when an individual is unable to provide a 
sufficient amount of urine for a federal agency applicant/pre-
employment test, a follow-up test, or a return-to-duty test because 
of a permanent or long-term medical condition?
13.8 Who may request a test of a split (B) specimen?
13.9 How does an MRO report a primary (A) specimen test result to an 
agency?
13.10 What types of relationships are prohibited between an MRO and 
an HHS-certified laboratory or an HHS-certified IITF?

Subpart N--Split Specimen Tests

14.1 When may a split (B) specimen be tested?
14.2 How does an HHS-certified laboratory test a split (B) specimen 
when the primary (A) specimen was reported positive?
14.3 How does an HHS-certified laboratory test a split (B) urine 
specimen when the primary (A) specimen was reported adulterated?
14.4 How does an HHS-certified laboratory test a split (B) urine 
specimen when the primary (A) specimen was reported substituted?
14.5 Who receives the split (B) specimen result?
14.6 What action(s) does an MRO take after receiving the split (B) 
urine specimen result from the second HHS-certified laboratory?
14.7 How does an MRO report a split (B) specimen test result to an 
agency?
14.8 How long must an HHS-certified laboratory retain a split (B) 
specimen?

Subpart O--Criteria for Rejecting a Specimen for Testing

15.1 What discrepancies require an HHS-certified laboratory or an 
HHS-certified IITF to report a specimen as rejected for testing?
15.2 What discrepancies require an HHS-certified laboratory or an 
HHS-certified IITF to report a specimen as rejected for testing 
unless the discrepancy is corrected?
15.3 What discrepancies are not sufficient to require an HHS-
certified laboratory or an HHS-certified IITF to reject a urine 
specimen for testing or an MRO to cancel a test?
15.4 What discrepancies may require an MRO to cancel a test?

Subpart P--Laboratory or IITF Suspension/Revocation Procedures

16.1 When may the HHS certification of a laboratory or IITF be 
suspended?
16.2 What definitions are used for this subpart?
16.3 Are there any limitations on issues subject to review?
16.4 Who represents the parties?
16.5 When must a request for informal review be submitted?
16.6 What is an abeyance agreement?
16.7 What procedures are used to prepare the review file and written 
argument?
16.8 When is there an opportunity for oral presentation?
16.9 Are there expedited procedures for review of immediate 
suspension?
16.10 Are any types of communications prohibited?
16.11 How are communications transmitted by the reviewing official?
16.12 What are the authority and responsibilities of the reviewing 
official?
16.13 What administrative records are maintained?
16.14 What are the requirements for a written decision?
16.15 Is there a review of the final administrative action?

Subpart A--Applicability

Section 1.1 To whom do these Guidelines apply?

    (a) These Guidelines apply to:
    (1) Executive Agencies as defined in 5 U.S.C. 105;
    (2) The Uniformed Services, as defined in 5 U.S.C. 2101(3) (but 
excluding the Armed Forces as defined in 5 U.S.C. 2101(2));
    (3) Any other employing unit or authority of the federal government 
except the United States Postal Service, the Postal Rate Commission, 
and employing units or authorities in the Judicial and Legislative 
Branches; and
    (4) The Intelligence Community, as defined by Executive Order 
12333, is subject to these Guidelines only to the extent agreed to by 
the head of the affected agency;
    (5) Laboratories and instrumented initial test facilities (IITFs) 
that provide drug testing services to the federal agencies;
    (6) Collectors who provide specimen collection services to the 
federal agencies; and

[[Page 7938]]

    (7) Medical Review Officers (MROs) who provide drug testing review 
and interpretation of results services to the federal agencies.
    (b) These Guidelines do not apply to drug testing under authority 
other than Executive Order 12564, including testing of persons in the 
criminal justice system, such as arrestees, detainees, probationers, 
incarcerated persons, or parolees.\1\
---------------------------------------------------------------------------

    \1\ The NRC-related information in this notice pertains to 
individuals subject to drug testing conducted pursuant to 10 CFR 
part 26, ``Fitness for Duty Programs'' (i.e., employees of certain 
NRC-regulated entities).
    Although HHS has no authority to regulate the transportation 
industry, the Department of Transportation (DOT) does have such 
authority. DOT is required by law to develop requirements for its 
regulated industry that ``incorporate the Department of Health and 
Human Services scientific and technical guidelines dated April 11, 
1988, and any amendments to those guidelines . . .'' See 49 U.S.C. 
20140(c)(2). In carrying out its mandate, DOT requires by regulation 
at 49 CFR part 40 that its federally-regulated employers use only 
HHS-certified laboratories in the testing of employees, 49 CFR 
40.81, and incorporates the scientific and technical aspects of the 
HHS Mandatory Guidelines.
---------------------------------------------------------------------------

Section 1.2 Who is responsible for developing and implementing these 
Guidelines?

    (a) Executive Order 12564 and Public Law 100-71 require the 
Department of Health and Human Services (HHS) to establish scientific 
and technical guidelines for federal workplace drug testing programs.
    (b) The Secretary has the responsibility to implement these 
Guidelines.

Section 1.3 How does a federal agency request a change from these 
Guidelines?

    (a) Each federal agency must ensure that its workplace drug testing 
program complies with the provisions of these Guidelines unless a 
waiver has been obtained from the Secretary.
    (b) To obtain a waiver, a federal agency must submit a written 
request to the Secretary that describes the specific change for which a 
waiver is sought and a detailed justification for the change.

Section 1.4 How are these Guidelines revised?

    (a) To ensure the full reliability and accuracy of specimen tests, 
the accurate reporting of test results, and the integrity and efficacy 
of federal drug testing programs, the Secretary may make changes to 
these Guidelines to reflect improvements in the available science and 
technology.
    (b) The changes will be published in final as a notice in the 
Federal Register.

Section 1.5 What do the terms used in these Guidelines mean?

    The following definitions are adopted:
    Accessioner. The individual who signs the Federal Drug Testing 
Custody and Control Form at the time of specimen receipt at the HHS-
certified laboratory or (for urine) the HHS-certified IITF.
    Adulterated Specimen. A specimen that has been altered, as 
evidenced by test results showing either a substance that is not a 
normal constituent for that type of specimen or showing an abnormal 
concentration of an endogenous substance.
    Aliquot. A portion of a specimen used for testing.
    Alternate Responsible Person. The person who assumes professional, 
organizational, educational, and administrative responsibility for the 
day-to-day management of the HHS-certified laboratory when the 
responsible person is unable to fulfill these obligations.
    Alternate Responsible Technician. The person who assumes 
professional, organizational, educational, and administrative 
responsibility for the day-to-day management of the HHS-certified IITF 
when the responsible technician is unable to fulfill these obligations.
    Alternate Technology Initial Drug Test. An initial drug test using 
technology other than immunoassay to differentiate negative specimens 
from those requiring further testing.
    Batch. A number of specimens or aliquots handled concurrently as a 
group.
    Biomarker. An endogenous substance used to validate a biological 
specimen.
    Blind Sample. A sample submitted to an HHS-certified test facility 
for quality assurance purposes, with a fictitious identifier, so that 
the test facility cannot distinguish it from a donor specimen.
    Calibrator. A sample of known content and analyte concentration 
prepared in the appropriate matrix used to define expected outcomes of 
a testing procedure. The test result of the calibrator is verified to 
be within established limits prior to use.
    Cancelled Test. The result reported by the MRO to the federal 
agency when a specimen has been reported to the MRO as an invalid 
result (and the donor has no legitimate explanation) or rejected for 
testing, when a split specimen fails to reconfirm, or when the MRO 
determines that a fatal flaw or unrecovered correctable flaw exists in 
the forensic records (as described in Sections 15.1 and 15.2).
    Carryover. The effect that occurs when a sample result (e.g., drug 
concentration) is affected by a preceding sample during the preparation 
or analysis of a sample.
    Certifying Scientist (CS). The individual responsible for verifying 
the chain of custody and scientific reliability of a test result 
reported by an HHS-certified laboratory.
    Certifying Technician (CT). The individual responsible for 
verifying the chain of custody and scientific reliability of negative, 
rejected for testing, and (for urine) negative/dilute results reported 
by an HHS-certified laboratory or (for urine) an HHS-certified IITF.
    Chain of Custody (COC) Procedures. Procedures that document the 
integrity of each specimen or aliquot from the point of collection to 
final disposition.
    Chain of Custody Documents. Forms used to document the control and 
security of the specimen and all aliquots. The document may account for 
an individual specimen, aliquot, or batch of specimens/aliquots and 
must include the name and signature of each individual who handled the 
specimen(s) or aliquot(s) and the date and purpose of the handling.
    Collection Container. A receptacle used to collect a urine 
specimen.
    Collection Site. The location where specimens are collected.
    Collector. A person trained to instruct and assist a donor in 
providing a specimen.
    Confirmatory Drug Test. A second analytical procedure performed on 
a separate aliquot of a specimen to identify and quantify a specific 
drug or drug metabolite.
    Confirmatory Specimen Validity Test. A second test performed on a 
separate aliquot of a specimen to further support a specimen validity 
test result.
    Control. A sample used to evaluate whether an analytical procedure 
or test is operating within predefined tolerance limits.
    Cutoff. The analytical value (e.g., drug or drug metabolite 
concentration) used as the decision point to determine a result (e.g., 
negative, positive, adulterated, invalid, or, for urine, substituted) 
or the need for further testing.
    Dilute Specimen. A urine specimen with creatinine and specific 
gravity values that are lower than expected but are still within the 
physiologically producible ranges of human urine.
    Donor. The individual from whom a specimen is collected.
    External Service Provider. An independent entity that performs 
services related to federal workplace drug testing on behalf of a 
federal agency, a collector/collection site, an

[[Page 7939]]

HHS[hyphen]certified laboratory, a Medical Review Officer (MRO), or, 
for urine, an HHS[hyphen]certified Instrumented Initial Test Facility 
(IITF).
    Failed to Reconfirm. The result reported for a split (B) specimen 
when a second HHS-certified laboratory is unable to corroborate the 
result reported for the primary (A) specimen.
    Federal Drug Testing Custody and Control Form (Federal CCF). The 
Office of Management and Budget (OMB) approved form that is used to 
document the collection and chain of custody of a specimen from the 
time the specimen is collected until it is received by the test 
facility (i.e., HHS-certified laboratory or, for urine, HHS-certified 
IITF). It may be a paper (hardcopy), electronic, or combination 
electronic and paper format (hybrid). The form may also be used to 
report the test result to the Medical Review Officer.
    Gender Identity. Gender identity means an individual's internal 
sense of being male or female, which may be different from an 
individual's sex assigned at birth.
    HHS. The Department of Health and Human Services.
    Initial Drug Test. An analysis used to differentiate negative 
specimens from those requiring further testing.
    Initial Specimen Validity Test. The first analysis used to 
determine if a specimen is invalid, adulterated, or (for urine) diluted 
or substituted.
    Instrumented Initial Test Facility (IITF). A permanent location 
where (for urine) initial testing, reporting of results, and 
recordkeeping are performed under the supervision of a responsible 
technician.
    Invalid Result. The result reported by an HHS-certified laboratory 
in accordance with the criteria established in Section 3.9 when a 
positive, negative, adulterated, or substituted result cannot be 
established for a specific drug or specimen validity test.
    Laboratory. A permanent location where initial and confirmatory 
drug testing, reporting of results, and recordkeeping are performed 
under the supervision of a responsible person.
    Limit of Detection. The lowest concentration at which the analyte 
(e.g., drug or drug metabolite) can be identified.
    Limit of Quantification. For quantitative assays, the lowest 
concentration at which the identity and concentration of the analyte 
(e.g., drug or drug metabolite) can be accurately established.
    Lot. A number of units of an item (e.g., reagents, quality control 
material) manufactured from the same starting materials within a 
specified period of time for which the manufacturer ensures that the 
items have essentially the same performance characteristics and 
expiration date.
    Medical Review Officer (MRO). A licensed physician who reviews, 
verifies, and reports a specimen test result to the federal agency.
    Negative Result. The result reported by an HHS-certified laboratory 
or (for urine) an HHS-certified IITF to an MRO when a specimen contains 
no drug and/or drug metabolite; or the concentration of the drug or 
drug metabolite is less than the cutoff for that drug or drug class.
    Oral Fluid Specimen. An oral fluid specimen is collected from the 
donor's oral cavity and is a combination of physiological fluids 
produced primarily by the salivary glands.
    Oxidizing Adulterant. A substance that acts alone or in combination 
with other substances to oxidize drug or drug metabolites to prevent 
the detection of the drugs or drug metabolites, or affects the reagents 
in either the initial or confirmatory drug test.
    Performance Testing (PT) Sample. A program-generated sample sent to 
a laboratory or (for urine) to an IITF to evaluate performance.
    Positive Result. The result reported by an HHS-certified laboratory 
when a specimen contains a drug or drug metabolite equal to or greater 
than the confirmation cutoff concentration.
    Reconfirmed. The result reported for a split (B) specimen when the 
second HHS-certified laboratory corroborates the original result 
reported for the primary (A) specimen.
    Rejected for Testing. The result reported by an HHS-certified 
laboratory or (for urine) HHS-certified IITF when no tests are 
performed on a specimen because of a fatal flaw or an unrecovered 
correctable error (see Sections 15.1 and 15.2).
    Responsible Person (RP). The person who assumes professional, 
organizational, educational, and administrative responsibility for the 
day-to-day management of an HHS-certified laboratory.
    Responsible Technician (RT). The person who assumes professional, 
organizational, educational, and administrative responsibility for the 
day-to-day management of an HHS-certified IITF.
    Sample. A performance testing sample, calibrator or control used 
during testing, or a representative portion of a donor's specimen.
    Secretary. The Secretary of the U.S. Department of Health and Human 
Services.
    Specimen. Fluid or material collected from a donor at the 
collection site for the purpose of a drug test.
    Split Specimen Collection (for Urine). A collection in which the 
specimen collected is divided into a primary (A) specimen and a split 
(B) specimen, which are independently sealed in the presence of the 
donor.
    Standard. Reference material of known purity or a solution 
containing a reference material at a known concentration.
    Substituted Specimen. A specimen that has been submitted in place 
of the donor's urine, as evidenced by creatinine and specific gravity 
values that are outside the physiologically producible ranges of human 
urine.

Section 1.6 What is an agency required to do to protect employee 
records?

    Consistent with 5 U.S.C. 552a and 48 CFR 24.101-24.104, all agency 
contracts with laboratories, IITFs, collectors, and MROs must require 
that they comply with the Privacy Act, 5 U.S.C. 552a. In addition, the 
contracts must require compliance with employee access and 
confidentiality provisions of Section 503 of Public Law 100-71. Each 
federal agency must establish a Privacy Act System of Records or modify 
an existing system or use any applicable Government-wide system of 
records to cover the records of employee drug test results. All 
contracts and the Privacy Act System of Records must specifically 
require that employee records be maintained and used with the highest 
regard for employee privacy.
    The Health Insurance Portability and Accountability Act of 1996 
(HIPAA) Privacy Rule (Rule), 45 CFR parts 160 and 164, Subparts A and 
E, may be applicable to certain health care providers with whom a 
federal agency may contract. If a health care provider is a HIPAA 
covered entity, the provider must protect the individually identifiable 
health information it maintains in accordance with the requirements of 
the Rule, which includes not using or disclosing the information except 
as permitted by the Rule and ensuring there are reasonable safeguards 
in place to protect the privacy of the information. For more 
information regarding the HIPAA Privacy Rule, please visit http://www.hhs.gov/ocr/hipaa.

Section 1.7 What is a refusal to take a federally regulated drug test?

    (a) As a donor for a federally regulated drug test, you have 
refused to take a federally regulated drug test if you:
    (1) Fail to appear for any test (except a pre-employment test) 
within a

[[Page 7940]]

reasonable time, as determined by the federal agency, consistent with 
applicable agency regulations, after being directed to do so by the 
federal agency;
    (2) Fail to remain at the collection site until the collection 
process is complete with the exception of a donor who leaves the 
collection site before the collection process begins for a pre-
employment test as described in section 8.4(a);
    (3) Fail to provide a specimen (e.g., urine or another authorized 
specimen type) for any drug test required by these Guidelines or 
federal agency regulations with the exception of a donor who leaves the 
collection site before the collection process begins for a pre-
employment test as described in section 8.4(a);
    (4) In the case of a direct observed or monitored collection, fail 
to permit the observation or monitoring of your provision of a specimen 
when required as described in Sections 8.9 and 8.10;
    (5) Fail to provide a sufficient amount of urine when directed, and 
it has been determined, through a required medical evaluation, that 
there was no legitimate medical explanation for the failure as 
determined by the process described in Section 13.6;
    (6) Fail or decline to participate in an alternate specimen 
collection (e.g., oral fluid) as directed by the federal agency or 
collector (i.e., as described in Section 8.6);
    (7) Fail to undergo a medical examination or evaluation, as 
directed by the MRO as part of the verification process (i.e., Section 
13.6) or as directed by the federal agency. In the case of a federal 
agency applicant/pre-employment drug test, the donor is deemed to have 
refused to test on this basis only if the federal agency applicant/pre-
employment test is conducted following a contingent offer of 
employment. If there was no contingent offer of employment, the MRO 
will cancel the test;
    (8) Fail to cooperate with any part of the testing process (e.g., 
refuse to empty pockets when directed by the collector, disrupt the 
collection process, fail to wash hands after being directed to do so by 
the collector);
    (9) For an observed collection, fail to follow the observer's 
instructions related to the collection process;
    (10) Bring materials to the collection site for the purpose of 
adulterating, substituting, or diluting the specimen;
    (11) Attempt to adulterate, substitute, or dilute the specimen;
    (12) Possess or wear a prosthetic or other device that could be 
used to interfere with the collection process; or
    (13) Admit to the collector or MRO that you have adulterated or 
substituted the specimen.

Section 1.8 What are the potential consequences for refusing to take a 
federally regulated drug test?

    (a) As a federal agency employee or applicant, a refusal to take a 
test may result in the initiation of disciplinary or adverse action, up 
to and including removal from, or non-selection for, federal 
employment.
    (b) When a donor has refused to participate in a part of the 
collection process, including failing to appear in a reasonable time 
for any test except a pre-employment test as described in Section 
1.7(a)(1), the collector must terminate the collection process and take 
action as described in Section 8.13. Required action includes 
immediately notifying the federal agency's designated representative by 
any means (e.g., telephone or secure fax machine) that ensures that the 
refusal notification is immediately received and, if a Federal CCF has 
been initiated, documenting the refusal on the Federal CCF, signing and 
dating the Federal CCF, and sending all copies of the Federal CCF to 
the federal agency's designated representative.
    (c) When documenting a refusal to test during the verification 
process as described in Sections 13.4, 13.5, and 13.6, the MRO must 
complete the MRO copy of the Federal CCF to include:
    (1) Checking the refusal to test box;
    (2) Providing a reason for the refusal in the remarks line; and
    (3) Signing and dating the MRO copy of the Federal CCF.

Subpart B--Urine Specimens

Section 2.1 What type of specimen may be collected?

    A federal agency may collect urine and/or an alternate specimen 
type for its workplace drug testing program. Only specimen types 
authorized by Mandatory Guidelines for Federal Workplace Drug Testing 
Programs may be collected. An agency using urine must follow these 
Guidelines.

Section 2.2 Under what circumstances may a urine specimen be collected?

    A federal agency may collect a urine specimen for the following 
reasons:
    (a) Federal agency applicant/Pre-employment test;
    (b) Random test;
    (c) Reasonable suspicion/cause test;
    (d) Post accident test;
    (e) Return to duty test; or
    (f) Follow-up test.

Section 2.3 How is each urine specimen collected?

    Each urine specimen is collected as a split specimen as described 
in Section 2.5.

Section 2.4 What volume of urine is collected?

    A donor is expected to provide at least 45 mL of urine for a 
specimen.

Section 2.5 How does the collector split the urine specimen?

    The collector pours at least 30 mL into a specimen bottle that is 
designated as A (primary) and then pours at least 15 mL into a specimen 
bottle that is designated as B (split).

Section 2.6 When may an entity or individual release a urine specimen?

    Entities and individuals subject to these Guidelines under Section 
1.1 may not release specimens collected pursuant to Executive Order 
12564, Public Law 100-71, and these Guidelines to donors or their 
designees. Specimens also may not be released to any other entity or 
individual unless expressly authorized by these Guidelines or by 
applicable federal law. This section does not prohibit a donor's 
request to have a split (B) specimen tested in accordance with Section 
13.8.

Subpart C--Urine Drug and Specimen Validity Tests

Section 3.1 Which tests are conducted on a urine specimen?

    A federal agency:
    (a) Must ensure that each specimen is tested for marijuana and 
cocaine metabolites as provided under Section 3.4;
    (b) Is authorized to test each specimen for opioids, amphetamines, 
and phencyclidine, as provided under Section 3.4; and
    (c) Must ensure that the following specimen validity tests are 
conducted on each urine specimen:
    (1) Determine the creatinine concentration on every specimen;
    (2) Determine the specific gravity on every specimen for which the 
creatinine concentration is less than 20 mg/dL;
    (3) Determine the pH on every specimen; and
    (4) Perform one or more specimen validity tests for oxidizing 
adulterants on every specimen.
    (d) If a specimen exhibits abnormal characteristics (e.g., unusual 
odor or color, semi-solid characteristics), causes reactions or 
responses characteristic of an adulterant during initial or 
confirmatory drug tests (e.g., non-recovery of internal standard, 
unusual

[[Page 7941]]

response), or contains an unidentified substance that interferes with 
the confirmatory analysis, then additional testing may be performed.

Section 3.2 May a specimen be tested for additional drugs?

    (a) On a case-by-case basis, a specimen may be tested for 
additional drugs, if a federal agency is conducting the collection for 
reasonable suspicion or post accident testing. A specimen collected 
from a federal agency employee may be tested by the federal agency for 
any drugs listed in Schedule I or II of the Controlled Substances Act. 
The federal agency must request the HHS-certified laboratory to test 
for the additional drug, include a justification to test a specific 
specimen for the drug, and ensure that the HHS-certified laboratory has 
the capability to test for the drug and has established properly 
validated initial and confirmatory analytical methods. If an initial 
test procedure is not available upon request for a suspected Schedule I 
or Schedule II drug, the federal agency can request an HHS-certified 
laboratory to test for the drug by analyzing two separate aliquots of 
the specimen in two separate testing batches using the confirmatory 
analytical method. Additionally, the split (B) specimen will be 
available for testing if the donor requests a retest at another HHS-
certified laboratory.
    (b) A federal agency covered by these Guidelines must petition the 
Secretary in writing for approval to routinely test for any drug class 
not listed in Section 3.1. Such approval must be limited to the use of 
the appropriate science and technology and must not otherwise limit 
agency discretion to test for any drug tested under paragraph (a) of 
this section.

Section 3.3 May any of the specimens be used for other purposes?

    (a) Specimens collected pursuant to Executive Order 12564, Public 
Law 100-71, and these Guidelines must only be tested for drugs and to 
determine their validity in accordance with Subpart C of these 
Guidelines. Use of specimens by donors, their designees, or any other 
entity, for other purposes (e.g., deoxyribonucleic acid, DNA, testing) 
is prohibited unless authorized in accordance with applicable federal 
law.
    (b) These Guidelines are not intended to prohibit federal agencies 
specifically authorized by law to test a specimen for additional 
classes of drugs in its workplace drug testing program.

Section 3.4 What are the drug test cutoff concentrations for urine?

----------------------------------------------------------------------------------------------------------------
                                                                   Confirmatory test        Confirmatory test
         Initial test analyte          Initial test cutoff \1\          analyte            cutoff concentration
----------------------------------------------------------------------------------------------------------------
Marijuana metabolites (THCA) \2\.....  50 ng/mL \3\...........  THCA...................  15 ng/mL.
Cocaine metabolite (Benzoylecgonine).  150 ng/mL \3\..........  Benzoylecgonine........  100 ng/mL.
Codeine/Morphine.....................  2,000 ng/mL............  Codeine................  2,000 ng/mL.
                                                                Morphine...............  2,000 ng/mL.
Hydrocodone/Hydromorphone............  300 ng/mL..............  Hydrocodone............  100 ng/mL.
                                                                Hydromorphone..........  100 ng/mL.
Oxycodone/Oxymorphone................  100 ng/mL..............  Oxycodone..............  100 ng/mL.
                                                                Oxymorphone............  100 ng/mL.
6-Acetylmorphine.....................  10 ng/mL...............  6-Acetylmorphine.......  10 ng/mL.
Phencyclidine........................  25 ng/mL...............  Phencyclidine..........  25 ng/mL.
Amphetamine/Methamphetamine..........  500 ng/mL..............  Amphetamine............  250 ng/mL.
                                                                Methamphetamine........  250 ng/mL.
MDMA \4\/MDA \5\.....................  500 ng/mL..............  MDMA...................  250 ng/mL.
                                                                MDA....................  250 ng/mL.
----------------------------------------------------------------------------------------------------------------
\1\ For grouped analytes (i.e., two or more analytes that are in the same drug class and have the same initial
  test cutoff):
Immunoassay: The test must be calibrated with one analyte from the group identified as the target analyte. The
  cross-reactivity of the immunoassay to the other analyte(s) within the group must be 80 percent or greater; if
  not, separate immunoassays must be used for the analytes within the group.
Alternate technology: Either one analyte or all analytes from the group must be used for calibration, depending
  on the technology. At least one analyte within the group must have a concentration equal to or greater than
  the initial test cutoff or, alternatively, the sum of the analytes present (i.e., equal to or greater than the
  laboratory's validated limit of quantification) must be equal to or greater than the initial test cutoff.
\2\ An immunoassay must be calibrated with the target analyte, [Delta]-9-tetrahydrocannabinol-9-carboxylic acid
  (THCA).
\3\ Alternate technology (THCA and benzoylecgonine): The confirmatory test cutoff must be used for an alternate
  technology initial test that is specific for the target analyte (i.e., 15 ng/mL for THCA, 100 ng/mL for
  benzoylecgonine).
\4\ Methylenedioxymethamphetamine (MDMA).
\5\ Methylenedioxyamphetamine (MDA).

Section 3.5 May an HHS-certified laboratory perform additional drug 
and/or specimen validity tests on a specimen at the request of the 
Medical Review Officer (MRO)?

    An HHS-certified laboratory is authorized to perform additional 
drug and/or specimen validity tests on a case-by-case basis as 
necessary to provide information that the MRO would use to report a 
verified drug test result (e.g., tetrahydrocannabivarin, specimen 
validity tests using biomarkers). An HHS-certified laboratory is not 
authorized to routinely perform additional drug and/or specimen 
validity tests at the request of an MRO without prior authorization 
from the Secretary or designated HHS representative, with the exception 
of the determination of D,L stereoisomers of amphetamine and 
methamphetamine. All tests must meet appropriate validation and quality 
control requirements in accordance with these Guidelines.

Section 3.6 What criteria are used to report a urine specimen as 
adulterated?

    An HHS-certified laboratory reports a primary (A) specimen as 
adulterated when:
    (a) The pH is less than 4 or equal to or greater than 11 using 
either a pH meter or a colorimetric pH test for the initial test on the 
first aliquot and a pH meter for the confirmatory test on the second 
aliquot;
    (b) The nitrite concentration is equal to or greater than 500 mcg/
mL using either a nitrite colorimetric test or a general oxidant 
colorimetric test for the initial test on the first aliquot and a 
different confirmatory test (e.g., multi-wavelength spectrophotometry, 
ion chromatography, capillary electrophoresis) on the second aliquot;

[[Page 7942]]

    (c) The presence of chromium (VI) is verified using either a 
general oxidant colorimetric test (with an equal to or greater than 50 
mcg/mL chromium (VI)-equivalent cutoff) or a chromium (VI) colorimetric 
test (chromium (VI) concentration equal to or greater than 50 mcg/mL) 
for the initial test on the first aliquot and a different confirmatory 
test (e.g., multi-wavelength spectrophotometry, ion chromatography, 
atomic absorption spectrophotometry, capillary electrophoresis, 
inductively coupled plasma-mass spectrometry) with the chromium (VI) 
concentration equal to or greater than the limit of quantitation (LOQ) 
of the confirmatory test on the second aliquot;
    (d) The presence of halogen (e.g., bleach, iodine, fluoride) is 
verified using either a general oxidant colorimetric test (with an 
equal to or great than 200 mcg/mL nitrite-equivalent cutoff or an equal 
to or great than 50 mcg/mL chromium (VI)-equivalent cutoff) or halogen 
colorimetric test (halogen concentration equal to or greater than the 
LOQ) for the initial test on the first aliquot and a different 
confirmatory test (e.g., multi-wavelength spectrophotometry, ion 
chromatography, inductively coupled plasma-mass spectrometry) with a 
specific halogen concentration equal to or greater than the LOQ of the 
confirmatory test on the second aliquot;
    (e) The presence of glutaraldehyde is verified using either an 
aldehyde test (aldehyde present) or the characteristic immunoassay 
response on one or more drug immunoassay tests for the initial test on 
the first aliquot and a different confirmatory test (e.g., GC/MS) for 
the confirmatory test with the glutaraldehyde concentration equal to or 
greater than the LOQ of the analysis on the second aliquot;
    (f) The presence of pyridine (pyridinium chlorochromate) is 
verified using either a general oxidant colorimetric test (with an 
equal to or greater than 200 mcg/mL nitrite-equivalent cutoff or an 
equal to or greater than 50 mcg/mL chromium (VI)-equivalent cutoff) or 
a chromium (VI) colorimetric test (chromium (VI) concentration equal to 
or greater than 50 mcg/mL) for the initial test on the first aliquot 
and a different confirmatory test (e.g., GC/MS) for the confirmatory 
test with the pyridine concentration equal to or greater than the LOQ 
of the analysis on the second aliquot;
    (g) The presence of a surfactant is verified by using a surfactant 
colorimetric test with an equal to or greater than 100 mcg/mL 
dodecylbenzene sulfonate-equivalent cutoff for the initial test on the 
first aliquot and a different confirmatory test (e.g., multi-wavelength 
spectrophotometry) with an equal to or greater than 100 mcg/mL 
dodecylbenzene sulfonate-equivalent cutoff on the second aliquot; or
    (h) The presence of any other adulterant not specified in 
paragraphs (b) through (g) of this section is verified using an initial 
test on the first aliquot and a different confirmatory test on the 
second aliquot.

Section 3.7 What criteria are used to report a urine specimen as 
substituted?

    An HHS-certified laboratory reports a primary (A) specimen as 
substituted when the creatinine concentration is less than 2 mg/dL on 
both the initial and confirmatory creatinine tests on two separate 
aliquots (i.e., the same colorimetric test may be used to test both 
aliquots) and the specific gravity is less than or equal to 1.0010 or 
equal to or greater than 1.0200 on both the initial and confirmatory 
specific gravity tests on two separate aliquots (i.e., a refractometer 
is used to test both aliquots).

Section 3.8 What criteria are used to report a urine specimen as 
dilute?

    A dilute result may be reported only in conjunction with the 
positive or negative drug test results for a specimen.
    (a) An HHS-certified laboratory or an HHS-certified IITF reports a 
primary (A) specimen as dilute when the creatinine concentration is 
greater than 5 mg/dL but less than 20 mg/dL and the specific gravity is 
equal to or greater than 1.002 but less than 1.003 on a single aliquot.
    (b) In addition, an HHS-certified laboratory reports a primary (A) 
specimen as dilute when the creatinine concentration is equal to or 
greater than 2 mg/dL but less than 20 mg/dL and the specific gravity is 
greater than 1.0010 but less than 1.0030.

Section 3.9 What criteria are used to report an invalid result for a 
urine specimen?

    An HHS-certified laboratory reports a primary (A) specimen as an 
invalid result when:
    (a) Inconsistent creatinine concentration and specific gravity 
results are obtained (i.e., the creatinine concentration is less than 2 
mg/dL on both the initial and confirmatory creatinine tests and the 
specific gravity is greater than 1.0010 but less than 1.0200 on the 
initial and/or confirmatory specific gravity test, the specific gravity 
is less than or equal to 1.0010 on both the initial and confirmatory 
specific gravity tests and the creatinine concentration is equal to or 
greater than 2 mg/dL on either or both the initial or confirmatory 
creatinine tests);
    (b) The pH is equal to or greater than 4 and less than 4.5 or equal 
to or greater than 9 and less than 11 using either a colorimetric pH 
test or pH meter for the initial test and a pH meter for the 
confirmatory test on two separate aliquots;
    (c) The nitrite concentration is equal to or greater than 200 mcg/
mL using a nitrite colorimetric test or equal to or greater than the 
equivalent of 200 mcg/mL nitrite using a general oxidant colorimetric 
test for both the initial (first) test and the second test or using 
either initial test and the nitrite concentration is equal to or 
greater than 200 mcg/mL but less than 500 mcg/mL for a different 
confirmatory test (e.g., multi-wavelength spectrophotometry, ion 
chromatography, capillary electrophoresis) on two separate aliquots;
    (d) The possible presence of chromium (VI) is determined using the 
same chromium (VI) colorimetric test with a cutoff equal to or greater 
than 50 mcg/mL chromium (VI) for both the initial (first) test and the 
second test on two separate aliquots;
    (e) The possible presence of a halogen (e.g., bleach, iodine, 
fluoride) is determined using the same halogen colorimetric test with a 
cutoff equal to or greater than the LOQ for both the initial (first) 
test and the second test on two separate aliquots or relying on the 
odor of the specimen as the initial test;
    (f) The possible presence of glutaraldehyde is determined by using 
the same aldehyde test (aldehyde present) or characteristic immunoassay 
response on one or more drug immunoassay tests for both the initial 
(first) test and the second test on two separate aliquots;
    (g) The possible presence of an oxidizing adulterant is determined 
by using the same general oxidant colorimetric test (with an equal to 
or greater than 200 mcg/mL nitrite-equivalent cutoff, an equal to or 
greater than 50 mcg/mL chromium (VI)-equivalent cutoff, or a halogen 
concentration is equal to or greater than the LOQ) for both the initial 
(first) test and the second test on two separate aliquots;
    (h) The possible presence of a surfactant is determined by using 
the same surfactant colorimetric test with an equal to greater than 100 
mcg/mL dodecylbenzene sulfonate-equivalent cutoff for both the initial 
(first) test and

[[Page 7943]]

the second test on two separate aliquots or a foam/shake test for the 
initial test;
    (i) Interference occurs on the initial drug tests on two separate 
aliquots (i.e., valid immunoassay or alternate technology initial drug 
test results cannot be obtained);
    (j) Interference with the drug confirmatory assay occurs on two 
separate aliquots of the specimen and the laboratory is unable to 
identify the interfering substance;
    (k) The physical appearance of the specimen (e.g., viscosity) is 
such that testing the specimen may damage the laboratory's instruments; 
or
    (l) The specimen has been tested and the appearances of the primary 
(A) and the split (B) specimens (e.g., color) are clearly different; or
    (m) The concentration of a biomarker is not consistent with that 
established for human urine for both the initial (first) test and the 
second test on two separate aliquots.

Subpart D--Collectors

Section 4.1 Who may collect a specimen?

    (a) A collector who has been trained to collect urine specimens in 
accordance with these Guidelines.
    (b) The immediate supervisor of a federal employee donor may only 
collect that donor's specimen when no other collector is available. The 
supervisor must be a trained collector.
    (c) The hiring official of a federal agency applicant may only 
collect that federal agency applicant's specimen when no other 
collector is available. The hiring official must be a trained 
collector.

Section 4.2 Who may not collect a specimen?

    (a) A federal agency employee who is in a testing designated 
position and subject to the federal agency drug testing rules must not 
be a collector for co-workers in the same testing pool or who work 
together with that employee on a daily basis.
    (b) A federal agency applicant or employee must not collect their 
own drug testing specimen.
    (c) An employee working for an HHS-certified laboratory or IITF 
must not act as a collector if the employee could link the identity of 
the donor to the donor's drug test result.
    (d) To avoid a potential conflict of interest, a collector must not 
be related to the employee (e.g., spouse, ex-spouse, relative) or a 
close personal friend (e.g., fianc[eacute]e).

Section 4.3 What are the requirements to be a collector?

    (a) An individual may serve as a collector if they fulfill the 
following conditions:
    (1) Is knowledgeable about the collection procedure described in 
these Guidelines;
    (2) Is knowledgeable about any guidance provided by the federal 
agency's Drug-Free Workplace Program and additional information 
provided by the Secretary relating to these Guidelines;
    (3) Is trained and qualified to collect a urine specimen. Training 
must include the following:
    (i) All steps necessary to complete a urine collection;
    (ii) Completion and distribution of the Federal CCF;
    (iii) Problem collections;
    (iv) Fatal flaws, correctable flaws, and how to correct problems in 
collections; and
    (v) The collector's responsibility for maintaining the integrity of 
the collection process, ensuring the privacy of the donor, ensuring the 
security of the specimen, and avoiding conduct or statements that could 
be viewed as offensive or inappropriate.
    (4) Has demonstrated proficiency in collections by completing five 
consecutive error-free mock collections.
    (i) The five mock collections must include one uneventful 
collection scenario, one insufficient specimen quantity scenario, one 
temperature out of range scenario, one scenario in which the donor 
refuses to sign the Federal CCF, and one scenario in which the donor 
refuses to initial the specimen bottle tamper-evident seal.
    (ii) A qualified trainer for collectors must monitor and evaluate 
the individual being trained, in person or by a means that provides 
real-time observation and interaction between the trainer and the 
trainee, and the trainer must attest in writing that the mock 
collections are error-free.
    (b) A trained collector must complete refresher training at least 
every five years that includes the requirements in paragraph (a) of 
this section.
    (c) The collector must maintain the documentation of their training 
and provide that documentation to a federal agency when requested.
    (d) An individual may not collect specimens for a federal agency 
until the individual's training as a collector has been properly 
documented.

Section 4.4 What are the requirements to be an observer for a direct 
observed collection?

    (a) An individual may serve as an observer for a direct observed 
collection when the individual has satisfied the requirements:
    (1) Is knowledgeable about the direct observed collection procedure 
described in Section 8.9 of these Guidelines;
    (2) Is knowledgeable about any guidance provided by the federal 
agency's Drug-Free Workplace Program or additional information provided 
by the Secretary relating to the direct observed collection procedure 
described in these Guidelines;
    (3) Has received training on the following subjects:
    (i) All steps necessary to perform a direct observed collection; 
and
    (ii) The observer's responsibility for maintaining the integrity of 
the collection process, ensuring the privacy of individuals being 
tested, ensuring that the observation is done in a professional manner 
that minimizes the discomfort to the employee so observed, ensuring the 
security of the specimen by maintaining visual contact with the 
collection container until it is delivered to the collector, and 
avoiding conduct or statements that could be viewed as offensive or 
inappropriate.
    (b) The gender of the observer must be the same as the donor's 
gender, which is determined by the donor's gender identity. The 
observer selection process is described in Section 8.10(b).
    (c) The observer is not required to be a trained collector.

Section 4.5 What are the requirements to be a trainer for collectors?

    (a) Individuals are considered qualified trainers for collectors 
and may train others to collect urine specimens when they have 
completed the following:
    (1) Qualified as a trained collector and regularly conducted urine 
drug test collections for a period of at least one year or
    (2) Completed a ``train the trainer'' course given by an 
organization (e.g., manufacturer, private entity, contractor, federal 
agency).
    (b) A qualified trainer for collectors must complete refresher 
training at least every five years in accordance with the collector 
requirements in Section 4.3(a).
    (c) A qualified trainer for collectors must maintain the 
documentation of the trainer's training and provide that documentation 
to a federal agency when requested.

[[Page 7944]]

Section 4.6 What must a federal agency do before a collector is 
permitted to collect a specimen?

    A federal agency must ensure the following:
    (a) The collector has satisfied the requirements described in 
Section 4.3;
    (b) The collector, who may be self-employed, or an organization 
(e.g., third party administrator that provides a collection service, 
collector training company, federal agency that employs its own 
collectors) maintains a copy of the training record(s); and
    (c) The collector has been provided the name and telephone number 
of the federal agency representative.

Subpart E--Collection Sites

Section 5.1 Where can a collection for a drug test take place?

    (a) A collection site may be a permanent or temporary facility 
located either at the work site or at a remote site.
    (b) In the event that an agency-designated collection site is not 
accessible and there is an immediate requirement to collect a urine 
specimen (e.g., an accident investigation), a public restroom may be 
used for the collection, using the procedures for a monitored 
collection described in Section 8.12.

Section 5.2 What are the requirements for a collection site?

    The facility used as a collection site must have the following:
    (a) Provisions to ensure donor privacy during the collection (as 
described in Section 8.1);
    (b) A suitable and clean surface area that is not accessible to the 
donor for handling the specimens and completing the required paperwork;
    (c) A secure temporary storage area to maintain specimens until the 
specimen is transferred to an HHS-certified laboratory or IITF;
    (d) A restricted access area where only authorized personnel may be 
present during the collection;
    (e) A restricted access area for the storage of collection 
supplies;
    (f) The ability to store records securely; and
    (g) The ability to restrict the donor access to potential diluents 
in accordance with Section 8.2.

Section 5.3 Where must collection site records be stored?

    Collection site records must be stored at a secure site designated 
by the collector or the collector's employer.

Section 5.4 How long must collection site records be stored?

    Collection site records (e.g., collector copies of the OMB-approved 
Federal CCF) must be stored securely for a minimum of 2 years. The 
collection site may convert hardcopy records to electronic records for 
storage and discard the hardcopy records after 6 months.

Section 5.5 How does the collector ensure the security and integrity of 
a specimen at the collection site?

    (a) A collector must do the following to maintain the security and 
integrity of a specimen:
    (1) Not allow unauthorized personnel to enter the collection area 
during the collection procedure;
    (2) Perform only one donor collection at a time;
    (3) Restrict access to collection supplies before, during and after 
collection;
    (4) Ensure that only the collector and the donor are allowed to 
handle the unsealed specimen;
    (5) Ensure the chain of custody process is maintained and 
documented throughout the entire collection, storage, and transport 
procedures;
    (6) Ensure that the Federal CCF is completed and distributed as 
required; and
    (7) Ensure that specimens transported to an HHS-certified 
laboratory or IITF are sealed and placed in transport containers 
designed to minimize the possibility of damage during shipment (e.g., 
specimen boxes, padded mailers, or other suitable shipping container), 
and those containers are securely sealed to eliminate the possibility 
of undetected tampering;
    (b) Couriers, express carriers, and postal service personnel are 
not required to document chain of custody since specimens are sealed in 
packages that would indicate tampering during transit to the HHS-
certified laboratory or IITF.

Section 5.6 What are the privacy requirements when collecting a urine 
specimen?

    Collections must be performed at a site that provides reasonable 
privacy (as described in Section 8.1).

Subpart F--Federal Drug Testing Custody and Control Form

Section 6.1 What federal form is used to document custody and control?

    The OMB-approved Federal CCF must be used to document custody and 
control of each specimen at the collection site.

Section 6.2 What happens if the correct OMB-approved Federal CCF is not 
available or is not used?

    (a) The use of a non-federal CCF or an expired Federal CCF is not, 
by itself, a reason for the HHS-certified laboratory or IITF to 
automatically reject the specimen for testing or for the MRO to cancel 
the test.
    (b) If the collector does not use the correct OMB-approved Federal 
CCF, the collector must document that it is a federal agency specimen 
collection and provide the reason that the incorrect form was used. 
Based on the information provided by the collector, the HHS-certified 
laboratory or IITF must handle and test the specimen as a federal 
agency specimen.
    (c) If the HHS-certified laboratory, HHS-certified IITF, or MRO 
discovers that the collector used an incorrect form, the laboratory, 
IITF, or MRO must obtain a memorandum for the record from the collector 
describing the reason the incorrect form was used. If a memorandum for 
the record cannot be obtained, the laboratory or IITF reports a 
rejected for testing result to the MRO and the MRO cancels the test. 
The HHS-certified laboratory or IITF must wait at least 5 business days 
while attempting to obtain the memorandum before reporting a rejected 
for testing result to the MRO.

Subpart G--Urine Specimen Collection Containers and Bottles

Section 7.1 What is used to collect a urine specimen?

    A single-use collection container with a means (i.e., thermometer) 
to measure urine temperature and two specimen bottles must be used.

Section 7.2 What are the requirements for a urine collection container 
and specimen bottles?

    (a) The collection container, the thermometer, and the specimen 
bottles must not substantially affect the composition of drugs and/or 
metabolites in the urine specimen.
    (b) The two specimen bottles must be sealable and non-leaking, and 
must maintain the integrity of the specimen during storage and 
transport so that the specimen contained therein can be tested in an 
HHS-certified laboratory or IITF for the presence of drugs or their 
metabolites.
    (c) The two specimen bottles must be sufficiently transparent to 
enable an objective assessment of specimen appearance and 
identification of abnormal physical characteristics without opening the 
bottle.

[[Page 7945]]

Section 7.3 What are the minimum performance requirements for a urine 
collection container and specimen bottles?

    (a) The collection container must be capable of holding at least 55 
mL and have a volume marking clearly noting a level of 45 mL.
    (b) One of the two specimen bottles must be capable of holding at 
least 35 mL and the other at least 20 mL, and each must have a volume 
marking clearly noting the appropriate level (30 mL for the primary 
specimen and 15 mL for the split specimen).
    (c) The thermometer may be affixed to or built into the collection 
container and must provide graduated temperature readings from 32-38 
[deg]C/90-100 [deg]F. Alternatively, the collector may use another 
technology to measure specimen temperature (e.g., thermal radiation 
scanning), providing the thermometer does not come into contact with 
the specimen.

Subpart H--Urine Specimen Collection Procedure

Section 8.1 What privacy must the donor be given when providing a urine 
specimen?

    The following privacy requirements apply when a donor is providing 
a urine specimen:
    (a) Only authorized personnel and the donor may be present in the 
restricted access area where the collection takes place.
    (b) The collector is not required to be the same gender as the 
donor. The gender of the observer for purposes of a direct observed 
collection (i.e., as described in Section 8.10) must be the same as the 
donor's gender, which is determined by the donor's gender identity. The 
gender of the monitor for a monitored collection (i.e., as described in 
Section 8.12) must be the same as the donor's gender, unless the 
monitor is a medical professional (e.g., nurse, doctor, physician's 
assistant, technologist, or technician licensed or certified to 
practice in the jurisdiction in which the collection takes place).
    (c) The collector must give the donor visual privacy while 
providing the specimen. The donor is allowed to provide a urine 
specimen in an enclosed stall within a multi-stall restroom or in a 
single person restroom during a monitored collection.

Section 8.2 What must the collector ensure at the collection site 
before starting a urine specimen collection?

    The collector must deter the dilution or substitution of a specimen 
at the collection site by:
    (a) Placing a toilet bluing agent in a toilet bowl or toilet tank, 
so the reservoir of water in the toilet bowl always remains blue. If no 
bluing agent is available or if the toilet has an automatic flushing 
system, the collector shall turn the water supply off to the toilet and 
flush the toilet to remove the water in the toilet when possible.
    (b) Secure other sources of water (e.g., shower or sink) in the 
enclosure where urination occurs. If the enclosure has a source of 
water that cannot be disabled or secured, a monitored collection must 
be conducted in accordance with Section 8.11.

Section 8.3 What are the preliminary steps in the urine specimen 
collection procedure?

    The collector must take the following steps before beginning a 
urine specimen collection:
    (a) If a donor fails to arrive at the collection site at the 
assigned time, the collector must follow the federal agency policy or 
contact the federal agency representative to obtain guidance on action 
to be taken.
    (b) When the donor arrives at the collection site, the collector 
should begin the collection procedure without undue delay. For example, 
the collection should not be delayed because the donor states that they 
are unable to urinate or an authorized employer or employer 
representative is late in arriving.
    (c) The collector requests the donor to present photo 
identification (e.g., driver's license; employee badge issued by the 
employer; an alternative photo identification issued by a federal, 
state, or local government agency). If the donor does not have proper 
photo identification, the collector shall contact the supervisor of the 
donor or the federal agency representative who can positively identify 
the donor. If the donor's identity cannot be established, the collector 
must not proceed with the collection.
    (d) The collector must provide identification (e.g., employee 
badge, employee list) if requested by the donor.
    (e) The collector explains the basic collection procedure to the 
donor.
    (f) The collector informs the donor that the instructions for 
completing the Federal Custody and Control Form are located on the back 
of the Federal CCF or available upon request.
    (g) The collector answers any reasonable and appropriate questions 
the donor may have regarding the collection procedure.
    (h) The collector asks the donor to remove any unnecessary outer 
garments (e.g., coat, jacket) that might conceal items or substances 
that could be used to adulterate or substitute the urine specimen:
    (1) The collector must ensure that all personal belongings (e.g., 
purse or briefcase) remain with the outer garments; the donor may 
retain the donor's wallet.
    (2) The collector asks the donor to empty the donor's pockets and 
display the contents to ensure no items are present that could be used 
to adulterate or substitute the specimen.
    (3) If no items are present that can be used to adulterate or 
substitute the specimen, the donor can place the items back into the 
donor's pockets and continue the collection procedure.
    (4) If an item is present that appears to have been brought to the 
collection site with the intent to adulterate, substitute, or dilute 
the specimen, this is considered a refusal to test. The collector must 
stop the collection and report the refusal to test as described in 
Section 8.13. If the item appears to be inadvertently brought to the 
collection site, the collector must secure the item and continue the 
normal collection procedure.
    (5) If the donor refuses to show the collector the items in the 
donor's pockets, this is considered a refusal to test. The collector 
must stop the collection and report the refusal to test as described in 
Section 8.13.
    (i) The collector shall instruct the donor to wash and dry the 
donor's hands prior to urination. After washing the donor's hands, the 
donor must remain in the presence of the collector and must not have 
access to any water fountain, faucet, soap dispenser, cleaning agent, 
or any other materials which could be used to adulterate or substitute 
the specimen.
    (1) If the donor refuses to wash the donor's hands when instructed 
by the collector, this is considered a ``refusal to test.'' The 
collector must stop the collection and report the refusal to test as 
described in Section 8.13.

Section 8.4 What steps does the collector take in the collection 
procedure before the donor provides a urine specimen?

    (a) The collector will provide or the donor may select a specimen 
collection container that is clean, unused, wrapped/sealed in original 
packaging and compliant with Subpart G. The specimen collection 
container will be opened in view of the donor.
    (b) The collector instructs the donor to provide the specimen in 
the privacy of a stall or otherwise partitioned area that allows for 
individual privacy. The collector directs the donor to provide a

[[Page 7946]]

specimen of at least 45 mL, to not flush the toilet, and to return with 
the specimen as soon as the donor has completed the void.
    (1) Except in the case of a direct observed collection (i.e., as 
described in Section 8.10) or a monitored collection (i.e., as 
described in Section 8.12), neither the collector nor anyone else may 
go into the room with the donor.
    (2) The collector may set a reasonable time limit for specimen 
collection.
    (c) The collector notes any unusual behavior or appearance of the 
donor on the Federal CCF. If the collector detects any conduct that 
clearly indicates an attempt to tamper with a specimen (e.g., 
substitute urine in plain view or an attempt to bring into the 
collection site an adulterant or urine substitute), the collector must 
report a refusal to test in accordance with Section 8.13.

Section 8.5 What steps does the collector take during and after the 
urine specimen collection procedure?

    Integrity and Identity of the Specimen. The collector must take the 
following steps during and after the donor provides the urine specimen:
    (a) The collector must inform the donor that, once the collection 
procedure has begun, the donor must remain at the collection site 
(i.e., in an area designated by the collector) until the collection is 
complete. This includes the wait period (i.e., up to 3 hours) if needed 
to provide a sufficient specimen as described in step (f)(2) below and 
in Section 8.6.
    (b) After providing the specimen, the donor gives the specimen 
collection container to the collector. Both the donor and the collector 
must keep the specimen container in view at all times until the 
collector seals the specimen bottles as described in Section 8.8.
    (c) After the donor has given the specimen to the collector, 
whenever practical, the donor shall be allowed to wash the donor's 
hands and the donor may flush the toilet.
    (d) The collector must measure the temperature of the specimen 
within 4 minutes of receiving the specimen from the donor. The 
collector records on the Federal CCF whether or not the temperature is 
in the acceptable range of 32 [deg]-38 [deg]C/90 [deg]-100 [deg]F.
    (1) The temperature measuring device must accurately reflect the 
temperature of the specimen and not contaminate the specimen.
    (2) If the temperature of the specimen is outside the range of 32 
[deg]-38 [deg]C/90 [deg]-100 [deg]F, that is a reason to believe that 
the donor may have adulterated or substituted the specimen. Another 
specimen must be collected under direct observation in accordance with 
Section 8.9. The collector must forward both specimens (i.e., from the 
first and second collections) to an HHS-certified laboratory for 
testing and record a comment on the Federal CCF for each specimen.
    (e) The collector must inspect the specimen to determine if there 
is any sign indicating that the specimen may not be a valid urine 
specimen (e.g., unusual color, presence of foreign objects or material, 
unusual odor).
    (1) The collector notes any unusual finding on the Federal CCF. A 
specimen suspected of not being a valid urine specimen must be 
forwarded to an HHS-certified laboratory for testing.
    (2) When there is any reason to believe that a donor may have 
adulterated or substituted the specimen, another specimen must be 
obtained as soon as possible under direct observation in accordance 
with Section 8.10. The collector must forward both specimens (i.e., 
from the first and second collections) to an HHS-certified laboratory 
for testing and record a comment on the Federal CCF for each specimen.
    (f) The collector must determine the volume of urine in the 
specimen container. The collector must never combine urine collected 
from separate voids to create a specimen.
    (1) If the volume is at least 45 mL, the collector will proceed 
with steps described in Section 8.8.
    (2) If the volume is less than 45 mL, the collector discards the 
specimen and immediately collects a second specimen using the same 
procedures as for the first specimen (including steps in paragraphs c 
and d of this section).
    (i) The collector may give the donor a reasonable amount of liquid 
to drink for this purpose (e.g., an 8 ounce glass of water every 30 
minutes, but not to exceed a maximum of 40 ounces over a period of 3 
hours or until the donor has provided a sufficient urine specimen). 
However, the donor is not required to drink any fluids during this 
waiting time.
    (ii) If the donor provides a sufficient urine specimen (i.e., at 
least 45 mL), the collector proceeds with steps described in Section 
8.8.
    (iii) If the employee has not provided a sufficient specimen (i.e., 
at least 45 mL) within three hours of the first unsuccessful attempt to 
provide the specimen, the collector records the reason for not 
collecting a urine specimen on the Federal CCF, notifies the federal 
agency's designated representative for authorization of an alternate 
specimen to be collected, and sends the appropriate copies of the 
Federal CCF to the MRO and to the federal agency's designated 
representative. The federal agency may choose to provide the collection 
site with a standard protocol to follow in lieu of requiring the 
collector to notify the agency's designated representative for 
authorization in each case. If an alternate specimen is authorized, the 
collector may begin the collection procedure for the alternate specimen 
(see Section 8.7) in accordance with the Mandatory Guidelines for 
Federal Workplace Drug Testing Programs using the alternative specimen.
    (g) If the donor fails to remain present through the completion of 
the collection, declines to have a direct observed collection as 
required in steps (d)(2) or (e)(2) above, refuses to provide a second 
specimen as required in step (f)(2) above, or refuses to provide an 
alternate specimen as authorized in step (f)(2)(iii) above, the 
collector stops the collection and reports the refusal to test in 
accordance with Section 8.13.

Section 8.6 What procedure is used when the donor states that they are 
unable to provide a urine specimen?

    (a) If the donor states that they are unable to provide a urine 
specimen during the collection process, the collector requests that the 
donor enter the restroom (stall) and attempt to provide a urine 
specimen.
    (b) The donor demonstrates their inability to provide a specimen 
when he or she comes out of the stall with an empty collection 
container.
    (1) If the donor states that they could provide a specimen after 
drinking some fluids, the collector gives the donor a reasonable amount 
of liquid to drink for this purpose (e.g., an 8 ounce glass of water 
every 30 minutes, but not to exceed a maximum of 40 ounces over a 
period of 3 hours or until the donor has provided a sufficient urine 
specimen). If the donor simply needs more time before attempting to 
provide a urine specimen, the donor is not required to drink any fluids 
during the 3 hour wait time.
    (2) If the donor states that they are unable to provide a urine 
specimen, the collector records the reason for not collecting a urine 
specimen on the Federal CCF, notifies the federal agency's designated 
representative for authorization of an alternate specimen to be 
collected, and sends the appropriate copies of the Federal CCF to the 
MRO and to the federal agency's designated representative. The federal 
agency may choose to provide the collection site with a standard 
protocol to follow in lieu of requiring the collector to notify the 
agency's

[[Page 7947]]

designated representative for authorization in each case. If an 
alternate specimen is authorized, the collector may begin the 
collection procedure for the alternate specimen (see Section 8.7) in 
accordance with the Mandatory Guidelines for Federal Workplace Drug 
Testing Programs using the alternative specimen.

Section 8.7 If the donor is unable to provide a urine specimen, may 
another specimen type be collected for testing?

    Yes, if the alternate specimen type is authorized by Mandatory 
Guidelines for Federal Workplace Drug Testing Programs and specifically 
authorized by the federal agency.

Section 8.8 How does the collector prepare the urine specimens?

    (a) All federal agency collections are to be split specimen 
collections.
    (b) The collector, in the presence of the donor, pours the urine 
from the collection container into two specimen bottles to be labeled 
``A'' and ``B''. The collector pours at least 30 mL of urine into 
Bottle A and at least 15 mL into Bottle B, and caps each bottle.
    (c) In the presence of the donor, the collector places a tamper-
evident label/seal from the Federal CCF over each specimen bottle cap. 
The collector records the date of the collection on the tamper-evident 
labels/seals.
    (d) The collector instructs the donor to initial the tamper-evident 
labels/seals on each specimen bottle. If the donor refuses to initial 
the labels/seals, the collector notes the refusal on the Federal CCF 
and continues with the collection process.
    (e) The collector must ensure that all the information required on 
the Federal CCF is provided.
    (f) The collector asks the donor to read and sign a statement on 
the Federal CCF certifying that the specimens identified were collected 
from the donor. If the donor refuses to sign the certification 
statement, the collector notes the refusal on the Federal CCF and 
continues with the collection process.
    (g) The collector signs and prints their name on the Federal CCF, 
completes the Federal CCF, and distributes the copies of the Federal 
CCF as required.
    (h) The collector seals the specimens (Bottle A and Bottle B) in a 
package and, within 24 hours or during the next business day, sends 
them to the HHS-certified laboratory or IITF that will be testing the 
Bottle A urine specimen.
    (i) If the specimen and Federal CCF are not immediately transported 
to an HHS-certified laboratory or IITF, they must remain under direct 
control of the collector or be appropriately secured under proper 
specimen storage conditions until transported.
    (j) The collector must discard any urine left over in the 
collection container after both specimen bottles have been 
appropriately filled and sealed. There is one exception to this 
requirement: The collector may use excess urine to conduct clinical 
tests (e.g., protein, glucose) if the collection was conducted in 
conjunction with a physical examination required by federal agency 
regulation. Neither the collector nor anyone else may conduct further 
testing (such as specimen validity testing) on the excess urine.

Section 8.9 When is a direct observed collection conducted?

    A direct observed collection procedure must be conducted when:
    (a) The agency has authorized a direct observed collection because:
    (1) The donor's previous drug test result was reported by an MRO as 
positive, adulterated, or substituted; or
    (2) The HHS-certified laboratory reports to the MRO that a specimen 
is invalid, and the MRO reported to the agency that there was not a 
legitimate medical explanation for the result; or
    (3) The MRO reported to the agency that the primary bottle (A) 
specimen was positive, adulterated, or substituted result had to be 
cancelled because the test of the split specimen could not be tested 
and/or the split specimen bottle (B) failed to reconfirm; or
    (b) At the collection site, an immediate collection of a second 
urine specimen is required because:
    (1) The temperature of the specimen collected during a routine 
collection is outside the acceptable temperature range; or
    (2) The collector suspects that the donor has tampered with the 
specimen during a routine collection (e.g., abnormal physical 
characteristic such as unusual color and/or odor, and/or excessive 
foaming when shaken).
    (c) The collector must contact a collection site supervisor to 
review and concur in advance with any decision by the collector to 
obtain a specimen under direct observation.
    (d) If the donor declines to have a direct observed collection, the 
collector reports a refusal to test (i.e., as described in Section 
8.13).

Section 8.10 How is a direct observed collection conducted?

    (a) A direct observed collection procedure is the same as that for 
a routine collection, except an observer watches the donor urinate into 
the collection container. The observer's gender must be the same as the 
donor's gender, which is determined by the donor's gender identity, 
with no exception to this requirement.
    (b) Before an observer is selected, the collector informs the donor 
that the gender of the observer will match the donor's gender, which is 
determined by the donor's gender identity (as defined in Section 1.5). 
The collector then selects the observer to conduct the observation:
    (i) The collector asks the donor to identify the donor's gender on 
the Federal CCF and initial it.
    (ii) The donor will then be provided an observer whose gender 
matches the donor's gender.
    (iii) The collector documents the observer's name and gender on the 
Federal CCF.
    (c) If there is no collector available of the same gender as the 
donor's gender, the collector or collection site supervisor shall 
select an observer trained in direct observed specimen collection as 
described in Section 4.4. The observer may be an individual that is not 
a trained collector.
    (d) At the point in a routine collection where the donor enters the 
restroom with the collection container, a direct observed collection 
includes the following additional steps:
    (1) The observer enters the restroom with the donor;
    (2) The observer must directly watch the urine go from the donor's 
body into the collection container (the use of mirrors or video cameras 
is not permitted);
    (3) The observer must not touch or handle the collection container 
unless the observer is also serving as the collector;
    (4) After the donor has completed urinating into the collection 
container:
    (i) If the same person serves as the observer and collector, that 
person may receive the collection container from the donor while they 
are both in the restroom;
    (ii) If the observer is not serving as the collector, the donor and 
observer leave the restroom and the donor hands the collection 
container directly to the collector. The observer must maintain visual 
contact of the collection container until the donor hands the container 
to the collector.
    (5) The collector checks the box for an observed collection on the 
Federal CCF and writes the name of the observer and the reason for an 
observed collection on the Federal CCF; and
    (6) The collector then continues with the routine collection 
procedure in Section 8.3.

[[Page 7948]]

Section 8.11 When is a monitored collection conducted?

    (a) In the event that an agency-designated collection site is not 
available and there is an immediate requirement to collect a specimen 
(e.g., an accident investigation), a public restroom may be used for 
the collection, using the procedures for a monitored collection 
described in Section 8.12.
    (b) If the enclosure used by the donor to provide a specimen has a 
source of water that cannot be disabled or secured, a monitored 
collection must be conducted.
    (c) If the donor declines to permit a collection to be monitored 
when required, the collector reports a refusal to test (i.e., as 
described in Section 8.13).

Section 8.12 How is a monitored collection conducted?

    A monitored collection is the same as that for a routine 
collection, except that a monitor accompanies the donor into the 
restroom to check for signs that the donor may be tampering with the 
specimen. The monitor remains in the restroom, but outside the stall, 
while the donor is providing the specimen. A person of the same gender 
as the donor shall serve as the monitor, unless the monitor is a 
medical professional (e.g., nurse, doctor, physician's assistant, 
technologist, or technician licensed or certified to practice in the 
jurisdiction in which the collection takes place). The same procedures 
used for selecting an observer of the appropriate gender in Section 
8.10(b) must be used to select the monitor for the purposes of Section 
8.12, unless the monitor is a medical professional as described above. 
The monitor may be an individual other than the collector and need not 
be a qualified collector.
    (a) The collector secures the restroom being used for the monitored 
collection so that no one except the employee and the monitor can enter 
the restroom until after the collection has been completed.
    (b) The monitor enters the restroom with the donor.
    (c) The monitor must not watch the employee urinate into the 
collection container. If the monitor hears sounds or makes other 
observations indicating an attempt by the donor to tamper with a 
specimen, there must be an additional collection under direct 
observation in accordance with Section 8.9.
    (d) The monitor must not touch or handle the collection container 
unless the monitor is also the collector.
    (e) After the donor has completed urinating into the collection 
container:
    (1) If the same person serves as the monitor and collector, that 
person may receive the collection container from the donor while they 
are both in the restroom;
    (2) If the monitor is not serving as the collector, the donor and 
monitor leave the restroom and the donor hands the collection container 
directly to the collector. The monitor must ensure that the employee 
takes the collection container directly to the collector as soon as the 
employee has exited the enclosure.
    (f) If the monitor is not serving as the collector, the collector 
writes the name of the monitor on the Federal CCF.
    (g) The collector then continues with the routine collection 
procedure in Section 8.3.

Section 8.13 How does the collector report a donor's refusal to test?

    If there is a refusal to test as defined in Section 1.7, the 
collector stops the collection, discards any urine collected and 
reports the refusal to test by:
    (a) Notifying the federal agency by means (e.g., telephone, email, 
or secure fax) that ensures that the notification is immediately 
received,
    (b) Documenting the refusal to test on the Federal CCF, and
    (c) Sending all copies of the Federal CCF to the federal agency's 
designated representative.

Section 8.14 What are a federal agency's responsibilities for a 
collection site?

    (a) A federal agency must ensure that collectors and collection 
sites satisfy all requirements in subparts D, E, F, G, and H.
    (b) A federal agency (or only one federal agency when several 
agencies are using the same collection site) must inspect 5 percent or 
up to a maximum of 50 collection sites each year, selected randomly 
from those sites used to collect agency specimens (e.g., virtual, 
onsite, or self-evaluation).
    (c) A federal agency must investigate reported collection site 
deficiencies (e.g., specimens reported ``rejected for testing'' by an 
HHS-certified laboratory or IITF) and take appropriate action which may 
include a collection site self-assessment (i.e., using the Collection 
Site Checklist for the Collection of Urine Specimens for Federal Agency 
Workplace Drug Testing Programs) or an inspection of the collection 
site. The inspections of these additional collection sites may be 
included in the 5 percent or maximum of 50 collection sites inspected 
annually.

Subpart I--HHS Certification of Laboratories and IITFs

Section 9.1 Who has the authority to certify laboratories and IITFs to 
test urine specimens for federal agencies?

    (a) The Secretary has broad discretion to take appropriate action 
to ensure the full reliability and accuracy of drug testing and 
reporting, to resolve problems related to drug testing, and to enforce 
all standards set forth in these Guidelines. The Secretary has the 
authority to issue directives to any HHS-certified laboratory or IITF 
including suspending the use of certain analytical procedures when 
necessary to protect the integrity of the testing process; ordering any 
HHS-certified laboratory or IITF to undertake corrective actions to 
respond to material deficiencies identified by an inspection or through 
performance testing; ordering any HHS-certified laboratory or IITF to 
send specimens or specimen aliquots to another HHS-certified laboratory 
for retesting when necessary to ensure the accuracy of testing under 
these Guidelines; ordering the review of results for specimens tested 
under the Guidelines for private sector clients to the extent necessary 
to ensure the full reliability of drug testing for federal agencies; 
and ordering any other action necessary to address deficiencies in drug 
testing, analysis, specimen collection, chain of custody, reporting of 
results, or any other aspect of the certification program.
    (b) A laboratory or IITF is prohibited from stating or implying 
that it is certified by HHS under these Guidelines to test urine 
specimens for federal agencies unless it holds such certification.

Section 9.2 What is the process for a laboratory or IITF to become HHS-
certified?

    (a) A laboratory or IITF seeking HHS certification must:
    (1) Submit a completed OMB-approved application form (i.e., the 
applicant laboratory or IITF provides detailed information on both the 
administrative and analytical procedures to be used for federally 
regulated specimens);
    (2) Have its application reviewed as complete and accepted by HHS;
    (3) Successfully complete the PT challenges in 3 consecutive sets 
of initial PT samples;
    (4) Satisfy all the requirements for an initial inspection; and
    (5) Receive notification of certification from the Secretary before 
testing specimens for federal agencies.

[[Page 7949]]

Section 9.3 What is the process for a laboratory or IITF to maintain 
HHS certification?

    (a) To maintain HHS certification, a laboratory or IITF must:
    (1) Successfully participate in both the maintenance PT and 
inspection programs (i.e., successfully test the required quarterly 
sets of maintenance PT samples, undergo an inspection 3 months after 
being certified, and undergo maintenance inspections at a minimum of 
every 6 months thereafter);
    (2) Respond in an appropriate, timely, and complete manner to 
required corrective action requests if deficiencies are identified in 
the maintenance PT performance, during the inspections, operations, or 
reporting; and
    (3) Satisfactorily complete corrective remedial actions, and 
undergo special inspection and special PT sets to maintain or restore 
certification when material deficiencies occur in either the PT 
program, inspection program, or in operations and reporting.

Section 9.4 What is the process when a laboratory or IITF does not 
maintain its HHS certification?

    (a) A laboratory or IITF that does not maintain its HHS 
certification must:
    (1) Stop testing federally regulated specimens;
    (2) Ensure the security of federally regulated specimens and 
records throughout the required storage period described in Sections 
11.20, 11.21, 12.18, and 14.8;
    (3) Ensure access to federally regulated specimens and records in 
accordance with Sections 11.23, 11.24, 12.20, 12.21, and Subpart P; and
    (4) Follow the HHS suspension and revocation procedures when 
imposed by the Secretary, follow the HHS procedures in Subpart P that 
will be used for all actions associated with the suspension and/or 
revocation of HHS-certification.

Section 9.5 What are the qualitative and quantitative specifications of 
performance testing (PT) samples?

    (a) PT samples used to evaluate drug tests will be prepared using 
the following specifications:
    (1) PT samples may contain one or more of the drugs and drug 
metabolites in the drug classes listed in Section 3.4 and must satisfy 
one of the following parameters:
    (i) The concentration of a drug or metabolite will be at least 20 
percent above the initial test cutoff concentration for the drug or 
drug metabolite;
    (ii) The concentration of a drug or metabolite may be as low as 40 
percent of the confirmatory test cutoff concentration when the PT 
sample is designated as a retest sample; or
    (iii) The concentration of drug or metabolite may differ from 
9.5(a)(1)(i) and 9.5(a)(1)(ii) for a special purpose.
    (2) A PT sample may contain an interfering substance, an 
adulterant, or satisfy the criteria for a substituted specimen, dilute 
specimen, or invalid result.
    (3) A negative PT sample will not contain a measurable amount of a 
target analyte.
    (b) PT samples used to evaluate specimen validity tests shall 
satisfy, but are not limited to, one of the following criteria:
    (1) The nitrite concentration will be at least 20 percent above the 
cutoff;
    (2) The pH will be between 1.5 and 5.0 or between 8.5 and 12.5;
    (3) The concentration of an oxidant will be at a level sufficient 
to challenge a laboratory's ability to identify and confirm the 
oxidant;
    (4) The creatinine concentration will be between 0 and 20 mg/dL; or
    (5) The specific gravity will be less than or equal to 1.0050 or 
between 1.0170 and 1.0230.
    (c) For each PT cycle, the set of PT samples going to each HHS-
certified laboratory or IITF will vary but, within each calendar year, 
each HHS-certified laboratory or IITF will analyze essentially the same 
total set of samples.
    (d) The laboratory or IITF must (to the greatest extent possible) 
handle, test, and report a PT sample in a manner identical to that used 
for a donor specimen, unless otherwise specified.

Section 9.6 What are the PT requirements for an applicant laboratory?

    (a) An applicant laboratory that seeks certification under these 
Guidelines must satisfy the following criteria on three consecutive 
sets of PT samples:
    (1) Have no false positive results;
    (2) Correctly identify, confirm, and report at least 90 percent of 
the total drug challenges over the three sets of PT samples;
    (3) Correctly identify at least 80 percent of the drug challenges 
for each initial drug test over the three sets of PT samples;
    (4) For the confirmatory drug tests, correctly determine the 
concentrations [i.e., no more than 20 percent or 2 standard deviations (whichever is larger) from the appropriate 
reference or peer group means] for at least 80 percent of the total 
drug challenges over the three sets of PT samples;
    (5) For the confirmatory drug tests, must not obtain any drug 
concentration that differs by more than 50 percent from the 
appropriate reference or peer group mean;
    (6) For each confirmatory drug test, correctly identify and 
determine the concentrations [i.e., no more than 20 percent 
or 2 standard deviations (whichever is larger) from the 
appropriate reference or peer group means] for at least 50 percent of 
the drug challenges for an individual drug over the three sets of PT 
samples;
    (7) Correctly identify at least 80 percent of the total specimen 
validity testing challenges over the three sets of PT samples;
    (8) Correctly identify at least 80 percent of the challenges for 
each individual specimen validity test over the three sets of PT 
samples;
    (9) For quantitative specimen validity tests, obtain quantitative 
values for at least 80 percent of the total challenges over the three 
sets of PT samples that satisfy the following criteria:
    (i) Nitrite and creatinine concentrations are no more than 20 percent or 2 standard deviations from the 
appropriate reference or peer group mean; and
    (ii) pH values are no more than 0.3 pH units from the 
appropriate reference or peer group mean using a pH meter; and
    (iii) Specific gravity values are no more than 0.0003 
specific gravity units from the appropriate reference or peer group 
mean when the mean is less than 1.0100 and specific gravity values are 
no more than 0.0004 specific gravity units from the 
appropriate reference or peer group mean when the mean is equal to or 
greater than 1.0100;
    (10) Must not obtain any quantitative value on a specimen validity 
test PT sample that differs from the appropriate reference or peer 
group mean by more than 50 percent for nitrite and 
creatinine concentrations, 0.8 pH units using a pH meter, 
0.0006 specific gravity units when the mean is less than 
1.0100, or 0.0007 specific gravity units when the mean is 
equal to or greater than 1.0100; and
    (11) Must not report any sample as adulterated with a compound that 
is not present in the sample, adulterated based on pH when the 
appropriate reference or peer group mean is within the acceptable pH 
range, or substituted when the appropriate reference or peer group 
means for both creatinine and specific gravity are within the 
acceptable range.
    (b) Failure to satisfy these requirements will result in 
disqualification.

[[Page 7950]]

Section 9.7 What are the PT requirements for an HHS-certified urine 
laboratory?

    (a) A laboratory certified under these Guidelines must satisfy the 
following criteria on the maintenance PT samples:
    (1) Have no false positive results;
    (2) Correctly identify, confirm, and report at least 90 percent of 
the total drug challenges over two consecutive PT cycles;
    (3) Correctly identify at least 80 percent of the drug challenges 
for each initial drug test over two consecutive PT cycles;
    (4) For the confirmatory drug tests, correctly determine that the 
concentrations for at least 80 percent of the total drug challenges are 
no more than 20 percent or 2 standard 
deviations (whichever is larger) from the appropriate reference or peer 
group means over two consecutive PT cycles;
    (5) For the confirmatory drug tests, obtain no more than one drug 
concentration on a PT sample that differs by more than 50 
percent from the appropriate reference or peer group mean over two 
consecutive PT cycles;
    (6) For each confirmatory drug test, correctly identify and 
determine that the concentrations for at least 50 percent of the drug 
challenges for an individual drug are no more than 20 
percent or 2 standard deviations (whichever is larger) from 
the appropriate reference or peer group means over two consecutive PT 
cycles;
    (7) Correctly identify at least 80 percent of the total specimen 
validity testing challenges over two consecutive PT cycles;
    (8) Correctly identify at least 80 percent of the challenges for 
each individual specimen validity test over two consecutive PT cycles;
    (9) For quantitative specimen validity tests, obtain quantitative 
values for at least 80 percent of the total challenges over two 
consecutive PT cycles that satisfy the following criteria:
    (i) Nitrite and creatinine concentrations are no more than 20 percent or 2 standard deviations from the 
appropriate reference or peer group mean;
    (ii) pH values are no more than 0.3 pH units from the 
appropriate reference or peer group mean using a pH meter; and
    (iii) Specific gravity values are no more than 0.0003 
specific gravity units from the appropriate reference or peer group 
mean when the mean is less than 1.0100 and specific gravity values are 
no more than 0.0004 specific gravity units from the 
appropriate reference or peer group mean when the mean is equal to or 
greater than 1.0100;
    (10) Obtain no more than one quantitative value over 2 consecutive 
PT cycles on a specimen validity test PT sample that differs from the 
appropriate reference or peer group mean by more than 50 
percent for nitrite and creatinine concentrations, 0.8 pH 
units using a pH meter, 0.0006 specific gravity units when 
the mean is less than 1.0100, or 0.0007 specific gravity 
units when the mean is equal to or greater than 1.0100; and
    (11) Do not report any PT sample as adulterated with a compound 
that is not present in the sample, adulterated based on pH when the 
appropriate reference or peer group mean is within the acceptable pH 
range, or substituted when the appropriate reference or peer group 
means for both creatinine and specific gravity are within the 
acceptable range.
    (b) Failure to participate in all PT cycles or to satisfy these 
requirements may result in suspension or revocation of an HHS-certified 
laboratory's certification.

Section 9.8 What are the PT requirements for an applicant IITF?

    (a) An applicant IITF that seeks certification under these 
Guidelines must satisfy the following criteria on three consecutive 
sets of PT samples:
    (1) Correctly identify at least 90 percent of the total drug 
challenges over the three sets of PT samples;
    (2) Correctly identify at least 80 percent of the drug challenges 
for each individual drug test over the three sets of PT samples;
    (3) Correctly identify at least 80 percent of the total specimen 
validity test challenges over the three sets of PT samples;
    (4) Correctly identify at least 80 percent of the challenges for 
each individual specimen validity test over the three sets of PT 
samples;
    (5) For quantitative specimen validity tests, obtain quantitative 
values for at least 80 percent of the total specimen validity test 
challenges over the three sets of PT samples that satisfy the following 
criteria:
    (i) Creatinine concentrations are no more than 20 
percent or 2 standard deviations (whichever is larger) from 
the appropriate reference or peer group mean; and
    (ii) Specific gravity values are no more than 0.001 
specific gravity units from the appropriate reference or peer group 
mean; and
    (6) Must not obtain any quantitative value on a specimen validity 
test PT sample that differs from the appropriate reference or peer 
group mean by more than 50 percent for creatinine 
concentration, or 0.002 specific gravity units for specific 
gravity.
    (b) Failure to satisfy these requirements will result in 
disqualification.

Section 9.9 What are the PT requirements for an HHS-certified IITF?

    (a) An IITF certified under these Guidelines must satisfy the 
following criteria on the maintenance PT samples to maintain its 
certification:
    (1) Correctly identify at least 90 percent of the total drug 
challenges over two consecutive PT cycles;
    (2) Correctly identify at least 80 percent of the drug challenges 
for each individual drug test over two consecutive PT cycles;
    (3) Correctly identify at least 80 percent of the total specimen 
validity test challenges over two consecutive PT cycles;
    (4) Correctly identify at least 80 percent of the challenges for 
each individual specimen validity test over two consecutive PT cycles;
    (5) For quantitative specimen validity tests, obtain quantitative 
values for at least 80 percent of the total specimen validity test 
challenges over two consecutive PT cycles that satisfy the following 
criteria:
    (i) Creatinine concentrations are no more than 20 
percent or 2 standard deviations (whichever is larger) from 
the appropriate reference or peer group mean; and
    (ii) Specific gravity values are no more than 0.001 
specific gravity units from the appropriate reference or peer group 
mean; and
    (6) Obtain no more than one quantitative value over 2 consecutive 
PT cycles on a specimen validity test PT sample that differs from the 
appropriate reference or peer group mean by more than 50 
percent for creatinine concentration, or 0.002 specific 
gravity units for specific gravity.
    (b) Failure to participate in all PT cycles or to satisfy these 
requirements may result in suspension or revocation of an HHS-certified 
IITF's certification.

Section 9.10 What are the inspection requirements for an applicant 
laboratory or IITF?

    (a) An applicant laboratory or IITF is inspected by a team of two 
inspectors.
    (b) Each inspector conducts an independent review and evaluation of 
all aspects of the laboratory's or IITF's testing procedures and 
facilities using an inspection checklist.

[[Page 7951]]

Section 9.11 What are the maintenance inspection requirements for an 
HHS-certified laboratory or IITF?

    (a) An HHS-certified laboratory or IITF must undergo an inspection 
3 months after becoming certified and at least every 6 months 
thereafter.
    (b) An HHS-certified laboratory or IITF is inspected by one or more 
inspectors. The number of inspectors is determined according to the 
number of specimens reviewed. Additional information regarding 
inspections is available from SAMHSA.
    (c) Each inspector conducts an independent evaluation and review of 
the HHS-certified laboratory's or IITF's procedures, records, and 
facilities using guidance provided by the Secretary.
    (d) To remain certified, an HHS-certified laboratory or IITF must 
continue to satisfy the minimum requirements as stated in these 
Guidelines.

Section 9.12 Who can inspect an HHS-certified laboratory or IITF and 
when may the inspection be conducted?

    (a) An individual may be selected as an inspector for the Secretary 
if they satisfy the following criteria:
    (1) Has experience and an educational background similar to that 
required for either a responsible person or a certifying scientist for 
an HHS-certified laboratory as described in Subpart K or as a 
responsible technician for an HHS-certified IITF as described in 
Subpart L;
    (2) Has read and thoroughly understands the policies and 
requirements contained in these Guidelines and in other guidance 
consistent with these Guidelines provided by the Secretary;
    (3) Submits a resume and documentation of qualifications to HHS;
    (4) Attends approved training; and
    (5) Performs acceptably as an inspector on an inspection of an HHS-
certified laboratory or IITF.
    (b) The Secretary or a federal agency may conduct an inspection at 
any time.

Section 9.13 What happens if an applicant laboratory or IITF does not 
satisfy the minimum requirements for either the PT program or the 
inspection program?

    If an applicant laboratory or IITF fails to satisfy the 
requirements established for the initial certification process, the 
laboratory or IITF must start the certification process from the 
beginning.

Section 9.14 What happens if an HHS-certified laboratory or IITF does 
not satisfy the minimum requirements for either the PT program or the 
inspection program?

    (a) If an HHS-certified laboratory or IITF fails to satisfy the 
minimum requirements for certification, the laboratory or IITF is given 
a period of time (e.g., 5 or 30 working days depending on the nature of 
the deficiency) to provide any explanation for its performance and 
evidence that all deficiencies have been corrected.
    (b) A laboratory's or IITF's HHS certification may be revoked, 
suspended, or no further action taken depending on the seriousness of 
the deficiencies and whether there is evidence that the deficiencies 
have been corrected and that current performance meets the requirements 
for certification.
    (c) An HHS-certified laboratory or IITF may be required to undergo 
a special inspection or to test additional PT samples to address 
deficiencies.
    (d) If an HHS-certified laboratory's or IITF's certification is 
revoked or suspended in accordance with the process described in 
Subpart P, the laboratory or IITF is not permitted to test federally 
regulated specimens until the suspension is lifted or the laboratory or 
IITF has successfully completed the certification requirements as a new 
applicant laboratory or IITF.

Section 9.15 What factors are considered in determining whether 
revocation of a laboratory's or IITF's HHS certification is necessary?

    (a) The Secretary shall revoke certification of an HHS-certified 
laboratory or IITF in accordance with these Guidelines if the Secretary 
determines that revocation is necessary to ensure fully reliable and 
accurate drug and specimen validity test results and reports.
    (b) The Secretary shall consider the following factors in 
determining whether revocation is necessary:
    (1) Unsatisfactory performance in analyzing and reporting the 
results of drug and specimen validity tests (e.g., an HHS-certified 
laboratory reporting a false positive result for an employee's drug 
test);
    (2) Unsatisfactory participation in performance testing or 
inspections;
    (3) A material violation of a certification standard, contract 
term, or other condition imposed on the HHS-certified laboratory or 
IITF by a federal agency using the laboratory's or IITF's services;
    (4) Conviction for any criminal offense committed as an incident to 
operation of the HHS-certified laboratory or IITF; or
    (5) Any other cause that materially affects the ability of the HHS-
certified laboratory or IITF to ensure fully reliable and accurate drug 
test results and reports.
    (c) The period and terms of revocation shall be determined by the 
Secretary and shall depend upon the facts and circumstances of the 
revocation and the need to ensure accurate and reliable drug testing.

Section 9.16 What factors are considered in determining whether to 
suspend a laboratory's or IITF's HHS certification?

    (a) The Secretary may immediately suspend (either partially or 
fully) a laboratory's or IITF's HHS certification to conduct drug 
testing for federal agencies if the Secretary has reason to believe 
that revocation may be required and that immediate action is necessary 
to protect the interests of the United States and its employees.
    (b) The Secretary shall determine the period and terms of 
suspension based upon the facts and circumstances of the suspension and 
the need to ensure accurate and reliable drug testing.

Section 9.17 How does the Secretary notify an HHS-certified laboratory 
or IITF that action is being taken against the laboratory or IITF?

    (a) When laboratory's or IITF's HHS certification is suspended or 
the Secretary seeks to revoke HHS certification, the Secretary shall 
immediately serve the HHS-certified laboratory or IITF with written 
notice of the suspension or proposed revocation by facsimile, mail, 
personal service, or registered or certified mail, return receipt 
requested. This notice shall state the following:
    (1) The reasons for the suspension or proposed revocation;
    (2) The terms of the suspension or proposed revocation; and
    (3) The period of suspension or proposed revocation.
    (b) The written notice shall state that the laboratory or IITF will 
be afforded an opportunity for an informal review of the suspension or 
proposed revocation if it so requests in writing within 30 days of the 
date the laboratory or IITF received the notice, or if expedited review 
is requested, within 3 days of the date the laboratory or IITF received 
the notice. Subpart P contains detailed procedures to be followed for 
an informal review of the suspension or proposed revocation.
    (c) A suspension must be effective immediately. A proposed 
revocation

[[Page 7952]]

must be effective 30 days after written notice is given or, if review 
is requested, upon the reviewing official's decision to uphold the 
proposed revocation. If the reviewing official decides not to uphold 
the suspension or proposed revocation, the suspension must terminate 
immediately and any proposed revocation shall not take effect.
    (d) The Secretary will publish in the Federal Register the name, 
address, and telephone number of any HHS-certified laboratory or IITF 
that has its certification revoked or suspended under Section 9.13 or 
Section 9.14, respectively, and the name of any HHS-certified 
laboratory or IITF that has its suspension lifted. The Secretary shall 
provide to any member of the public upon request the written notice 
provided to a laboratory or IITF that has its HHS certification 
suspended or revoked, as well as the reviewing official's written 
decision which upholds or denies the suspension or proposed revocation 
under the procedures of Subpart P.

Section 9.18 May a laboratory or IITF that had its HHS certification 
revoked be recertified to test federal agency specimens?

    Following revocation, a laboratory or IITF may apply for 
recertification. Unless otherwise provided by the Secretary in the 
notice of revocation under Section 9.17 or the reviewing official's 
decision under Section 16.9(e) or 16.14(a), a laboratory or IITF which 
has had its certification revoked may reapply for HHS certification as 
an applicant laboratory or IITF.

Section 9.19 Where is the list of HHS-certified laboratories and IITFs 
published?

    (a) The list of HHS-certified laboratories and IITFs is published 
monthly in the Federal Register. This notice is also available on the 
Internet at http://www.samhsa.gov/workplace.
    (b) An applicant laboratory or IITF is not included on the list.

Subpart J--Blind Samples Submitted by an Agency

Section 10.1 What are the requirements for federal agencies to submit 
blind samples to HHS-certified laboratories or IITFs?

    (a) Each federal agency is required to submit blind samples for its 
workplace drug testing program. The collector must send the blind 
samples to the HHS-certified laboratory or IITF that the collector 
sends employee specimens.
    (b) Each federal agency must submit at least 3 percent blind 
samples along with its donor specimens based on the projected total 
number of donor specimens collected per year (up to a maximum of 400 
blind samples). Every effort should be made to ensure that blind 
samples are submitted quarterly.
    (c) Approximately 75 percent of the blind samples submitted each 
year by an agency must be negative, 15 percent must be positive for one 
or more drugs, and 10 percent must either be adulterated or 
substituted.

Section 10.2 What are the requirements for blind samples?

    (a) Drug positive blind samples must be validated by the supplier 
as to their content using appropriate initial and confirmatory tests.
    (1) Drug positive blind samples must be fortified with one or more 
of the drugs or metabolites listed in Section 3.4.
    (2) Drug positive blind samples must contain concentrations of 
drugs between 1.5 and 2 times the initial drug test cutoff 
concentration.
    (b) Drug negative blind samples (i.e., certified to contain no 
drugs) must be validated by the supplier as negative using appropriate 
initial and confirmatory tests.
    (c) A blind sample that is adulterated must be validated using 
appropriate initial and confirmatory specimen validity tests, and have 
the characteristics to clearly show that it is an adulterated sample at 
the time of validation.
    (d) A blind sample that is substituted must be validated using 
appropriate initial and confirmatory specimen validity tests, and have 
the characteristics to clearly show that it is a substituted sample at 
the time of validation.
    (e) The supplier must provide information on the blind samples' 
content, validation, expected results, and stability to the collection 
site/collector sending the blind samples to the laboratory or IITF, and 
must provide the information upon request to the MRO, the federal 
agency for which the blind sample was submitted, or the Secretary.

Section 10.3 How is a blind sample submitted to an HHS-certified 
laboratory or IITF?

    (a) A blind sample must be submitted as a split specimen (specimens 
A and B) with the current Federal CCF that the HHS-certified laboratory 
or IITF uses for donor specimens. The collector provides the required 
information to ensure that the Federal CCF has been properly completed 
and provides fictitious initials on the specimen label/seal. The 
collector must indicate that the specimen is a blind sample on the MRO 
copy where a donor would normally provide a signature.
    (b) A collector should attempt to distribute the required number of 
blind samples randomly with donor specimens rather than submitting the 
full complement of blind samples as a single group.

Section 10.4 What happens if an inconsistent result is reported for a 
blind sample?

    If an HHS-certified laboratory or IITF reports a result for a blind 
sample that is inconsistent with the expected result (e.g., a 
laboratory or IITF reports a negative result for a blind sample that 
was supposed to be positive, a laboratory reports a positive result for 
a blind sample that was supposed to be negative):
    (a) The MRO must contact the laboratory or IITF and attempt to 
determine if the laboratory or IITF made an error during the testing or 
reporting of the sample;
    (b) The MRO must contact the blind sample supplier and attempt to 
determine if the supplier made an error during the preparation or 
transfer of the sample;
    (c) The MRO must contact the collector and determine if the 
collector made an error when preparing the blind sample for transfer to 
the HHS-certified laboratory or IITF;
    (d) If there is no obvious reason for the inconsistent result, the 
MRO must notify both the federal agency for which the blind sample was 
submitted and the Secretary; and
    (e) The Secretary shall investigate the blind sample error. A 
report of the Secretary's investigative findings and the corrective 
action taken in response to identified deficiencies must be sent to the 
federal agency. The Secretary shall ensure notification of the finding 
as appropriate to other federal agencies and coordinate any necessary 
actions to prevent the recurrence of the error.

Subpart K--Laboratory

Section 11.1 What must be included in the HHS-certified laboratory's 
standard operating procedure manual?

    (a) An HHS-certified laboratory must have a standard operating 
procedure (SOP) manual that describes, in detail, all HHS-certified 
laboratory operations. When followed, the SOP manual ensures that all 
specimens are tested using the same procedures.
    (b) The SOP manual must include at a minimum, but is not limited 
to, a detailed description of the following:

[[Page 7953]]

    (1) Chain of custody procedures;
    (2) Accessioning;
    (3) Security;
    (4) Quality control/quality assurance programs;
    (5) Analytical methods and procedures;
    (6) Equipment and maintenance programs;
    (7) Personnel training;
    (8) Reporting procedures; and
    (9) Computers, software, and laboratory information management 
systems.
    (c) All procedures in the SOP manual must be compliant with these 
Guidelines and all guidance provided by the Secretary.
    (d) A copy of all procedures that have been replaced or revised and 
the dates on which the procedures were in effect must be maintained for 
at least 2 years.

Section 11.2 What are the responsibilities of the responsible person 
(RP)?

    (a) Manage the day-to-day operations of the HHS-certified 
laboratory even if another individual has overall responsibility for 
alternate areas of a multi-specialty laboratory.
    (b) Ensure that there are sufficient personnel with adequate 
training and experience to supervise and conduct the work of the HHS-
certified laboratory. The RP must ensure the continued competency of 
laboratory staff by documenting their in-service training, reviewing 
their work performance, and verifying their skills.
    (c) Maintain a complete and current SOP manual that is available to 
all personnel of the HHS-certified laboratory and ensure that it is 
followed. The SOP manual must be reviewed, signed, and dated by the 
RP(s) when procedures are first placed into use and when changed or 
when a new individual assumes responsibility for the management of the 
HHS-certified laboratory. The SOP must be reviewed and documented by 
the RP annually.
    (d) Maintain a quality assurance program that ensures the proper 
performance and reporting of all test results; verify and monitor 
acceptable analytical performance for all controls and calibrators; 
monitor quality control testing; and document the validity, 
reliability, accuracy, precision, and performance characteristics of 
each test and test system.
    (e) Initiate and implement all remedial actions necessary to 
maintain satisfactory operation and performance of the HHS-certified 
laboratory in response to the following: Quality control systems not 
within performance specifications; errors in result reporting or in 
analysis of performance testing samples; and inspection deficiencies. 
The RP must ensure that specimen results are not reported until all 
corrective actions have been taken and that the results provided are 
accurate and reliable.

Section 11.3 What scientific qualifications must the RP have?

    The RP must have documented scientific qualifications in analytical 
toxicology.
    Minimum qualifications are:
    (a) Certification or licensure as a laboratory director by the 
state in forensic or clinical laboratory toxicology, a Ph.D. in one of 
the natural sciences, or training and experience comparable to a Ph.D. 
in one of the natural sciences with training and laboratory/research 
experience in biology, chemistry, and pharmacology or toxicology;
    (b) Experience in forensic toxicology with emphasis on the 
collection and analysis of biological specimens for drugs of abuse;
    (c) Experience in forensic applications of analytical toxicology 
(e.g., publications, court testimony, conducting research on the 
pharmacology and toxicology of drugs of abuse) or qualify as an expert 
witness in forensic toxicology;
    (d) Fulfillment of the RP responsibilities and qualifications, as 
demonstrated by the HHS-certified laboratory's performance and verified 
upon interview by HHS-trained inspectors during each on-site 
inspection; and
    (e) Qualify as a certifying scientist.

Section 11.4 What happens when the RP is absent or leaves an HHS-
certified laboratory?

    (a) HHS-certified laboratories must have multiple RPs or one RP and 
an alternate RP. If the RP(s) are concurrently absent, an alternate RP 
must be present and qualified to fulfill the responsibilities of the 
RP.
    (1) If an HHS-certified laboratory is without the RP and alternate 
RP for 14 calendar days or less (e.g., temporary absence due to 
vacation, illness, or business trip), the HHS-certified laboratory may 
continue operations and testing of federal agency specimens under the 
direction of a certifying scientist.
    (2) The Secretary, in accordance with these Guidelines, will 
suspend a laboratory's HHS certification for all specimens if the 
laboratory does not have an RP or alternate RP for a period of more 
than 14 calendar days. The suspension will be lifted upon the 
Secretary's approval of a new permanent RP or alternate RP.
    (b) If the RP leaves an HHS-certified laboratory:
    (1) The HHS-certified laboratory may maintain certification and 
continue testing federally regulated specimens under the direction of 
an alternate RP for a period of up to 180 days while seeking to hire 
and receive the Secretary's approval of the RP's replacement.
    (2) The Secretary, in accordance with these Guidelines, will 
suspend a laboratory's HHS certification for all federally regulated 
specimens if the laboratory does not have a permanent RP within 180 
days. The suspension will be lifted upon the Secretary's approval of 
the new permanent RP.
    (c) To nominate an individual as an RP or alternate RP, the HHS-
certified laboratory must submit the following documents to the 
Secretary: The candidate's current resume or curriculum vitae, copies 
of diplomas and licensures, a training plan (not to exceed 90 days) to 
transition the candidate into the position, an itemized comparison of 
the candidate's qualifications to the minimum RP qualifications 
described in the Guidelines, and have official academic transcript(s) 
submitted from the candidate's institution(s) of higher learning. The 
candidate must be found qualified during an on-site inspection of the 
HHS-certified laboratory.
    (d) The HHS-certified laboratory must fulfill additional inspection 
and PT criteria as required prior to conducting federally regulated 
testing under a new RP.

Section 11.5 What qualifications must an individual have to certify a 
result reported by an HHS-certified laboratory?

    (a) A certifying scientist must have:
    (1) At least a bachelor's degree in the chemical or biological 
sciences or medical technology, or equivalent;
    (2) Training and experience in the analytical methods and forensic 
procedures used by the HHS-certified laboratory relevant to the results 
that the individual certifies; and
    (3) Training and experience in reviewing and reporting forensic 
test results and maintaining chain of custody, and an understanding of 
appropriate remedial actions in response to problems that may arise.
    (b) A certifying technician must have:
    (1) Training and experience in the analytical methods and forensic 
procedures used by the HHS-certified laboratory relevant to the results 
that the individual certifies; and

[[Page 7954]]

    (2) Training and experience in reviewing and reporting forensic 
test results and maintaining chain of custody, and an understanding of 
appropriate remedial actions in response to problems that may arise.

Section 11.6 What qualifications and training must other personnel of 
an HHS-certified laboratory have?

    (a) All HHS-certified laboratory staff (e.g., technicians, 
administrative staff) must have the appropriate training and skills for 
the tasks they perform.
    (b) Each individual working in an HHS-certified laboratory must be 
properly trained (i.e., receive training in each area of work that the 
individual will be performing, including training in forensic 
procedures related to their job duties) before they are permitted to 
work independently with federally regulated specimens. All training 
must be documented.

Section 11.7 What security measures must an HHS-certified laboratory 
maintain?

    (a) An HHS-certified laboratory must control access to the drug 
testing facility, specimens, aliquots, and records.
    (b) Authorized visitors must be escorted at all times, except for 
individuals conducting inspections (i.e., for the Department, a federal 
agency, a state, or other accrediting agency) or emergency personnel 
(e.g., firefighters and medical rescue teams).
    (c) An HHS-certified laboratory must maintain records documenting 
the identity of the visitor and escort, date, time of entry and exit, 
and purpose for access to the secured area.

Section 11.8 What are the laboratory chain of custody requirements for 
specimens and aliquots?

    (a) HHS-certified laboratories must use chain of custody procedures 
(internal and external) to maintain control and accountability of 
specimens from the time of receipt at the laboratory through completion 
of testing, reporting of results, during storage, and continuing until 
final disposition of the specimens.
    (b) HHS-certified laboratories must use chain of custody procedures 
to document the handling and transfer of aliquots throughout the 
testing process until final disposal.
    (c) The chain of custody must be documented using either paper copy 
or electronic procedures.
    (d) Each individual who handles a specimen or aliquot must sign and 
complete the appropriate entries on the chain of custody form when the 
specimen or aliquot is handled or transferred, and every individual in 
the chain must be identified.
    (e) The date and purpose must be recorded on an appropriate chain 
of custody form each time a specimen or aliquot is handled or 
transferred.

Section 11.9 What test(s) does an HHS-certified laboratory conduct on a 
urine specimen received from an IITF?

    An HHS-certified laboratory must test the specimen in the same 
manner as a specimen that had not been previously tested.

Section 11.10 What are the requirements for an initial drug test?

    (a) An initial drug test may be:
    (1) An immunoassay or
    (2) An alternate technology (e.g., spectrometry, spectroscopy).
    (b) An HHS-certified laboratory must validate an initial drug test 
before testing specimens.
    (c) Initial drug tests must be accurate and reliable for the 
testing of specimens when identifying drugs or their metabolites.
    (d) An HHS-certified laboratory may conduct a second initial drug 
test using a method with different specificity, to rule out cross-
reacting compounds. This second initial drug test must satisfy the 
batch quality control requirements specified in Section 11.12.

Section 11.11 What must an HHS-certified laboratory do to validate an 
initial drug test?

    (a) An HHS-certified laboratory must demonstrate and document the 
following for each initial drug test:
    (1) The ability to differentiate negative specimens from those 
requiring further testing;
    (2) The performance of the test around the cutoff concentration, 
using samples at several concentrations between 0 and 150 percent of 
the cutoff concentration;
    (3) The effective concentration range of the test (linearity);
    (4) The potential for carryover;
    (5) The potential for interfering substances; and
    (6) The potential matrix effects if using an alternate technology.
    (b) Each new lot of reagent must be verified prior to being placed 
into service.
    (c) Each initial drug test using an alternate technology must be 
re-verified periodically or at least annually.

Section 11.12 What are the batch quality control requirements when 
conducting an initial drug test?

    (a) Each batch of specimens must contain the following controls:
    (1) At least one control certified to contain no drug or drug 
metabolite;
    (2) At least one positive control with the drug or drug metabolite 
targeted at a concentration 25 percent above the cutoff;
    (3) At least one control with the drug or drug metabolite targeted 
at a concentration 75 percent of the cutoff; and
    (4) At least one control that appears as a donor specimen to the 
analysts.
    (b) Calibrators and controls must total at least 10 percent of the 
aliquots analyzed in each batch.

Section 11.13 What are the requirements for a confirmatory drug test?

    (a) The analytical method must use mass spectrometric 
identification [e.g., gas chromatography/mass spectrometry (GC/MS), 
liquid chromatography/mass spectrometry (LC/MS), GC/MS/MS, LC/MS/MS] or 
equivalent.
    (b) A confirmatory drug test must be validated before it can be 
used to test federally regulated specimens.
    (c) Confirmatory drug tests must be accurate and reliable for the 
testing of a urine specimen when identifying and quantifying drugs or 
their metabolites.

Section 11.14 What must an HHS-certified laboratory do to validate a 
confirmatory drug test?

    (a) An HHS-certified laboratory must demonstrate and document the 
following for each confirmatory drug test:
    (1) The linear range of the analysis;
    (2) The limit of detection;
    (3) The limit of quantification;
    (4) The accuracy and precision at the cutoff concentration;
    (5) The accuracy (bias) and precision at 40 percent of the cutoff 
concentration;
    (6) The potential for interfering substances;
    (7) The potential for carryover; and
    (8) The potential matrix effects if using liquid chromatography 
coupled with mass spectrometry.
    (b) Each new lot of reagent must be verified prior to being placed 
into service.
    (c) HHS-certified laboratories must re-verify each confirmatory 
drug test method periodically or at least annually.

Section 11.15 What are the batch quality control requirements when 
conducting a confirmatory drug test?

    (a) At a minimum, each batch of specimens must contain the 
following calibrators and controls:
    (1) A calibrator at the cutoff concentration;
    (2) At least one control certified to contain no drug or drug 
metabolite;

[[Page 7955]]

    (3) At least one positive control with the drug or drug metabolite 
targeted at 25 percent above the cutoff; and
    (4) At least one control targeted at or less than 40 percent of the 
cutoff.
    (b) Calibrators and controls must total at least 10 percent of the 
aliquots analyzed in each batch.

Section 11.16 What are the analytical and quality control requirements 
for conducting specimen validity tests?

    (a) Each invalid, adulterated, or substituted specimen validity 
test result must be based on an initial specimen validity test on one 
aliquot and a confirmatory specimen validity test on a second aliquot;
    (b) The HHS-certified laboratory must establish acceptance criteria 
and analyze calibrators and controls as appropriate to verify and 
document the validity of the test results (required specimen validity 
tests are addressed in Section 11.18); and
    (c) Controls must be analyzed concurrently with specimens.

Section 11.17 What must an HHS-certified laboratory do to validate a 
specimen validity test?

    An HHS-certified laboratory must demonstrate and document for each 
specimen validity test the appropriate performance characteristics of 
the test, and must re-verify the test periodically, or at least 
annually. Each new lot of reagent must be verified prior to being 
placed into service.

Section 11.18 What are the requirements for conducting each specimen 
validity test?

    (a) The requirements for measuring creatinine concentration are as 
follows:
    (1) The creatinine concentration must be measured to one decimal 
place on both the initial creatinine test and the confirmatory 
creatinine test;
    (2) The initial creatinine test must have the following calibrators 
and controls:
    (i) A calibrator at 2 mg/dL;
    (ii) A control in the range of 1.0 mg/dL to 1.5 mg/dL;
    (iii) A control in the range of 3 mg/dL to 20 mg/dL; and
    (iv) A control in the range of 21 mg/dL to 25 mg/dL.
    (3) The confirmatory creatinine test (performed on those specimens 
with a creatinine concentration less than 2 mg/dL on the initial test) 
must have the following calibrators and controls:
    (i) A calibrator at 2 mg/dL;
    (ii) A control in the range of 1.0 mg/dL to 1.5 mg/dL; and
    (iii) A control in the range of 3 mg/dL to 4 mg/dL.
    (b) The requirements for measuring specific gravity are as follows:
    (1) For specimens with initial creatinine test results greater than 
5 mg/dL and less than 20 mg/dL, laboratories may perform a screening 
test using a refractometer that measures urine specific gravity to at 
least three decimal places to identify specific gravity values that are 
acceptable (equal to or greater than 1.003) or dilute (equal to or 
greater than 1.002 and less than 1.003). Specimens must be subjected to 
an initial specific gravity test using a four decimal place 
refractometer when the initial creatinine test result is less than or 
equal to 5 mg/dL or when the screening specific gravity test result 
using a three decimal place refractometer is less than 1.002.
    (2) The screening specific gravity test must have the following 
calibrators and controls:
    (i) A calibrator or control at 1.000;
    (ii) One control targeted at 1.002;
    (iii) One control in the range of 1.004 to 1.018.
    (3) For the initial and confirmatory specific gravity tests, the 
refractometer must report and display specific gravity to four decimal 
places. The refractometer must be interfaced with a laboratory 
information management system (LIMS), computer, and/or generate a paper 
copy of the digital electronic display to document the numerical values 
of the specific gravity test results;
    (4) The initial and confirmatory specific gravity tests must have 
the following calibrators and controls:
    (i) A calibrator or control at 1.0000;
    (ii) One control targeted at 1.0020;
    (iii) One control in the range of 1.0040 to 1.0180; and
    (iv) One control equal to or greater than 1.0200 but not greater 
than 1.0250.
    (c) Requirements for measuring pH are as follows:
    (1) Colorimetric pH tests that have the dynamic range of 3 to 12 to 
support the 4 and 11 pH cutoffs and pH meters must be capable of 
measuring pH to one decimal place. Colorimetric pH tests, dipsticks, 
and pH paper (i.e., screening tests) that have a narrow dynamic range 
and do not support the cutoffs may be used only to determine if an 
initial pH specimen validity test must be performed;
    (2) For the initial and confirmatory pH tests, the pH meter must 
report and display pH to at least one decimal place. The pH meter must 
be interfaced with a LIMS, computer, and/or generate a paper copy of 
the digital electronic display to document the numerical values of the 
pH test results;
    (3) pH screening tests must have, at a minimum, the following 
controls:
    (i) One control below the lower decision point in use;
    (ii) One control between the decision points in use; and
    (iii) One control above the upper decision point in use;
    (4) An initial colorimetric pH test must have the following 
calibrators and controls:
    (i) One calibrator at 4;
    (ii) One calibrator at 11;
    (iii) One control in the range of 3 to 3.8;
    (iv) One control in the range 4.2 to 5;
    (v) One control in the range of 5 to 9;
    (vi) One control in the range of 10 to 10.8; and
    (vii) One control in the range of 11.2 to 12;
    (5) An initial pH meter test, if a pH screening test is not used, 
must have the following calibrators and controls:
    (i) One calibrator at 3;
    (ii) One calibrator at 7;
    (iii) One calibrator at 10;
    (iv) One control in the range of 3 to 3.8;
    (v) One control in the range 4.2 to 5;
    (vi) One control in the range of 10 to 10.8; and
    (vii) One control in the range of 11.2 to 12;
    (6) An initial pH meter test (if a pH screening test is used) or 
confirmatory pH meter test must have the following calibrators and 
controls when the result of the preceding pH test indicates that the pH 
is below the lower decision point in use:
    (i) One calibrator at 4;
    (ii) One calibrator at 7;
    (iii) One control in the range of 3 to 3.8; and
    (iv) One control in the range 4.2 to 5; and
    (7) An initial pH meter test (if a pH screening test is used) or 
confirmatory pH meter test must have the following calibrators and 
controls when the result of the preceding pH test indicates that the pH 
is above the upper decision point in use:
    (i) One calibrator at 7;
    (ii) One calibrator at 10;
    (iii) One control in the range of 10 to 10.8; and
    (iv) One control in the range of 11.2 to 12.
    (d) Requirements for performing oxidizing adulterant tests are as 
follows:
    (1) The initial test must include an appropriate calibrator at the 
cutoff specified in Sections 11.19(d)(2), (3), or (4) for the compound 
of interest, a control without the compound of interest (i.e., a 
certified negative control), and at least one control with

[[Page 7956]]

one of the compounds of interest at a measurable concentration; and
    (2) A confirmatory test for a specific oxidizing adulterant must 
use a different analytical method than that used for the initial test. 
Each confirmatory test batch must include an appropriate calibrator, a 
control without the compound of interest (i.e., a certified negative 
control), and a control with the compound of interest at a measurable 
concentration.
    (e) The requirements for measuring the nitrite concentration are 
that the initial and confirmatory nitrite tests must have a calibrator 
at the cutoff concentration, a control without nitrite (i.e., certified 
negative urine), one control in the range of 200 mcg/mL to 250 mcg/mL, 
and one control in the range of 500 mcg/mL to 625 mcg/mL.

Section 11.19 What are the requirements for an HHS-certified laboratory 
to report a test result?

    (a) Laboratories must report a test result to the agency's MRO 
within an average of 5 working days after receipt of the specimen. 
Reports must use the Federal CCF and/or an electronic report. Before 
any test result can be reported, it must be certified by a certifying 
scientist or a certifying technician (as appropriate).
    (b) A primary (A) specimen is reported negative when each initial 
drug test is negative or if the specimen is negative upon confirmatory 
drug testing, and the specimen does not meet invalid criteria as 
described in items (h)(1) through (h)(12) below.
    (c) A primary (A) specimen is reported positive for a specific drug 
or drug metabolite when both the initial drug test is positive and the 
confirmatory drug test is positive in accordance with Section 3.4.
    (d) A primary (A) urine specimen is reported adulterated when:
    (1) The pH is less than 4 or equal to or greater than 11 using 
either a pH meter or a colorimetric pH test for the initial test on the 
first aliquot and a pH meter for the confirmatory test on the second 
aliquot;
    (2) The nitrite concentration is equal to or greater than 500 mcg/
mL using either a nitrite colorimetric test or a general oxidant 
colorimetric test for the initial test on the first aliquot and a 
different confirmatory test (e.g., multi-wavelength spectrophotometry, 
ion chromatography, capillary electrophoresis) on the second aliquot;
    (3) The presence of chromium (VI) is verified using either a 
general oxidant colorimetric test (with an equal to or greater than 50 
mcg/mL chromium (VI)-equivalent cutoff) or a chromium (VI) colorimetric 
test (chromium (VI) concentration equal to or greater than 50 mcg/mL) 
for the initial test on the first aliquot and a different confirmatory 
test (e.g., multi-wavelength spectrophotometry, ion chromatography, 
atomic absorption spectrophotometry, capillary electrophoresis, 
inductively coupled plasma-mass spectrometry) with the chromium (VI) 
concentration equal to or greater than the LOQ of the confirmatory test 
on the second aliquot;
    (4) The presence of halogen (e.g., bleach, iodine, fluoride) is 
verified using either a general oxidant colorimetric test (with an 
equal to or greater than 200 mcg/mL nitrite-equivalent cutoff or an 
equal to or greater than 50 mcg/mL chromium (VI)-equivalent cutoff) or 
halogen colorimetric test (halogen concentration equal to or greater 
than the LOQ) for the initial test on the first aliquot and a different 
confirmatory test (e.g., multi-wavelength spectrophotometry, ion 
chromatography, inductively coupled plasma-mass spectrometry) with a 
specific halogen concentration equal to or greater than the LOQ of the 
confirmatory test on the second aliquot;
    (5) The presence of glutaraldehyde is verified using either an 
aldehyde test (aldehyde present) or the characteristic immunoassay 
response on one or more drug immunoassay tests for the initial test on 
the first aliquot and a different confirmatory method (e.g., GC/MS) for 
the confirmatory test with the glutaraldehyde concentration equal to or 
greater than the LOQ of the analysis on the second aliquot;
    (6) The presence of pyridine (pyridinium chlorochromate) is 
verified using either a general oxidant colorimetric test (with an 
equal to or greater than 200 mcg/mL nitrite-equivalent cutoff or an 
equal to or greater than 50 mcg/mL chromium (VI)-equivalent cutoff) or 
a chromium (VI) colorimetric test (chromium (VI) concentration equal to 
or greater than 50 mcg/mL) for the initial test on the first aliquot 
and a different confirmatory method (e.g., GC/MS) for the confirmatory 
test with the pyridine concentration equal to or greater than the LOQ 
of the analysis on the second aliquot;
    (7) The presence of a surfactant is verified by using a surfactant 
colorimetric test with an equal to or greater than 100 mcg/mL 
dodecylbenzene sulfonate-equivalent cutoff for the initial test on the 
first aliquot and a different confirmatory test (e.g., multi-wavelength 
spectrophotometry) with an equal to or greater than 100 mcg/mL 
dodecylbenzene sulfonate-equivalent cutoff on the second aliquot; or
    (8) The presence of any other adulterant not specified in 
paragraphs d(2) through d(7) of this section is verified using an 
initial test on the first aliquot and a different confirmatory test on 
the second aliquot.
    (e) A primary (A) urine specimen is reported substituted when the 
creatinine concentration is less than 2 mg/dL and the specific gravity 
is less than or equal to 1.0010 or equal to or greater than 1.0200 on 
both the initial and confirmatory creatinine tests (i.e., the same 
colorimetric test may be used to test both aliquots) and on both the 
initial and confirmatory specific gravity tests (i.e., a refractometer 
is used to test both aliquots) on two separate aliquots.
    (f) A primary (A) urine specimen is reported dilute when the 
creatinine concentration is equal to or greater than 2 mg/dL but less 
than 20 mg/dL and the specific gravity is greater than 1.0010 but less 
than 1.0030 on a single aliquot.
    (g) For a specimen that has an invalid result for one of the 
reasons stated in items (h)(4) through (h)(12) below, the HHS-certified 
laboratory shall contact the MRO and both will decide if testing by 
another HHS-certified laboratory would be useful in being able to 
report a positive or adulterated result. If no further testing is 
necessary, the HHS-certified laboratory then reports the invalid result 
to the MRO.
    (h) A primary (A) urine specimen is reported as an invalid result 
when:
    (1) Inconsistent creatinine concentration and specific gravity 
results are obtained (i.e., the creatinine concentration is less than 2 
mg/dL on both the initial and confirmatory creatinine tests and the 
specific gravity is greater than 1.0010 but less than 1.0200 on the 
initial and/or confirmatory specific gravity test, the specific gravity 
is less than or equal to 1.0010 on both the initial and confirmatory 
specific gravity tests and the creatinine concentration is equal to or 
greater than 2 mg/dL on either or both the initial or confirmatory 
creatinine tests);
    (2) The pH is equal to or greater than 4 and less than 4.5 or equal 
to or greater than 9 and less than 11 using either a colorimetric pH 
test or pH meter for the initial test and a pH meter for the 
confirmatory test on two separate aliquots;
    (3) The nitrite concentration is equal to or greater than 200 mcg/
mL using a nitrite colorimetric test or equal to or greater than the 
equivalent of 200 mcg/mL nitrite using a general oxidant colorimetric 
test for both the initial (first) test and the second test or using

[[Page 7957]]

either initial test and the nitrite concentration is equal to or 
greater than 200 mcg/mL but less than 500 mcg/mL for a different 
confirmatory test (e.g., multi-wavelength spectrophotometry, ion 
chromatography, capillary electrophoresis) on two separate aliquots;
    (4) The possible presence of chromium (VI) is determined using the 
same chromium (VI) colorimetric test with a cutoff equal to or greater 
than 50 mcg/mL chromium (VI) for both the initial (first) test and the 
second test on two separate aliquots;
    (5) The possible presence of a halogen (e.g., bleach, iodine, 
fluoride) is determined using the same halogen colorimetric test with a 
cutoff equal to or greater than the LOQ for both the initial (first) 
test and the second test on two separate aliquots or relying on the 
odor of the specimen as the initial test;
    (6) The possible presence of glutaraldehyde is determined by using 
the same aldehyde test (aldehyde present) or characteristic immunoassay 
response on one or more drug immunoassay tests for both the initial 
(first) test and the second test on two separate aliquots;
    (7) The possible presence of an oxidizing adulterant is determined 
by using the same general oxidant colorimetric test (with an equal to 
or greater than 200 mcg/mL nitrite-equivalent cutoff, an equal to or 
greater than 50 mcg/mL chromium (VI)-equivalent cutoff, or a halogen 
concentration is equal to or greater than the LOQ) for both the initial 
(first) test and the second test on two separate aliquots;
    (8) The possible presence of a surfactant is determined by using 
the same surfactant colorimetric test with an equal to or greater than 
100 mcg/mL dodecylbenzene sulfonate-equivalent cutoff for both the 
initial (first) test and the second test on two separate aliquots or a 
foam/shake test for the initial test;
    (9) Interference occurs on the initial drug tests on two separate 
aliquots (i.e., valid initial drug test results cannot be obtained);
    (10) Interference with the confirmatory drug test occurs on at 
least two separate aliquots of the specimen and the HHS-certified 
laboratory is unable to identify the interfering substance;
    (11) The physical appearance of the specimen is such that testing 
the specimen may damage the laboratory's instruments; or
    (12) The physical appearances of the A and B specimens are clearly 
different (note: A is tested).
    (i) An HHS-certified laboratory shall reject a primary (A) specimen 
for testing when a fatal flaw occurs as described in Section 15.1 or 
when a correctable flaw as described in Section 15.2 is not recovered. 
The HHS-certified laboratory will indicate on the Federal CCF that the 
specimen was rejected for testing and provide the reason for reporting 
the rejected for testing result.
    (j) An HHS-certified laboratory must report all positive, 
adulterated, substituted, and invalid test results for a urine 
specimen. For example, a specimen can be positive for a specific drug 
and adulterated.
    (k) An HHS-certified laboratory must report the confirmatory 
concentration of each drug or drug metabolite reported for a positive 
result.
    (l) An HHS-certified laboratory must report numerical values of the 
specimen validity test results that support a specimen that is reported 
adulterated, substituted, or invalid (as appropriate).
    (m) When the concentration of a drug or drug metabolite exceeds the 
validated linear range of the confirmatory test, HHS-certified 
laboratories may report to the MRO that the quantitative value exceeds 
the linear range of the test or that the quantitative value is greater 
than ``insert the actual value for the upper limit of the linear 
range,'' or laboratories may report a quantitative value above the 
upper limit of the linear range that was obtained by diluting an 
aliquot of the specimen to achieve a result within the method's linear 
range and multiplying the result by the appropriate dilution factor.
    (n) HHS-certified laboratories may transmit test results to the MRO 
by various electronic means (e.g., teleprinter, facsimile, or 
computer). Transmissions of the reports must ensure confidentiality and 
the results may not be reported verbally by telephone. Laboratories and 
external service providers must ensure the confidentiality, integrity, 
and availability of the data and limit access to any data transmission, 
storage, and retrieval system.
    (o) HHS-certified laboratories must facsimile, courier, mail, or 
electronically transmit a legible image or copy of the completed 
Federal CCF and/or forward a computer-generated electronic report. The 
computer-generated report must contain sufficient information to ensure 
that the test results can accurately represent the content of the 
custody and control form that the MRO received from the collector.
    (p) For positive, adulterated, substituted, invalid, and rejected 
specimens, laboratories must facsimile, courier, mail, or 
electronically transmit a legible image or copy of the completed 
Federal CCF.

Section 11.20 How long must an HHS-certified laboratory retain 
specimens?

    (a) An HHS-certified laboratory must retain specimens that were 
reported as positive, adulterated, substituted, or as an invalid result 
for a minimum of 1 year.
    (b) Retained specimens must be kept in secured frozen storage (-20 
[deg]C or less) to ensure their availability for retesting during an 
administrative or judicial proceeding.
    (c) Federal agencies may request that the HHS-certified laboratory 
retain a specimen for an additional specified period of time and must 
make that request within the 1-year period.

Section 11.21 How long must an HHS-certified laboratory retain records?

    (a) An HHS-certified laboratory must retain all records generated 
to support test results for at least 2 years. The laboratory may 
convert hardcopy records to electronic records for storage and then 
discard the hardcopy records after 6 months.
    (b) A federal agency may request the HHS-certified laboratory to 
maintain a documentation package (as described in Section 11.23) that 
supports the chain of custody, testing, and reporting of a donor's 
specimen that is under legal challenge by a donor. The federal agency's 
request to the laboratory must be in writing and must specify the 
period of time to maintain the documentation package.
    (c) An HHS-certified laboratory may retain records other than those 
included in the documentation package beyond the normal 2-year period 
of time.

Section 11.22 What statistical summary reports must an HHS-certified 
laboratory provide for urine testing?

    (a) HHS-certified laboratories must provide to each federal agency 
for which they perform testing a semiannual statistical summary report 
that must be submitted by mail, facsimile, or email within 14 working 
days after the end of the semiannual period. The summary report must 
not include any personal identifying information. A copy of the 
semiannual statistical summary report will also be sent to the 
Secretary or designated HHS representative. The semiannual statistical 
report contains the following information:
    (1) Reporting period (inclusive dates);
    (2) HHS-certified laboratory name and address;
    (3) Federal agency name;

[[Page 7958]]

    (4) Number of specimen results reported;
    (5) Number of specimens collected by reason for test;
    (6) Number of specimens reported negative and the number reported 
negative/dilute;
    (7) Number of specimens rejected for testing because of a fatal 
flaw;
    (8) Number of specimens rejected for testing because of an 
uncorrected flaw;
    (9) Number of specimens tested positive by each initial drug test;
    (10) Number of specimens reported positive;
    (11) Number of specimens reported positive for each drug and drug 
metabolite;
    (12) Number of specimens reported adulterated;
    (13) Number of specimens reported substituted; and
    (14) Number of specimens reported as invalid result.
    (b) An HHS-certified laboratory must make copies of an agency's 
test results available when requested to do so by the Secretary or by 
the federal agency for which the laboratory is performing drug-testing 
services.
    (c) An HHS-certified laboratory must ensure that a qualified 
individual is available to testify in a proceeding against a federal 
employee when the proceeding is based on a test result reported by the 
laboratory.

Section 11.23 What HHS-certified laboratory information is available to 
a federal agency?

    (a) Following a federal agency's receipt of a positive, 
adulterated, or substituted drug test report, the federal agency may 
submit a written request for copies of the records relating to the drug 
test results or a documentation package or any relevant certification, 
review, or revocation of certification records.
    (b) Standard documentation packages provided by an HHS-certified 
laboratory must contain the following items:
    (1) A cover sheet providing a brief description of the procedures 
and tests performed on the donor's specimen;
    (2) A table of contents that lists all documents and materials in 
the package by page number;
    (3) A copy of the Federal CCF with any attachments, internal chain 
of custody records for the specimen, memoranda (if any) generated by 
the HHS-certified laboratory, and a copy of the electronic report (if 
any) generated by the HHS-certified laboratory;
    (4) A brief description of the HHS-certified laboratory's initial 
drug and specimen validity testing procedures, instrumentation, and 
batch quality control requirements;
    (5) Copies of the initial test data for the donor's specimen with 
all calibrators and controls and copies of all internal chain of 
custody documents related to the initial tests;
    (6) A brief description of the HHS-certified laboratory's 
confirmatory drug (and specimen validity, if applicable) testing 
procedures, instrumentation, and batch quality control requirements;
    (7) Copies of the confirmatory test data for the donor's specimen 
with all calibrators and controls and copies of all internal chain of 
custody documents related to the confirmatory tests; and
    (8) Copies of the r[eacute]sum[eacute] or curriculum vitae for the 
RP(s) and the certifying technician or certifying scientist of record.

Section 11.24 What HHS-certified laboratory information is available to 
a federal employee?

    A federal employee who is the subject of a workplace drug test may 
submit a written request through the MRO and/or the federal agency 
requesting copies of any records relating to the employee's drug test 
results or a documentation package as described in Section 11.23(b) and 
any relevant certification, review, or revocation of certification 
records. Federal employees, or their designees, are not permitted 
access to their specimens collected pursuant to Executive Order 12564, 
Public Law 100-71, and these Guidelines.

Section 11.25 What types of relationships are prohibited between an 
HHS-certified laboratory and an MRO?

    An HHS-certified laboratory must not enter into any relationship 
with a federal agency's MRO that may be construed as a potential 
conflict of interest or derive any financial benefit by having a 
federal agency use a specific MRO.
    This means an MRO may be an employee of the agency or a contractor 
for the agency; however, an MRO shall not be an employee or agent of or 
have any financial interest in the HHS-certified laboratory for which 
the MRO is reviewing drug testing results. Additionally, an MRO shall 
not derive any financial benefit by having an agency use a specific 
HHS-certified laboratory or have any agreement with an HHS-certified 
laboratory that may be construed as a potential conflict of interest.

Section 11.26 What type of relationship can exist between an HHS-
certified laboratory and an HHS-certified IITF?

    An HHS-certified laboratory can enter into any relationship with an 
HHS-certified IITF.

Subpart L--Instrumented Initial Test Facility (IITF)

Section 12.1 What must be included in the HHS-certified IITF's standard 
operating procedure manual?

    (a) An HHS-certified IITF must have a standard operating procedure 
(SOP) manual that describes, in detail, all HHS-certified IITF 
operations. When followed, the SOP manual ensures that all specimens 
are tested consistently using the same procedures.
    (b) The SOP manual must include at a minimum, but is not limited 
to, a detailed description of the following:
    (1) Chain of custody procedures;
    (2) Accessioning;
    (3) Security;
    (4) Quality control/quality assurance programs;
    (5) Analytical methods and procedures;
    (6) Equipment and maintenance programs;
    (7) Personnel training;
    (8) Reporting procedures; and
    (9) Computers, software, and laboratory information management 
systems.
    (c) All procedures in the SOP manual must be compliant with these 
Guidelines and all guidance provided by the Secretary.
    (d) A copy of all procedures that have been replaced or revised and 
the dates on which the procedures were in effect must be maintained for 
two years.

Section 12.2 What are the responsibilities of the responsible 
technician (RT)?

    (a) Manage the day-to-day operations of the HHS-certified IITF even 
if another individual has overall responsibility for alternate areas of 
a multi-specialty facility.
    (b) Ensure that there are sufficient personnel with adequate 
training and experience to supervise and conduct the work of the HHS-
certified IITF. The RT must ensure the continued competency of IITF 
personnel by documenting their in-service training, reviewing their 
work performance, and verifying their skills.
    (c) Maintain a complete and current SOP manual that is available to 
all personnel of the HHS-certified IITF, and ensure that it is 
followed. The SOP manual must be reviewed, signed, and dated by the RT 
when procedures are

[[Page 7959]]

first placed into use or changed or when a new individual assumes 
responsibility for the management of the HHS-certified IITF. The SOP 
must be reviewed and documented by the RT annually.
    (d) Maintain a quality assurance program that ensures the proper 
performance and reporting of all test results; verify and monitor 
acceptable analytical performance for all controls and calibrators; 
monitor quality control testing; and document the validity, 
reliability, accuracy, precision, and performance characteristics of 
each test and test system.
    (e) Initiate and implement all remedial actions necessary to 
maintain satisfactory operation and performance of the HHS-certified 
IITF in response to the following: Quality control systems not within 
performance specifications, errors in result reporting or in analysis 
of performance testing samples, and inspection deficiencies. The RT 
must ensure that specimen results are not reported until all corrective 
actions have been taken and that the results provided are accurate and 
reliable.

Section 12.3 What qualifications must the RT have?

    An RT must:
    (a) Have at least a bachelor's degree in the chemical or biological 
sciences or medical technology, or equivalent;
    (b) Have training and experience in the analytical methods and 
forensic procedures used by the HHS-certified IITF;
    (c) Have training and experience in reviewing and reporting 
forensic test results and maintaining chain of custody, and an 
understanding of appropriate remedial actions in response to problems 
that may arise;
    (d) Be found to fulfill RT responsibilities and qualifications, as 
demonstrated by the HHS-certified IITF's performance and verified upon 
interview by HHS-trained inspectors during each on-site inspection; and
    (e) Qualify as a certifying technician.

Section 12.4 What happens when the RT is absent or leaves an HHS-
certified IITF?

    (a) HHS-certified IITFs must have an RT and an alternate RT. When 
an RT is absent, an alternate RT must be present and qualified to 
fulfill the responsibilities of the RT.
    (1) If an HHS-certified IITF is without the RT and alternate RT for 
14 calendar days or less (e.g., temporary absence due to vacation, 
illness, business trip), the HHS-certified IITF may continue operations 
and testing of federal agency specimens under the direction of a 
certifying technician.
    (2) The Secretary, in accordance with these Guidelines, will 
suspend an IITF's HHS certification for all specimens if the IITF does 
not have an RT or alternate RT for a period of more than 14 calendar 
days. The suspension will be lifted upon the Secretary's approval of a 
new permanent RT or alternate RT.
    (b) If the RT leaves an HHS-certified IITF:
    (1) The HHS-certified IITF may maintain certification and continue 
testing federally regulated specimens under the direction of an 
alternate RT for a period of up to 180 days while seeking to hire and 
receive the Secretary's approval of the RT's replacement.
    (2) The Secretary, in accordance with these Guidelines, will 
suspend an IITF's HHS certification for all federally regulated 
specimens if the IITF does not have a permanent RT within 180 days. The 
suspension will be lifted upon the Secretary's approval of the new 
permanent RT.
    (c) To nominate an individual as the RT or alternate RT, the HHS-
certified IITF must submit the following documents to the Secretary: 
The candidate's current r[eacute]sum[eacute] or curriculum vitae, 
copies of diplomas and licensures, a training plan (not to exceed 90 
days) to transition the candidate into the position, an itemized 
comparison of the candidate's qualifications to the minimum RT 
qualifications described in the Guidelines, and have official academic 
transcript(s) submitted from the candidate's institution(s) of higher 
learning. The candidate must be found qualified during an on-site 
inspection of the HHS-certified IITF.
    (d) The HHS-certified IITF must fulfill additional inspection and 
PT criteria as required prior to conducting federally regulated testing 
under a new RT.

Section 12.5 What qualifications must an individual have to certify a 
result reported by an HHS-certified IITF?

    A certifying technician must have:
    (a) Training and experience in the analytical methods and forensic 
procedures used by the HHS-certified IITF relevant to the results that 
the individual certifies; and
    (b) Training and experience in reviewing and reporting forensic 
test results and maintaining chain of custody, and an understanding of 
appropriate remedial actions in response to problems that may arise.

Section 12.6 What qualifications and training must other personnel of 
an HHS-certified IITF have?

    (a) All HHS-certified IITF staff (e.g., technicians, administrative 
staff) must have the appropriate training and skills for the tasks they 
perform.
    (b) Each individual working in an HHS-certified IITF must be 
properly trained (i.e., receive training in each area of work that the 
individual will be performing, including training in forensic 
procedures related to their job duties) before they are permitted to 
work independently with federally regulated specimens. All training 
must be documented.

Section 12.7 What security measures must an HHS-certified IITF 
maintain?

    (a) An HHS-certified IITF must control access to the drug testing 
facility, specimens, aliquots, and records.
    (b) Authorized visitors must be escorted at all times except for 
individuals conducting inspections (i.e., for the Department, a federal 
agency, a state, or other accrediting agency) or emergency personnel 
(e.g., firefighters and medical rescue teams).
    (c) An HHS-certified IITF must maintain records documenting the 
identity of the visitor and escort, date, time of entry and exit, and 
purpose for the access to the secured area.

Section 12.8 What are the IITF chain of custody requirements for 
specimens and aliquots?

    (a) HHS-certified IITFs must use chain of custody procedures 
(internal and external) to maintain control and accountability of 
specimens from the time of receipt at the IITF through completion of 
testing, reporting of results, during storage, and continuing until 
final disposition of the specimens.
    (b) HHS-certified IITFs must use chain of custody procedures to 
document the handling and transfer of aliquots throughout the testing 
process until final disposal.
    (c) The chain of custody must be documented using either paper copy 
or electronic procedures.
    (d) Each individual who handles a specimen or aliquot must sign and 
complete the appropriate entries on the chain of custody form when the 
specimen or aliquot is handled or transferred, and every individual in 
the chain must be identified.
    (e) The date and purpose must be recorded on an appropriate chain 
of custody form each time a specimen or aliquot is handled or 
transferred.

[[Page 7960]]

Section 12.9 What are the requirements for an initial drug test?

    (a) An initial drug test may be:
    (1) An immunoassay or
    (2) An alternate technology (e.g., spectrometry, spectroscopy).
    (b) An HHS-certified IITF must validate an initial drug test before 
testing specimens;
    (c) Initial drug tests must be accurate and reliable for the 
testing of urine specimens when identifying drugs or their metabolites.
    (d) An HHS-certified IITF may conduct a second initial drug test 
using a method with different specificity, to rule out cross-reacting 
compounds. This second initial drug test must satisfy the batch quality 
control requirements specified in Section 12.11.

Section 12.10 What must an HHS-certified IITF do to validate an initial 
drug test?

    (a) An HHS-certified IITF must demonstrate and document the 
following for each initial drug test:
    (1) The ability to differentiate negative specimens from those 
requiring further testing;
    (2) The performance of the test around the cutoff concentration, 
using samples at several concentrations between 0 and 150 percent of 
the cutoff concentration;
    (3) The effective concentration range of the test (linearity);
    (4) The potential for carryover;
    (5) The potential for interfering substances; and
    (6) The potential matrix effects if using an alternate technology.
    (b) Each new lot of reagent must be verified prior to being placed 
into service.
    (c) Each initial drug test using an alternate technology must be 
re-verified periodically or at least annually.

Section 12.11 What are the batch quality control requirements when 
conducting an initial drug test?

    (a) Each batch of specimens must contain the following calibrators 
and controls:
    (1) At least one control certified to contain no drug or drug 
metabolite;
    (2) At least one positive control with the drug or drug metabolite 
targeted at a concentration 25 percent above the cutoff;
    (3) At least one control with the drug or drug metabolite targeted 
at a concentration 75 percent of the cutoff; and
    (4) At least one control that appears as a donor specimen to the 
analysts.
    (b) Calibrators and controls must total at least 10 percent of the 
aliquots analyzed in each batch.

Section 12.12 What are the analytical and quality control requirements 
for conducting specimen validity tests?

    (a) Each specimen validity test result must be based on performing 
a single test on one aliquot;
    (b) The HHS-certified IITF must establish acceptance criteria and 
analyze calibrators and controls as appropriate to verify and document 
the validity of the test results in accordance with Section 12.14; and
    (c) Controls must be analyzed concurrently with specimens.

Section 12.13 What must an HHS-certified IITF do to validate a specimen 
validity test?

    An HHS-certified IITF must demonstrate and document for each 
specimen validity test the appropriate performance characteristics of 
the test, and must re-verify the test periodically, or at least 
annually. Each new lot of reagent must be verified prior to being 
placed into service.

Section 12.14 What are the requirements for conducting each specimen 
validity test?

    (a) The requirements for measuring creatinine concentration are as 
follows:
    (1) The creatinine concentration must be measured to one decimal 
place on the test;
    (2) The creatinine test must have the following calibrators and 
controls:
    (i) A calibrator at 2 mg/dL;
    (ii) A control in the range of 1.0 mg/dL to 1.5 mg/dL;
    (iii) A control in the range of 3 mg/dL to 20 mg/dL; and
    (iv) A control in the range of 21 mg/dL to 25 mg/dL.
    (b) The requirements for measuring specific gravity are as follows:
    (1) For specimens with creatinine test results greater than 5 mg/dL 
and less than 20 mg/dL, an IITF must perform a screening test using a 
refractometer to identify specific gravity values that are acceptable 
(equal to or greater than1.003) or dilute (equal to or greater 
than1.002 and less than1.003). Specimens must be forwarded to an HHS-
certified laboratory when the creatinine test result is less than or 
equal to 5 mg/dL or when the screening specific gravity test result is 
less than 1.002.
    (2) The screening specific gravity test must have the following 
calibrators and controls:
    (i) A calibrator or control at 1.000;
    (ii) One control targeted at 1.002; and
    (iii) One control in the range of 1.004 to 1.018.
    (c) The requirements for measuring pH are as follows:
    (1) The IITF may perform the pH test using a pH meter, colorimetric 
pH test, dipsticks, or pH paper. Specimens must be forwarded to an HHS-
certified laboratory when the pH is less than 4.5 or equal to or 
greater than 9.0.
    (2) The pH test must have, at a minimum, the following calibrators 
and controls:
    (i) One control below 4.5;
    (ii) One control between 4.5 and 9.0;
    (iii) One control above 9.0; and
    (iv) One or more calibrators as appropriate for the test. For a pH 
meter: calibrators at 4, 7, and 10.
    (d) The requirements for measuring the nitrite concentration are 
that the nitrite test must have a calibrator at 200 mcg/mL nitrite, a 
control without nitrite (i.e., certified negative urine), one control 
in the range of 200 mcg/mL to 250 mcg/mL, and one control in the range 
of 500 mcg/mL to 625 mcg/mL. Specimens with a nitrite concentration 
equal to or greater than 200 mcg/mL must be forwarded to an HHS-
certified laboratory; and,
    (e) Requirements for performing oxidizing adulterant tests are that 
the test must include an appropriate calibrator at the cutoff specified 
in Sections 11.19(d)(3), (4), or (6) for the compound of interest, a 
control without the compound of interest (i.e., a certified negative 
control), and at least one control with one of the compounds of 
interest at a measurable concentration. Specimens with an oxidizing 
adulterant result equal to or greater than the cutoff must be forwarded 
to an HHS-certified laboratory.

Section 12.15 What are the requirements for an HHS-certified IITF to 
report a test result?

    (a) An HHS-certified IITF must report a test result to the agency's 
MRO within an average of 3 working days after receipt of the specimen. 
Reports must use the Federal CCF and/or an electronic report. Before 
any test result can be reported, it must be certified by a certifying 
technician.
    (b) A primary (A) specimen is reported negative when each drug test 
is negative and each specimen validity test result indicates that the 
specimen is a valid urine specimen.
    (c) A primary (A) urine specimen is reported dilute when the 
creatinine concentration is greater than 5 mg/dL but less than 20 mg/dL 
and the specific gravity is equal to or greater than 1.002 but less 
than 1.003.
    (d) An HHS-certified IITF shall reject a urine specimen for testing 
when a fatal flaw occurs as described in Section 15.1 or when a 
correctable flaw as described

[[Page 7961]]

in Section 15.2 is not recovered. The HHS-certified IITF will indicate 
on the Federal CCF that the specimen was rejected for testing and 
provide the reason for reporting the rejected for testing result.
    (e) HHS-certified IITFs may transmit test results to the MRO by 
various electronic means (e.g., teleprinter, facsimile, or computer). 
Transmissions of the reports must ensure confidentiality and the 
results may not be reported verbally by telephone. IITFs and external 
service providers must ensure the confidentiality, integrity, and 
availability of the data and limit access to any data transmission, 
storage, and retrieval system.
    (f) HHS-certified IITFs must facsimile, courier, mail, or 
electronically transmit a legible image or copy of the completed 
Federal CCF and/or forward a computer-generated electronic report. The 
computer-generated report must contain sufficient information to ensure 
that the test results can accurately represent the content of the 
custody and control form that the MRO received from the collector.
    (g) For rejected specimens, IITFs must facsimile, courier, mail, or 
electronically transmit a legible image or copy of the completed 
Federal CCF.

Section 12.16 How does an HHS-certified IITF handle a specimen that 
tested positive, adulterated, substituted, or invalid at the IITF?

    (a) The remaining specimen is resealed using a tamper-evident 
label/seal;
    (b) The individual resealing the remaining specimen initials and 
dates the tamper-evident label/seal; and
    (c) The resealed specimen and split specimen and the Federal CCF 
are sealed in a leak-proof plastic bag, and are sent to an HHS-
certified laboratory under chain of custody within one day after 
completing the drug and specimen validity tests.

Section 12.17 How long must an HHS-certified IITF retain a specimen?

    A specimen that is negative, negative/dilute, or rejected for 
testing is discarded.

Section 12.18 How long must an HHS-certified IITF retain records?

    (a) An HHS-certified IITF must retain all records generated to 
support test results for at least 2 years. The IITF may convert 
hardcopy records to electronic records for storage and then discard the 
hardcopy records after six months.
    (b) A federal agency may request the HHS-certified IITF to maintain 
a documentation package (as described in Section 12.20) that supports 
the chain of custody, testing, and reporting of a donor's specimen that 
is under legal challenge by a donor. The federal agency's request to 
the IITF must be in writing and must specify the period of time to 
maintain the documentation package.
    (c) An HHS-certified IITF may retain records other than those 
included in the documentation package beyond the normal two-year period 
of time.

Section 12.19 What statistical summary reports must an HHS-certified 
IITF provide?

    (a) HHS-certified IITFs must provide to each federal agency for 
which they perform testing a semiannual statistical summary report that 
must be submitted by mail, facsimile, or email within 14 working days 
after the end of the semiannual period. The summary report must not 
include any personal identifying information. A copy of the semiannual 
statistical summary report will also be sent to the Secretary or 
designated HHS representative. The semiannual statistical report 
contains the following information:
    (1) Reporting period (inclusive dates);
    (2) HHS-certified IITF name and address;
    (3) Federal agency name;
    (4) Total number of specimens tested;
    (5) Number of specimens collected by reason for test;
    (6) Number of specimens reported negative and the number reported 
negative/dilute;
    (7) Number of specimens rejected for testing because of a fatal 
flaw;
    (8) Number of specimens rejected for testing because of an 
uncorrected flaw;
    (9) Number of specimens tested positive by each initial drug test; 
and
    (10) Number of specimens forwarded to an HHS-certified laboratory 
for testing.
    (b) An HHS-certified IITF must make copies of an agency's test 
results available when requested to do so by the Secretary or by the 
federal agency for which the IITF is performing drug-testing services.
    (c) An HHS-certified IITF must ensure that a qualified individual 
is available to testify in a proceeding against a federal employee when 
the proceeding is based on a test result reported by the IITF.

Section 12.20 What HHS-certified IITF information is available to a 
federal agency?

    (a) Following a federal agency's receipt of a positive, 
adulterated, or substituted drug test report from a laboratory, the 
federal agency may submit a written request for copies of the IITF 
records relating to the drug test results or a documentation package or 
any relevant certification, review, or revocation of certification 
records.
    (b) Standard documentation packages provided by an HHS-certified 
IITF must contain the following items:
    (1) A cover sheet providing a brief description of the procedures 
and tests performed on the donor's specimen;
    (2) A table of contents that lists all documents and materials in 
the package by page number;
    (3) A copy of the Federal CCF with any attachments, internal chain 
of custody records for the specimen, memoranda (if any) generated by 
the HHS-certified IITF, and a copy of the electronic report (if any) 
generated by the HHS-certified IITF;
    (4) A brief description of the HHS-certified IITF's drug and 
specimen validity testing procedures, instrumentation, and batch 
quality control requirements;
    (5) Copies of all test data for the donor's specimen with all 
calibrators and controls and copies of all internal chain of custody 
documents related to the tests; and
    (6) Copies of the r[eacute]sum[eacute] or curriculum vitae for the 
RT and for the certifying technician of record.

Section 12.21 What HHS-certified IITF information is available to a 
federal employee?

    A federal employee who is the subject of a drug test may provide a 
written request through the MRO and/or the federal agency requesting 
access to any records relating to the employee's drug test results or a 
documentation package (as described in Section 12.20) and any relevant 
certification, review, or revocation of certification records.

Section 12.22 What types of relationships are prohibited between an 
HHS-certified IITF and an MRO?

    An HHS-certified IITF must not enter into any relationship with a 
federal agency's MRO that may be construed as a potential conflict of 
interest or derive any financial benefit by having a federal agency use 
a specific MRO.
    This means an MRO may be an employee of the agency or a contractor 
for the agency; however, an MRO shall not be an employee or agent of or 
have any financial interest in the HHS-certified IITF for which the MRO 
is reviewing drug testing results. Additionally, an MRO shall not 
derive any financial benefit by having an agency use a specific HHS-
certified IITF or have any agreement with an HHS-certified IITF that 
may be construed as a potential conflict of interest.

[[Page 7962]]

Section 12.23 What type of relationship can exist between an HHS-
certified IITF and an HHS-certified laboratory?

    An HHS-certified IITF can enter into any relationship with an HHS-
certified laboratory.

Subpart M--Medical Review Officer (MRO)

Section 13.1 Who may serve as an MRO?

    (a) A currently licensed physician who has:
    (1) A Doctor of Medicine (M.D.) or Doctor of Osteopathy (D.O.) 
degree;
    (2) Knowledge regarding the pharmacology and toxicology of illicit 
drugs;
    (3) The training necessary to serve as an MRO as set out in Section 
13.3;
    (4) Satisfactorily passed an initial examination administered by a 
nationally recognized entity or a subspecialty board that has been 
approved by the Secretary to certify MROs; and
    (5) At least every five years from initial certification, completed 
requalification training on the topics in Section 13.3 and 
satisfactorily passed a requalification examination administered by a 
nationally recognized entity or a subspecialty board that has been 
approved by the Secretary to certify MROs.

Section 13.2 How are nationally recognized entities or subspecialty 
boards that certify MROs approved?

    All nationally recognized entities or subspecialty boards which 
seek approval by the Secretary to certify physicians as MROs for 
federal workplace drug testing programs must submit their 
qualifications, a sample examination, and other necessary supporting 
examination materials (e.g., answers, previous examination statistics 
or other background examination information, if requested). Approval 
will be based on an objective review of qualifications that include a 
copy of the MRO applicant application form, documentation that the 
continuing education courses are accredited by a professional 
organization, and the delivery method and content of the examination. 
Each approved MRO certification entity must resubmit their 
qualifications for approval every two years. The Secretary shall 
publish at least every two years a notice in the Federal Register 
listing those entities and subspecialty boards that have been approved. 
This notice is also available on the Internet at http://www.samhsa.gov/workplace/drug-testing.

Section 13.3 What training is required before a physician may serve as 
an MRO?

    (a) A physician must receive training that includes a thorough 
review of the following:
    (1) The collection procedures used to collect federal agency 
specimens;
    (2) How to interpret test results reported by HHS-certified IITFs 
and laboratories (e.g., negative, negative/dilute, positive, 
adulterated, substituted, rejected for testing, and invalid);
    (3) Chain of custody, reporting, and recordkeeping requirements for 
federal agency specimens;
    (4) The HHS Mandatory Guidelines for Federal Workplace Drug Testing 
Programs for all authorized specimen types; and
    (5) Procedures for interpretation, review (e.g., donor interview 
for legitimate medical explanations, review of documentation provided 
by the donor to support a legitimate medical explanation), and 
reporting of results specified by any federal agency for which the 
individual may serve as an MRO;
    (b) Certified MROs must complete training on any revisions to these 
Guidelines prior to their effective date, to continue serving as an MRO 
for federal agency specimens.

Section 13.4 What are the responsibilities of an MRO?

    (a) The MRO must review all positive, adulterated, rejected for 
testing, invalid, and (for urine) substituted test results.
    (b) Staff under the direct, personal supervision of the MRO may 
review and report negative and (for urine) negative/dilute test results 
to the agency's designated representative. The MRO must review at least 
5 percent of all negative results reported by the MRO staff to ensure 
that the MRO staff are properly performing the review process.
    (c) The MRO must discuss potential invalid results with the HHS-
certified laboratory, as addressed in Section 11.19(g) to determine 
whether testing at another HHS-certified laboratory may be warranted.
    (d) After receiving a report from an HHS-certified laboratory or 
(for urine) HHS-certified IITF, the MRO must:
    (1) Review the information on the MRO copy of the Federal CCF that 
was received from the collector and the report received from the HHS-
certified laboratory or HHS-certified IITF;
    (2) Interview the donor when required;
    (3) Make a determination regarding the test result; and
    (4) Report the verified result to the federal agency.
    (e) The MRO must maintain records for a minimum of two years while 
maintaining the confidentiality of the information. The MRO may convert 
hardcopy records to electronic records for storage and discard the 
hardcopy records after six months.
    (f) The MRO must conduct a medical examination or a review of the 
examining physician's findings and make a determination of refusal to 
test or cancelled test when a collector reports that the donor was 
unable to provide a specimen, as addressed in Section 8.6.

Section 13.5 What must an MRO do when reviewing a urine specimen's test 
results?

    (a) When the HHS-certified laboratory or HHS-certified IITF reports 
a negative result for the primary (A) specimen, the MRO reports a 
negative result to the agency.
    (b) When the HHS-certified laboratory or HHS-certified IITF reports 
a negative/dilute result for the primary (A) urine specimen, the MRO 
reports a negative/dilute result to the agency and directs the agency 
to immediately collect another specimen from the donor.
    (1) If the recollected specimen provides a negative or negative/
dilute result, the MRO reports a negative result to the agency, with no 
further action required.
    (2) If the recollected specimen provides a result other than 
negative or negative/dilute, the MRO follows the procedures in 13.5(c) 
through (f) for the recollected specimen.
    (c) When the HHS-certified laboratory reports multiple results for 
the primary (A) urine specimen, as the MRO, you must follow the 
verification procedures described in 13.5(c) through (f) and:
    (1) Report all verified positive and/or refusal to test results to 
the federal agency.
    (2) If an invalid result was reported in conjunction with a 
positive, adulterated, or substituted result, do not report the 
verified invalid result to the federal agency at this time. The MRO 
reports the verified invalid result(s) for the primary (A) urine 
specimen only if the split specimen is tested and reported as a failure 
to reconfirm as described in Section 14.6(l).
    (d) When the HHS-certified laboratory reports a positive result for 
the primary (A) specimen, the MRO must contact the donor to determine 
if there is any legitimate medical explanation for the positive result.
    (1) If the donor provides documentation (e.g., a valid

[[Page 7963]]

prescription) to support a legitimate medical explanation for the 
positive result, the MRO reports the test result as negative to the 
agency. If the laboratory also reports that the urine specimen is 
dilute, the MRO reports a negative/dilute result to the agency and 
directs the agency to immediately collect another specimen from the 
donor. The MRO follows the procedures in 13.5(b)(1) or (2) for the 
recollected specimen.
    (i) Passive exposure to marijuana smoke is not a legitimate medical 
explanation for a positive THCA result.
    (ii) Ingestion of food products containing marijuana is not a 
legitimate medical explanation for a positive THCA result.
    (2) If the donor is unable to provide a legitimate medical 
explanation, the MRO reports a positive result to the agency for all 
drugs except codeine and/or morphine (see below). If the laboratory 
also reports that the urine specimen is dilute, the MRO may choose not 
to report the dilute result.
    (i) For codeine and/or morphine less than 15,000 ng/mL and no 
legitimate medical explanation: the MRO must determine if there is 
clinical evidence of illegal use (in addition to the test result) to 
report a positive result to the agency. If there is no clinical 
evidence of illegal use, the MRO reports a negative result to the 
agency. However, this requirement does not apply if the laboratory 
confirms the presence of 6-acetylmorphine (i.e., the presence of this 
metabolite is proof of heroin use).
    (ii) For codeine and/or morphine equal to or greater than 15,000 
ng/mL and no legitimate medical explanation: the MRO reports a positive 
result to the agency. Consumption of food products must not be 
considered a legitimate medical explanation for the donor having 
morphine or codeine at or above this concentration.
    (e) When the HHS-certified laboratory reports an adulterated or 
substituted result for the primary (A) urine specimen, the MRO contacts 
the donor to determine if the donor has a legitimate medical 
explanation for the adulterated or substituted result.
    (1) If the donor provides a legitimate medical explanation, the MRO 
reports a negative result to the federal agency.
    (2) If the donor is unable to provide a legitimate explanation, the 
MRO reports a refusal to test to the federal agency because the urine 
specimen was adulterated or substituted.
    (f) When the HHS-certified laboratory reports an invalid result for 
the primary (A) urine specimen, the MRO must contact the donor to 
determine if there is a legitimate explanation for the invalid result. 
In the case of an invalid result based on pH of 9.0 to 9.5, when an 
employee has no other medical explanation for the pH in this range, the 
MRO must consider whether there is evidence of elapsed time and high 
temperature that could account for the pH value. The MRO may contact 
the collection site, HHS-certified IITF, and/or HHS-certified 
laboratory to discuss time and temperature issues (e.g., time elapsed 
from collection to receipt at the testing facility, likely temperature 
conditions between the time of the collection and transportation to the 
testing facility, specimen storage conditions).
    (1) If the donor provides a legitimate explanation (e.g., a 
prescription medication) or if the MRO determines that time and 
temperature account for the pH in the 9.0 to 9.5 range, the MRO reports 
a test cancelled result with the reason for the invalid result and 
informs the federal agency that a recollection is not required because 
there is a legitimate explanation for the invalid result.
    (2) If the donor is unable to provide a legitimate explanation or 
if the MRO determines that time and temperature fail to account for the 
pH in the 9.0--9.5 range, the MRO reports a test cancelled result with 
the reason for the invalid result and directs the federal agency to 
immediately collect another urine specimen from the donor using a 
direct observed collection.
    (i) If the specimen collected under direct observation provides a 
valid result, the MRO follows the procedures in 13.5(a) through (e).
    (ii) If the specimen collected under direct observation provides an 
invalid result, the MRO reports this specimen as test cancelled and 
recommends that the agency collect another authorized specimen type 
(e.g., oral fluid).
    (g) When two separate specimens collected during the same testing 
event were sent to the HHS-certified laboratory for testing (e.g., the 
collector sent a urine specimen out of temperature range and the 
subsequently collected specimen--urine or another authorized specimen 
type), as the MRO, you must follow the verification procedures 
described in Sections 13.4, 13.5, and 13.6, and:
    (1) If both specimens were verified negative, report the result as 
negative.
    (2) If one specimen was verified negative and the other was not 
(i.e., the specimen was verified as negative/dilute or as positive, 
adulterated, substituted, and/or invalid), report only the verified 
result(s) other than negative. For example, if you verified one 
specimen as negative and the other as a refusal to test because the 
specimen was substituted, report only the refusal to the federal 
agency.
    (3) If both specimens were verified as positive, adulterated, and/
or substituted, report all results. For example, if you verified one 
specimen as positive and the other as a refusal to test because the 
specimen was adulterated, report the positive and the refusal results 
to the federal agency.
    (4) If one specimen has been verified and the HHS-certified 
laboratory has not reported the result(s) of the other specimen,
    (i) Report verified result(s) of positive, adulterated, or 
substituted immediately and do not wait to receive the result(s) of the 
other specimen.
    (ii) Do not report a verified result of negative, negative/dilute, 
or invalid for the first specimen to the federal agency. Hold the 
report until results of both specimens have been received and verified.
    (5) When the HHS-certified laboratory reports an invalid result for 
one or both specimens, follow the procedures in paragraph c above.
    (h) When the HHS-certified laboratory or HHS-certified IITF reports 
a rejected for testing result for the primary (A) specimen, the MRO 
reports a test cancelled result to the agency and recommends that the 
agency collect another specimen from the donor. The recollected 
specimen must be the same type (i.e., urine).

Section 13.6 What action does the MRO take when the collector reports 
that the donor did not provide a sufficient amount of urine for a drug 
test?

    (a) When another specimen type (e.g., oral fluid) was collected as 
authorized by the federal agency, the MRO reviews and reports the test 
result in accordance with the Mandatory Guidelines for Federal 
Workplace Drug Testing Programs using the alternative specimen.
    (b) When the federal agency did not authorize the collection of an 
alternative specimen, the MRO consults with the federal agency. The 
federal agency immediately directs the donor 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 donor's failure 
to provide a specimen. The MRO may perform this evaluation if the MRO 
has appropriate expertise.
    (1) For purposes of this section, a medical condition includes an 
ascertainable physiological condition (e.g., a urinary system 
dysfunction) or a medically documented pre-existing

[[Page 7964]]

psychological disorder, but does not include unsupported assertions of 
``situational anxiety'' or dehydration. Permanent or long-term medical 
conditions are those physiological, anatomic, or psychological 
abnormalities documented as being present prior to the attempted 
collection, and considered not amenable to correction or cure for an 
extended period of time. Examples would include destruction (any cause) 
of the glomerular filtration system leading to renal failure; 
unrepaired traumatic disruption of the urinary tract; or a severe 
psychiatric disorder focused on genitourinary matters. Acute or 
temporary medical conditions, such as cystitis, urethritis or 
prostatitis, though they might interfere with collection for a limited 
period of time, cannot receive the same exceptional consideration as 
the permanent or long-term conditions discussed in the previous 
sentence.
    (2) As the MRO, if another physician will perform the evaluation, 
you must provide the other physician with the following information and 
instructions:
    (i) That the donor was required to take a federally regulated drug 
test, but was unable to provide a sufficient amount of urine to 
complete the test;
    (ii) The consequences of the appropriate federal agency regulation 
for refusing to take the required drug test;
    (iii) That, after completing the evaluation, the referral physician 
must agree to provide a written statement to the MRO with a 
recommendation for one of the determinations described in paragraph 
(b)(3) of this section and the basis for the recommendation. The 
statement must not include detailed information on the employee's 
medical condition beyond what is necessary to explain the referral 
physician's conclusion.
    (3) As the MRO, if another physician performed the evaluation, you 
must consider and assess the referral physician's recommendations in 
making your determination. You must make one of the following 
determinations and report it to the federal agency in writing:
    (i) A medical condition as defined in paragraph (b)(1) of this 
section has, or with a high degree of probability could have, precluded 
the employee from providing a sufficient amount of urine, but is not a 
permanent or long-term disability. As the MRO, you must report a test 
cancelled result to the federal agency.
    (ii) A permanent or long-term medical condition as defined in 
paragraph (b)(1) of this section has, or with a high degree of 
probability could have, precluded the employee from providing a 
sufficient amount of urine and is highly likely to prevent the employee 
from providing a sufficient amount of urine for a very long or 
indefinite period of time. As the MRO, you must follow the requirements 
of Section 13.7, as appropriate. If Section 13.7 is not applicable, you 
report a test cancelled result to the federal agency and recommend that 
the agency authorize collection of an alternative specimen type (e.g., 
oral fluid) for any subsequent drug tests for the donor.
    (iii) There is not an adequate basis for determining that a medical 
condition has, or with a high degree of probability could have, 
precluded the employee from providing a sufficient amount of urine. As 
the MRO, you must report a refusal to test to the federal agency.
    (4) When a federal agency receives a report from the MRO indicating 
that a test is cancelled as provided in paragraph (b)(3)(i) of this 
section, the agency takes no further action with respect to the donor. 
When a test is canceled as provided in paragraph (b)(3)(ii) of this 
section, the agency takes no further action with respect to the donor 
other than designating collection of an alternate specimen type (i.e., 
authorized by the Mandatory Guidelines for Federal Workplace Drug 
Testing Programs) for any subsequent collections, in accordance with 
the federal agency plan. The donor remains in the random testing pool.

13.7 What happens when an individual is unable to provide a sufficient 
amount of urine for a federal agency applicant/pre-employment test, a 
follow-up test, or a return-to-duty test because of a permanent or 
long-term medical condition?

    (a) This section concerns a situation in which the donor has a 
medical condition that precludes the donor from providing a sufficient 
specimen for a federal agency applicant/pre-employment test, a follow-
up test, or a return-to-duty test and the condition involves a 
permanent or long-term disability and the federal agency does not 
authorize collection of an alternative specimen. As the MRO in this 
situation, you must do the following:
    (1) You must determine if there is clinical evidence that the 
individual is an illicit drug user. You must make this determination by 
personally conducting, or causing to be conducted, a medical evaluation 
and through consultation with the donor's physician and/or the 
physician who conducted the evaluation under Section 13.6.
    (2) If you do not personally conduct the medical evaluation, you 
must ensure that one is conducted by a licensed physician acceptable to 
you.
    (b) If the medical evaluation reveals no clinical evidence of drug 
use, as the MRO, you must report the result to the federal agency as a 
negative test with written notations regarding results of both the 
evaluation conducted under Section 13.6 and any further medical 
examination. This report must state the basis for the determination 
that a permanent or long-term medical condition exists, making 
provision of a sufficient urine specimen impossible, and for the 
determination that no signs and symptoms of drug use exist. The MRO 
recommends that the agency authorize collection of an alternate 
specimen type (e.g., oral fluid) for any subsequent collections.
    (c) If the medical evaluation reveals clinical evidence of drug 
use, as the MRO, you must report the result to the federal agency as a 
cancelled test with written notations regarding results of both the 
evaluation conducted under Section 13.6 and any further medical 
examination. This report must state that a permanent or long-term 
medical condition [as defined in Section 13.6(b)(1)] exists, making 
provision of a sufficient urine specimen impossible, and state the 
reason for the determination that signs and symptoms of drug use exist. 
Because this is a cancelled test, it does not serve the purposes of a 
negative test (e.g., the federal agency is not authorized to allow the 
donor to begin or resume performing official functions, because a 
negative test is needed for that purpose).

Section 13.8 Who may request a test of a split (B) specimen?

    (a) For a positive, adulterated, or substituted result reported on 
a primary (A) specimen, a donor may request through the MRO that the 
split (B) specimen be tested by a second HHS-certified laboratory to 
verify the result reported by the first HHS-certified laboratory.
    (b) The donor has 72 hours (from the time the MRO notified the 
donor that the donor's specimen was reported positive, adulterated, or 
(for urine) substituted to request a test of the split (B) specimen. 
The MRO must inform the donor that the donor has the opportunity to 
request a test of the split (B) specimen when the MRO informs the donor 
that a positive, adulterated, or (for urine) substituted result is 
being reported to the federal agency on the primary (A) specimen.


[[Page 7965]]

Section 13.9 How does an MRO report a primary (A) specimen test result 
to an agency?

    (a) The MRO must report all verified results to an agency using the 
completed MRO copy of the Federal CCF or a separate report using a 
letter/memorandum format. The MRO may use various electronic means for 
reporting (e.g., teleprinter, facsimile, or computer). Transmissions of 
the reports must ensure confidentiality. The MRO and external service 
providers must ensure the confidentiality, integrity, and availability 
of the data and limit access to any data transmission, storage, and 
retrieval system.
    (b) A verified result may not be reported to the agency until the 
MRO has completed the review process.
    (c) The MRO must send a copy of either the completed MRO copy of 
the Federal CCF or the separate letter/memorandum report for all 
positive, adulterated, and (for urine) substituted results.
    (d) The MRO must not disclose numerical values of drug test results 
to the agency.

Section 13.10 What types of relationships are prohibited between an MRO 
and an HHS-certified laboratory or an HHS-certified IITF?

    An MRO must not be an employee, agent of, or have any financial 
interest in an HHS-certified laboratory or an HHS-certified IITF for 
which the MRO is reviewing drug test results.
    This means an MRO must not derive any financial benefit by having 
an agency use a specific HHS-certified laboratory or HHS-certified 
IITF, or have any agreement with the HHS-certified laboratory or the 
HHS-certified IITF that may be construed as a potential conflict of 
interest.

Subpart N--Split Specimen Tests

Section 14.1 When may a split (B) specimen be tested?

    (a) The donor may request, verbally or in writing, through the MRO 
that the split (B) specimen be tested at a different (i.e., second) 
HHS-certified laboratory when the primary (A) specimen was determined 
by the MRO to be positive, adulterated, or (for urine) substituted.
    (b) A donor has 72 hours to initiate the request after being 
informed of the result by the MRO. The MRO must document in the MRO's 
records the verbal request from the donor to have the split (B) 
specimen tested.
    (c) If a split (B) urine specimen cannot be tested by a second HHS-
certified laboratory (e.g., insufficient specimen, lost in transit, 
split not available, no second HHS-certified laboratory available to 
perform the test), the MRO reports to the federal agency that the test 
must be cancelled and the reason for the cancellation. The MRO directs 
the federal agency to ensure the immediate recollection of another 
urine specimen from the donor under direct observation, with no notice 
given to the donor of this collection requirement until immediately 
before the collection.
    (d) If a donor chooses not to have the split (B) specimen tested by 
a second HHS-certified laboratory, a federal agency may have a split 
(B) specimen retested as part of a legal or administrative proceeding 
to defend an original positive, adulterated, or (for urine) substituted 
result.

Section 14.2 How does an HHS-certified laboratory test a split (B) 
specimen when the primary (A) specimen was reported positive?

    (a) The testing of a split (B) specimen for a drug or metabolite is 
not subject to the testing cutoff concentrations established.
    (b) The HHS-certified laboratory is only required to confirm the 
presence of the drug or metabolite that was reported positive in the 
primary (A) specimen.
    (c) For a split (B) urine specimen, if the second HHS-certified 
laboratory fails to reconfirm the presence of the drug or drug 
metabolite that was reported by the first HHS-certified laboratory, the 
second laboratory must conduct specimen validity tests in an attempt to 
determine the reason for being unable to reconfirm the presence of the 
drug or drug metabolite. The second laboratory should conduct the same 
specimen validity tests as it would conduct on a primary (A) urine 
specimen and reports those results to the MRO.

Section 14.3 How does an HHS-certified laboratory test a split (B) 
urine specimen when the primary (A) specimen was reported adulterated?

    (a) An HHS-certified laboratory must use one of the following 
criteria to reconfirm an adulterated result when testing a split (B) 
urine specimen:
    (1) pH must be measured using the laboratory's confirmatory pH test 
with the appropriate cutoff (i.e., either less than 4 or equal to or 
greater than 11);
    (2) Nitrite must be measured using the laboratory's confirmatory 
nitrite test with a cutoff concentration of equal to or greater than 
500 mcg/mL;
    (3) Surfactant must be measured using the laboratory's confirmatory 
surfactant test with a cutoff concentration of equal to or greater than 
100 mcg/mL dodecylbenzene sulfonate-equivalent cutoff; or
    (4) For adulterants without a specified cutoff (e.g., 
glutaraldehyde, chromium (VI), pyridine, halogens (such as, bleach, 
iodine), peroxidase, peroxide, other oxidizing agents), the laboratory 
must use its confirmatory specimen validity test at an established 
limit of quantification (LOQ) to reconfirm the presence of the 
adulterant.
    (b) The second HHS-certified laboratory may only conduct the 
confirmatory specimen validity test(s) needed to reconfirm the 
adulterated result reported by the first HHS-certified laboratory.

Section 14.4 How does an HHS-certified laboratory test a split (B) 
urine specimen when the primary (A) specimen was reported substituted?

    (a) An HHS-certified laboratory must use the following criteria to 
reconfirm a substituted result when testing a split (B) urine specimen:
    (1) The creatinine must be measured using the laboratory's 
confirmatory creatinine test with a cutoff concentration of less than 2 
mg/dL; and
    (2) The specific gravity must be measured using the laboratory's 
confirmatory specific gravity test with the specified cutoffs of less 
than or equal to 1.0010 or equal to or greater than 1.0200.
    (b) The second HHS-certified laboratory may only conduct the 
confirmatory specimen validity test(s) needed to reconfirm the 
substituted result reported by the first HHS-certified laboratory.

Section 14.5 Who receives the split (B) specimen result?

    The second HHS-certified laboratory must report the result to the 
MRO.

Section 14.6 What action(s) does an MRO take after receiving the split 
(B) urine specimen result from the second HHS-certified laboratory?

    The MRO takes the following actions when the second HHS-certified 
laboratory reports the result for the split (B) urine specimen as:
    (a) Reconfirmed the drug(s), adulteration, and/or substitution 
result. The MRO reports reconfirmed to the agency.
    (b) Failed to reconfirm a single or all drug positive results and 
adulterated. If the donor provides a legitimate medical explanation for 
the adulteration result, the MRO reports a failed to reconfirm [specify 
drug(s)] and cancels both tests. If there is no legitimate medical 
explanation, the MRO reports a failed to reconfirm [specify drug(s)] 
and a refusal

[[Page 7966]]

to test to the agency and indicates the adulterant that is present in 
the specimen. The MRO gives the donor 72 hours to request that 
Laboratory A retest the primary (A) specimen for the adulterant. If 
Laboratory A reconfirms the adulterant, the MRO reports refusal to test 
and indicates the adulterant present. If Laboratory A fails to 
reconfirm the adulterant, the MRO cancels both tests and directs the 
agency to immediately collect another specimen using a direct observed 
collection procedure. The MRO shall notify the appropriate regulatory 
office about the failed to reconfirm and cancelled test.
    (c) Failed to reconfirm a single or all drug positive results and 
substituted. If the donor provides a legitimate medical explanation for 
the substituted result, the MRO reports a failed to reconfirm [specify 
drug(s)] and cancels both tests. If there is no legitimate medical 
explanation, the MRO reports a failed to reconfirm [specify drug(s)] 
and a refusal to test (substituted) to the agency. The MRO gives the 
donor 72 hours to request Laboratory A to review the creatinine and 
specific gravity results for the primary (A) specimen. If the original 
creatinine and specific gravity results confirm that the specimen was 
substituted, the MRO reports a refusal to test (substituted) to the 
agency. If the original creatinine and specific gravity results from 
Laboratory A fail to confirm that the specimen was substituted, the MRO 
cancels both tests and directs the agency to immediately collect 
another specimen using a direct observed collection procedure. The MRO 
shall notify the HHS office responsible for coordination of the drug-
free workplace program about the failed to reconfirm and cancelled 
test.
    (d) Failed to reconfirm a single or all drug positive results and 
not adulterated or substituted. The MRO reports to the agency a failed 
to reconfirm result [specify drug(s)], cancels both tests, and notifies 
the HHS office responsible for coordination of the drug-free workplace 
program.
    (e) Failed to reconfirm a single or all drug positive results and 
invalid result. The MRO reports to the agency a failed to reconfirm 
result [specify drug(s) and give the reason for the invalid result], 
cancels both tests, directs the agency to immediately collect another 
specimen using a direct observed collection procedure, and notifies the 
HHS office responsible for coordination of the drug-free workplace 
program.
    (f) Failed to reconfirm one or more drugs, reconfirmed one or more 
drugs, and adulterated. The MRO reports to the agency a reconfirmed 
result [(specify drug(s)] and a failed to reconfirm result [specify 
drug(s)]. The MRO tells the agency that it may take action based on the 
reconfirmed drug(s) although Laboratory B failed to reconfirm one or 
more drugs and found that the specimen was adulterated. The MRO shall 
notify the HHS office responsible for coordination of the drug-free 
workplace program regarding the test results for the specimen.
    (g) Failed to reconfirm one or more drugs, reconfirmed one or more 
drugs, and substituted. The MRO reports to the agency a reconfirmed 
result [specify drug(s)] and a failed to reconfirm result [(specify 
drug(s)]). The MRO tells the agency that it may take action based on 
the reconfirmed drug(s) although Laboratory B failed to reconfirm one 
or more drugs and found that the specimen was substituted. The MRO 
shall notify the HHS office responsible for coordination of the drug-
free workplace program regarding the test results for the specimen.
    (h) Failed to reconfirm one or more drugs, reconfirmed one or more 
drugs, and not adulterated or substituted. The MRO reports a 
reconfirmed result [specify drug(s)] and a failed to reconfirm result 
[specify drug(s)]. The MRO tells the agency that it may take action 
based on the reconfirmed drug(s) although Laboratory B failed to 
reconfirm one or more drugs. The MRO shall notify the HHS office 
responsible for coordination of the drug-free workplace program 
regarding the test results for the specimen.
    (i) Failed to reconfirm one or more drugs, reconfirmed one or more 
drugs, and invalid result. The MRO reports to the agency a reconfirmed 
result [specify drug(s)] and a failed to reconfirm result [specify 
drug(s)]. The MRO tells the agency that it may take action based on the 
reconfirmed drug(s) although Laboratory B failed to reconfirm one or 
more drugs and reported an invalid result. The MRO shall notify the HHS 
office responsible for coordination of the drug-free workplace program 
regarding the test results for the specimen.
    (j) Failed to reconfirm substitution or adulteration. The MRO 
reports to the agency a failed to reconfirm result (specify adulterant 
or not substituted) and cancels both tests. The MRO shall notify the 
HHS office responsible for coordination of the drug-free workplace 
program regarding the test results for the specimen.
    (k) Failed to reconfirm a single or all drug positive results and 
reconfirmed an adulterated or substituted result. The MRO reports to 
the agency a reconfirmed result (adulterated or substituted) and a 
failed to reconfirm result [specify drug(s)]. The MRO tells the agency 
that it may take action based on the reconfirmed result (adulterated or 
substituted) although Laboratory B failed to reconfirm the drug(s) 
result.
    (l) Failed to reconfirm a single or all drug positive results and 
failed to reconfirm the adulterated or substituted result. The MRO 
reports to the agency a failed to reconfirm result [specify drug(s) and 
specify adulterant or substituted] and cancels both tests. The MRO 
shall notify the HHS office responsible for coordination of the drug-
free workplace program regarding the test results for the specimen.
    (m) Failed to reconfirm at least one drug and reconfirmed the 
adulterated result. The MRO reports to the agency a reconfirmed result 
[(specify drug(s) and adulterated] and a failed to reconfirm result 
[specify drug(s)]. The MRO tells the agency that it may take action 
based on the reconfirmed drug(s) and the adulterated result although 
Laboratory B failed to reconfirm one or more drugs.
    (n) Failed to reconfirm at least one drug and failed to reconfirm 
the adulterated result. The MRO reports to the agency a reconfirmed 
result [specify drug(s)] and a failed to reconfirm result [specify 
drug(s) and specify adulterant]. The MRO tells the agency that it may 
take action based on the reconfirmed drug(s) although Laboratory B 
failed to reconfirm one or more drugs and failed to reconfirm the 
adulterated result.
    (o) Failed to reconfirm an adulterated result and failed to 
reconfirm a substituted result. The MRO reports to the agency a failed 
to reconfirm result [(specify adulterant) and not substituted] and 
cancels both tests. The MRO shall notify the HHS office responsible for 
coordination of the drug-free workplace program regarding the test 
results for the specimen.
    (p) Failed to reconfirm an adulterated result and reconfirmed a 
substituted result. The MRO reports to the agency a reconfirmed result 
(substituted) and a failed to reconfirm result (specify adulterant). 
The MRO tells the agency that it may take action based on the 
substituted result although Laboratory B failed to reconfirm the 
adulterated result.
    (q) Failed to reconfirm a substituted result and reconfirmed an 
adulterated result. The MRO reports to the agency a reconfirmed result 
(adulterated) and a failed to reconfirm result (not substituted). The 
MRO tells the agency that it may take action based on the adulterated 
result although Laboratory B failed to reconfirm the substituted 
result.

[[Page 7967]]

Section 14.7 How does an MRO report a split (B) specimen test result to 
an agency?

    (a) The MRO must report all verified results to an agency using the 
completed MRO copy of the Federal CCF or a separate report using a 
letter/memorandum format. The MRO may use various electronic means for 
reporting (e.g., teleprinter, facsimile, or computer). Transmissions of 
the reports must ensure confidentiality. The MRO and external service 
providers must ensure the confidentiality, integrity, and availability 
of the data and limit access to any data transmission, storage, and 
retrieval system.
    (b) A verified result may not be reported to the agency until the 
MRO has completed the review process.
    (c) The MRO must send a copy of either the completed MRO copy of 
the Federal CCF or the separate letter/memorandum report for all split 
specimen results.
    (d) The MRO must not disclose the numerical values of the drug test 
results to the agency.

Section 14.8 How long must an HHS-certified laboratory retain a split 
(B) specimen?

    A split (B) specimen is retained for the same period of time that a 
primary (A) specimen is retained and under the same storage conditions. 
This applies even for those cases when the split (B) specimen is tested 
by a second HHS-certified laboratory and the second HHS-certified 
laboratory does not confirm the original result reported by the first 
HHS-certified laboratory for the primary (A) specimen.

Subpart O--Criteria for Rejecting a Specimen for Testing

Section 15.1 What discrepancies require an HHS-certified laboratory or 
an HHS-certified IITF to report a specimen as rejected for testing?

    The following discrepancies are considered to be fatal flaws. The 
HHS-certified laboratory or IITF must stop the testing process, reject 
the specimen for testing, and indicate the reason for rejecting the 
specimen on the Federal CCF when:
    (a) The specimen ID number on the primary (A) or split (B) specimen 
label/seal does not match the ID number on the Federal CCF, or the ID 
number is missing either on the Federal CCF or on either specimen 
label/seal;
    (b) The primary (A) specimen label/seal is missing, misapplied, 
broken, or shows evidence of tampering and the split (B) specimen 
cannot be re-designated as the primary (A) specimen;
    (c) The collector's printed name and signature are omitted on the 
Federal CCF;
    (d) There is an insufficient amount of specimen for analysis in the 
primary (A) specimen unless the split (B) specimen can be re-designated 
as the primary (A) specimen;
    (e) The accessioner failed to document the primary (A) specimen 
seal condition on the Federal CCF at the time of accessioning, and the 
split (B) specimen cannot be re-designated as the primary (A) specimen;
    (f) The specimen was received at the HHS-certified laboratory or 
IITF without a CCF;
    (g) The CCF was received at the HHS-certified laboratory or IITF 
without a specimen;
    (h) The collector performed two separate collections using one CCF; 
or
    (i) The HHS-certified laboratory or IITF identifies a flaw (other 
than those specified above) that prevents testing or affects the 
forensic defensibility of the drug test and cannot be corrected.

Section 15.2 What discrepancies require an HHS-certified laboratory or 
an HHS-certified IITF to report a specimen as rejected for testing 
unless the discrepancy is corrected?

    The following discrepancies are considered to be correctable:
    (a) If a collector failed to sign the Federal CCF, the HHS-
certified laboratory or IITF must attempt to recover the collector's 
signature before reporting the test result. If the collector can 
provide a memorandum for record recovering the signature, the HHS-
certified laboratory or IITF may report the test result for the 
specimen. If, after holding the specimen for at least 5 business days, 
the HHS-certified laboratory or IITF cannot recover the collector's 
signature, the laboratory or IITF must report a rejected for testing 
result and indicate the reason for the rejected for testing result on 
the Federal CCF.
    (b) If a specimen is submitted using a non-federal form or an 
expired Federal CCF, the HHS-certified laboratory or IITF must test the 
specimen and also attempt to obtain a memorandum for record explaining 
why a non-federal form or an expired Federal CCF was used and ensure 
that the form used contains all the required information. If, after 
holding the specimen for at least 5 business days, the HHS-certified 
laboratory or IITF cannot obtain a memorandum for record from the 
collector, the laboratory or IITF must report a rejected for testing 
result and indicate the reason for the rejected for testing result on 
the report to the MRO.

Section 15.3 What discrepancies are not sufficient to require an HHS-
certified laboratory or an HHS-certified IITF to reject a urine 
specimen for testing or an MRO to cancel a test?

    (a) The following omissions and discrepancies on the Federal CCF 
that are received by the HHS-certified laboratory or IITF should not 
cause an HHS-certified laboratory or IITF to reject a urine specimen or 
cause an MRO to cancel a test:
    (1) An incorrect laboratory name and address appearing at the top 
of the form;
    (2) Incomplete/incorrect/unreadable employer name or address;
    (3) MRO name is missing;
    (4) Incomplete/incorrect MRO address;
    (5) A transposition of numbers in the donor's Social Security 
Number or employee identification number;
    (6) A telephone number is missing/incorrect;
    (7) A fax number is missing/incorrect;
    (8) A ``reason for test'' box is not marked;
    (9) A ``drug tests to be performed'' box is not marked;
    (10) A ``specimen collection'' box is not marked;
    (11) The ``observed'' box is not marked (if applicable);
    (12) The collection site address is missing;
    (13) The collector's printed name is missing but the collector's 
signature is properly recorded;
    (14) The time of collection is not indicated;
    (15) The date of collection is not indicated;
    (16) Incorrect name of delivery service;
    (17) The collector has changed or corrected information by crossing 
out the original information on either the Federal CCF or specimen 
label/seal without dating and initialing the change; or
    (18) The donor's name inadvertently appears on the HHS-certified 
laboratory or IITF copy of the Federal CCF or on the tamper-evident 
labels used to seal the specimens.
    (19) The collector failed to check the specimen temperature box and 
the ``Remarks'' line did not have a comment regarding the temperature 
being out of range. If, after at least 5 business days, the collector 
cannot provide a memorandum for record to attest to the fact that the 
collector did measure the specimen temperature, the HHS-certified 
laboratory or IITF may report the test result for the specimen but 
indicates that the collector could not provide a memorandum to recover 
the omission.

[[Page 7968]]

    (b) The following omissions and discrepancies on the Federal CCF 
that are made at the HHS-certified laboratory or IITF should not cause 
an MRO to cancel a test:
    (1) The testing laboratory or IITF fails to indicate the correct 
name and address in the results section when a different laboratory or 
IITF name and address is printed at the top of the Federal CCF;
    (2) The accessioner fails to print their name;
    (3) The certifying scientist or certifying technician fails to 
print their name;
    (4) The certifying scientist or certifying technician accidentally 
initials the Federal CCF rather than signing for a specimen reported as 
rejected for testing;
    (c) The above omissions and discrepancies should occur no more than 
once a month. The expectation is that each trained collector and HHS-
certified laboratory or IITF will make every effort to ensure that the 
Federal CCF is properly completed and that all the information is 
correct. When an error occurs more than once a month, the MRO must 
direct the collector, HHS-certified laboratory, or HHS-certified IITF 
(whichever is responsible for the error) to immediately take corrective 
action to prevent the recurrence of the error.

Section 15.4 What discrepancies may require an MRO to cancel a test?

    (a) An MRO must attempt to correct the following errors:
    (1) The donor's signature is missing on the MRO copy of the Federal 
CCF and the collector failed to provide a comment that the donor 
refused to sign the form;
    (2) The certifying scientist failed to sign the Federal CCF for a 
specimen being reported drug positive, adulterated, invalid, or (for 
urine) substituted; or
    (3) The electronic report provided by the HHS-certified laboratory 
or HHS-certified IITF does not contain all the data elements required 
for the HHS standard laboratory or IITF electronic report for a 
specimen being reported drug positive, adulterated, invalid result, or 
(for urine) substituted.
    (b) If error (a)(1) occurs, the MRO must contact the collector to 
obtain a statement to verify that the donor refused to sign the MRO 
copy. If, after at least 5 business days, the collector cannot provide 
such a statement, the MRO must cancel the test.
    (c) If error (a)(2) occurs, the MRO must obtain a statement from 
the certifying scientist that they inadvertently forgot to sign the 
Federal CCF, but did, in fact, properly conduct the certification 
review. If, after at least 5 business days, the MRO cannot get a 
statement from the certifying scientist, the MRO must cancel the test.
    (d) If error (a)(3) occurs, the MRO must contact the HHS-certified 
laboratory or HHS-certified IITF. If, after at least 5 business days, 
the laboratory or IITF does not retransmit a corrected electronic 
report, the MRO must cancel the test.

Subpart P--Laboratory or IITF Suspension/Revocation Procedures

Section 16.1 When may the HHS certification of a laboratory or IITF be 
suspended?

    These procedures apply when:
    (a) The Secretary has notified an HHS-certified laboratory or IITF 
in writing that its certification to perform drug testing under these 
Guidelines has been suspended or that the Secretary proposes to revoke 
such certification.
    (b) The HHS-certified laboratory or IITF has, within 30 days of the 
date of such notification or within 3 days of the date of such 
notification when seeking an expedited review of a suspension, 
requested in writing an opportunity for an informal review of the 
suspension or proposed revocation.

Section 16.2 What definitions are used for this subpart?

    Appellant. Means the HHS-certified laboratory or IITF which has 
been notified of its suspension or proposed revocation of its 
certification to perform testing and has requested an informal review 
thereof.
    Respondent. Means the person or persons designated by the Secretary 
in implementing these Guidelines.
    Reviewing Official. Means the person or persons designated by the 
Secretary who will review the suspension or proposed revocation. The 
reviewing official may be assisted by one or more of the official's 
employees or consultants in assessing and weighing the scientific and 
technical evidence and other information submitted by the appellant and 
respondent on the reasons for the suspension and proposed revocation.

Section 16.3 Are there any limitations on issues subject to review?

    The scope of review shall be limited to the facts relevant to any 
suspension or proposed revocation, the necessary interpretations of 
those facts, the relevant Mandatory Guidelines for Federal Workplace 
Drug Testing Programs, and other relevant law. The legal validity of 
these Guidelines shall not be subject to review under these procedures.

Section 16.4 Who represents the parties?

    The appellant's request for review shall specify the name, address, 
and telephone number of the appellant's representative. In its first 
written submission to the reviewing official, the respondent shall 
specify the name, address, and telephone number of the respondent's 
representative.

Section 16.5 When must a request for informal review be submitted?

    (a) Within 30 days of the date of the notice of the suspension or 
proposed revocation, the appellant must submit a written request to the 
reviewing official seeking review, unless some other time period is 
agreed to by the parties. A copy must also be sent to the respondent. 
The request for review must include a copy of the notice of suspension 
or proposed revocation, a brief statement of why the decision to 
suspend or propose revocation is wrong, and the appellant's request for 
an oral presentation, if desired.
    (b) Within 5 days after receiving the request for review, the 
reviewing official will send an acknowledgment and advise the appellant 
of the next steps. The reviewing official will also send a copy of the 
acknowledgment to the respondent.

Section 16.6 What is an abeyance agreement?

    Upon mutual agreement of the parties to hold these procedures in 
abeyance, the reviewing official will stay these procedures for a 
reasonable time while the laboratory or IITF attempts to regain 
compliance with the Guidelines or the parties otherwise attempt to 
settle the dispute. As part of an abeyance agreement, the parties can 
agree to extend the time period for requesting review of the suspension 
or proposed revocation. If abeyance begins after a request for review 
has been filed, the appellant shall notify the reviewing official at 
the end of the abeyance period advising whether the dispute has been 
resolved. If the dispute has been resolved, the request for review will 
be dismissed. If the dispute has not been resolved, the review 
procedures will begin at the point at which they were interrupted by 
the abeyance agreement with such modifications to the procedures as the 
reviewing official deems appropriate.

[[Page 7969]]

Section 16.7 What procedures are used to prepare the review file and 
written argument?

    The appellant and the respondent each participate in developing the 
file for the reviewing official and in submitting written arguments. 
The procedures for development of the review file and submission of 
written argument are:
    (a) Appellant's Documents and Brief. Within 15 days after receiving 
the acknowledgment of the request for review, the appellant shall 
submit to the reviewing official the following (with a copy to the 
respondent):
    (1) A review file containing the documents supporting appellant's 
argument, tabbed and organized chronologically, and accompanied by an 
index identifying each document. Only essential documents should be 
submitted to the reviewing official.
    (2) A written statement, not to exceed 20 double-spaced pages, 
explaining why respondent's decision to suspend or propose revocation 
of appellant's certification is wrong (appellant's brief).
    (b) Respondent's Documents and Brief. Within 15 days after 
receiving a copy of the acknowledgment of the request for review, the 
respondent shall submit to the reviewing official the following (with a 
copy to the appellant):
    (1) A review file containing documents supporting respondent's 
decision to suspend or revoke appellant's certification to perform drug 
testing, which is tabbed and organized chronologically, and accompanied 
by an index identifying each document. Only essential documents should 
be submitted to the reviewing official.
    (2) A written statement, not exceeding 20 double-spaced pages in 
length, explaining the basis for suspension or proposed revocation 
(respondent's brief).
    (c) Reply Briefs. Within 5 days after receiving the opposing 
party's submission, or 20 days after receiving acknowledgment of the 
request for review, whichever is later, each party may submit a short 
reply not to exceed 10 double-spaced pages.
    (d) Cooperative Efforts. Whenever feasible, the parties should 
attempt to develop a joint review file.
    (e) Excessive Documentation. The reviewing official may take any 
appropriate step to reduce excessive documentation, including the 
return of or refusal to consider documentation found to be irrelevant, 
redundant, or unnecessary.

Section 16.8 When is there an opportunity for oral presentation?

    (a) Electing Oral Presentation. If an opportunity for an oral 
presentation is desired, the appellant shall request it at the time it 
submits its written request for review to the reviewing official. The 
reviewing official will grant the request if the official determines 
that the decision-making process will be substantially aided by oral 
presentations and arguments. The reviewing official may also provide 
for an oral presentation at the official's own initiative or at the 
request of the respondent.
    (b) Presiding Official. The reviewing official or designee will be 
the presiding official responsible for conducting the oral 
presentation.
    (c) Preliminary Conference. The presiding official may hold a 
prehearing conference (usually a telephone conference call) to consider 
any of the following: Simplifying and clarifying issues, stipulations 
and admissions, limitations on evidence and witnesses that will be 
presented at the hearing, time allotted for each witness and the 
hearing altogether, scheduling the hearing, and any other matter that 
will assist in the review process. Normally, this conference will be 
conducted informally and off the record; however, the presiding 
official may, at their discretion, produce a written document 
summarizing the conference or transcribe the conference, either of 
which will be made a part of the record.
    (d) Time and Place of the Oral Presentation. The presiding official 
will attempt to schedule the oral presentation within 30 days of the 
date the appellant's request for review is received or within 10 days 
of submission of the last reply brief, whichever is later. The oral 
presentation will be held at a time and place determined by the 
presiding official following consultation with the parties.
    (e) Conduct of the Oral Presentation.
    (1) General. The presiding official is responsible for conducting 
the oral presentation. The presiding official may be assisted by one or 
more of the official's employees or consultants in conducting the oral 
presentation and reviewing the evidence. While the oral presentation 
will be kept as informal as possible, the presiding official may take 
all necessary steps to ensure an orderly proceeding.
    (2) Burden of Proof/Standard of Proof. In all cases, the respondent 
bears the burden of proving by a preponderance of the evidence that its 
decision to suspend or propose revocation is appropriate. The 
appellant, however, has a responsibility to respond to the respondent's 
allegations with evidence and argument to show that the respondent is 
wrong.
    (3) Admission of Evidence. The Federal Rules of Evidence do not 
apply and the presiding official will generally admit all testimonial 
evidence unless it is clearly irrelevant, immaterial, or unduly 
repetitious. Each party may make an opening and closing statement, may 
present witnesses as agreed upon in the prehearing conference or 
otherwise, and may question the opposing party's witnesses. Since the 
parties have ample opportunity to prepare the review file, a party may 
introduce additional documentation during the oral presentation only 
with the permission of the presiding official. The presiding official 
may question witnesses directly and take such other steps necessary to 
ensure an effective and efficient consideration of the evidence, 
including setting time limitations on direct and cross-examinations.
    (4) Motions. The presiding official may rule on motions including, 
for example, motions to exclude or strike redundant or immaterial 
evidence, motions to dismiss the case for insufficient evidence, or 
motions for summary judgment. Except for those made during the hearing, 
all motions and opposition to motions, including argument, must be in 
writing and be no more than 10 double-spaced pages in length. The 
presiding official will set a reasonable time for the party opposing 
the motion to reply.
    (5) Transcripts. The presiding official shall have the oral 
presentation transcribed and the transcript shall be made a part of the 
record. Either party may request a copy of the transcript and the 
requesting party shall be responsible for paying for its copy of the 
transcript.
    (f) Obstruction of Justice or Making of False Statements. 
Obstruction of justice or the making of false statements by a witness 
or any other person may be the basis for a criminal prosecution under 
18 U.S.C. 1505 or 1001.
    (g) Post-hearing Procedures. At their discretion, the presiding 
official may require or permit the parties to submit post-hearing 
briefs or proposed findings and conclusions. Each party may submit 
comments on any major prejudicial errors in the transcript.

Section 16.9 Are there expedited procedures for review of immediate 
suspension?

    (a) Applicability. When the Secretary notifies an HHS-certified 
laboratory or IITF in writing that its certification to perform drug 
testing has been

[[Page 7970]]

immediately suspended, the appellant may request an expedited review of 
the suspension and any proposed revocation. The appellant must submit 
this request in writing to the reviewing official within 3 days of the 
date the HHS-certified laboratory or IITF received notice of the 
suspension. The request for review must include a copy of the 
suspension and any proposed revocation, a brief statement of why the 
decision to suspend and propose revocation is wrong, and the 
appellant's request for an oral presentation, if desired. A copy of the 
request for review must also be sent to the respondent.
    (b) Reviewing Official's Response. As soon as practicable after the 
request for review is received, the reviewing official will send an 
acknowledgment with a copy to the respondent.
    (c) Review File and Briefs. Within 7 days of the date the request 
for review is received, but no later than 2 days before an oral 
presentation, each party shall submit to the reviewing official the 
following:
    (1) A review file containing essential documents relevant to the 
review, which is tabbed, indexed, and organized chronologically; and
    (2) A written statement, not to exceed 20 double-spaced pages, 
explaining the party's position concerning the suspension and any 
proposed revocation. No reply brief is permitted.
    (d) Oral Presentation. If an oral presentation is requested by the 
appellant or otherwise granted by the reviewing official, the presiding 
official will attempt to schedule the oral presentation within 7-10 
days of the date of appellant's request for review at a time and place 
determined by the presiding official following consultation with the 
parties. The presiding official may hold a prehearing conference in 
accordance with Section 16.8(c) and will conduct the oral presentation 
in accordance with the procedures of Sections 16.8(e), (f), and (g).
    (e) Written Decision. The reviewing official shall issue a written 
decision upholding or denying the suspension or proposed revocation and 
will attempt to issue the decision within 7-10 days of the date of the 
oral presentation or within 3 days of the date on which the transcript 
is received or the date of the last submission by either party, 
whichever is later. All other provisions set forth in Section 16.14 
will apply.
    (f) Transmission of Written Communications. Because of the 
importance of timeliness for these expedited procedures, all written 
communications between the parties and between either party and the 
reviewing official shall be by facsimile, secured electronic 
transmissions, or overnight mail.

Section 16.10 Are any types of communications prohibited?

    Except for routine administrative and procedural matters, a party 
shall not communicate with the reviewing or presiding official without 
notice to the other party.

Section 16.11 How are communications transmitted by the reviewing 
official?

    (a) Because of the importance of a timely review, the reviewing 
official should normally transmit written communications to either 
party by facsimile, secured electronic transmissions, or overnight mail 
in which case the date of transmission or day following mailing will be 
considered the date of receipt. In the case of communications sent by 
regular mail, the date of receipt will be considered 3 days after the 
date of mailing.
    (b) In counting days, include Saturdays, Sundays, and federal 
holidays. However, if a due date falls on a Saturday, Sunday, or 
federal holiday, then the due date is the next federal working day.

Section 16.12 What are the authority and responsibilities of the 
reviewing official?

    In addition to any other authority specified in these procedures, 
the reviewing official and the presiding official, with respect to 
those authorities involving the oral presentation, shall have the 
authority to issue orders; examine witnesses; take all steps necessary 
for the conduct of an orderly hearing; rule on requests and motions; 
grant extensions of time for good reasons; dismiss for failure to meet 
deadlines or other requirements; order the parties to submit relevant 
information or witnesses; remand a case for further action by the 
respondent; waive or modify these procedures in a specific case, 
usually with notice to the parties; reconsider a decision of the 
reviewing official where a party promptly alleges a clear error of fact 
or law; and to take any other action necessary to resolve disputes in 
accordance with the objectives of these procedures.

Section 16.13 What administrative records are maintained?

    The administrative record of review consists of the review file; 
other submissions by the parties; transcripts or other records of any 
meetings, conference calls, or oral presentation; evidence submitted at 
the oral presentation; and orders and other documents issued by the 
reviewing and presiding officials.

Section 16.14 What are the requirements for a written decision?

    (a) Issuance of Decision. The reviewing official shall issue a 
written decision upholding or denying the suspension or proposed 
revocation. The decision will set forth the reasons for the decision 
and describe the basis therefore in the record. Furthermore, the 
reviewing official may remand the matter to the respondent for such 
further action as the reviewing official deems appropriate.
    (b) Date of Decision. The reviewing official will attempt to issue 
their decision within 15 days of the date of the oral presentation, the 
date on which the transcript is received, or the date of the last 
submission by either party, whichever is later. If there is no oral 
presentation, the decision will normally be issued within 15 days of 
the date of receipt of the last reply brief. Once issued, the reviewing 
official will immediately communicate the decision to each party.
    (c) Public Notice. If the suspension and proposed revocation are 
upheld, the revocation will become effective immediately and the public 
will be notified by publication of a notice in the Federal Register. If 
the suspension and proposed revocation are denied, the revocation will 
not take effect and the suspension will be lifted immediately. Public 
notice will be given by publication in the Federal Register.

Section 16.15 Is there a review of the final administrative action?

    Before any legal action is filed in court challenging the 
suspension or proposed revocation, respondent shall exhaust 
administrative remedies provided under this subpart, unless otherwise 
provided by Federal Law. The reviewing official's decision, under 
Section 16.9(e) or 16.14(a) constitutes final agency action and is ripe 
for judicial review as of the date of the decision.

[FR Doc. 2017-00979 Filed 1-19-17; 8:45 am]
 BILLING CODE 4162-20-P