HomeMy WebLinkAboutAgenda Report - July 18, 2007 E-22AGENDA ITEM Eva; -
02% CITY OF LODI
COUNCIL COMMUNICATION
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AGENDA TITLE: Adopt Resolutions Amending the City of Lodi Drug Free Workplace Policy,
Drug Free Workplace Procedure, Drug and Alcohol Policy and Drug and
Alcohol Proceduresto Meet Department of Transportation Requirements
MEETING DATE: July 18,2007
PREPARED BY: Public Works Director
RECOMMENDED ACTION: Adopt resolutions amending the City of Lodi Drug Free Workplace
Policy, Drug Free Workplace Procedure, Drug and Alcohol Policy
and Drug and Alcohol Procedures to meet Department of
Transportation requirements.
BACKGROUND INFORMATION: The City of Lodi has a variety of Policies and Procedures that have
been adopted by the City Council. During the recent Triennial
Review by the Federal Transit Administration (FTA), it was noted
that the City's Policies and Procedures for Drug Free Workplace
and Drug and Alcohol did not meet the current Department of Transportation requirementsthe FTA uses.
The four policies have been revised and are being submitted by staff for amendment. Following adoption
by the City Council, copies of the new policies will be distributed to staff and forwarded to the FTA, as
required. The FTA requires that the policies be submitted by July 30, 2007. The revisions to the policy
include changes to pre-employment requirements, affected employees, definitions of safety -sensitive
positions, references to Federal requirements, testing percentages and procedures, and specimen
collection oversight.
FISCAL IMPACT: Failure to amend the policies by the date set by FTA could impactthe availabilityof
Federal transit funding received by the City to cover the costs of transit service.
FUNDING: None required.
Richard C. Prima, Jr.
Pub'ficWorks Director
Prepared by Tiffani M. Fink, Transportation Manager
RCPITMFIpmf
Attachments
cc: Deputy City Manager
Transportation Manager
APPROVED: /
Blair King, City Manager
K: WRCOUNCIL1071Drug and Alcohol.doc 71612007
RESOLUTION NO. 2007-136
A RESOLUTION OF THE LODI CITY COUNCIL
AMENDING THE CITY OF LODI DRUG FREE
WORKPLACE POLICYAND THE DRUG FREE
WORKPLACE PROCEDURE TO MEET
DEPARTMENT OF TRANSPORTATION
REQUIREMENTS
WHEREAS, the City of Lodi previously adopted a Drug Free Workplace Policy
and Procedure on May 1,1995; and
WHEREAS, due to changes in the Federal requirements applying to employees
who operate or maintain Department of Transportation funded equipment and
machinery, an amendment to that policy is required.
NOW, THEREFORE, BE IT RESOLVED that the Lodi City Council hereby
amends the City of Lodi Drug Free Workplace Policy and the Drug Free Workplace
Procedure to meet Department of Transportation requirements, as shown on Exhibit A
and B attached hereto and made a part of this Resolution; and
BE IT FURTHER RESOLVED that the effective date of this policy shall be July
19,2007.
Dated: July 18,2007
I hereby certify that Resolution No. 2007-136 was passed and adopted by the
City Council of the City of Lodi in a regular meeting held July 18, 2007, by the following
vote:
AYES: COUNCIL MEMBERS — Hansen, Katzakian, Mounce, and
Mayor Johnson
NOES: COUNCIL MEMBERS— None
ABSENT: COUNCIL MEMBERS — Hitchcock
ABSTAIN: COUNCIL MEMBERS — None
14
2007-136
CITY OF LODI
POLICY AND
SUBJECT: DRUG-FREE WORKPLACE -Policy
DATE ISSUED: July ,2007
SECTION
0
EXHIBITA
REFERENCE Drug Free Workplace Act of 1988;
Americans With Disabilities Act of 1990; The
Rehabilitation Act of 1973.
SECTION 1: PURPOSE
City of Lodi is committed to protecting the safety, health and well being of all employees
and other associated individuals in our workplace. We recognize that alcohol abuse and
drug use pose a significant threat to our goals. We have established a drug-free workplace
program that balances our respect for individuals with the need to maintain an alcohol
and drug-free environment.
• This policy recognizes that employee involvement with alcohol and other drugs
can be very disruptive, adversely affect the quality of work and performance of
employees, pose serious health risks to users and others, and have a negative
impact on productivity and morale. - -
• As a condition of employment, this organization requires that all employees
adhere to a strict policy regarding the use and possession of drugs and alcohol.
• This organization encourages employees to voluntarily seek help nth drug and
alcohol problems.
SECTION 2: POLICY STATEMENT
It is a violation of our drug-free workplace policy to
manufacture, use, possess, distribute, trade, and/or offer for sale alcohol, illegal drugs or
intoxicants. Our drug-free workplace policy is intended to apply whenever anyone is
representing or conducting business for the organization. Therefore, this policy applies
during all working hours, lunch hours and whenever conducting business or representing
the organization, while on paid standby, on or off City property including vehicles. Any
individual who conducts business for the organization, is applying for a position, or is
conducting business on the organization'sproperty is covered by our drug-free workplace
policy. Our policy includes, but is not limited to executive management, managers,
supervisors, full-time employees, part-time employees, off-site employees, contractors,
volunteers, interns and applicants.
Drug and alcohol consumption on and/or off the job can adversely affect job performance
and employee/public safety. The City respects the privacy of its employees and contractors
unless involvement with drugs and/or alcohol off the job adversely affects j ob performance
andempIoyee/public safety.
SECTION 3: COMPLIANCE
The U.S. Department of Transportation DOT has published 49 CFR Part 29,
implementingthe Drug -Free Workplace Act of 1988, which requires the establishment of
drug-free workplace policies and the reporting of certain drug-related offenses to the
FTA. The (DOT) adopted 49 CFR Part 40 (Revised), which outlines procedures for
transportation workplace drug and alcohol testing programs. This Policy incorporates
these federal requirements for employees when performing safety -sensitive functions, as
well as other provisions as noted.
The Federal Transit Administration (FTA) of the U.S. Department of Transportation 49
CFR (Code of Federal Regulations) Part 655 and 382 mandates urine drug testing and
breathalyzer alcohol testing, for employees performing safety-sensitivefunctions. The
regulation prevents the performance of safety -sensitive functions when there is a positive
test result or test refusal. A safety -sensitive function is:
1) Maintenance personnel, who perform various repairs to revenue vehicles (including
repairs, overhaul and rebuilding)
2) Employees with a commercial driver's license that will operate a revenue service, or
non -revenue service DOT funded transit vehicle (includes the operation of the Lifts or
anyone who assists passengers to assure they are secured in the vehicles).
3) Drivers operating a revenue service vehicle, including when not in revenue service.
4) Dispatch personnel and supervisors who control the movement of any revenue
service vehicle.
Federal Contractors and grantees must certify that they will provide drug-free workplaces as
a pre -condition to receiving a contract or grant from any Federal agency. Failure to comply
with the requirements of the Drug -Free Workplace Act may result in the following
sanctions:
A. suspension ofpayments, under the grant;
B. termination of the grant; or
C. debarment from any grant award from any Federal agency for a period up to five (5)
years.
Such penalties may be applied to contractors/grantees who have made false certifications of
compliance with the Act.
SECTION 4: COMPLIANCE OF EMPLOYEES
All employees shall agree to abide by this condition of employment and shall notify the City
of any criminal drug statute conviction for a violation occurring in the workplace no later
than five (5) days after such conviction.
In those instances where City employees, who are employed under Federal contract or grant,
are convicted of criminal drug statutes violations occurring in the workplace, the City shall
notify the grantor agency within ten (10) days after receiving notice from such employees or
otherwise receiving actual notice of such convictions.
The City of Lodi shall require every covered employee who performs a safety -sensitive
function as described in the FTA regulations Part 655 to submit to a pre-employment,
post -accident, random, reasonable suspicion, return -to -duty or a follow-up dmg and
alcohol test as described in this policy. The City shall not permit any employee who
refuses to submit to such tests to perform or continue to perform any safety -sensitive
functions and is subject to disciplinary actions up to and including termination.
Any employee (safety sensitive or non -safety sensitive) who refuses to comply with a
request for testing, who fails to remain readily available for post -accident testing, who
provides false information in connection with a test, or who attempts to falsify test results
through tampering, contamination, adulteration or substitution, shall be removed from. _ _
duty immediately. Refusal can include an inability to provide a specimen or breath
alcohol sample without a valid medical explanation, as well as a verbal declaration,
obstructive behavior, or physical absence resulting in the inability to conduct the test.
SECTION 5: ENFORCEMENT
In conjunction with Human Resources, department directors, managers, and supervisors are
responsible for reasonable enforcement of this policy and the Drug -Free Workplace
Procedure.
SECTION 6: SPECIFIC APPLICATIONS
Driver's License: Employees operating vehicles and equipment requiring the possession of
a specified class, certificated or endorsed driver/operator license by the California
Department of Motor Vehicles, or any other federal or state agency, may be subject to
drug/alcohol screening in order to obtain and maintain such licensing
Accidents: Employees directly involved in an accident, including vehicular accidents, or
who may have been involved in the sequence of events leading up to an accident, is
subjected to testing as part of the accident investigation process. Not withstanding laws to
the contrary, the supervisor will determine whether employees should be directed for
druglalcohol testing based upon reasonable suspicion.
SECTION 7: Opportunities of Rehabilitation
The City of Lodi is committed to providing reasonable opportunities of rehabilitation to
those employees with a drug or alcohol problem in accordance with the provisions of federal
and/or state law.
An employee who has a drug and/or alcohol abuse problem and has not been selected for
reasonable cause, random or post -accident testing or has not refused a drug or alcohol test or
is not involved in disciplinary proceedings, may voluntarily refer her or himself to the
Human Resources Manager or Internal Services Director, who will refer the individual to
the City's Substance Abuse Professional at the expense of the employee. The SAP will
evaluate the employee and make specific recommendation regarding the appropriate
treatment. When an employee voluntarily refers her or himself for treatment, the employee
may be eligible for sick leave and disability benefits. Employees will be allowed to take
accumulated vacation time or may be eligible for unpaid time off to participate in any
rehabilitation program at the employee's expense. In addition, the City of Lodi's voluntary
Employee Assistance Program. (EAP) is available to assist employees who seek help for
alcohol or drug problems. Employees are encouraged to contact the EAP directly.
Supervisors/managers may refer an employee to the EAP for reasonable suspicion of drug
abuse. Supervisors are encouraged to refer employees to the EAP for intervention. EAP
services are confidential and supervisory referred employees are -requested to sign a release
of information for attendance purposes if sessions are scheduled during working hours.
SECTION 8: PRESCRIPTION MEDICATION LEGAL DRUGS
A legally prescribed drug means that an individual has a prescription or other written
approval from a physician for the use of a drug in the course of medical treatment. The
misuse of legal drugs while performing transit business is prohibited at all times. Any
employee taking any medication with a warning label will be required to provide the
following:
The appropriate use of legally prescribed drugs and non-prescription medications is not
prohibited. However, the use of any substance which carries a warning label that
indicates that mental functioning, motor skills or judgment may be adversely affected
must be reported to supervisory personnel. Medical advice should be sought, as
appropriate, while taking such medication and before performing work-related duties.
An employeetaking prescribed drugs which may interfere with safe work performance is
required to provide written documentation from the prescribing physician indicatingthe
level of interference withjob performance. The prescription or approval must include the
patient's name, the name of the substance, quantity/amount to be taken, the period of
authorization and physician's signature that the employee may continue to perform
safety -sensitive functions while taking such medication
The employee's immediate supervisor or department head shall determine on a case-by-case
basis the employee's ability to perform employment responsibilities in conjunctionwith
Human Resources. Failure to notify a supervisormay result in disciplinary action in
accordance with City policy and procedure. An employee maybe required to provide a
statement from a licensed physician, indicating when the employee is able to work safely, or
any limitations shelhe may have while taking the prescribed medication.
SECTION 9: PRE-EMPLOYMENT DRUG TESTING
As an employer the City is required to verify previous violations of DOT drug and
alcohol regulations within the last two years of employment with a DOT regulated
agency or employer.
An employer must obtain and review the information listed below from any DOT -
regulated employer the employee performed safety -sensitive functions for in the previous
two years. The information must be obtained and reviewed prior to the first time an
employee performs safety -sensitive functions. If not feasible, the information should be
obtained no later than thirty (30) days after the first time an employee performs safety -
sensitive functions. The information obtained must include:
1. Information of the employee's alcohol test in which a breath alcohol
concentrationof 0.04 or greater was indicated.
2. Information of the employee's controlled substance test in which a positive
result was indicated.
3. Any refusal to submit to a required alcohol or controlled substance test.
(including verified adulterated or substituted drug test results)
4. Other violations of DOT agency drug and alcohol testing regulations.
Applicants will be asked whether her or he has tested positive, or refused to test on a pre-
employment drug or alcohol test while trying to obtain safety sensitive transportation
work from an employer covered by a DOT agency during the past two years. If applicant
admits that he or she had a positive test or refusal to test, the City will not allow the
applicant to perform safety -sensitive duties unless and until the applicant provides
documents showing the successful completion and release from a SAP. Job offers made
by the City of Lodi are contingent upon the successful completion of a drug and/or alcohol
screening. Testing for temporary hires will be evaluated on an individual basis by
classification.
CITY OF LODI
ADMINISTRATIVE POLICY
MANUAL
EXHIBIT B
SUBJECT DRUG-FREE WORKPLACE - Procedure
DATE ISSUED: July ,2007
SECTION D
REFERENCE US DOT (FTA) 49 CFR Part 40;
49 CFR Part 655;
49 CFR Part 382;
49 CFR Part 29;
Drug Free Workplace Act of 1988;
Americans With DisabilitiesAct of 1990;
The Rehabilitation Act of 1973;
Rules for Personnel Administration;
SECTION 1:
PURPOSE
The purpose of this procedure is to provide guidance to employees, supervisors, and
managers in the recognition of drug/alcohol abuse by employees,_and of theprocess by
which to address the issues raised by such use.
SECTION 2: SUPPORT SERVICES/EDUCATION /TRAINING
All employees shall receive educational information and training regarding the detection and
deterrence associated with the use of illegal drugs and alcohol use. Safety Sensitive
employees will receive training annually. For immediate support and guidance employees
may contact:
SAMHSA' S 1 -800 -662 -HELP All
Center for SubstanceAbuse Treatment (4357)
Employee Assistance Program
(209) 333-6704 Please contactHtunan Resources for
SubstanceAbuse Professional additional information
SECTION 3: REASONABLE SUSPICION
Reasonable Suspicion is cause based on subjective evidence and objective facts sufficientto
lead a reasonably prudent supervisor to suspect that an employee is under the influence of
drugs or alcohol to the degree the employee's ability to perform the functions of the job is
impaired or so that the employee's ability to perform hi s/her j ob safely is reduced.
It is the responsibility of the supervisor to gather specific facts and rational inferences from
these facts which warrant reasonable suspicion that the particular employee is under the
influence of drugs or alcohol. Co-workers have the responsibility to notify supervisors or
Human Resources immediately to report suspicious behavior. In all cases of suspicion of
drug/alcohol abuse, all procedures shall be conducted under the auspices of the Human
Resources Division.
Reasonable suspicion may be established by, but not limited to any of the following:
A. Slurred speech;
B. Alcohol odor on breath;
C. Unsteady walking and movement;
D. An accident involving City property;
E. Physical or verbal altercation;
F. Declining work performance;
G. Possession of alcohol or unauthorized drugs;
H. Information from a co-worker, City employee, or member of the public regarding az
employee's performance level.
These are not the sole indicators for determining reasonable suspicion. The number of
reasonable suspicion indicators and amount of evidence supporting each indicator will
determine whether there is reasonable suspicion to search or compel -a test. Consequently;
any one indicator above or in combination with other indicators will not necessarily always
indicate reasonable suspicion. Each situation will have to be individually examined,
obtaining as much evidence of impairment as possible.
SECTION4: SUPERVISORY RESPONSIBILITIES
Supervisors must distinguish between deficient employee behaviors that are ongoing or
repeated in nature, and those that present immediate indication of drug/alcohol influence.
A. Ongoing Behavior:
A supervisor observing an employee demonstrating the above indicators and/or exhibiting
ongoing behavior which could cause reasonable suspicion of drug/alcohol abuse shall
contact the Personnel Department immediately and may:
1. Counsel the employee regarding areas of declining work performance and recommend the
employee utilize the Employee Assistance Program for intervention and rehabilitation.
2. Document the behavior which has given rise to the suspicion of substance abuse;
3. Inform the appropriate higher level supervisor/manager of the supervisor's observations,
interventions, and if applicable, intent to recommend substance abuse testing.
Drag/alcohol testing is used as a last resort after an employee refuses an EAP referral or
EAP recommendations are rejected.
After a supervisor has received training on drug/alcohol abuse testing and referral, and taken
all measures outlined above, he/she may direct an employee to take a test in accordance with
the procedures outlined in Attachment A.
B. Immediate Presentation of Indicators:
Supervisors may request an employee to submit to a drug /alcohol testing when there is a
reasonable suspicion that an employee is under the influence of drugs or alcohol. When
there is reasonable suspicion that an employee is under the influence of drugs or alcohol, the
supervisor is required to prevent the employee from engaging in further work and advise the
employee to remain at the work site until transportation arrangements can be made. Such
employee shall be transported to the appropriate physician/laboratory for drug/alcohol
testing by hisiher most available supervisor. Upon completion of the sample collection,
transportation to the employee's residence shall be provided by the supervisor or a member
of the employee's family. Employees who insist on driving and who may be under the
influence of drugs or alcohol are subject to arrest by a peace officer.
Employees will not be perrnitted.. to work until.. the results ,of the test have been determined.
Upon receipt of the laboratory analysis results, employees will be notified. If a test result is
positive, the time the employee was absent from work between the specimen collection and
notification of results shall be unpaid. If the test result is negative, then the interim time
period shall be considered administrative leave with pay.
Supervisors requesting an employee to submit to a drug/alcohol test shall document, in
writing within 24 hours, the facts constituting reasonable suspicion that the employee is
intoxicated or under the influence of drugs.
The City may search, without employee consent, all areas and property in which the City
maintains control or joint control with the employee including, but not limited to, City
vehicles, desks, containers, files, lockers and storage facilities. Whenever possible, prior to
a search for drugs or alcohol, an attempt shall be made to contact the employee at work or at
home to allow the employee to be present during the search. When it is not possible reach
the employee or the employee is not present within a reasonable period of time (i.e. not later
than 45 minutes), the search shall be conducted by a minimum of two people - the
supervisor conducting the search and an observer such as a second supervisor, a law
enforcement officer or a neutral observer, For Police Officers, searches of lockers or an
assigned storage space shall be conducted as provided by Government Code Section 3309.
Otherwise the City may notify the appropriate law enforcement agency that an employee
may have illegal drugs in his/her possession or in an area not jointly or fully controlled by
the City.
Supervisors shall not physically search the person of employees, nor shall they search the
personal possessions of employees. Supervisors shall notify the appropriate Department
Head or designee when they have reasonable suspicion that an employee may have illegal
drugs or alcohol in his or her possession, including areas such as parking areas, break rooms,
etc. If the Department Head or designee concurs that there. is reasonable suspicion of
possession, then he/she may notify the appropriate law enforcement agency.
SECTION 5: CONTROLLED SUBSTANCE (DRUGS) AND/OR
ALCOHOL TESTING OF EMPLOYEES
There. shall be no random or general testing except as requiredby federal and/or state law, or
as part of a last chance agreement in conjunction with rehabilitation. The City of Lodi shall
require every covered employee who performs a safety -sensitive function as described in
the FTA regulations fart 655 to submit to a pre-employment, post -accident, random,
reasonable suspicion, return -to -duty or a follow-up drug and alcohol test as described in
this policy.
An employee may be asked to submit to a udm test to determine the use and/or presence of
controlled substances. Alcohol testing shall be conducted by using an evidential breath
testing device.
Should an employeebe directed to undergo drug/alcohol testing the _fol..lowing pzov_isions
shall apply:
A. All testing shall be performed by a National Institute of Drug Abuse (NIDA)
certified facility, determined by the City.
B. The initial testing shall use the radioimmunoassay (RIA) screening process. If the
results are positive, the results will confirmed by the gas chromatography/mass spectrometer
(GC/MS) method.
C. If the initial test result is positive and the confirmation test result is negative, the
overall screening is considered negative.
D. In the event of a positive result, the specimen shall be retained and preserved by the
laboratory for a minimum of one year. If during this period the employee requests, the
specimen will be forwarded to another laboratory for independent testing. The cost of this
additional handling and testing shall be borne by the employee.
E. If the employee tests positive for a substance(s) with a medically recognized usage
as a prescription drug without having disclosed such usage before the test, the employee
shall be given the opportunity to produce a prescription for the drug or a physician's (or
dentist's) statement relative to the need for such a drug. The said prescription must be dated
before the date of the drug screen.
F. In the case of marijuana, the level of the positive test is set high enough to exclude
people who have had a casual encounter with the drug, such as being in a room where it is
smoked by someone else. A test threshold (NG/ML) for THC - the active substance in
marijuana - is used as cutoff, which ensures that someone who registers positive has indeed
ingested such a substantial amount of that drug that it precludes inadvertent exposure.
G. The results of the drug screening shall be reviewed by a Medical Review
(MRO) for interpretation and validation. The medical provider shall inform the employee
and Human Resources of the results of the screening.
* Testing is based on DOT minimum thresholds in 49 CFR Part 40.
SECTION 6: CONFIDENTIALITY
Specific treatment services provided by the SAP and/or EAP provider are confidential and
are not released without the employee's authorization. Specific information shared with
SAP or EAF staff is confidentialunless required by law for child abuse or threats of bodily
harm.
Laboratory reports or test results shall be maintained by the medical provider. Any written
records of the test results shall not be placed in an employee's personnel file, but shall be
maintained in a separate confidential file unless used to support a disciplinary action. The
confidential file shall be maintained by the Human Resources. -Division -The worts or test
results may be disclosed to City management and/or supervisory staff on a strictly need -to -
know basis and to the tested employee upon request. Disclosures, without the employee's
consent, may also occur when the information:
A. requires immediate contact to the employee
B. is compelled bylaw or by judicial or administrative process;
B. has been placed at issue in a formal dispute between the City of Lodi and the
employee;
C. is needed by medical personnel for the diagnosis or treatment of the patient who is
unable to authorize disclosure.
As an employer the City is required to verify previous violations of DOT drug and
alcohol regulations within the last two years of employment with DOT regulated agency
or employer. Former employees seeking employment with another DOT regulated
agency shall authorize the City in writing to provide the required drug and alcohol testing
information to that agency.
An employer must obtain and review the information listed below from any DOT -
regulated employerthe employee performed safety-sensitivefunctions for in the previous
two years. The informationmust be obtained and reviewed prior to the first time an
employee performs safety -sensitive functions. If not feasible, the information should be
obtained no later than thirty (30) days after the first time an employee performs safety -
sensitive functions. The information obtained must include:
1. Information of the employee's alcohol test in which a breath alcohol
concentrationof 0.04 or greaterwas indicated.
2. Information of the employee's controlled substance test in which a positive
result was indicated.
3. Any refusal to submit to a required alcohol or controlled substance test.
(including verified adulteratedor substituteddrug test results)
4. Other violations of DOT agency drug and alcohol testing regulations.
SPECIMEN COLLECTION PROCEDURE
When an individual is directed by the City to the medical provider for drug/alcohol
screening,the followingprocedure is observed
The screening procedure is explained to the individual and any questions answered
by the medical provider.
2. The individual is asked to provide all pertinent information to the medical provider
and sign a waiver authorizing release of the results to the City of Lodi.
3. The medical provider conducts the screening in a manner so as to prevent tampering
and ensure confidentiality. Such procedure shall include, but not be limited to
idegtilkati verification, removal._ of all unnecessarygarments and bags prior
collection, washing hands, and temperature testing.
4. The specimen shall be sealed, labeled, and initialed by the medical provider and the
employee, without the container leaving the employee'spresence.
5. An employee will be selected at random each quarterly draw to complete a portion
of a CollectionAudit Checklist form with Human Resources.
COLLECTION AUDIT CHECKLIST
BASIC INFORMATION
Step -1 Verify that collectors are trained and certified Yes No
Step -2 Verify that collectors have proof of Proficiency demonstration Yes No
Each collector must demonstrate proficiency in collections under this part by completing five consecutive error fine mock
collections. The five mock collections must include two uneventful collection scenarios, one insufficient quantity of urine
scenario, one temperature out of range soenario, and one scenario in which the employee refuses to sign the CCF and initial the
specimen bottle tamper evident sea]
Step -3 Does the clinic know who to contact at the division? Yes No
An employer must provide to collectors the name and telephone number of appropriate DER to contact about any problems or
issues that may anse during the testing process
PREPARATION OF RESTROOM
Step -1 Drd the collectorproperly secure all water sources and add
bluing agent to the toilet?
Step -2 Did the collector ensure that there are no foreign Yes hb
substances/items in the restroom prior to allowing the donor to
go inside restroom?
Step -3 Did the collector explain the basic procedures to the donor or Yes Nc
show the donor the instructions on the back of the CCF?
COLLECTION OF URINE SAMPLE
Step -1 Did the collectorrequire to see a valid ID from donor?
Step -2 Did the collector require the donor to empty pockets?
Step -3 Did the collector require the donor to remove hat, jacket?
Step -4 Did the collector require the donor to wash and dry hands?
Step -5 Did the collector let the donor pick the cup to be used for
collection?
Step -6 Did the collector open the cup in front of the donor?
Step -7 Did the collector instruct the donor to provide at least 45ml of
urine and to come out of the restroom within 4 minutes?
Step -8 Did the collector ensure that the donor does not take anythiig
other than the collection cup with them into the restroom?
Step -9 Did the collector instruct the donor not to flush the toilet?
Step -10 Did the collector read the temp strip and mark it on the CCF?
Step -ll Did the collectorpour the urine into two vials in front of the
donor?
Step -12 Did the collector write the date on the seal strips?
Step -13 Did the collector have the donor initial the seal strips directly on
the vials?
Step -14 Did the collector sign all appropriate boxes accordingly on the
CCF?
Step -I5 Did the collector have the donor sign the CCF (step 5) and did the
collector verify the name written on the CCF?
Step -16 Did the collector seal up the specimen in the pouch correctly?
Yes No
Yes No
Yes - No
Yes _ No
Yes No
Yes
No. --
Yes
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yes
No
Yes
No
Yes
No
Yes
No
Yes
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Yes 'Pb
Yes No
RESOLUTION NO. 2007-137
A RESOLUTIONOF THE LODI CITY COUNCIL
AMENDING THE DRUG AND ALCOHOL
POLICYAND THE DRUG AND ALCOHOL
PROCEDURES TO MEET DEPARTMENT OF
TRANSPORTATION REQUIREMENTS
WHEREAS, the City of Lodi previously adopted a Drug and Alcohol Testing
Policy and Procedure on April 26, 1995; and
WHEREAS, due to changes in the Federal requirements applying to employees
who operate or maintain Department of Transportation funded equipment and
machinery, an amendment to that policy is required.
NOW, THEREFORE, BE IT RESOLVED that the Lodi City Council hereby
amends the Drug and Alcohol Policy and the Drug and Alcohol Procedures to meet
Department of Transportation requirements, as shown on Exhibit A and B attached
hereto and made a part of this Resolution: and
BE IT FURTHER RESOLVED that the effective date of this policy shall be July
19, 2007.
Dated: July 18,2007
hereby certify that Resolution No. 2007-137 was passed and adopted by the
City Council of the City of Lodi in a regular meeting held July 18, 2007, by the following
vote:
AYES: COUNCIL MEMBERS— a sn ekXa�zakian, Nloince, and --
MayorJohnson
NOES: COUNCIL MEMBERS— None
ABSENT: COUNCIL MEMBERS — Hitchcock
ABSTAIN: COUNCIL MEMBERS — None
City Clerk
2007-137
CITY OF LODI
SUBJECT: DRUG AND ALCOHOL TESTING - Policy
DATE ISSUED: July, 2007
SECTION D
REFERENCE: US DOT (FTA) 49 CFR Part 40;
49 CFR Part 655
49 CFR Part 382
49 CFR Part 29
Omnibus
Transportation Employee
1991
SECTION I:
PURPOSE
Testing Act of
The City of Lodi is committed to providing safe and efficient
public services in fulfilling our responsibilities to the citizens of our community. To achieve this
purpose, it is the policy ofthe City to:
Provide a workplace free from the adverse effects of drug and alcohol abuse or misuse;
Assure that employees are not impaired in their ability to perform assigned duties in a safe and
productive manner;
Encourage employees to seek professional assistance for drug and alcohol abuse or dependency;
Comply with all Federal and State regulations requiring a drug-free workplace.
Coverage under this policy does not exempt covered employees from compliance with the City's
Drug -Free Workplace Policy and Procedure. The obligations and requirements set forth below are
in addition to existing obligations and requirements set forth in the Drug -Free Workplace Policy
and Procedure.
SECTION 2:
EMPLOYEE ASSISTANCE PROGRAM
The City has established a voluntary Employee Assistance Program (EAP) to aid those employees
who voluntarily seek help for alcohol or drug problems. Employees should contact their
supervisors, the EAP provider, or the Personnel Department for additional information.
Employees who think they may have an alcohol or drug usage problem are encouraged to
voluntarily seek confidential assistance from the EAP or other available resources. Employees who
voluntarily come forward and seek assistance will not be disciplined solely for having or admitting a
drug or alcohol problem. The City will take into consideration employees' performance problems
caused by such dependency. The voluntary seeking of treatment shall not provide immunity from
disciplinary action which were proposed or in process. However, action on related problems may
be postponed pending successful resolution of the usage problem. Successful completion of a drug
or alcohol treatment program shall be considered when determining disciplinary actions. While the
City will be supportive of those who seek help voluntarily, the City will be equally firm in
identifying and disciplining those who continue to be substance abusers and do not voluntarily seek
help or continue substance abuse even while enrolled in counseling or rehabilitationprograms.
SECTION 3: CITY ADMINISTRATOR
The Human Resources Division is designated to administer
this policy and procedure and to answer questions concerning its implementation. The Human
Resources Division may be contacted as follows:
City of Lodi
P.O. Box 3006
Lodi, CA 95241-1910
Phone: (209) 333-6704
SECTION4: COVERED EMPLOYEES
Employees in- classifications listed in Appendix A are "covered employees: because they perform
"safety sensitive functions" as described in Section 6 below, and thus are subject to all of the
provisions of this policy." 'I
An employee may be given a written exemption from this Policy by Human Resources, if the
employee'sjob duties do not include performing a "safety sensitive function."
SECTION 5: DEFINITIONS
Accident: Means an occurrence associated with the operation of a vehicle, if as a result:
1) An individual dies;
2) An individual suffers a bodily injury and immediately receives medical treatment away from
the scene of the accident;
3) One or more vehicles incurs disabling damage as the result of the occurrence and is transported
away from the scene by a tow truck or other vehicle. For purposes of this definition, "disabling
damage" means damage which precludes departure of any vehicle from the scene of the occurrence
in its usual manner in daylight after simple repairs. Disabling damage includes damage to vehicles
that could have been operated but would have been further damaged if so operated, but does not
include damage which can be remedied temporarily at the scene of the occurrence without special
tools or parts, tire disablement without other damage even if no spare tire. is available, or damage to
headlights, taillights, turn signals, horn, or windshield wipers that makes the inoperative; or
4) When a State or local law enforcement authority issues a citation to the covered employee for a
moving violation arising from the accident.
Alcohol: The intoxicating agent in beverage alcohol, ethyl alcohol or other low molecular weight
alcohols including methyl and isopropyl alcohol.
Alcohol Concentration: The alcohol in a volume of breath expressed in terms of grams of alcohol
per 210liters of breath as indicated by a breath test.
Alcohol Use: The consumption of any beverage, mixture, or preparation, including any medication,
containing alcohol.
Breath Alcohol Technician (BAT) An individual who irsb=ts and assists individuals in the
alcohol testing process and operates an evidential breath testing device (EBT).
Chain of Custody: Procedures to account for the integrity of each urine or blood specimen by
tracking its handling and storage from point of specimen collection to final disposition of the
specimen.
Confirmation (or confirmatory) Test: For alcohol testing means a second test, following a
screening test with a- result of-iO,00-23 .or greater, that -provides quantiWivc -data of alcohol._:_
concentration. For controlled substances testing means a second analytical procedure to identify the
presence of a specific drug or metabolite which is independent of the screen test and which uses a
different technique and chemical principle from that of the screen test in order to ensure reliability
and accuracy. Gas chromatography/mass spectrometry (GC/MS) is the only authorized
confirmation method for cocaine, marijuana, opiates, amphetamines, and phencyclidine.
Controlled Substance(druR): Any illegal drug or any substance identified in schedules I
through V of the Controlled Substances Act as they may be amended. This includes, but is not
limited to: marijuana (THC metabolite), amphetamines, opiates (including Heroin), phencyclidine
(PCP), and cocaine, as well as any drug not approved for medical use by the U.S. Drug
Enforcement Administration or the U.S. Food and Drug Administration. Illegal use includes use of
any illegal drug, misuse of legally prescribed drugs, and use of illegally obtained prescription drugs.
Substances for testing will only be added to the panel for testing only with agreement of the affected
collective bargaining units or as required by the appropriate regulatory agency.
Evidential Breath Testing Device (EBT): A device approved by the National Highway Traffic
Safety Administration (NHTSA) for the evidential testing of breath and placed on NHSTA's
"Conforming Products List of Evidential Breath Measurement Devices" (CPL).
Medical Review Officer (MRO): A licensed physician responsible for receiving laboratory
results generated by the City's Drug -Free Workplace and Drug and Alcohol Testing program who
has knowledge of substance abuse disorders and has appropriate medical training to interpret and
evaluate an individual's confirmed positive test result together with his/her medical history and any
other relevant biomedical information.
Performing a Safe* -Sensitive Function: An employee is considered to be performing a safety -
sensitive function during any period in which he or she is actually performing, ready to perform, or
immediately available to perform any safety -sensitive function.
Screening Test also Down as initial test): In alcohol testing, an analytical procedure to
determine whether an employee may have a prohibited concentration of alcohol in a breath
specimen. In controlled substance testing, an immunoassay screen to eliminate "negative" urine
specimens from further analysis.
SubstanceAbuse Professional(SAP): A SAP
SECTION 6: SAFETY -SENSITIVE FUNCTIONS
A safety sensitive function is driving one of the following vehicles:
A. a vehicle with a gross combination weight of at least
26,001 pounds inclusive of a towed unit with a gross
vehicle weight ofm►orathari_10,000 UMM&I.
B. a vehicle with a gross vehicle weight of at least
26,001 pounds;
C. a vehicle designed to transport 16 or more
passengers, including the driver; or
D. a vehicle used to transport those hazardous materials
found in the Hazardous Materials TransportationAct.
SECTION 7: PROHIBITIONS
The following conduct is prohibited and may result in disciplinary action, up to and including
termination:
A. Reporting for duty or remaining on duty requiring the performance of safety sensitive functions
while having an alcohol concentration of 0.04 or greater;
B. The use of alcohol within the four (4) hours preceding the performance of safety -sensitive
functions, and the allowance of an employee to perform safety -sensitive functions with the
knowledge that the employee has used alcohol within that time frame.
Employees who are in a "stand-by" status, shall not use alcohol or controlled substances while in
such status. Employees who maybe subject to "call -out" for emergency situations, and who maybe
the only qualified employee available for such duty, and who has used alcohol, may respond to such
calls under the following guidelines:
(1) That the employee immediately notify the supervisor of the use of alcohol within the last four
hours and the determination for the employee to respond is approvedby the supervisor; (2) That
the employee perform simple tasks of minimal risk to the safety sensitive functions(s); and (3)That
the employee does not use alcohol after he/size has been notified to report for emergency duty.
C. Being on duty or operating a vehicle described in Section 4 above, while possessing alcohol;
D. Using alcohol while performing a safety sensitive function;
E. Reporting for duty or remaining on duty requiring the performance of safety sensitive functions
when the employee used any controlled substances, except if the use is pursuant to the instructions
of a physician who has advised the employee that the substance does not adversely affect the
employee's ability to safely operate a vehicle; or DOT funded equipment and machinery.
F. Reporting for duty or remaining on duty requiring the performance of safety sensitive functions
ifthe employee tests positivefor controlled substances;
G. Refusing to submit to any alcohol or controlled substances test required by this policy. Such
refusal (see Section 8) shall be considered an act of insubordination. The consequences for a refusal
to submit to a required test are the same as if the employee had tested at 0.04 or greater or had
violated any of the other prohibitions in this policy.
H. The allowance of an employee to perform or continue to perform safety -sensitive functions
after having knowledge of the employee's use of alcohol or controlled substanceswhile on duty.
I. An employee who has actual knowledge of an accident in which his/her performance of a
safety -sensitive function has not been discounted by the City as a contributing factor to the accident
is prohibited from using alcohol for eight (8) hours following the accident. The prohibition ends
eight (8) hours after the accident (i.e. when a test is no longer required), once the employee has
taken a post -accident test, or once the City has determined that the employee's p erformance could
not have contributed to the accident.
SECTION 8: REFUSAL TO SUBMIT TO AN ALCOHOL AND/OR
DRUG TEST
A refusal to submit to an alcohol or controlled substancestest required by this policy includes, but is
not limited to:
A. A refusal to provide a urine sample for a drug test.
B. An inability to provide a urine sample without a valid medical explanation;
C. A refusal to complete and sign the breath alcohol testing form, or otherwise to cooperate with
the testing process in way that prevents the completion of the test;
D. An inability to provide breath or to provide an adequate amount of breath without a valid
medical explanation;
E. Tampering with or attempting to adulteratethe urine specimen or collectionprocedure;
F. Not reporting to the collection site in the time allotted by the supervisor or manager who Irects
the employee to be tested;
G. Leaving the scene of an accident without a valid reason as to why authorization from a
supervisor or manager who shall make a determination whether to send the employee for a post-
accident drug and/or alcohol test was not obtained.
SECTION 9: CONSEQUENCES FOR EMPLOYEES FOUND TO
HAVE ALCOHOL CONCENTRATION LEVELS OF 0.01
OR GREATER BUT LESS THAN 0.04
An employee whose alcohol test indicates an alcohol concentration level between 0.01 and 0.04 will
be removed from his or her safety sensitiveposition for at least twenty-four (24) hours.
SECTION 10: CIRCUMSTANCES UNDER WHICH DRUG AND
ALCOHOL TESTING WILL BE IMPOSED ON
COVERED EMPLOYEES
A. Pre -Employment Testing_ All applicants for classifications which are covered by the
appropriate Department of Transportation regulations (See Section 4 above), as well as all
employees who transfer from classifications which are not covered to classifications which are
covered, will be required to submit to pre-employment/pre-duty drug and alcohol testing.
Applicants/employees will not be assigned to a safety sensitiveposition if they do not pass the twts.
B. Post -Accident Testing: Post -Accident drug and alcohol testing will be conducted on
employees following an accident where the employee's performance cannot be discounted as a
contributing factor.
The decision as to whether or not to test the employee will be made by a supervisory and/or
management employees. The presumption is for testing. The only reason an employee will not be
tested following an accident is if a determination is made that the employee's performance could not
have been a contributing factor. If a fatality occurs, the employee will be tested irrespective of
whether his/her involvement may be discounted.
Post -accident alcohol tests shall be administered within two (2) hours following an accident and no
test may be administered after eight (8) hours. A post -accident drug test shall be conducted within
thirty-two (32) hours followmg the accident. If the appropriate test is not administered within two
(2) hours followmg the accident, the employee's supervisor shall immediately provide written
documentation to the Personnel Director stating the reasons why the test was not promptly
administered.
C. Random Testing: Covered employees will be subject to random alcohol and drug testing as
follows:
(1) A random alcohol test will be administered during
any period in which the employee is ready to perform, immediately available to perform, is actually
performing, orjust after the employee has ceased performing safety -sensitive functions. Please refer
to the definition of "Performing a Safety -Sensitive Function" in Section 5 of this policy.
(2) Alcohol testing will be administered to at least 10%
of the total number of covered employees to random alcohol testing per year. A random drug test
will be administered to at least 50% of the total number of covered employees per year. These
testing. -rates are subject to change as determinedby the appropriate regulatory agency—
(3) Some employees may be tested more than once in a
year, while others are not tested at all depending on the random selection.
(4) On the day the employee is selected for random drug
testing, his/her supervisor will ensure his/her duties are covered. The employee will receive a
wntten notice indicating the time he/she is to report to the lab for testing.
D. Reasonable Suspicion Testing: Covered employees are also required to submit to an alcohol
or drug test when a trained supervisorhas reasonable suspicionto believe the employee is under the
influence of alcohol or controlled substances. The observation must be based on short-term
indicators, such as blurry eyes, slurring, or alcohol on the breath.
The reasonable suspicion alcohol test will be administered within two (2) hours of the observation.
If the test is not administered, the employee's supervisor must immediately provide written
documentation to the Personnel Director as to why the test was not promptly conducted, No test
may be administered after eight hours following the observation.
To ensure that supervisors are trained to make reasonable suspicion determinations, supervisors
vested with the authority to demand a reasonable suspicion drug and alcohol test will attend at least
one hour of training on alcohol n ruse and at least one hour of training on controlled substances
use. The training will cover the physical, behavioral, speech, and performance indicators of
probable alcohol misuse and use of controlled substances.
E. Return -To -Duty Testing, Prior to returning to duty, any employeewho has tested positive shall
undergo a return -to -duty alcohol test with a result indicating an alcohol concentration of less thin
0.01 andor a controlled substance test with a result indicating a verified negative result for
controlled substanceuse.
F. Follow-up Testing: Any employeewho has been certifiedby an SAP as in need of assistance
in resolving problems associated with alcohol misuse and/or use of controlled substances shall be
subject to a minimum of six (6) unannounced follow-up alcohol andor controlled substance tests
during the first year back to the safety -sensitive position after the violation. The SAP can direct
additional testing during this period or for an additional period up to a maximum of 60 months from
the date the employee returns to duty. The S A P can terminate the requirement for the follow-up
testing in excess of the minimum at any time, if the SAP determines that the testing is no longer
necessary.
SECTION 11: CONSEQUENCES OF FAILING AN ALCOHOL AND/OR
DRUG TEST
A positive result from a drug or alcohol (concentration of 0.04 or greater) test may result in
disciplinary action, up -to and including termination.
If a covered employee is not terminated, the employee:
A. Must be removed from performing any safety-sensitivefunction;
B. Must submit to an examination by a substance abuse professional. Upon a determinationby
the substance abuse professional, the employee maybe required to undergo treatment to cure his/her
alcohol or drug abuse.
C. May not be returned to his/her former safety-sensitiveposition until the employee submits to a
return -to -duty controlled substance andor alcohol test (depending on which test the employee
failed) which indicates an alcohol concentration level of less than 0.01 or a negative result on a
controlled substancetest;
D. Will be required to submit to unannounced follow-up testing after he/she has been returned to
his/her safety -sensitive position. See Section IO.Eabove.
SECTION 12: COSTS OF TESTING
Where there is testing for reasonable cause, the employee shall be placed on paid administrative
leave pending the outcome of the test.
Time spent in conjunction with pre -duty, post -accident, random and reasonable suspicion testing
shall be considered as paid time. The City shall also pay for the costs of these tests. The time an
employee is removed from safety -sensitive functions is borne by the employee. Such employee
may use accrued time including sick leave to cover the absence.
SECTION 13: INFORMATION CONCERNING THE EFFECTS OF
ALCOHOL AND CONTROLLED SUBSTANCES AND
AVAILABLE M1=..THODS OF INTERVENTION
Available from the Personnel Department are Fact Sheets addressing the effects of alcohol and the
various controlled substances which are tested for under this Policy.
SECTION 14: EMPLOYEE REPRESENTATION
Employees shall have the right to representation only during discussions with management prior to
a reasonable suspicion test. If a shop steward is not available, an available department employee
may be selected to represent the interests of said employee. Such contact shall not, in any way,
delay or interfere with the implementation ofthis policy and its procedure.
COVERED EMPLOYEES
Employees in the classifications listed below are covered under the applicable regulations
for those employees. Covered employees are:
A. Those who perform "safety sensitive" functions as defined in the City of Lodi Drug
andAlcohol TesdngPolicy.
B. Maintenance personnel, who perform various repairs to revenue vehicles
(including repairs, overhaul and rebuilding)
C. Employees with a commercial driver's license that will operate a revenue service,
or non -revenue service DOT funded transit vehicle (includes the operation of the
Lifts or anyone who assists passengers to assure they are secured in the vehicles).
D. Drivers operating a revenue service vehicle, including when not in revenue
service.
(1) Public Works Department
Eauioment Maintenance Division
Lead Equipment Mechanic
Welder Mechanic
Heavy Equipment Mechanic
Equipment S ery ice Worker
Fleet Services Supervisor
Street Division
Street Supervisor
StreetMaintenance .Worker. III_.
Laborer Maintenance Worker UII
WateriWastewater Division
WateriWastewater Supervisor
Plant and Equipment Mechanic
WateriWastewater Maintenance Worker III
Laborer/Maintenance Worker UII
(2)
Electric Lineman/Linewoman
Electric Foreman/Forewoman
Electric Troubleshooter
Electric Apparatus Mechanic
Utility Equipment Specialist
A covered employee includes
classifications.
Electric Utility Department
regular and part-timdtemporary employees in the above listed
CITY OF LODI
SUBJECT:
DATE ISSUED:
SECTION
1W:/:IWIr:?
ADMINISTRATIVE POLICY AND PROCEDURE MANUAL
DRUG AND ALCOHOL TESTING Procedure
July, 2007
c
REFERENCE: US DOT (FTA) 49 CFR Part 40
49 CFR Part 655
49 CFR Part 382
49 CFR Part 29
Omnibus Transportation Employee Testing Act of
1991
SECTION 1:
The purpose of this procedure is to delineate the application
of the Omnibus TransportationEmployee Testing Act under the regulations of the Federal Highway
Administration (FHWA).
_�_• ���x�lld\�!Dl�7_rll��
This procedure shall be effective July 20,2007
SECTION 3: ALCOHOL TESTING . CONTROLLED SUBSTANCE
COLLECTION. A N D LABORATORY SITES
The identity and locations of the alcohol testing, controlled
substance collection, and laboratory sites and facilities shall be retained in the Personnel Department
and shall be made immediately available upon request.
RF.CTIOM 4•
FORMS OF TESTING
The procedures for each of the forms of testing being
conducted by the City are described in Sections 5 through 8 of this Procedure. Inherent to each
procedure, at the time of collection andor testing, the employee is to have in his/her possession an
appropriate. form of identification.
SECTION 5: PRE-EMPLOYMENT TESTIM
A. Pre-employment drug/alcohol testing shall be conducted upon the conditional offer of
employment. This offer of employment is contingent upon the successful completion of all medical
exams and drug/alcohol screenings.
B. Upon completion of the hiring interview the department shall notify the Human Resources
Division of its conditional cfffer of employment to the candidate, and of the candidate's acceptance
of this offer. The hiring department shall refer the candidate to the Huts Resources Division.
The Personnel Department shall notify the candidate of the types of testing to be conducted, have
the candidate complete the appropriate notification forms, and schedule the candidate for the
appropriate testing at the appropriate collection and/or testing site.
C. Upon completion of the drug/alcohol testing, the Personnel Department shall notify the
hiring department of such results.
D. Notification of the results for controlled substance testing shall be provided to the candidate
provided the candidate requests the results within 60 days of being notified of the disposition of
his/her employment application.
E. The City shall obtain, upon written consent of the employee, information on the employee's
alcohol tests with a concentrationresult of 0.01 or greater, positive controlled substancestest results,
and refusals to be tested, within the preceding two (2) years from previous employers: This
information shall be obtained and reviewed by the City no later than fourteen (14) calendar days
afltr the firs time an employee performs_safety-sensitives functions. The _crnplayee__Shall not _
perform any safety -sensitive functions after fourteen (14) calendar days without obtaining the
information.
F. As an employerthe City is required to verify previous violations of DOT drug and
alcohol regulations within the last two years of employment with a DOT regulated agency or
employer. An employer must obtain and review the information listed below from any DOT -
regulated employer the employee performed safety -sensitive functions for in the previous two
years. The information must be obtained and reviewed prior to the first time an employee
performs safety -sensitive functions. If not feasible, the information should be obtained no later
than thuty (30) days after the first time an employee performs safety -sensitive functions. The
information obtained must include:
1. Information of the employee's alcohol test in which a breath alcohol
concentrationof 0.04 or greater was indicated.
2. Information of the employee's controlled substance test in which a positive
result was indicated.
3. Any refusal to submit to a required alcohol or controlled substance test.
(including verified adulterated or substituted drug test results)
4. Other violations of DOT agency drug and alcohol testing regulations.
SECTION 6: RANDOM TESTING
All employees shall be subject to periodic random testing. In
accordance with, and subject to modification by the DOT, employees shall be tested at the
minnnum annual percentage rate of ten percent (10%) of the average number of employees covered
by this policy for random alcohol; and fifty percent (50%) of the average number of employees
covered by this policy for random controlled substances.
A. Random generation. Employees shall be scheduled
for unannounced alcohol and controlled substance tests and selected for testing by utilizing a
random number generator. Each employee shall have an equal chance of being tested each time
selections are made.
B. EmOovee notification. On the date the employee is
selected for testing, the employee's supervisor shall be notified of the selection. The supervisor
shall provide written notification of selection for testing to the employee. The supervisor shall
arrange coverage of the employee's duties. The supervisor shall direct the employee to cease the
performance of safety -sensitive functions, and to immediately proceed to the appropriate testing
and/or collection site.
An employee shall only be tested for alcohol during any
period in which he/she is actually performing, ready to perform, immediately available to perform,
or just after the employee has ceased performing safety -sensitive functions.
SECTION 7: REASONABLE SUSPICION TESTING
A. Reasonable suspicion is a belief based on objective
facts sufficient to lead a reasonably prudent supervisor to suspect that an employee is under the
influence of drugs or alcohol so that the employee's ability to perform the functions of the job is
impaired or so that the employee's ability to perform the j ob safely is reduced.
B. As currently provided in the City's Drug -Free
Workplace Policy and Procedure, the City may require an employee to submit to an alcohol and/or
controlled substance test whenever it has reasonable suspicion to believe that an employee has
violated the prohibitions of the Drug and Alcohol TesdngPolicy.
C. Alcohol testing is authorized only if the observations
leading to reasonable suspicion are made during, just preceding, or just after the period of the work
day that the employee is performing the safety-sensitivefunctions ofhis/her position.
D. Any supervisor or manager who has determined
reasonable suspicion shall immediately prevent or direct the employee to stop performing the duties
of his/her position, and inform the employee that he/she shall be referred to alcohol/drug testing on
such basis.
E. The supervisor or manager shall immediately contact
his/her supervisor and the Personnel Director with notification of the action taking place, and shall
transport the employee to the testing/collection site.
F. The employee shall be immediately transported by
the supervisorto the alcohol testing and/or collection site and said test shall be administered within
two (2) hours following the determination of reasonable suspicion.
G. The supervisor or manager shall document in writing
the facts constituting reasonable suspicion that the employee in question is intoxicated or under the
influence of dnags.
H. Any supervisor or manager encountering an
employee who refuses to submit to a drug and/or alcohol test shall remind the employee of the
requirements and disciplinary consequences of this policy and procedure. The employee's refusal
shall be documented in writing. Where there is reasonable suspicion that the employee is then
under the influence of alcohol or drugs, the supervisor or manager should arrange for the employee
to be safely transported home after the employee has undergone alcohol and controlled substance
testing.
I. Upon completion of the testing, the supervisor is to
contact the Personnel Director and report the status of such testing.
SECTION 8: POST-ACCIDENTTESTIM
A. The employee's supervisor or manager shall make a
determination to conduct post -accident testing in accordance with the City's drug/alcohol policies
immediately after the accident. If a determination is not made and the appropriate test is not
administered within two (2) hours following the accident, the employee's supervisor shall
immediately provide written documentation to the Personnel Director stating the reasons why the
test was not promptly administered.
B. Where possible, the supervisor or manager should
make every effort under the circumstances surrounding the accident to ensure that the employee,
even one who has been permitted to leave or has had to leave the site, is available for a post-
accident test. This, of course, does not mean that necessary medical treatment for injured people
should be delayed or that an employee cannot leave the scene of an accident for the period
necessary to obtain assistance in responding to the accident, materials to secure the accident site, or
necessary emergency medical care. An employee who is seriously injured and cannot provide a
specimen within the appropriate time frames of the accident shall provide the necessary
authorization for obtaining hospital reports and other documents that would indicate whether there
were any controlled substances in his/her system.
C. If a determination is made to conduct post -accident
testing, the supervisor or manager shall provide documentation of the accident and as to his/her
decision to the Personnel Director within one (1) working day ofthe accident.
D. The employee shall remain readily available for such
testing or may be deemed to have refused to submit to testing.
E. The supervisor or manager shall transport the
employee to the alcohol testing and/or controlled substance collection site, and if necessary, to the
employee's home after completion of the testing and collection.
F. The employee shall be placed upon administrative
leave with pay pending the outcome ofthe test(s).
SECTION 9: SUBSTANCE ABUSE PROFESSIONAL (SAP)
SERVICES
Each employee who engages in conduct prohibited by this
Policy and Procedure shall be evaluated by a SAP who shall determine what assistance, if any, the
employee needs in resolving problems associatedwith alcohol misuse and controlled substanceuse.
Before an employee returns to duty requiring the
performance of a safety -sensitive function after engaging in conduct prohibited by this Policy and
Procedure, the employee shall undergo a return -to -duty alcohol test with a result indicating an
alcohol concentration of less than 0.01 ifthe conduct involved alcohol, or a controlled substancetest
with a verified negative result if the conduct involved a controlled substance.
In addition, each employee identified a5 needing assistance in
resolving problems associatedwith alcohol misuse or controlled substances use shall be:
A. evaluated by a SAP to determine that the employee
has properly followed any rehabilitationprogram prescribed under, and
B. subject to unannounced fo:How-up alcohol and
controlled substance tests administeredby the City following the employee's return to duty.
c�r.nmr�i.r in.
SPECIFIED PROCEDURES
Specificprocedures pertaining to the subjects listed below are
attached to this Procedure as indicated
Alcohol Testing Methodology and Procedures Appendix A
Controlled Substances Testing Procedure Appendix B
Controlled Substance Testing Methodology Appendix C
Test Results Appendix D
Confidentiality and Recordkeeping Appendix E
ALCOHOL TESTING METHODOLOGYAND PROCEDURES
I. ALCOHOL TESTING METHODOLOGY
A. Breath Alcohol Technician (BAT): The City or its agent shall only utilize a BAT
who meets the stringent training requirements of the DOT or is a law enforcement
officer certified to use the EBT that is utilized.
B. Alcohol Testing Devices: The City or its agent shall only utilize an EBT which
meets the DOT requirements.
C. Ouality Assurance Plan (QAP): The City or its agent shall ensure that the EBT shall
have a quality assurance plan developed by the manufacturer and that said plan is
complied with for each EBT used for alcohol testing.
D. Alcohol Testing Site Alcohol testing shall be conducted in a location that affords
visual and aural privacy to the employee being tested, suf oient to prevent
unauthorized persons from seeing or hearing test results.
II. ALCOHOL TESTING PROCEDURES
A. Preparation for Testing.: Pnor to being tested, the BAT shall require the employeeto
provide a photo identification and shall explam the testing procedure to the
employee.
B. Procedures for Screening Test: The followingprocedures shall be followed
The BAT and the employee shall complete their respective portions_ of the
Breath Alcohol Testing Form from the DOT. Refusal by the employee to
sign this form shall be regarded as a refusal to take the test.
2. An individually -sealed mouthpiece shall be opened in view of the employee
and attached to the EBT in accordance with the manufacturer's instructions.
3. The BAT shall instruct the employee to blow forcefully into the mouthpiece
for at least six (6) seconds or until the EBT indicates that an adequate
amount ofbreath has been obtained.
4. a. If the EBT does not meet the DOT requirements, the BAT and the
employee shall take the following steps:
(1) Show the employee the result displayed on the EBT. The
BAT shall record the displayed result, test number, testing device,
serial number of the testing device, time and quantified result in Step
3 of the form.
C
(2) Record the test number, date of the test, name of the BAT,
location, and quantified test result in the log book. The employee
shall initial the log book entry.
b. If the EBT provides a printed result, but does not print the results directly
onto the form, the BAT shall show the employee the result displayed on the
EBT. The BAT shall then affix the test result printout to the breath alcohol
test form in the designated space, using a method that will provide clear
evidence of removal (e.g., tamper -evident tape).
c. If the EBT prints the test results directly on the form, the BAT shall show
the employee the result displayed on the EBT.
5. a. In any case in which the result of the screening test is a breath alcohol
concentration of less than 0.01, the BAT shall date the form and sign the
certification in Step 3 of the form. The employee shall sign the certification
and fill in the date in Step 4 of the form.
b. If the employee does not sign the certification in Step 4 of the form or
does not initial the log book entry for a test, it shall not be considered a
refusal to be tested. In that event, the BAT shall note the employee's failure
to sign or initial in the "Remarks" section of the form.
c. If a test result printed by the EBT (see paragraph 4b or 4c of this section)
does not match the displayed result, the BAT shall note the disparity in the
remarks section. Both the employee and the BAT shall initial or sign the
notation. The test shall be invalid and the City and employee shall be so
advised.
d. No further testing is authorized. The BAT shall transmit the result of less
than 0.01 to the City in a confidential *a+�r, and the City shall receive and
store the information so as to ensure that confidentiality is maintained.
6. If the result of the screening test is an alcohol concentration of 0.01 or
greater, a c o n f i i t i o n test shall be performed.
7. If the confirmation test will be conductedby a different BAT, the BAT who
conducts the screening test shall complete and sign the form and log book
entry. The BAT will provide the employee with Copy 2 of the form.
Procedures for ConfirmationTest: The followingprocedures shall be followed:
If a BAT other than the one who conducted the screening test is conducting
the confirmation test, the new BAT shall follow the procedures outlined
above in Preparation for Testing.
2. The BAT shall instruct the employee not to eat, drink, put any object or
substance in his or her mouth, and, to the extent possible, not belch during a
waiting period before the confirmation test. This waiting period begins with
the completion of the screening test, and shall not be less thm 15 minutes.
The confirmation test shall be conducted within 20 minutes of the
completion of the screening test. The BAT shall explain to the employee the
reason for this requirement (i.e. to prevent any accumulation of mouth
alcohol leading to an artificially high reading) and the fact that it is for the
employee's benefit. The BAT shall also explain that the test will be
conducted at the end of the waiting period, even if the employee has
disregarded the instruction. If the BAT becomes aware that the employee
has not complied with this instruction, the BAT shall so note in the
"Remarks" section ofthe form.
a. If a BAT other than the one who conducted the screening test is
conducting the confirmation test, the new BAT shall initiate a new Breath
Alcohol Testing form. The BAT shall complete Step 1 on the form. The
employee shall complete Step 2 on the form, signing the certification.
Refusal by the employee to sign this certification shall be regarded as a
refusal to take the test. The BAT shall note in the "Remarks" section of the
form that a different BAT conducted the screening test.
b. In all cases, the first three steps of the "Procedures for Screening Test"
shall be followed. A new mouthpiece shall be used for the confirmation test.
4. Before the confirmation test is admimstered for each employee, the BAT
shall ensure that the EBT registers 0.00 on an air blank. If the reading is
greater than 0.00, the BAT shall conduct one more air blank. If the reading
is greater than 0.00, testing shall not proceed using that mstrument:
However, testing may proceed on another instrument,
Any EBT taken out of service because of failure to perform an air blank
accurately shall not be used for testmg until a check of external calibration is
conducted and the EBT is found to be within tolerance limits.
6. In the event that the screening and conf=ation test results are not identical,
the confirmation test result is deemed to be the final result upon which any
action under operating administrationrules shall be based.
7. a. If the EBT provides a printed result, but does not pnnt the results directly
onto the form, the BAT shall show the employee the result displayed on the
EBT. The BAT shall then affix the test result printout to the breath alcohol
test form in the designated space, using a method that will provide clear
evidence ofremoval (e.g., tamper-evidenttape).
b. If the EBT prints the test results directly onto the form, the BAT shall
show the employee the result displayed on the EBT.
8. a. Following the completion of the test, the BAT shall date the form and
sign the certification m Step 3 of the form. The employee shall sign the
certificahon and fill in the date in Step 4 of the form.
b. If the employee does not sign the certification in Step 4 of the form or
does not initial the log book entry for a test, it shall not be—considered a
refusal to be tested. In this event, the BAT shall note the employee's failure
to sign or imtial in the "Remarks" section of the form.
c. If a test result printed by the EBT (see paragraph 7a. or 7b. of this section)
does not match the displayed result, the BAT shall note the disparity in the
remarks section. Both the employee and the BAT shall initial or sign the
notation. The test is mvalid and the City and employee shall be so advised.
d The BAT shall conduct an air blank. If the reading is greater than 0.00,
the test is mvalid.
9. a. The BAT shall transmit all results to the City in a confidential manner.
The Personnel Director or designee shall receive and handle alcohol testing
results in a confidential manner. All communications by BATs to the City
concerning the alcohol testing results of employees shall be to the designated
City representative.
b. Such communication may be in writing, in person, or by telephone or
electronic means, but the BAT shall ensure immediate communication to the
City of the results that require the City to prevent the employee from
performing a safety -sensitive function.
c. If the initial communication is not in writing, the City shall establish a
mechanism to verify the identity of the BAT providing the information.
d. If the initial communication is not in writing, the BAT shall follow the
initial communication by providing to the City the City's copy of the breath
alcohol testing form. The City shall store the information so as to ensure that
confidentialityis maintained.
D. Refusals to Test and Uncompleted Tests
Refusal by an employee to complete and sign the breath alcohol testing form
(Step 2), to provide breath, to provide an adequate amount of breath, or
otherwise to cooperate with the testing process in a way that prevents the
completion of the test, shall be noted by the BAT in the remarks section of
the form. The testing process shall be terminated and the BAT shall
immediately notify the City.
2. If a screening or confirmation test cannot be completed, or if an event occurs
that would invalidate the test, the BAT shall, if practicable, begin a new
screening or confirmation test, as applicable, using a new breath alcohol
testing form with a new sequential test number.
E. Inability to Provide an Adequate Amount of Breath
This section sets forth procedures to be followed in any case in which an
employee i sunable, or alleges that -ie -or- she is unable,to-provide-an amount
of breath sufficient to permit a valid breath test because of a medical
condition.
2. The BAT shall again instruct the employee to attempt to provide an adequate
amount of breath. If the employee refuses to make the attempt, the BAT
shall immediately inform the City.
3. If the employee attempts and fails to provide an adequate amount of breath,
the BAT shall so note in the "Remarks" section of the breath alcohol testing
form and immediately inform the City.
4. If the employee attempts and fails to provide an adequate amount of breath,
the City shall direct the employee to obtain, as soon as practical after the
attempted provision of breath, an evaluation from the MRO concerning the
employee's medical ability to provide an adequate amount of breath.
a. If the MRO determines, in his or her reasonable medical judgment,
that a medical condition has, or with a high degree of probability,
could have, precluded the employee from providing an adequate
amount of breath, the employee's failure to provide an adequate
amount of breath shall not be deemed a refusal to take a test. The
MRO shall provide to the City a written statement of the basis for his
or her conclusion.
b. If the MRO, in his or her reasonable medical judgment, is unable to
make the determination set forth herein, the employee's failure to
provide an adequate amount of breath shall be regarded as a refusal
to take a test. The MRO shall provide a written statement of the
basis for his or her conclusion to the City.
F. Invalid Tests. A breath alcohol test shall be invalid under the following
circumstances;
1. The next external calibration check of an EBT produces a result that differs
by more than the tolerance stated in the QAP from the known value of the
test standard. In this event, every test result of 0.01 or above obtained on the
device since the last valid external calibration check shallbe invalid;
2. The BAT does not observe the minimum 15 -minute waiting period prior to
the confirmation test;
3. The BAT does not perform an air blank of the EBT before a confirmation
test, or an air blank does not result in a reading of 0.00 prior to or after the
admimstration ofthe test;
4. The BAT does not sign the required form;
5. The BAT has failed to note on the remarks section of the form tbat,_the
employee has failed or refused to sign the form following the recording or
printing on or attachment to the form of the test result;
6. An EBT fails to print a confirmation test result; or
7. On a confirmation test and, where applicable, on a screening test, the
sequential test number or alcohol concentration displayed on the EBT is not
the same as the sequential test number or alcohol concentration on the
printed result.
CONTROLLED SUBSTANCES TESTING PROCEDURE
URINE SPECIMEN COLLECTION The followingprocedures shall be followed
A. The actual collection site shall be a location having an enclosure with which private
urination can occur, a toilet for completion of urination, and a suitable clean surface
for writing. The site shall also have a source of water for washing hands, which, if
practicable, shall be external to the enclosure where urination occurs.
B. The collection site shall be secure.
C. No unauthorized personnel shall be permitted in any part of the designated collection
site where urine specimens are collected or stored.
D. Collection of urine specimens shall allow individual privacy, unless there is reason
to believe that an employee may alter or substitute the specimenprovided.
E. For purposes of this section, the following circumstances are the exclusive grounds
constituting a reason to believe that the employee may alter or substitute the
specimen.
The employee has presented a urine specimen that falls outside the normal
temperature range 32.5°C - 37.7°C (90.5°F - 99.8°F), and
a. The employee declines to provide a measurement of oral body
temperature; or
b. Oral body temperature varies by rrme than—V!C 8°�...ixouLAr..__
temperature of the specimen;
2. The last urine specimen provided by the employee (i.e. on a previous
occasion) was determined by the laboratory to have a specific gravity of less
than 1.003 and a creatinine concentrationbelow .2g/L;
The collection site person observes conduct clearly and unequivocally
indicating an attempt to substitute or adulterate the sample (e.g., substitute
urine in plain view, blue dye in specimen presented, etc.); cr
4. The employee has previously been determined to have used a controlled
substance without medical authorization and the particular test was being
conducted under a DOT agency regulation providing for follow-up testing
upon or after return to duty.
F. A higher-level supervisor of the collection site person, or the Personnel Director,
shall review and concur in advance with any decision be a collection site person to
obtain a specimen under the direct observation of a same gender collection site
person based upon the circumstances described herein.
G. The following minimum precautions shall be taken to ensure that unadulterated
specimens are obtained and correctly identified
1. To deter the dilution of specimens at the collection site, toilet bluing agents
shall be placed in toilet tanks wherever possible, so the reservoir of water in
the toilet bowl always remains blue. Where practicable, there shall be no
other source of water in the enclosure where urination occurs. If there is
another source of water in the enclosure, it shall be effectively secured or
monitored to ensure it is not used as a source for diluting the specimen.
2. When an individual arrives at the collection site, the collection site person
shall ensure that the individual is positively identified as the employee
selected for testing (e,g., through presentation of photo identification or
identification by the City's representative). If the individual's identity
cannot be established, the collection site person shall not proceed with the
collection.
3. The collection site person shall ask the employee to remove any unnecessary
outer garments such as a cad --m jacketthat snug it conceal items or
substances that could be used to tamper with or adulterate the employee's
urine specimen. The collection site person shall ensure that all personal
belongings such as a purse or briefcase remain with the outer garments. The
employee may retain his or her wallet.
4. The employee shall be instructed to wash and dry his/her hands prior to
urination.
5. After washing hands, the employee shall remain in the presence of the
collection site person and shall not have access to any water fountain, faucet,
soap dispenser, cleaning agent or any other materials which could be used to
adulterate the specimen.
6. The employee may provide his/her specimen in the privacy of a stall or
otherwise partitioned area that allows for employee privacy. The collection
site person shall provide the employee with a specimen bottle or collection
container, if applicable, for this purpose.
7. The collection site person shall note any unusual behavior or appearance on
the urine custody and control form.
8. The collection site person shall instruct the employee to provide at least
45 m I of urine under the split sample method of collection.
9. The donor shall urinate into a collection container or a specimen bottle
capable of holding at least 60 ml.
10. If a collection container is used, the collection site person, in the presence of
the donor, pours the urine into two specimen bottles. Thirty (30) ml shallbe
poured into one bottle, to be used as the primary specimen. At least 15 ml
shall be poured into the other bottle, to be used as the split specimen.
11. If a single specimen bottle is used as a collection container, the collection
site person shall pour 30 rnl of urine from the specimen bottle into a second
specimen bottle (to be used as the primary specimen) and mUn the
remainder (at least 15 ml) in the collection bottle (to be used as the split
specimen).
12. Both bottles shall be shipped in a single shipping container, together with
copies 1, 2, and the split specimen copy of the chain of custody form, to the
laboratory.
13. If the test result of the primary specimen is positive, the employee may
request that the MRO direct that the split specimen be tested a the
employee's expense in a different DHHS-certified laboratory for the
presence of the drugs for which a positive result was obtained in the test of
the pmnuy specimen. The MRO shall honor such a requesti£it is -made
within 72 hours of the employee having been notified of a verified positive
test result.
14. When the MRO informs the laboratory in writing that the employee has
requested a test of the split specimen, the laboratory shall forward to a
different DHHS-approved laboratory, the split specimen bottle, with seal
intact, a copy of the MRO request, and the split specimen copy of the chain
of custody form with appropriate chain of custody entries.
15. The result of the test of the split specimen is transmitted by the second
laboratory to the MRO.
16. Action required by this Policy and Procedure as the result of a positive drug
test (e, g., removal from performing a safety -sensitive function) is not stayed
pending the result ofthe rest ofthe split specimen.
17. if the result of the test of the split specimen fails to reconfirm the presence of
the drug(s) or drug metabolite(s) found in the primary specimen, the MRO
shall cancel the test, and report the cancellation and the reasons for it to the
DOT, the City, and the employee.
18. Upon receiving the specimen from the employee, the collection site person
shall determine if it has at least 30 ml of urine for the primary or single
specimen bottle and, an additional 15 ml of urine for the split specimen
bottle. If the employee is unable to provide such a quantity of urine, the
collection site person shall instruct the employee to drink not more than 24
ounces of fluids and, after a period of up to two hours, again attempt to
provide a complete sample using a fresh collection container. The original
insufficient specimen shall be discarded. If the employee is still unable to
provide an adequate specimen, the insufficient specimen shall be discarded,
testing discontinued, and the City so notified. The MRO shall refer the
employees for a medical evaluation- to develop ineut - information
concerning whether the employee's inability to provide a specimen is
genuine or constitutes a refusal to test. (In pre-employment testing, if the
City does not wish to hire the employee, the MRO is not required to make
such a referral). Upon completion of the examination, the MRO shall report
his or her conclusions to the City in writing.
19. After the specimen has been provided and submitted to the collection site
person, the employee shall be allowed to wash his/her hands.
20. Immediately after the specimen is collected, the collection site person shall
measure the temperature of the specimen. The temperature measuring
device used must accurately reflect the temperature of the specimen and not
contaminate the specimen. The time from urination to temperature measure
is critical and in no case shall exceed 4 minutes.
21. A specimen temperature outside the range of 32.5°C - 37.7°C (90.5°F -
99.8°F) constitutes a reason to believe that the employee has altered or
substituted the specimen. In such cases, the employee supplying the
specimen may volunteer to have his/her oral temperature taken to provide
evidence to counter the reason to believe the employee may have altered or
substituted the specimen.
22. Immediately after the specimen is collected, the collection site person shall
also inspect the specimen to determine its color and look for any signs of
contaminates. Any unusual findings shall be noted on the urine custody and
control form.
23. All specimens suspected of being adulterated shall be forwarded to the
laboratory for testing.
24. Whenever there is reason to believe that a particular employee has altered or
substituted the specimen as described in paragraph I.E.I., a or b, of this
section, a second specimen shall be obtained as soon as possible under the
direct observation of a same gender collection site person.
25. Both the employee being tested and the collection site person shall keep the
specimen in view at all times prior to its being sealed and labeled. As
provided below, the specimen shall besealed
proof seal over the bottle cap and down the sides of the bottle) and labeled in
the presence of the employee. If the specimen is transferred to a second
bottle, the collection site person shall request the employee to observe the
transfer of the specimen and the placement of the tamper -proof seal over the
bottle cap and down the sides of the bottle.
26. The collection site person and the employee being tested shall be present at
the same time during the procedures outline in paragraphs I.G.19: 22 of this
section.
27. The collection site person shall place securely on the bottle an identification
label which contains the date, the employee's specimen number, and any
other identifying information provided or required by the City. If separate
from the label, the tamper -proof seal shall also be applied.
28. The employee shall initial the identification label on the specimen bottle for
the purpose of certifyingthat it is the specimen collected from him or her.
29. The collection site person shall enter on the drug testing custody and control
form all information identifying the specimen. The collection site person
shall sign the drug testing custody and control form certifying that the
collection was accomplished according to the applicable Federal
requirements.
30. a. The employee shall be asked to read and sign a statement on the drug
testing custody and control form certifying that the specimen identified as
having been collected fromhirn/her is in fact the specimen he/she provided.
b. When specified by DOT agency regulation or required by the collection
site (other than an employer site) or by the laboratory, the employee may be
required to sign a consent or release form authorizing the collection of the
specimen, analysis of the specimen for designated controlled substances, and
release of the results to the City. The employee may not be required to
waive liability with respect to negligence on the part of any person
participating in the collection, handling or analysis of the specimen or to
indemnify any person for the negligence of others.
31. The collection site person shall complete the chain of custody portion of the
drug testing vastand control form to indicate -receipt of the specimen
from the employee and shall certify proper completion of the collection.
32. The urine specimen and chain of custody form are now ready for shipment.
If the specimen is not immediately prepared for shipment, the collection site
person shall ensure that it is appropriately safeguarded during temporary
storage.
33. a. While any part of the above chain of custody procedures is being
performed, it is essential that the urine specimen and custody documents be
under the control of the involved collection site person. If the involved
collection site person leaves his/her work station momentarily, the collection
site person shall take the specimen and drug testing custody and control form
with him/her or shall secure them. After the collection site person returns to
the work station, the custody process will continue. If the collection site
person is leaving for an extended period of time, he or she shall package the
specimen for mailing before leaving the site.
b. The collection site person shall not leave the collection site in the interval
between the presentation of the specimen by the employee and securement
of the sample with an identifying label bearing the employee's specimen
identification number (shown on the urine custody and control form) and
seal initialed by the employee. If it becomes necessary for the collection site
person to leave the site during this interval, the collection shall be nullified
and (at the election of the City) anew collection begun.
H. Chain-of-Custodv: A chain -of -custody form shall be used for maintaining control and
accountability of each specimen from the point of collection to final disposition of the
specimen. The date and purpose shall be documented on the form each time a specimen is
handled or transferred and every individual in the chain shall be identified. Every effort
shall be made to minimize the number of persons handling specimens.
11
CONTROLLED SUBSTANCE TESTING METHODOLOGY
APPROPRIATE LABORATORY
The City of Lodi shall utilize a
controlled substance tests. The
contacting the Personnel Director.
INITIALTEST
DHHS certified laboratory for the processing of all
identification of such laboratory may be obtained by
A. The initial test shall use an immunoassay which meets the requirements of the Food
and Drug Administration for commercial distribution. The following cutoff levels
shall be used when screening specimens to determine whether they are negative for
these five drugs or classes of drugs:
l6d_j}as metabolites 100 nghnl
Cocaine metabolites
300 nglrnl
Opiate metabolites
*300 ng/ml
Phencyclidine
25 ng/ml
Amphetamines
1,000ng/ml
*25 ng/m1 if ii=unoassay specific for free morphine.
B. The City shall use the lowest cut-off levels permitted by the appropriate regulatory
agency. These cut off levels are subject to change by the Department of Health and
Human Services as advances in technology or other considerations warrant
identification ofthese substances at other concentrations.
CONFIRMATORY TEST
A. All specimens identified as positive on the initial test shall be confirmed using gas
chromatography/mass spectrometry (GC/MS) techniques at the cutoff levels listed in
this paragraph for each drug. All confirmations shall be by quantitative analysis.
Concentrations that exceed the linear region of the standard curve shall be
documented in the laboratory record as "greater than highest standard curve value."
Marijuana metabolite' 15 ng/rnl
Cocaine metabolite'
150ng/rnl
Opiates:
Morphine
300 ng/ml
Codeine
300 ng/ml
Phencyclidine
25 ng/rnl
Amphetamines:
Amphetamine
500 ng/ml
Methamphetamine
500 ng/ml
Delta-9-tetrahydrocannabinol-9-carboxylic acid.
2Benzoylecgonine.
B. The City shall use the lowest cut-off levels permitted by the appropriate regulatory
agency. These cutoff levels are subject to change by the Department of Health and
Human Services as advances in technology or other considerations warrant
identification of these substances at other concentrations.
N. REPORTING OF TEST RESULTS
A. The laboratory shall report test results to the MRO within an average of five (5)
working days after receipt of the specimenby the laboratory. Before any test result
is reported (the results of initial tests, confirmatory tests, or quality control data), it
shall be reviewed and the test certified as an accurate report by the responsible
laboratory personnel. The report shall identify the drugs/metabolites tested for,
whether positive or negative, the specimen number assigned by the City, and drug
testing laboratory specimen identificationnumber (accession number).
B. The laboratory shall report as negative all specimens that are negative on the initial
test or negative on the confirmatory test. Only specimens confirmed positive shall
be reported positive for a specific drug.
C. The MRO may request from the laboratory and the laboratory shall provide
quantitation of test results. The MRO shall report whether the test is positive or
negative, and may report the drug(s) for which there was a positive test, but shall not
disclose the quantitation of test results to the City.
D. The laboratory may transmit results to the MRO by vltious electronic r eem (far
example, teleprinters, facsimile, or computer) in a manner designed to ensure
confidentiality of the information. Results may not be provided verbally by
telephone. The laboratory and City must ensure the security of the data transmission
and limit access to any data transmission, storage, and retneval system.
E. The laboratory shall send only to the MRO the original or a certified true copy of the
drug testing custody and control form (part 2), which, in the case of a report positive
for drug use, shall be signed (after the required certification block) by the individual
responsible for day-to-day management of the drug testing laboratory of the
individual responsible for attesting to the validity of the test reports, and attached to
which shall be a copy of the test report.
F. The laboratory shall provide to the Personnel Director a monthly statistical summary
of urinalysis testing of the City's employees and shall not include in the summary
any personal identifying information. Initial and confirmation data shall be included
from test results reported within that month. Normally this summary shall be
forwarded by registered or certified mail not more than 14 calendar days after the
end of the month covered by the summary. The summary shall contain the
following information:
Initial Testing:
a. Number of specimens received;
b. Number of specimens reported out; and
C. Number of specimens screenedpositive for:
Marijuana metabolites
Cocaine metabolites
Opiate metabolites
Phencyclidine
Amphetamine
2. Confirmatory Testing:
a. Number of specimens received for confirmation;
b. Number of specimens confirmedpositive for:
Marijuana metabolites
Cocaine metabolites
Morphine, codeine
Phencyclidine
Amphetamine
Methamphetamine
Monthly reports shall not include data from which it is reasonably likely that
information about individuals' test can be readily inferred. If necessary, in order to
prevent the disclosure of such data, the laboratory shall not send a report until data
are sufficiently aggregated to make such an inference unlikely. In any month in
which a report withheld for the reason, the laboratory will so inform the employer in
writing.
G. Unless otherwise instructed by the City in writing, all records pertaining to a given
urine specimen shall be retained by the drug testing laboratory for a minimum of 2
years.
V. SPECIMEN RETENTION
Long-term storage (-20°C or less) ensures that positive urine specimens gall be available for
any necessary retest during administrative or disciplinary proceedings. Drug testing
laboratories shall retain and place in properly secured long-term frozen storage for a
minimum of two (2) years all specimens confirmed positive, in their original labeled
specimen bottles. Within this two-year period, the employer may request the laboratory to
retain the specimen for an additional period of time, but if no such request is received the
laboratory may discard the specimen after the end of two (2) years, except that the
laboratory shall be required to maintain any specimens known to be under legal challenge
for an indefinite period.
TEST RESULTS
MEDICAL REVIEW OFFICER (MRO) DUTIES AND QUALIFICATIONS
A. An essential part of the drug testing program is the final review of confirmed
positive results from the laboratory. A positive test result does not automatically
identify an employee/applicant as having used drugs in violation of this Policy and
Procedure. An individual with a detailed knowledge of possible alternate medical
explanations is essential to the review of results. The review shall be performed by
the MRO prior to the transmission of the results to the City.
B. The role of the MRO is to review and interpret confirmed positive test results
obtained through the employer's testing program. The MRO review shall include
review of the chain of custody to ensure that it is complete and sufficient on its face.
If the MRO finds that the documentation is unsatisfactory or if the information gives
reasonable doubt about the lab analysis, the MRO may:
Request laboratory records regarding the specimen to see if correct
procedures were followed, and/or
2. Require a re -analysis of a specimen for accuracy or validity of the
positive result. The MRO is the only one authorized to order a re-
analysis of the original sample.
The MRO shall examine alternate medical explanations for any positive test result.
This action may include conducting a medical interview and review of the
individual's medical history and any other relevant biomedical information.
H. POSITIVE TEST RESULTS
A. Prior to making a final decision to verify a positive test result for an individual, the
MRO shall give the employee an opportunity to discuss the test result with hinv%&.
B. The MRO shall contact the individual directly, on a confidential basis, to determine
whether the employee wishes to discuss the test result. A staff person under the
MRO's supervision may snake the initial contact, and a medically licensed or
certified staff person may gather information from the employee. Except as
provided in paragraph H.E. of this section, the MRO shall talk directly with the
employee before verifying a test as positive.
C. If, after making all reasonable efforts and documenting them, the MRO is unable to
reach the individual directly, the MRO shall contact a designated City official who
shall direct the individual to contact the MRO as soon as possible. If it becomes
necessary to reach the individual through the designated management official, the
designated management official shall employ procedures that ensure, to the
maximum extent practicable, the requirement that the employee contact the MRO is
held in confidence.
D . If, after making all reasonable efforts, the designated City official is unable to
contact the employee, the City may place the employee on leave without pay.
E. The MRO may verify a test as positive without having communicated directly with
employee about the test in three circumstances:
The employee expressly declines the opportunity to discuss the test;
2. The designated City representative has successfully made and documented a
contact with the employee and instructed the employee to contact the MRO,
and more than five (5) days have passed since the date the employee was
successfully contacted by the designated City representative; or
3. Other circumstancesprovided for in DOT agency drug testing regulations.
F. If a test is verified positive under the circumstances specified in paragraphs II.E.13,
of this section, the employee may present to the MRO information documenting that
serious illness, injury, or other circumstances unavoidable prevented the employee
from timely contacting the MRO. The MRO, on the basis of such information, may
reopen the verification, allowing the employee to present information concerning a
legitimate explanation for the confirmed positive test. If the MRO concludes that
there is a legitimate explanation, the MRO declares the test to be negative.
G. Following verification of a positive test result, the MRO shall refer the employee to
the City's employee assistance program and notify the City's Risk Manager of the
test results.
III. VERIFICATION FOR OPIATES: REVIEW FOR PRESCRIPTION MEDICATION
A. Before the MRO verifies a confirmed positive result for opiates, he/she shall
determine that there is clinical evidence, in addition to the urine test, of unauthorized
use of any opium, opiate, or opium derivative (e.g.,, morphine/codeine). (This
requirement does not apply if the City's GC/MS confirmation testing for opiates
confirms the presence of 6-monocetylmorphane.)
B. The MRO shall notify each employee who has a confirmed positive test that the
employee has 72 hours in which to request a test of the split specimen, if the test is
verified as positive. If the employee requests an analysis of the split specimen
within 72 hours of having been informed of a verified positive test, the MRO shall
direct, in writing, the laboratory to provide the split specimen to another DHHS-
certified laboratory for analysis. If the analysis of the split specimen fails to
reconfirm the presence of the drug(s) or drug metabolite(s) found in the primary
specimen, or if the split specimen is unavailable, inadequate for testing or untestable,
the MRO shall cancel the test and report cancellation and the reasons for it to the
DOT, the City, and the employee.
C. If an employee has not contacted the MRO within 72 hours, the employee may
present to the MRO information documenting that serious illness, injury, inability to
contact the MRO, lack of actual notice of the verified positive test, or other
circumstances unavoidably prevented the employee from timely contacting the
MRO. If the MRO concludes that there is a legitimate explanation for the
employee's failure to contact the MRO within 72 hours, the MRO shall direct that
the reanalysis of the primary specimen or analysis of the split specimen, as
applicable, be performed.
IV. - DISCLOSURE -OF -INFORMATION
A. Except as provided in this paragraph, the MRO shall not disclose to any third party
medical information provided by the individual to the MRO as part of the testing
verificationprocess.
B. The MRO may disclose such information to the City, a DOT agency or other
Federal safety agency, or a physician responsible for determining the medical
qualification of the employee under an applicable DOT agency regulation, as
applicable, only if.
An applicable DOT regulation permits or requires such disclosure;
2. In the MRO's reasonable medical judgment, the information could result in
the employee being determined to be medically unqualified under an
applicable DOT agency rule; or
3. In the MRO's reasonable medical judgment, in a situation in which there is
no DOT agency rule establishing physical qualification standards applicable
to the employee, the information indicates that continued performance by the
employee of his/her safety -sensitive function could pose a significant safety
risk.
C. Before obtaining medical information from the employee as part of the verification
process, the MRO shall inform the employee that information may be disclosed to
third parties as provided in this paragraph and the identity of any parties to whom
information maybe disclosed.
CONFIDENTIALITYAND RECORDKEEPING
I. CONFIDENTIALITYAND ACCESS TO RECORDS
A. Laboratory reports or test results shall not appear in an employee's general
personnel file. Information of this nature will be contained in a separate
confidential medical file that will be securely kept under the control of the
Personnel Director. The reports or test results shall be disclosed to City
management on a strictly need -to -how basis and to the tested employee
upon request. Disclosures, without consent, may also occurwhen:
1. the information is compelled by law or by judicial or
administrativeprocess;
2. the information has been placed at issue in a formal dispute
between the City and employee;
3. the information is to be used in administering an employee
benefit plan, or
4 the information is needed by medical personnel for the
diagnosis or treatment of the patient who is unable to
authorize disclosure.
B. Except as required by law or expressly authorized or required in this section,
the City shall not release driver information that is contained in records
required to be maintained by this Policy and Procedure.
C. An employee is entitled, upon written request, to obtain copies of any
records pertaining to the employee's use of alcohol or controlled substances
including any records pertaining to his/her alcohol or controlled .substances. _
tests. The City shall promptly provide the records requested by the
employee.
D. The City shall make available copies of all results for City alcohol and/or
controlled substances testing conducted under the Policy and Procedure and
any other information pertaining to the City's alcohol misuse and/or
controlled substances use prevention program, when requested by the
Secretary of Transportation, any DOT agency, or any State or local officials
with regulatory authority over the City.
E. When requested by the National Transportation Safety Board as part of an
accident investigation, the City shall disclose information related to the
City's administration of a post -accident alcohol and/or controlled substance
test administered following the accident under investigation.
F. Records shall be made available to a subsequent employer upon receiving a
written request from a former employee. Disclosure by the subsequent
employer is permitted only as expressly authorized by the terms of the
former employee's request.
G. The City may disclose information required to be maintained under this
Policy and Procedure pertaining to an employee, the decision maker in a
lawsuit, grievance, or other proceeding initiated by or on behalf of the
individual, and arising from the results of an alcohol andor controlled
substance test administered under this part, or from the City's determination
that the employee engaged in conduct prohibited by this Policy and
Procedure (including, but not limited to, a workers' compensation,
unemployment compensation, or other proceeding relating to a benefit
sought by the employee).
H. The City shall release information regarding an employee's records as
directed by the specific, written consent of the employee authorizing release
of the information to an identified person. Release of such information by
the person receiving the information is permitted only in accordance v� the
terms of the employee's consent.
II. MAINTENANCE AND RETENTION OF RECORDS
A. General Requirement: The City shall maintain records of its alcohol misuse
and controlled substances use prevention programs as provided in this
section. Such records will be maintained confidentially and separate from
employee personnel files.
B. Period of Retention: The City shall maintain the records in accordance with
the following schedule:
1. Five (5) Years. The following records shall be maintained for a
minimum of five (5) years:
a. Records of employee alcohol test results with results
indicating an alcohol concentration of 0.01 or greater,
b. Records of employee verified positive controlled substances
test results,
C. Documentation of refusals to take required alcohol and/or
controlled substancestests,
d. Calibration documentation,
e. Employee evaluation and referrals shall be maintained for a
minimum of five (5) years, and
f. A copy of each annual calendar year su=ary.
2. Two Years. Records related to the alcohol and controlled substances
collection process (except calibration of evidential breath testing
devices) and trammg shall maintained for a minimum of two (2)
years.
3. One year. Records of negative and canceled controlled substances
test results and alcohol test results with a concentration of less than
0.01 shall be maintained for a nn=um of one (1) year.
C. Types of Records: The following specific records shall be maintained;
1. Records related the collection process:
a. Collection logbooks, if used;
b. Documents relating to the random selectionprocess;
C. Calibration documentation for evidential breath testing
devices;
d. Documentationofbreath alcohol techniciantraining;
e. Documents generated in connection with decisions to
administer reasonable suspicion alcohol or controlled
substances tests;
f. Documents generated in connection with decisions on post-
accident tests;
g. Documents verifying existence of a medical explanation
other inability of a covered employee to provide adequate
breath or to provide a urine specimen for testing; and
h. Consolidated annual calendaryear summaries.
2. Records related to an employee's results:
a. The City's copy of the alcohol test form, including the results
ofthe test;
b. The City's copy of the controlled substances test chain of
custody and control form;
C. Documents sent by the MRO to the City;
d. Documents related to the refusal of any employee to submit
to an alcohol or controlled substances test required by this
Policy and Procedure; and
e. Documents presented by an employee to dispute the result of
an alcohol or controlled substances test administered under
this Policy and Procedure.
3. Records related to other violations of this Policy and Procedure.
4. Records related to evaluations:
a. Records pertaining to a determination by a substance abuse
professional concerning an employee's need for assistance;
and
b. Records concerning an employee's compliance with
recommendations of the substance abuse professional.
5. Records related to education and training:
a. Materials on alcohol misuse and controlled substance use
awareness, including a copy of the City's Policy of alcohol
misuse and controlled substance use;
b. Documentation of compliance with the requirement to
establish this Policy and Procedure, including the employee's
signed receipt of education materials;
C. Documentation of training provided to supervisors for the
purpose of qualifying the supervisors to make a
determination concerning the need for alcohol and/or
controlled substances testing based on reasonable suspicion;
and
d. Certification that any training conducted under this part
complies with the requirements for such training.
6. Records related to drug testing:
a. Agreements with collection site facilities, laboratories,
medical review officers, and consortia;
b. Names and positions of officials and their role in the City's
alcohol and controlled substances testing program(s);
C. Monthly laboratory statistical summaries of urinalysis; and
d. The City's drug testing policy and procedures.