AIU INSTRUCTIONS

TO SAMPLE COLLECTION PERSONNEL

Out-of-Competition Testing

January 2021
SCOPE

These instructions shall apply to all accredited Sample Collection Personnel (“SCP”) (Doping
Control Officers (“DCO”), Blood Collection Officials (“BCO”), Doping Control Assistants
(“DCA”) and Chaperones) who have been authorized by the Athletics Integrity Unit (“AIU”) or
by any Sample Collection Authority (“SCA”) acting on behalf of the AIU, to conduct or assist
with sample collection activities in the context of the AIU out-of-competition testing programme.

These instructions should always be read in conjunction with the World Athletics Anti-Doping
Rules and WADA’s International Standard for Testing and Investigations and its annexes (as
may be amended from time to time) as well as any Special Instructions that may be issued by
the AIU from time to time.

Please always ensure that you are using the most up-to-date version of these instructions.

SCHEDULING THE TEST

✓ Carefully read the mission order and testing instructions provided by the AIU directly or
through the SCA.

✓ You will receive information on the level of priority of the athlete/mission. The instructions
below may vary according to the level of priority indicated in the mission request.

✓ Read the athlete’s Whereabouts Information very carefully, taking account of any change
of whereabouts information that have been sent to you by the AIU or the SCA. Always
make sure you use the most up-to-date whereabouts.

✓ You should contact the AIU office (whereabouts@athleticsintegrity.org or

whereaboutsrr@athleticsintegrity.org) should you consider that the whereabouts provided
are insufficient to locate the athlete or if a telephone number is missing.

Unless specifically instructed otherwise, it is recommended to avoid scheduling tests on

travel days or days falling directly after a competition day.

 Important: You must make an attempt within the one-hour testing window indicated by
the athlete unless otherwise instructed by the AIU.

LOCATING THE ATHLETE

 Important: Testing for the AIU is to be conducted on a no-advance notice basis to the
athlete. No phone calls should therefore be made to the athlete/athlete’s entourage
except if instructed otherwise by the AIU or in the circumstances described below.

If the AIU has sent you specific instructions, you should follow them as closely as possible. If
any aspect of the specific instructions is unclear, you should contact the AIU for clarification.

If the AIU has not sent you any specific instructions, you should proceed as follows:

(i) Testing inside the one-hour window

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 2

  Identify the time and location of the athlete’s designated one-hour testing
window.

• Before travelling for the mission, ensure that you have identified the correct address
and know how long it will take to travel to this location, to make sure you arrive before
the start of the one-hour window.

• An Athlete can update his/her whereabouts at any point in time, including immediately
prior to the start of his/her 60 minutes time slot. Therefore, you should verify that
there have not been any last-minute changes in the Whereabouts before leaving
for the mission and just before starting your attempt. You should also take a
screenshot of the latest Whereabouts used and ensure that it has the date and time
visible.

 Attempt to test the athlete at this location

• You must make a “reasonable attempt” to find the athlete. There is no universal
definition of what constitutes a “reasonable attempt” as it will necessarily depend on
the particular circumstances of the case in question, and in particular on the nature of
the location chosen by the athlete for that time slot. You should use your common
sense and always ask yourself what you need to do given the nature of the location
specified by the athlete to ensure that, if the athlete is present, they will know that a
DCO is there to collect a sample from them.

• If the attempt is made at a large training complex, then you should attempt to check all
relevant areas of the facility where the athlete may be (changing rooms, track, massage
rooms etc.).

• If the attempt is made at a personal residence, then you should make multiple attempts
at the door (including ringing the doorbell if there is one /knocking loudly), note any
indication that the athlete may be at home (e.g. car in the driveway, noise, lights are on
etc.) and, if appropriate and provided that you do not lose sight of the front entrance,
search around the outside of the house and ask neighbours whom you encounter. You
should note the names of any persons that you speak to (if they are willing to provide
the same) as well as the information exchanged and report the details of your attempts
and the information collected on the mission report.

• Regardless of the type of venue, you are required to attempt to locate the athlete
for testing for the entire 60 minutes indicated in the athlete’s whereabouts
information. You should not leave the specified location until the end of the one-
hour testing window has passed, even if the athlete is not at the location or if you
have been told by the athlete or a third party that the athlete is not at the location.

• If circumstances cause you to arrive at the specified location late, you should note the
reasons for this on the DCO report form and stay at the venue for the remainder of the
one-hour testing window.

• If the whereabouts filings from the athlete are not sufficient to allow you to access the
athlete’s location, you should report this on the mission report including the whereabouts
information you relied on and details of the attempts you have made to locate the athlete
based on that information, regardless of whether or not you have managed to collect a
sample.

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 3

 • If you have not been able to locate the athlete before the last 5 minutes of the 60-minute
slot AND where there are indications that the athlete may be at their location (e.g. lights
on, car in driveway, noise in the house etc.), you may call the athlete by phone. It is
only in these circumstances that you are allowed to make a phone call.

✓ If more than one telephone number has been provided, you should try to ring
each of the numbers.

✓ If the phone is not answered, do not leave a message and you should try to call
again 2 more times at a minimum. You should wait outside of the residence area
until end of the testing window and terminate the attempt.

✓ If the phone is answered, ask for the athlete and ask the person to whom you are
speaking to confirm their identity (you should ensure to record the identity of
anyone that you speak to in the mission report). You should identify yourself and
indicate clearly the reason for the call (doping control notification). You shall
instruct the athlete to provide you with immediate access to the location for
conducting sample collection. If the athlete does not provide you with immediate
access, you must report that fact, including noting (i) the time between the
telephone call and being granted access and (ii) the time between the grant of
access and locating the athlete.

✓ If the athlete is available immediately, meaning no later than the end of the slot,
then you can proceed with the test and note the circumstances on a supplementary
report.

✓ If the athlete informs you that they are not at the location but that they can be at
the location before the end of the slot, inform the athlete that you will remain at the
location only until the end of the 60-minute time slot and then you will leave the
location and report an unsuccessful attempt if they do not report to their location
before the end of the slot. If the athlete has not reported for testing before the end
of their 60-minute time slot, you should leave the location and avoid any further
exchange with the athlete. You should not proceed with a test after expiry of the
60-minute time slot, unless instructed otherwise by the AIU.

✓ If the athlete informs you that they are unable to report for testing before the end
of the 60-minute time slot, you should advise the athlete that you will leave their
specified location after the end of the 60-minute time slot and that an unsuccessful
attempt will be reported to the AIU.

You must always explain why you decided to call the athlete and keep records of the time
of the call(s) and the details of your conversation (see below).

• If you are unable to find the athlete during their one-hour testing window, you must report
the matter to the AIU as an unsuccessful attempt by completing and returning an
Unsuccessful Attempt Report (attaching a copy of the athlete’s Whereabouts
Information Form and any change of whereabouts information sent to you beforehand)
and/or a mission report. The Unsuccessful Attempt Report should be sent to missed-
test@athleticsintegrity.org no later than 2 days after the attempt.

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 4

 • The Unsuccessful Attempt Report should describe in as much detail as possible all
steps taken as part of the unsuccessful attempt together with associated timings, to be
noted in chronological order from the first point of arrival at the location to the time of
your departure from the location and conclusion of the attempt, including but not limited
to, a description of:

✓ the exact and full street address of the location or residence you have visited,
together with the time;

✓ a list of all areas of the facility visited (e.g. in case of a training facility);

✓ the screenshot of the last whereabouts used with the date and time and any
specific instructions provided by the athlete as part of the filing;

✓ the name(s) of all people you have spoken to and the information they provided
(including where possible their contact details);

✓ the number of attempts made (for example, the number of times ringing the doorbell
(if there is one) and knocking on the front door of a residence). You should include
the exact time at which each of these attempts occurred as well as the time of your
arrival and departure from the location;

✓ photos and/or videos of the location visited. This includes at the minimum, photos
or videos of the entry door, doorbell, apartment/house number etc. On your last
attempt at ringing the doorbell/knocking on the entry door, you should take a video
(preferably with sound so you can clearly hear the doorbell ring/ the knocking on
the door). Remember that athletes may challenge that you have been at their
location or that you have made an attempt at the right location.

✓ the phone logs if any phone call has been made and the timing and details of any
conversation with the athlete or a third party;

✓ any other detail or information that could be of use (noise, lights inside the house,
car parked outside etc.)

This information is crucial for the AIU in the evaluation of any possible
“Whereabouts Failure” by the athlete and should be sent to the AIU within 2
working days of the attempt.

Please note that, having reported an Unsuccessful Attempt, you must not re-schedule
a further no notice test on the same athlete on behalf of the AIU without first having
received a direct instruction from the AIU.

Also remember that an unsuccessful attempt may lead to a Missed Test, which could
ultimately lead to an anti-doping rule violation and a suspension for the athlete. It is
therefore of utmost importance to do what is reasonable in the circumstances to locate
the athlete(s) that you have been assigned.

(ii) Testing outside the one-hour window

Whilst you should in principle attempt to test athletes within the one-hour testing window,
the AIU may send you specific instructions to make attempts outside the one-hour

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 5

 window when sufficient details in the whereabouts information have been provided by
the athlete.

When testing outside of the one-hour testing window, most principles from testing inside
the testing window apply, except the following:

• There is no minimum time which is needed to be spent at these additional locations

which are outside the one-hour testing window; however, again, you should do what is
reasonable given the nature of the location to ensure that, if they are present, they will
know that a DCO is there to collect a sample, and provide a report on these attempts.
If it becomes obvious that the athlete is not at the indicated location, you do not need
to wait for a full hour. However, a report still needs to be sent to the AIU recording that
an attempt has been made and giving the same information (and in the same level of
detail as a report for when testing inside the one-hour testing window) as requested in
an Unsuccessful Attempt Report.

• Unless specified otherwise, attempts outside the one-hour testing window may only be
made between 6 am and 11 pm.

• You should aim to test early morning (before 8am) or late evening (from 9pm) at
the athlete’s main residence(s) or at training location(s) during the specified
training times.

• No phone calls are allowed before/during/after an attempted test when testing outside
of the one-hour slot, unless instructed otherwise by the AIU.

(iii) AIU policy on restricted access venues/areas

The following steps may be taken if you encounter an athlete who lives, trains, or works in
a restricted access venue such as a gated community, an apartment building with
restricted access, a military base, a university campus, a sport complex with secured
access, or other location to which you are unable to gain direct access:

• For a restricted access residence (e.g. a multi-apartment complex with a locked

entrance door/gate), your aim should be to gain access to the door of the athlete’s unit
for the purposes of knocking on the door and ringing the bell. This may involve ringing
a buzzer to the athlete's residence, using a central intercom system, finding another
entrance, asking other residents to allow you into the complex, making enquiries with
security or a concierge/leasing office and any other attempt which you deem to be
reasonable in the circumstances.

• When checking the athlete's whereabouts information before the mission, make sure
you note whether a restricted access venue is indicated and, if so, whether instructions
are given in the whereabouts as to how to access the venue (e.g., code to security gate,
access via concierge/leasing office etc).

• Adhere to any security requirements or procedures applicable to the location and/or any
special instructions provided by the AIU (e.g. any access code provided).

• You should attempt to keep the identity of the athlete and the purpose of your visit
confidential. However, if required, you may provide such information to an employee or
point of contact at the location specifying that the purpose of the visit should remain

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 6

 confidential to the greatest extent possible. In this case, record the name of the person
with whom you spoke.

• Carefully check and report all the options available to access the athlete’s location
(interphone, digicode) and note any long delay or suspicious circumstances on your
mission report.

• Where the location is restricted and you have been unable to locate the athlete for
testing until only five minutes remain before the end of the 60-minute testing window,
you should call the athlete on the provided telephone number(s). It is only in these
circumstances that you are allowed to make a phone call. If the athlete answers, you
should ask them whether they are at their specified location and, if so, ask them to give
you immediate access. If the athlete does not provide you with immediate access, you
must report that fact, including noting (i) the time between the telephone call and being
granted access and (ii) the time between the grant of access and locating the athlete.
If the athlete is not at their location, or does not answer, you should wait the rest of the
one-hour testing window and only proceed with the test if the athlete is able to report
before the end of the one-hour testing window. You must leave the location and report
an unsuccessful attempt if the athlete does not report to their location before the end of
their one-hour testing window.

AUTHORIZATION AND IDENTIFICATION

(i) SCP Identification

As a DCO, you should always carry valid authorization and identification as follows:

✓ Letter of Authority (LoA) from the AIU as Testing Authority

✓ DCO/SCP accreditation/DCO/SCP card
✓ National ID card with name, photo and expiration date (driver’s license, health card,
passport or similar valid identification)
✓ If you are a BCO, you should in addition carry a valid proof of qualification as
phlebotomist.

Your Doping Control Assistant (“DCA”) should always carry valid identification: National
ID card with name, photo and expiration date (driver’s license, health card, passport or
similar valid identification).

(ii) Athlete Identification

The DCO should carefully verify and confirm the identity of the athlete through any
reliable means including:

✓ National ID (passport, driving licence, identity card) with a photo, name and expiry
date. Note that a photo/copy of such document is acceptable provided that you can
correctly identify the athlete from the photocopy.

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 7

 ✓ Event accreditation with a photo and name. Always note the accreditation number
on the DCF.

✓ Third party identification. A reliable person familiar with the athlete (family member,
team official, coach, competition official/delegate, team official, coach etc) may
confirm the identity of the athlete. This should be recorded in the comments section
of the DCF and the identifying person should provide their name and contact details
and sign the DCF.

✓ World Athletics website https://www.worldathletics.org/athletes. Check the athlete

name, date of birth, photo and discipline. This should be recorded in the comments
section of the DCF.

✓ As a last resort, when none of the above or any other reliable means are possible,
you should ask the athlete permission to take a photo of him/her. Have the athlete
hold a piece of paper with his/her name written on it. This should be recorded in
the comments section of the DCF.

SAMPLE COLLECTION

• Urine and blood samples collected as part of the AIU out-of-competition testing program
must be collected strictly in accordance with the International Standard for Testing and
Investigations (Section 7 and Annexes C, D, E & F), available on the AIU website.
Please ensure that you have read the most-up-to date version.

• Specific instructions for sample collection:

(i) Sample Collection Site

The Doping Control Station for OOC testing is the location where the sample collection
and sample processing will be conducted (“Sample Collection Site”).

The DCO shall use a Sample Collection Site that ensures the Athlete's privacy and
security of the samples and, where possible, is used solely for testing purposes for the
duration of the sample collection session.

The DCO should always process one Athlete at the time.

In order to ensure privacy, security, and confidentiality, access of external persons to the
Sample Collection Site should be restricted. Only the following people are permitted to be
present at the Sample Collection site:

• Sample Collection Personnel (DCO, DCA, BCO, Chaperone)

• Athlete(s) being tested
• Athlete Representative (coach, parent, doctor, team member) if requested by the
Athlete – only one Representative per Athlete
• Interpreter – only one Interpreter per Athlete if required

Media should under no circumstances be allowed to be present at the Sample Collection

Site.

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 8

 The DCO shall report any deviations from these criteria to the AIU. Should the Sample
Collection Site be a private residence where a number of external persons are present,
the DCO should politely ask the external persons to wait outside the Sample Collection
Site. If the DCO encounters challenges in ensuring a private and secure Sample
Collection Site in which athlete confidentiality can be assured, they may contact the AIU
for advice.

(ii) Preventing contamination of the samples

To reduce any risk of sample contamination, the athlete should, if possible, wash their hands
before the sample collection. Observe that No soap should be used! After providing the
sample, the athlete should close the lid of the collection vessel before washing their hands
again. The DCO/assistant can also offer the athlete to wear latex gloves during the sample
collection. The DCO/assistant should not at any point carry the collection vessel for the
athlete.

(iii) Observation

It is crucial that either the DCO or the assistant always witnesses the actual collection of
the sample and keeps the athlete under observation at all times during the sample
collection process. The person witnessing the sample (of the same gender as the athlete)
shall ensure they have a clear and unobstructed view of the passing of the sample at
all times. In order to ensure a clear and unobstructed view of the passing of the sample,
the DCO/assistant shall instruct the athlete to remove any clothing that restricts the
DCO/assistant’s clear view of the sample provision.

The person witnessing the collection has to be confident that the urine is from the athlete
and that there has been no attempt at manipulation. Any concerns in this regard should be
recorded in detail in the mission report. The collection vessel should always be under the
observation of the DCO/assistant and the athlete.

(iv) Dilute samples

Urine samples collected on behalf of the AIU must have a specific gravity of 1.005 or higher
(using a refractometer) or 1.010 or higher (using lab sticks) to be considered acceptable.

Urine samples with a specific gravity of 1.003 or higher (measured by refractometer) will be
accepted by the AIU if the athlete has provided 150 ml or more of urine.

If the athlete provides a sample with a volume greater than 90ml but less than 150ml, the
specific gravity measurement of 1.005 or higher (using a refractometer) will remain
applicable.

It is the responsibility of the athlete to provide a sample which meets the above specific
gravity measurements. DCOs should always inform the athlete at the point of notification
that they should avoid drinking excessively.

Athletes who provide a sample with a specific gravity measurement not in accordance
with the above measurements will be required to provide a further sample until they
provide a sample which does meet the requirements. Athletes shall be advised to not
hydrate further until a sample with suitable specific gravity for analysis is provided.

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 9

 Should the athlete fail to provide a sample with suitable specific gravity for analysis after
two attempts, the DCO shall proceed as follows:

✓ inform the athlete that he is required to provide another sample;

✓ invite the athlete to completely empty his bladder after full completion of the
sample collection process;

✓ wait at least 1 hour before inviting the athlete to make a new attempt;

✓ advise the athlete not to drink within this hour or during the remainder of the
sample collection process.

Unless instructed otherwise by the AIU, DCOs shall continue to collect additional
samples until the requirements for specific gravity described above are met.

DCOs should provide details of all attempts made in the mission report.

(v) Minors

DCOs will be expressly informed should they be asked to test an athlete who is a Minor
on behalf of the AIU. There should always be two sample collection personnel appointed
for testing an athlete who is a Minor out-of-competition.

The AIU will ensure that the venue for the out-of-competition test is a location where the
presence of an athlete representative is most likely to be available for the duration of the
Sample Collection Session.

DCOs should then proceed as follows:

✓ Inform the athlete that he may be accompanied by a representative throughout the

entire sample collection session.

✓ Accommodate the athlete in locating a representative if requested to do so by the

Minor.

✓ Notify the athlete in the presence of an athlete representative (who is not a Minor).

✓ If the Minor declines a representative, the DCO shall advise the athlete for a final
time that he may have a representative with him and then record the athlete’s final
decision on the Supplementary report form if the athlete decides to proceed without
a representative. The lack of a representative does not invalidate the test but it has
to be documented.

✓ If the athlete declines a representative, the DCO shall nevertheless consider

whether a third party ought to be present during the notification of the athlete.

A representative of the Minor may be present during Sample provision (including

observing the DCO when the Minor is passing the urine Sample, but not directly
observing the passing of the urine Sample unless requested to do so by the Minor). The
DCO’s/Chaperone’s representative shall only observe the DCO/Chaperone and shall not
directly observe the passing of the Sample.

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 10

 SHIPPING THE SAMPLES

• Urine samples collected as part of the AIU out-of-competition testing programme must
be transported in strict accordance with Article 9 of the International Standard for Testing
and Investigations and where relevant the additional requirements set out below.

• Blood samples collected as part of the AIU out-of-competition testing programme must
be transported in strict accordance with Article 9 of the International Standard for Testing
and Investigations and the respective requirements of Annex D (Collection of Blood
Samples) and Annex I (Collection, Storage and Transport of Athlete Biological Passport
Samples) of the Standard and where relevant the additional requirements set out below.

• The following should be sent to the laboratory as soon as possible after collection:

✓ All collected samples

✓ The laboratory copy (copies) of the Doping Control Form/s
✓ The laboratory copy of the Collection Report/Chain of custody

• The doping control kits (with the sample bottles inside) should be placed in a secured
box of sufficient size and the box should be sealed with tape. Please use some form of
protective material to prevent the breakage of the sample bottles (e.g. paper).

• You should not ship any samples in just the glass bottles.

• Any courier can be used but the following should be taken into account:

✓ The shipment should be made as quickly as possible after the collection. In case
there is a delay in the shipment, the samples should be kept in a safe and cool
place. During sample storage/shipment, the temperature should be as stable as
possible

✓ It is recommended that urine samples requested for EPO analysis be shipped in

cool conditions (e.g. refrigerator, insulated cool box, isotherm bag or other device
that possesses the same capabilities) if the anticipated time of transportation
exceeds 48 h.

• The chain of custody should be as detailed as possible in order to track the samples
from the point of collection to their arrival to the laboratory. It is recommended to use
the AIU Chain of Custody Form.

• Blood samples should be transported to the laboratory in safe and cool conditions
(between 2 and 12°C) and should be delivered to the laboratory as soon as possible
after collection. See Annexes D and I of the International Standard for Testing and
Investigations for the specific requirements for the storage and transportation of blood
samples.

• Always monitor closely the temperature in the cool-box for serum and ABP collection.
The DCO must ensure that the temperature data logger is turned “On” from the point
of sample collection to sample delivery (the logger is supposed to be turned off only
when the analysis starts, not when it reaches the laboratory).

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 11

 • Blood samples and data logger should never be in direct contact with the cooling
element of the transportation box (e.g ice pack). Blood samples must not be
allowed to freeze.

REPORTING

• DCOs must systematically prepare a mission report following each completed

mission describing the circumstances of the mission (even if you believe that there is
nothing special to report) and including all information and supporting documents
required under these instructions. Inappropriate or suspicious behaviour from the
athlete or any other person present during the sample collection session must be
reported to the AIU in writing.

• DCOs should also include in their report any information shared by the athlete which
may be of interest to the AIU such as an injury, a pregnancy...

• DCO should record the GPS coordinates of the test location when in doubt as to the
accuracy of the whereabouts provided by the athlete.

For any question on the above instructions or any incident (refusal, evasion from
testing, tampering attempt), please contact your ADO or the AIU directly:

Raphaël Roux (Out-of-Competition Testing Manager) at:

@mail: raphael.roux@athleticsintegrity.org
Mobile: +33 607 935 576

Or

Jasmina Glad at jasmina.glad-schreven@athleticsintegrity.org

Note that this document is intended as a practical guide for Sample Collection
Personnel and it does not deal with every detail of the sample collection process.
You should comply with the provisions of the International Standard for Testing and
Investigations (and Annexes) at all times.

AIU Instructions to SCP (OOCT) V3_Jan_2021_TC 12