HomeMy WebLinkAboutAgenda Report - May 7, 2008 E-12AGENDA ITEM E;40 I I
CITY OF LODI
qV COUNCIL COMMUNICATION
TM
AGENDA TITLE: Adopt Resolution Amending the City of Lodi Drug Fee Workplace Policy,
Drug Free Workplace Procedure, Drug and Alcohol Testing Policy, and Drug
and Alcohol Testing Procedure in Accordance with the Federal Transit
Administration Drug and Alcohol Program Audit
MEETING DATE: May 7,2008
PREPARED BY: Deputy City Manager
RECOMMENDED ACTION: Adopt resolution amending the City of Lodi's Drug Free Workplace
Policy, Drug Free Workplace Procedure, Drug and Alcohol Testing
Policy, and Drug and Alcohol Testing Procedure in accordance with
the Federal Transit Administration Drug and Alcohol program audit.
BACKGROUND INFORMATION: Last year, the Lodi City Council approved an update to our current
drug and alcohol policies and procedures. During a Federal Transit
Administration (FTA) audit (Exhibit A) in February 2008, it was noted
that some revisions to the City's policies and proceduresfor Drug
and Alcohol Testing and for Drug Free Workplace (Exhibits B - E) were needed to meet FTA
requirements.
The audit noted nine points for revision as detailed on pages 2 — 5 of the audit report (Exhibit A). In
addition, all changes are tracked in the City's policy and procedure documents (Exhibits B — P.
The policies and procedures have been revised and submitted to the various bargaining groups. Once
adopted, the policies will be distributed to staff and forwarded to the FTA. The FTA requires all changes
to be approved and submitted by May 13, 2008.
FISCAL IMPACT: None. However, failure to amend and submit the policies by May 13, 2008
as set by FTA could impact the availability of Federal transit funding
received by the City to cover the costs of transit service.
FUNDING AVAILABLE: Not applicable.
bhes Krueger '
Deputy City Manager
APPROVED: /
Blair King,1 +!"anager
JAPersonneRRisk Management\Council Communications\DrugPolicy.doc
a
U.S. DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FINAL AUDIT REPORT
FTA Drug and Alcohol Compliance Program
2110/2008 to 211312008
RECIPIENT:
City Of Lodi
CONTRACTOR:
MV Transportation, Inc. #67 Lodi Division
FEDERAL TRANSIT ADMINISTRATION
OFFICE OF SAFETY AND SECURITY
JERRY POWERS,
DRUG AND ALCOHOL PROGRAM MANAGER
U S Department of Transportation
Federal Transit Administration
Ms. Tiffani Fink
Transportation Manager
City Of Lodi Transit Manager
221 West Pine Street
Lodi, CA 95241
Dear Ms. Fink:
1200 New Jersey Ave., S E.
Washington, D.C. 20590
RE: FTA Drug and Alcohol Compliance Program
2/13/2008
As you know, during the period 2/10/2008 to 2/13/2008, the Federal Transit
Administration (FTA) conducted an audit of the FTA -mandated drug and alcohol testing
programs of the City Of Lodi.
Several items associated with City Of Lodi's program were found that require
attention. The attached Final Audit Report summarizes the findings of the audit team.
This report is provided at this exit interview so that you and your staff can take
immediate steps to come into compliance regarding the identified items.
The 90 -day period for corrective actions commences as of the date of this letter.
Therefore, the completion date for items needed to bring your transit system, your
vendors, and your contractors into compliance is 5/13/2008, as noted in the Final Audit
Report. Failure to fully resolve these items within 90 Days will result in a formal finding
of non-compliance by the FTA.
On or before that date, please respond with a report of the corrective actions that
have been taken for each audit item. I have enclosed a CD-ROM that contains the
Audit Response Software Program (SAMO software) that you must use to respond to
each audit item. Also, enclosed is the Audit Response Software Manual that explains
the process for installing and using the software program. The software runs under all
Windows operating systems, but is not Macintosh compatible.
You must reply to each item in the Final Audit Report by using the software to
describe the corrective actions taken and the date the corrective actions were
completed. When necessary, provide all supporting documentation that confirms the
corrective actions taken.
After the City Of Lodi has completed all corrective actions for each audit item in
the Audit Response software, print one copy of the Annotated Audit Report with
ft
if's
U.S. Department of Transportation
Federal Transit Administration
1200 New Jersey Ave., S E.
Washington, D.C. 20590
1 Copy of All Materials
2 Copies of All Materials
Mr. Michael Redington
Mr. Jim Buckley
Project Manager
Manager
Office of Safety and Security, RTV-3D
Milligan & Co, LLC
Volpe National Transportation Systems
Center
105 n. 22nd Street
55 Broadway
Philadelphia, PA 19103
Cambridge, MA 02142-1093
410-404-7443
617 494-2197
IID
U.S. Department of Transportation 1200 New Jersey Ave., S E.
Federal Transit Administration Washington, D.C. 20590
It is important for you to understand that failure to fully implement FTA's drug and
alcohol testing regulations may jeopardize the City Of Lodi's future funding from the
FTA.
Once again, thank you for your assistance. We look forward to working with you
in the future.
Sincerely,
Jerry Powers
Drug and Alcohol Program Manager
Electronic cc:
MR. Leslie Rogers, FTA Region IX Administrator
Mr. John Hunt, FTA Region IX
Mr. Michael Redington, Volpe National Transportation Systems Center
Mr. George Y. Gilpatrick 11, Cahill Swift LLC
Ms. M. Denise Bailey, Milligan and Company, LLC
fft
U S. Department of Transportation
Federal Transit Administration
1200 New Jersey Ave.. S E.
Washington, D.C. 20590
The following publications may be useful to you. Each of these publications is available
and can be downloaded from the Substance Abuse section of the FTA Office of Safety
and Securitywebsite athttp://transit-safety.voloe. dot.crov/Publications/.
Best Practices Manual: FTA Drug and Alcohol Testing Program, May 2002
Implementation Guidelines for Drug and Alcohol Regulations in Mass Transit,
Federal Transit Administration, April 1994; revised November 2003
Prescripfion and Over -the -Counter Toolkit, March 2003
FTA Drug and Alcohol Regulation Updates (published quarterly since the Fall of
1995)
Table of Contents
CityOf Lodi............................................................................................
2
Policy Manual Review Interview ............................................ ...................... •......
2
Drug and Alcohol Program Manager Interview.... .............................................
6
Breath Alcohol Technician Interview ........................................ ...................••••
1C
Urine Collections Interview..............:...............................................................
11
Medical Review Officer Interview ................................................ ....................12
Substance Abuse Professional Interview .......... • • • • •............. •.. • • .......................
13
Random Testing Throughout the Year.............................................................
14
Random Testing Throughout the Week ............................................................
G
Random Testing Spread Across Service Hours ..............................................
16
MV Transportation, Inc. #67 Lodi Division.........................................17
Policy Manual Review Interview.......................................................................
1`1
Drug and Alcohol Program Manager Interview ........................ ••............•••.•.......
1E
Records Management Interview.......................................................................
1 c
Medical Review Officer Interview••••••....•.••.•••.•••••.......•.•..••............•..•..•.....•..•...
21
Substance Abuse Professional Interview ......... ...... ..................... _................
22
Random Testing Throughout the Year.............................................................
2;
Random Testing Throughout the Week...........................................................
24
Random Testing Spread Across Service Hours ...............................................
2r
Pre -Employment Test Results..........................................................................
2E
Post -Accident Test Results......................................................... .....................
27
City Of Lodi
City Of Lodi
Policy Manual Review Interview
City Of Lodi
Interview Date: 2/7/2008
Item Action Date:
5/13/2008 Question # 15
1
Question:
ALCOHOL TESTING: Does the policy indicate that random and reasonable suspicion
alcohol testing is only permissible just before an employee performs safety -sensitive
duties, during that performance, and just after an employee has performed covered
\)
duties?
Answer:
No.
Supplemental Answer:
The City's does be
policy not state that a covered employee shall only randomly tested
for alcohol misuse while the employee is performing safety -sensitive functions; just
before the employee is to perform safety -sensitive functions; orjust after the employee
has ceased performing such functions. In the 90 -day response to this report please add
that statement to the revised policy.
FTA Rule Section 655.45(i) states: "A covered employee shall only be randomly tested for alcohol
Requirement: misuse while the employee is performing safety -sensitive functions; just before the
employee is to perform safety -sensitive functions: orjust after the employee has ceased
performing such functions." Section 655.43(c) contains a similar statement for reasonable
suspicion alcohol testing.
Item Action Date: 5/13/2008 Question #: 17
2 Question: PRE-EMPLOYMENT DRUG TESTING: Does the policy state that: The candidate must
produce a negative drug test result prior to first performing a safety -sensitive duty; If the
test is canceled, the employee must retake and pass the test before being hired; and an
employee being transferred must provide a verified negative urinalysis prior to performing
a safety -sensitive function?
Answer: No.
supplemental Answer The City's policy does not state that if a pre employment drug test is canceled, the
employer shall require the covered empioyee or applicant to take another
pre-employment drug test administered under this part with a verified negative result.
In the 90 -day response to this report, please add that statement to the revised policy
FTA Rule Section 655,41(a)(1) states: "Before allowing a covered employee or applicanttc
Requirement: perform a safety -sensitive function for the first time, the employer must ensure that the
employee takes a pre-employment drug test administered under this part with a verified
negative result. An oipIvycriay not aflovJ S ^iivcrcd ciplycc, including an applicant,
to perform a safety -sensitive function unless the employee takes a drug test administered
under this part with a verified negative result." If the policy specifies that � applicant
may not be hired until after a verified negative drug test result, that is an acceptable
alternative to the first performance of a safety -sensitive duty.
Section 655.41(c) states: "If a pre-employment ent drug test is cancelec, the employer shall
require the covered employee or applicant to take another pre-employment drug test
drr h ist J under this It art with a verified negative result."
Section 655.41(b) states "An employer may not transfer an employee from a
non -safety -sensitive function to a safety -sensitive function unti' the employee takes a
pre-employment drug test administered under this part with a verified negative result."
Item Action Date: 5/13/2008 Question #: 11
Page 2 of 27
City Of Lodi
3 Question: PRE-EMPLOYMENT DRUG TESTING: Does the procedure for a covered employee or
applicant who has previously failed or refused a DOT pre-employment drug test include
requiring evidence that the employee has successfully completed a referral, evaluation
and treatment plan?
Answer: No.
Supplemental Answer: The City's policy does not state that when a covered employee or applicant has
previously failed or refused a pre-employment drug test administered under this part, the
employee must provide the employer proof of having successfully completed a referral,
evaluation and treatment plan. In the 90 -day response to this report, please add that
statement to the revised policy.
FTA Rule Section 655.41(a)(2) states: 'When a covered employee or applicant has previously
Requirement: failed or refused a pre-employment drug test administered under this part, the employee
must provide the employer proof of having successfully completed a referral, evaluation
and treatment plan as described in Section 655.62."
Item Action Date: 5/13/2008 Question #: 19
4 Question: PRE-EMPLOYMENT DRUG TESTING: Does the policy include the provision that a
covered empioyee who has not performed a safety -sensitive duty for 90 consecutive
days or more and has not been in the employers random selection pool shall take a
pre-employment drug test with a verified negative result before returning to
safety -sensitive duties?
Answer: No.
Supplemental Answer: The City's policy does not state that when a covered employee or applicant has not
performed a safety -sensitive function for 90 consecutive calendar days regardless of the
reason, and the employee has not been in the empioyer's random selection pool during
that time, the employer shall ensure that the employee takes a pre-employment drug test
with a verified negative result. In the 90 -day response to this report, please add that
statement to the revised policy
FTA Rule Section 655.41(d) states: 'When a covered employee or applicant has not performed a
Requirement: safety -sensitive function for 90 consecutive calendar days regardless of the reason, and
the employee has not been in the employer's random selection pool during that time, the
employer shall ensure that the employee takes a pre-employment drop test with a verified
negative result."
Item Action Date: 5/13/2008
Question# 23
5 Question: REASONABLY SPREAD: Does the policy state that random tests are to be spread
reasonably throughout the year? Operationally, this means that: (1) Testing is
continuous throughout the year (i.e., testing starts in January and there is no period
during which testing is halted); and (2) Testing is conducted on all days and hours during
which the transit service is in operation.
Answer: No.
Supplemental Answer: The City's policy does not state that the dates for administering random tests will be
�o
spread reasonably throughout the calendar year. Random testing will be conducted at all
times of day when safety -sensitive functions are performed. TIAll employees will have a
reasonable expectation that they might be called for a test on any day and at any time
they are at work. In the 90 -day response to this report, please add these statement to
the revised policy.
Page 3 of 27
City Of Lodi
FTA Rule Section 655.45(g) states "Each employershali ensure that ... the dates for administering
Requirement: random tests are spread reasonably throughout the calendar year. Random testing must
be conducted at all times of day when safety -sensitive functions are performed." This
ensures that employeeswill have a reasonable expectation that they might be called for a
test on any day and at any time they are at work.
Item Action Date: 5/13/2008
Question #: 25
6 Question: NO DISCRETION: Does the policy state that each covered employee shall have an equal
chance of being tested each time selections are made?
Answer: No.
SupplementalAnswer: The City's policy does not state that each covered employee shall have an equal chance f_T ,
of being tested each time selections are made. In the 90 day response to this report, !`{�
please add that statementto the revised policy. l
FTA Rule Section 655.45(e) states "The selection of employees for random drug and alcohol
Resuirement: testing shall be made by a scientifically valid method, such as a random number table or
a computer-based random number generator. _ . , each covered employee shall have an
equal chance of being tested each time selections are made."
Item Action Date: 511312008 Question # 35
7 Question: CIRCUMSTANCES: RETURN-TO-DUTYAND FOLLOW-UP TESTS (DRUG AND
ALCOHOL): If the company has a second -chance policy, does the policy require that
these tests be conducted as specified in 49 CFR Part 40?
Answer: Cant Tell.
Supplemental Answer: The City's policy does not State that when a covered employee refuses to submit to a
test, has a verified positive drug test result, and/or has a confirmed alcohol test result of
0.04 or greater, the employer, before returning the employee to duty to perform a
safety -sensitive function, shall follow the procedures outlined in 49 CFR Part 40. In the 90
day response to this report, please add that statementto the revised policy.
FTA Rule The policy should be clear on whether an employeewho refuses or fails a test may be
Requirement: permitted to return to safety -sensitive duties.
Section 655.15 -Policy statement contents -states: "The ... policy ... shall include the
following: (h) The consequencesfor a covered employee who has a verified positive drug
or a confirmed alcohol test result with an alcohol concentration of 0.04 or greater, or who
refuses to submit to atest under this part, including the mandatory requirements that the
covered employee be removed immediately from his or her safety -sensitive function and
be evaluated by a substance abuse professional, as required by 49 CFR Part 40."
If there is a second chance policy, Section 655.46 states: 'Where a covered employee
refuses to submit to a test, has a verified positive drug test result, and/or has a confirmed
alcohol test result of 0.04 or greater, the employer, before returning the employee to duty
to perform a safety -sensitive function, shali follow the procedures outlined in 49 CFR Part
40."
Item Action Date: 5/13/2008
Question #: 39
8 Question: DILUTE NEGATIVE POLICY; Does the policy contain the transit operators determination
Page 4of27
city Of Lodi
concerning whether or not employees who produce dilute negative specimens will be
required to take another test immediately under non -observed condit€ons. If the operator
has determined to require retesting, has th t dE :i sic I made known in advance to
employees, either through inclusion in the policy or through anotner method
Answer: Cant Tetl.
Supplemental Answer: The City's policy does not include the City's determinationof a procedure regarding the
handling of dilute negative results. In the 90 -day response to this report, please add mat
determination to the revised policy.
FTA Rule Section 40.197 (b) through (e) states: (b) Ifthe MRO informs you that a negative drug test
Requirement: was dilute, you may, but are not required to, direct the employee to take another test
immediately. Such recollections must not be collected under direct observation, unless
there is another basis for use of direct observation (see Sec. 40.67(b) and (c)).(c) You
must treat all employees the same for this purpose. For example, you must not retest
some employees and not others. You may, however, establish different policies for
differenttypes of tests (e.g., conduct retests in pre-employment test situations, but not in
random test situations). You must inform your employees in advance of your decisions on
these matters (d) If you direct the employee to take anothertest, you must ensure that
the employee is given the minimum possible advance notice that he or she must go to
the collection site. If you direct the employee to take another test, the result of the second
test --not that of the original test—becomes the test of record, on which you rely for
purposes of this part
Item Action Date: 5/13/2008
Question #: 41
9 Question: REFUSAL- DRUG AND ALCOHOL TESTING: Are all of the following included: 1) Failure
to appear in a reasonabletime except for pre-employmenttests;2) Failure to remain until
the testing process is comptete;3) Failureto provide a specimen;4) Failureto provide a
sufficient specimen with no medicalexplanation;5) Failureto undergo medical
evaluation as required by a MRO or OER; and 6) Failureto cooperate with any oart of the
testing process?
Answer No
Supplemental Answer: The City's policy does not include all the refusal circumstances such as failure to undergo
medical examination, failure to permit monitoring/observation, failure to take a second
test and a verified adulterated or substituted sample. In the 90 day responseto this
report, please include all Part 40 refusal circumstances to the revised policy.
FTA Rule Section 40,191(a) lists circumstancesthat constitute refusals for drug testing and Section
Requirement: 40.261(x) lists circumstances that constitute refusalsfor alcoholtesting.
Page 5 of 27
City Of Lodi
Drug and Alcohol Program Manager interview
City Of Lodi
Interview Date: 2/12/2008
Item Action Date: 5/13/2008 Question# 4
1 Question: Were the actual job duties at this transit system reviewedto decide who performed
safety-sensitivefu nctions?
Answer: 1 suspect not, I think that requirement may not be completed.
Supplementai Answer: It was not clear in speaking with Human Resources, Transportation, Risk Management,
and Finance at City Hall that there was clear understanding of what positionswithin the
City of Lodi are subjectto USDOT Federal Testing under the regulations of FTA and
FMCSA. In addition, the policy is not clear in separatingthe mechanicsthat are covered
under FTA 49 CFR part 655 and the holders of commercial drivers licenses (CDL) that
operate heavy equipment for the city regulated by Federal Motor Carrier Safety
Administration's (FMCSA)drug & alcohol regulation (49 CFR part 382). In the 90 day
response to this report, designate the individualwho will be availableto each employee
and function as the Drug and Alcohol Program Manager (DAPM). Also certifv the Citv's
commitment to provide relevant training to the DAPM.
FTA Rule Section 655.15 states: "...The [policy] statement must be made available to each
Requirement: covered employee, and shall include the following:... (b) The categories of employees
who are subject to the provisions of this part."
Section 655.4 defines "covered employee" as "a person, including an applicant or
transferee, who performs or will perform a safety -sensitive function for an entity subject to
this part."
Item Action Date: 5/13/2008
Question#
2 Question: What arrangements have been made to conduct drug and alcohol tests afler normal
business hours and on weekends?
Answer: Even though this transit system operates after normal business hours and/orweekends,
no arrangements have been made to conduct testing during this time.
Supplemental Answer: It was acknowledged by City of Lodi personnel that random testing is only conducted
during core administrative hours. FTA is concerned that 2nd shift workers have no
deterrent to alcohol misuse afler 5:00 PM. In the 90 day response to this audit finding,
provide to FTA copies of the random selection sheets, and legible copies of the chain
of custody forms for this time period. This should demonstrate that random tests are
being spread throughout all hours that vehicle maintenance is performed.
FTA Rule Section 655.45(g) states: "Each employershali ensure that random drug and alcohol
Requirement: tests conducted under this part are unannounced and unpredictable, and that the dates
for administering random tests are spread reasonably throughout the calendar year.
Randomtesting must be conducted at all times of day when safety -sensitive functions
are performed."
Item Action Date: 5/13/2008
Question #:
3 Question: Have all transit system officials and supervisors authorized to make FTA reasonable
suspicion testing referrals received appropriate training (at least 60 minutes of training on
the indicators of probable drug use; and 60 minutes of training on the indicators of
probable alcohol misuse)?
Answer: Some authorized employees have not received the required training yet. We train our
Page 6 of 27
City Of Lodi
new hires at various times of the year, but we usually wait until several have been hired
and then train them in a group.
SupplementalAnswer: City of Lodi personnel were not clear if or who had been trained to do DOT reasonable
suspicion interviews and referrals as per FTA and/or FMCSA requirements. City officials
acknowledged that the Maintenance Supervisor had likely not received this training.
Reasonable Suspicion testing is the best tool for detecting and deterring prohibited druq
use and alcohol misuse that is available within the DOT -regulated program.
In responseto this audit finding please submit evidencethat the required training has
been performed and provide FTA with training logs and agendas. A reasonable
suspicion video and training guide is available at the FTA Office of Safety & Security
website at the following link:
htti)://transit-safety.voloe.dot.gov/DruaAndAlc hol/TechnicalAssistance/Reasonablesusp
icion.asp
FTA Rule Section 655.14(b)(2) states: "Supervisors and/or other company officers authorized by
Requirement: the employer to make reasonable suspicion determinations shall receive at least 60
minutes of training on the physical, behavioral, and performance indicators of probable
drug use and at least 60 minutes of training on the physical, behavioral, speech, and
performance indicators of probable aicohol misuse.
Item Action Date: 5/13/2008
Question# 10
4 Question: How do you documentthat all employees authorized to make FTA reasonable suspicion
testing referrals have received training, and how long do you maintain those records?
Answer: I don't know.
SupplementalAnswer: As a response to this finding submit training logs for appropriate supervisors in both the
maintenance pool and the public works department.
FTA Rule Section 655.71(c) states: "The following specific records must be maintained:... (4)
Reauirement: Records related to employee training: , ..(iii) Documentationof training provided to
supervisors for the purpose of qualifyingthe supervisors to make a determination
concerning the need for drug and alcohol testing based on reasonable suspicion."
Section 655.71(b) states: "In determining compliance with the retention period
requirement, each record shall be maintained for the specified minimum period of time as
measured from the date of the creation of the record. Each employer shall maintainthe
records in accordancewith the following schedule:... (2) Two years. Records related to
the collection process and employee training."
Item Action Date: 5/13/2008
Question# 13
5 Question: Who is responsible for ensuring that safety -sensitive employees who have not been in
the random testing pool for 90 consecutive days or more pass a pre-employment
drug -screening test before performing safety-sensitivefunctions?
Answer: There is no requirementto conduct pre-employment test on employees who have been
out of the random pool for 90 or more days.
SupplementalAnswer: City officials were not aware of the requirement for pre-employmenttesting FTA
safety -sensitive employees that have been out of safety -sensitive duties and out of the
random testing pool for 90 days.
In response to this audit finding, submit the policies and procedures implementedto
ensure that the agency is in compiiancewith Section 655,41(d).
Page 7 of 27
City Of Lodi
FTA R.AIe Sect,cn 65541(d) States Wnen a covere a emp oyee or applicant has not performed
Req i remeni safety-sens lve function for 90 con secui ve calendar days regardless of the reason, ana
the employee has not been n the employers random selection poo oaring tnat time, the
employer shall ensure tnat the employee takes a pre-employmentdruq test w.th a verified
negative result '
Item Action Date: 5/13/2008 Question#: 22
6 Question: Does this transit system conduct random testing during all work shifts (i.e., during ail
hours of operations)?
Answer: No, this transit system only conducts random testing during normal business hours.
Supplemental Answer: It was acknowledged by City of Lodi personnel that random testing is only conducted
during core administrative hours. FTA is concerned that 2nd shift workers have no
deterrent to alcohol misuse after 5:00 PM.
In response to this audit finding, submit the procedures implemented to ensure that
testing may be (performed after core administrative hours.
FTA Rule Section 555.45(g) states: "Each employer shall ensure that random drug and alcohol
Requirement: tests conducted underthis part are unannouncedand unpredictable, and thatthe dates
for administering random tests are spread reasonably throughout the calendar year.
Random testing must be conducted at all times of day when safety -sensitive functions
are performed."
Item Action Date: 5/13/2008
Question #: 31
7 Question: Does the transit system use the federal (DOT) custody and control forms for
post -accident testing only when an FTA testing threshold has been met, and a non -DOT
form for all other post-accidenttesting?
Answer: Other. There is no accident decision form for either FTA or FMCSA regulated functions
within the City of Lodi.
Supplemental Answer C ty ofAc'als acknowledged that they were not aware of the differences in post-acc'dent
testing thresholds between FTA and FMCSA regulated functions Moaelforms are
available :n the FTA D&A Best Practices aocument. The City stated that they wil adopt
decision making forms from tnetransit operations contractor for tnema.ntenance and
pt.blic worxs departments
In response to this and t IF noing, s ibmit the pol c es and form implementedto ensure tnat
correct aec s'ons on feaera ly mandated post -accident tests are made
FTA Rule Section 40 47(a) states ' as an employer. yoj are proh bited from using the CCF for
Requirement non -DOT ur ne co lections You are also pron bited from using non- Federa I forms for
DOT urine collections. Doing either subjects you to enforcement action under DOT
agency regulations."
Section 40.227(a) states: as an employer, BAT, or STT, you are prohibited from
using the ATF for non -DOT alcohol tests. You are also prohibited from using non -DOT
forms for DOT alcohol tests. Doing either subjects you to enforcement action under DOT
agency regulations."
Item Action Date: 5/13/2008
Question#: 32
Page 8 of 27
City Of Lodi
8 Question: Does this transit system have some method to document the post -accident
decision-making process, especially decisions not to conduct a drug and alcohol test
following an accident that reaches an FTA threshold?
Answer: No.
Supplemental Answer: As the City was not clear on the accident thresholds, they were not aware that they could
excuse an employee's performance as a contributing factor and excuse from testing.
In responseto this audit finding, describe the procedures implemented to ensure that
federally mandated post -accident testing is performed in a compliant fashion.
FTA Rule Section 655.44(d) states: "The decision notto administera drug and/or alcohol test
Requirement: under this section shall be based on the employer's determination, using the best
available information at the time of the determ i nation that the employee's performance
could not have contributed to the accident. Such a decision must be documented in
detail, including the decision-making process used to reach the decision not to test."
Section 655.71(c) states: "The following specific records must be maintained:(1)
Records related to the collection process:. . .(iv) Documents generated in connection
with decisions on post -accident drug and alcohol testing."
Item Action Date: 5/13/2008
Question # 43
9 Question: Does this transit system have a second chance policy for employees who test positive on
an FTA drug and/or alcohol test?
Answer: Other. The Legal Department has not made a definitive policy yet due to difficulties
applying the previous "progressive discipline" policies.
Supplemental Answer: Employee consequences and disciplinary proceduresfor violations must be applied
consistently. It was found that much confusion exists and effort had been expended in
accommodating a particular employee with past violations. To avoid the arbitrary
application of the process or the appearance of bias and to ensure the buy -in of all
stake -holders. each employee must be treated equally.
FTA Rule
Requirement:
In responseto this audit finding, submit a final policy that has been implemented and
communicated to the employees and their representativeswith regards to the City of
Lodi's 2nd chance policies
Page 9 of 27
City OfLodi
Breath Alcohol Technician Interview
City Of Lodi
Interview Date: 2/12/2008
Item Action Date: 5/13/2008 Question#: 32
1 Question: After the EBT prints a confirmation test result of lessthan 0.02, is there anything left for
the employee to sign?
Answer: If the confirmation test result is less than 0.02, the employee is stil I required to sign Ste
4
Supplemental Answer: In response to this audit finding, submit to FTA on company letterhead a statement
signed by each applicable DOT BAT certifying an understanding of section 40.255(a)(2)
below, wherein a donor providing a confirmation test result below .02 is not required to
sign step 4 of the ATF.
FTA Rule Section 40.255(a) states: "Aflerthe EBT has printedthe result of an alcohol confirmation
Requirement: test, you must, as the BAT, take the following additional steps: (1) Sign and date Step 3 of
the ATF(2) If the alcohol confirmationtest result is lower than 0.02, nothingfurther is
required of the employee. As the BAT, you must sign and date Step 3 of the ATF."
Item Action Date: 5/13/2008
Question #: 41
2 Question: Is there any impact on a breath alcohol test if the EBT fails to print the confirmation test
result?
Answer: Other. The BAT indicated that she would manually recordthe confirmation result onto the
alcohol testing form.
Supplemental Answer: In response to this audit finding, submit to FTA on company letterhead a statement
signed by each applicable DOT BAT certifying an understanding of the requirement to
ensure that confirmation tests are invariably printed, per section 40.267(c)(4) below.
FTA Rule Section 40.267 states: "As an employer, a BAT, or an STT. you must cancel an alcohol
Requirement: test if any of the following problems occur. These are "fatal flaws." You must inform the
DER that the test was cancelled and must be treated as if the test never occurred. These
problems are:. , .(c) In the case of a confirmation test: ...(4) The EBT does not print the
result (see Section 40.253(0)."
Page 10 of 27
City Of Lodi
Urine Collections Interview
City Of Lodi
Interview Date: 2/12/2008
Item Action Date: 5/13/2008 Question #: 52
1 Question: What is done if an employee says he/she is not ready to proceed with the urine collection
process because an employee representative is delayed in arriving?
Answer: Call the employees company.
Supplemental Answer: In response to this audit finding, submit to FTA on company letterhead a statement
signed by each applicable DOT collector certifying an understanding of the requirement
to oegin the testing process immediately, as discussed in section 40.16 (b) below.
FTA Rule Section 40.61(b) states: '[The collector must] Ensure that, when the employee enters the
Requirement: collection site, you begin the test ng processwithout undue delay. Forexample, you must
not wait because the employee says he or she is not ready or ,s unable to urinate or
because an author zed employer or employee representative is delayed in arriving."
Item Action Date: 5/13/2008
Question#: 64
2 Question: If the employee is unableto provide a specimen of at least45 milliliters, what is done?
Answer: Other. The collector provided an excellent form logging the number of "10oz cups" given
to the donor during the three-hour shy bladder period.
Supplemental Answer: The actual cup provided, however, was a 12oz. cup. The collector described the y�
approximate level to which she would fill the cup each time. VU
OHS must have in place a method to consistently and accurately measure and provide
forty ounces of fluid to each donor in a "shy bladder" process, as necessary.
In response to this audit finding, submit to FTA a description of the steps that OHS has �b
taken to consistently and accuratelymeet the req uirementsofsection 40,193(b)below. ,tpljt
FTA Rule Section 40.193(b) states: "As the collector, you must do the following: (2) Urge the )01
�"{�
Requirement: employee to drink up to 40 ounces of fluid, distributed reasonablythrough a period of up
to three hours, or until the individual has provided a sufficient urine specimen, whichever
occurs first. It is not a refusal to test if the employee declines to drink. Document on the
Remarks line of the CCF (Step 2), and inform the employee of, the time at which the
three-hour period begins and ends."
Page 11 cf 27
City OF Lodi
Medical Review Officer Interview
City Of Lodi
Interview Date: 2/6/2008
Item Action Date: 5/13/2008 Question#: 11
1 Question: Do you have a method for identifying yourself and confirming your identitywhen you
need to talk with the DER?
Answer: No. The DER recognizes the MROs voice.
Supplemental Answer: The MRO does not have a means to confirm his identification to the DER. In the 90 day
response to this audit, provide documentation of Rasswor or other means to positively
confirm the identify of the MRO to the DER.
FTA Rule Section 40.167(b) states: "As the MRO or C/TPA who transmits drug test results to the
Requirement: employer, you must comply with the following requirements: (2)You are responsiblefor
identifying yourself to the DER, and the DER must have a means to confirm your
identification."
Item Action Date: 5/13/2008 Question#: 19
2 Question: If an employer requests, do you providethe quantitative values of the drugs verified
positive. or the results of validity tests?
Answer: Other.
Supplemental Answer: The auditors learned from interviewingthe DER, that the MRO reported a verified positive
test result involving a City safety sensitive employee and provided quantitative values to
the City DER. This is contrary to 49 CFR Part 40.163(g). In the 90 day response to this
report, provide a statement from the MRO confirming understanding of the regulation
prohibiting the release of quantitative values to the DER.
FTA Rule Section 40.163(g) states: '"You must not provide quantitativevalues to the DER or C/ TPA
Reauirement: for drug or validity test results. However, you must provide the test information in vour
possession to a SAP who consults with you (see Section 40.293(g))."
Page 12 of 27
City Of Lodi
Substance Abuse Professional Interview
City Of Lodi
Interview Date: 02/05/2008
Finding: Not deficient with FTA requirements.
Page 13 of 27
City Of Lodi
Random Testing Throughout the Year
City Of Lodi _Randana Testing Throughout the Year
1 f1 r2[�8
l 2007
1111 X2007
10W2007
0
Page 14 of 27
City Of Lodi
Sunday
Saturday
Friday
Thursday
I
Wednesdayj�
Tuesday!...
i
Monday
o Drug Only
Random Testing Throughout the Week
2 3
Random Tests Reviewed
■ Alcohol Only
4 5
Both Drug and Alcohol
Page 15 of 27
City Of Lodi
11 OOPM
10:00 PM
9 00 PM
8 00 PM
7 00 PM
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4:00 PM E
3:00 PM
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Drug Test
Random Testing Spread Across Service Hours
City Of Lodi - Random Testing Spread Across Service Hours
0
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1 2 3 4
Random Tests Reviewed
■ Alcohol Test — Beginning of Operations
5
End of Operations
Page 16 of 27
City Of Lodi
MV Transportation, Inc. #67 Lodi Division
Policy Manual Review Interview
MV Transportation, Inc. #67 Lodi Division
Interview Date: 02/07/2008
Finding: Not deficient with FTA requirements
Page 17 of 27
City Of Lodi
Drug and Alcohol Program Manager interview
MV Transportation, Inc. #67 Lodi Division
Interview Date: 02/11/2008
Finding: Not deficient with FTA requirements.
Page 18 of 27
City Of Lodi
Records Management Interview
MV Transportation, Inc. #67 Lodi Division
Interview Date: 2/11/2008
Item Action Date: 5/13/2008 Question #: 31
1 Question: Do any records indicate that the employer conducts post -accident testing using a federal
CCF after an accidentthat does not meet an FTA post -accident threshold?
Answer: Yes.
Supplemental Answer: In one of two cases reviewed, MV Transportation #67 required post-accidenttesting after
a transit bus cut a curb and destroyed a fire hydrant. On the MV post-accidenttesting
form, the supervisor indicatedthat "a rail, troiley car/bus or vessel was removedfrom
operation." Because the transit vehicle involved is not a rail vehicle, this section of the
regulation does not apply to this incident, and FTA testing should not have been
performed.
In responseto this audit finding, submitto FTA on company letterheada statement
signed by each applicable supervisor indicating an understanding of the definition of an
"accident" with regard to a bus, electric bus, van, or automobile, as set forth in section
655.4.
FTA Rule Section 40.13(f) states: "As an employer, you must not use the CCF or the ATF in your
Reauirement: non -DOT drug and alcohol testing programs. This prohibition includes the use of the
DOT forms with references to DOT programs and agencies crossed out. You also must
always use the CCF and ATF for all your DOT -mandated drug and alcohol tests."
An "Accident' is defined in Section 655.4 as: "an occurrence associated with the
operation of a vehicle, if as a result: (1) An individual dies; or (2) An individual suffers
bodily injury and immediately receives medical treatment away from the scene of the
accident; or (3) With respectto an occurrence i n which the mass transit vehicle involved
is a bus, electric bus, van, or automobile, one or more vehicles (including non -FTA
funded vehicles) incurs disabling damage as the result of the occurrence and such
vehicle or vehicles are transported away from the scene by a tow truck or other vehicle;
or (4) With respect to an occurrence in which the mass transit vehicle involved is a rail
car, trolley car, trolley bus, or vessel, the mass transit vehicle is removed from operation"
Item Action Date: 5/13/2008
Question #: 44
2 Question: Are random drug and alcohol tests unpredictable- e. g. , the tests are conducted at all
times of the day when safety sensitive functions are performed?
Answer: No.
Supplemental Answer: Random tests reviewed during the audit period were conducted during regular business
hours, 10:OD a.m. to 3:00 p.m. MV reported difficulty finding a collection site that
performed early and late hour testing. MV recently negotiated anew agreement with the
existing collection site to conduct tests during all hours of transit operation. However, no
random tests have been conducted outside normal business hours.
In the 90 -day response, provide a copy of all random selection lists for the extended audit
period of December 1, 2007 to March 31, 2008. Also provide a table listing the actual
dates and times of all random drug and alcohol tests conducted during this audit
response period
FTA Rule Section 655.45(g) states: "Each employer shall ensure that random drug and alcohol
Reauirement: tests conducted underthis part are unannounced and unpredictable, and that the dates
for administering random tests are spread reasonably throughout the calendar year.
Random testing must be conducted at all times of day when safety -sensitive functions
are performed."
Page 19 of 27
City Of Lodi
Item Action Date: 5/13/2008
Question# 45
3 Question: Are random drug and alcohol tests unpredictable - e. g. , the tests are conducted on all
days of the week when safety sensitive functions are performed?
Answer: No.
Supplemental Answer: For the testing records reviewed during the audit, MV conducted no random tests on
weekends when transit service is provided. MV stated that it had negotiated a new
agreement with the collection site to conduct testing during all days and hours of transit
service and that a weekend test naa Deen performed in January 200
In the 90 -day response, provide a copy of all random selection lists for the extended audit
period of December 1, 2007 to March 31, 2008. Also provide a table listing the actual
dates and times of all random drug and alcohol tests conducted during this audit
response period.
FTA Rule Section 655.45(g) states: "Each employer shall ensure that random drug s 1 it t d
Requirement: tests conducted under this part are unannounced and unpredictable, and That the dates
for administering rar R tests are spread reasonably throughout the calendar year.
Section 655 regulatory commentary: "FTA reiterated in the NPRM that a primary purpose
ol3 iafuoni testing is deterrence. Dete- ence is iluSt Cueu.:.v._,.y. a
clieved with randum,
unpredictable drug and alcohol testing that is conducted throughout all workdays i
of
hours us service."
Page 20 of 27
City Of Lodi
Medical Review Officer Interview
interview Date: 02/05/2008
Finding: Not deficient with FTA requirements
Page 21 of 27
City Of Lodi
Substance Abuse Professional Interview
interview Date: 02/05/2008
Finding: Not deficient with FTA requirements.
Page 22 of 27
City Of Lodi
Random Testing Throughout the Year
MV Transportation, Inc. #67 Lodi Division - Random Testiny Throuyhout the Year
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Random Tests Reviewed
a Drug Only ■ Alcohol Only ¢ Bath Drug and Alcohol
Page 23 of 27
City Of Lodi
Random Testing Throughout the Week
MUransportation, Inc. #67 Lodi Division Yandorn Testing Throughout the Week
Sunday
Thursday
3
Wednesdays Q
Tuesday -
i
Monday
+ 1
i
i
1 2 3 4 5 6 7 8 9 16 11 12 13 14
Randorn Tests Reviewed
* Drug Only ■ Alcohol Only ¢ Both Drug and Alcohol
Page 24 of 27
City Of Lodi
Random Testing Spread Across Service Hours
Page 25 cf 27
MV Transportation, Inc. #67 Lodi Division Randorn Testiny Spread Across Service KoUrS
11 OOPM
90:00 PM
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— — — — —
— — — — —
— — — —
1 2 3 4 5
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Random Tests Reviewed
Drug Test
it Alcohol Test
- Beginningof Operations
- End of Operations
Page 25 cf 27
City Of Lodi
Pre -Employment Test Results
MV Transportation, Inc.#67 Lodi Division - Pre -Employment Test Results
15
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Number of Days Elapsed
Elapsed time between Drug Test Date and Hire Date Drug Test Date
Page 26 of 27
City Of Lodi
2
Post -Accident Test Results
MV Transportation, Inc. #67 Lodi Division -Post-Accident Test Results
1
0 1 2
Alcohol Test
6 7 8 9 10 11 12 13 14 15 16
Number of Hours Elapsed After Accident
BE Drug Test
1 20 21 22 23 24 25
Page 27 of 27
Exhibit B
CITY OF LODI
ADMINISTRATIVE POLICY AND PROCEDURE MANUAL
SUBJECT: DRUG-FREE WORKPLACE - Policy
DATE ISSUED:
SECTION: D
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 with 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's property 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 job performance
and employee/public safety.
SECTION 3: COMPLIANCE
The U.S. Department of Transportation DOT has published 49 CFR Part 29,
implementing the 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 -sensitive functions. 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 of payments 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 drug 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
drug/alcohol 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 employee taking prescribed drugs which may interfere with safe work performance is
required to provide written documentation from the prescribing physician indicating the
level of interference with job 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 conjunction with
Human Resources. Failure to notify a supervisor may result in disciplinary action in
accordance with City policy and procedure. An employee may be required to provide a
statement from a licensed physician, indicating when the employee is able to work safely, or
any limitations she/he 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
concentration of 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 Zpplicant will note eligible
for the position. 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.
Deleted: City
Deleted: allow the applicant to perform
safety -sensitive duties unless and until the
applicant provides documents showing
the successful completion and release
from a SAP
CITY OF LODI
ADMINISTRATIVE POLICY AND PROCEDURE MANUAL
SUBJECT: DRUG-FREE WORKPLACE - Procedure
DATE ISSUED:
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 Disabilities Act 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 the process by
which to address the issues raised by such use.
SECTION 2: SUPPORT SERVICES/EDUCATION /TRAINING
All employees pay receive educational information and trainiMregardingtthe detection and
deterrence associated with the use of illegal drugs and alcohol use. Safety Sensitive
employees nay receive training annuals For immediate support and guidance employees
may contact:
SAMHSA'S 1 -800 -662 -HELP All
Center for Substance Abuse Treatment (4357)
Employee Assistance Program
(209) 333-6704 Please contact Human Resources for
Substance Abuse Professional additional information
Exhibit C
Deleted: shall
Deleted: will
SECTION 3: REASONABLE SUSPICION
Reasonable Suspicion is cause based on subjective evidence and objective facts sufficient to
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 his/her job 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 an
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.
SECTION 4: 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 Human Resources Division 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.
Drug/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 his/her 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 permitted 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 required by federal and/or state laws neieted ,, or as part of a last chance
The City of Lodi shall require every covered employee who performs a safety-sensitive-haagreemeatio °onjunetion With
rehabilitation
function as described in the FTA regulations Part 655 to submit to a pre-employment,
post -accident, random, reasonable suspicion, or a follow-up drug and alcohol test as _ Deleted: return -to -duty
described in this policy.
An employee may be asked to submit to a urine 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 employee be directed to undergo drug/alcohol testing the following provisions
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. Alcohol testingiypermitted just before, during just after the performance of
safety -sensitive duties.
D. If the initial test result is positive and the confirmation test result is negative, the overall
screening is considered negative.
E.—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.
F. 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.
G. 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 (MG/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.
H. The results of the drug screening shall be reviewed by a Medical Review Officer
(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 EAP staff is confidential unless 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 reports 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 by law 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 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. The information obtained must include:
1. Information of the employee's alcohol test in which a breath alcohol
concentration of 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.
SPECIMEN COLLECTION PROCEDURE
When an individual is directed by the City to the medical provider for drug/alcohol
screening, the following procedure is observed:
1. 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
identification verification, removal of all unnecessary garments and bags prior to
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's presence.
5. An employee will be selected at random each quarterly draw to complete a portion
of a Collection Audit 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 free mock
collections. The five mock collections must include two uneventful collection scenarios, one insufficient quantity of urine
scenario, one temperature out of range scenario, and one scenario in which the employee refuses to sign the CCF and initial the
Deleted: If not feasible, the information
should be obtained no later than thirty
(30) days after the first time an employee
performs safety -sensitive functions.
specimen bottle tamper evident seal.
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 arise during the testing process.
PREPARATION OF RESTROOM
Step -1 Did the collector properly secure all water sources and add
bluing agent to the toilet?
Step -2 Did the collector ensure that there are no foreign Yes No
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 No
show the donor the instructions on the back of the CCF?
COLLECTION OF URINE SAMPLE
Step -1 Did the collector require to see a valid ID from donor?
Yes No
Step -2 Did the collector require the donor to empty pockets?
Yes No
Step -3 Did the collector require the donor to remove hat, jacket?
Yes No
Step -4 Did the collector require the donor to wash and dry hands?
Yes No
Step -5 Did the collector let the donor pick the cup to be used for
Yes No
collection?
Step -6 Did the collector open the cup in front of the donor?
Yes No
Step -7 Did the collector instruct the donor to provide at least 45ml of
Yes No
urine and to come out of the restroom within 4 minutes?
Step -8 Did the collector ensure that the donor does not take anything
Yes No
other than the collection cup with them into the restroom?
Step -9 Did the collector instruct the donor not to flush the toilet?
Yes No
Step -10 Did the collector read the temp strip and mark it on the CCF?
Yes No
Step -11 Did the collector pour the urine into two vials in front of the
Yes No
donor?
Step -12 Did the collector write the date on the seal strips?
Yes No
Step -13 Did the collector have the donor initial the seal strips directly on
Yes No
the vials?
Step -14 Did the collector sign all appropriate boxes accordingly on the
Yes No
CCF?
Step -15 Did the collector have the donor sign the CCF (step 5) and did the
Yes No
collector verify the name written on the CCF?
Step -16 Did the collector seal up the specimen in the pouch correctly?
Yes No
Exhibit D
CITY OF LODI
ADMINISTRATIVE POLICY AND PROCEDURE MANUAL
SUBJECT: DRUG AND ALCOHOL TESTING - Policy
DATE ISSUED:
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 Testing Act of
1991
SECTION 1: PURPOSE
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 of the 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 Puman Resources Division for additional information. �eieted: rersonnei nePartment
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 rehabilitation programs.
SECTION 3: CITY ADM NISTRATOR
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
SECTION 4: 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's job duties do not include performing a "safety sensitive function."
SFC TTON 5 • 1)F.FTNTTTONS
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 incur disabling damage as the result of the occurrence and are
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 210 liters 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 instructs 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 confirmatorX, Test: For alcohol testing means a second test, following a
screening test with a result of 0.012L2j or greater, that provides quantitative 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 (drug): 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.
Performingaty-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 known 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. Testingis s only permitted just before, during and just after the performance of safety -
sensitive duties. In controlled substance testing, an immunoassay screen to eliminate "negative"
urine specimens from further analysis.
Substance Abuse 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 rating of more than 10,000 pounds;
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 Transportation Act.
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 may be subject to "call -out" for emergency situations, and who may be
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 approved by 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/she 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
if the employee tests positive for 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 substances while on duty.
1. 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 performance 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 substances test 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 adulterate the urine specimen or collection procedure;
F. Not reporting to the collection site in the time allotted by the supervisor or manager who directs
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.
H. A failure to undergo medical examination.
L A failure to permit monitoring/observation.
A failure to take a second test.
K. Providing a verified adulterated or substituted sample.
L. A failure to remain until the testing process is complete.
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 sensitive position 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 sensitive position until after a verified Deleted: if they ao not pass the tests
negative drug test result.
If the applicant has previously worked for a DOT employer and has previously failed or refused a
pre-employment drug test administered under this part within the past two years, the applicant is not
eligible for the position.
If a pre-employment drug test is canceled, the City shall require the covered employee or applicant
to take another pre-employment drug test administered under this part with a verified ne ag tive
result.
When a covered employee or applicant has not performed a safety -sensitive function for 90
consecutive calendar days regardless of the reason, and the employee has not been in the Cites
random selection pool during that time, the City shall ensure that the employee takes a pre-
employment drug test with a verified negative result.
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. 49 CFR part 655 criteria for testing is fatality, the need for Deleted: If a fatality occurs, the
medical attention away from the scene, and/or disabling damage to the vehicle. An employee must employee will be tested irrespective of
whether his/her involvement may be
receive emerlrencv medical care before being reauired to submit to a Dost accident drue and discounted.
alcohol test
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 following the accident. If the appropriate test is not administered within two
(2) hours following the accident, the employee's supervisor shall immediately provide written
documentation to the Buman Resources Manager stating the reasons why the test was not prompter Deleted: Personnel Director
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, or just 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) TestiM rates are determined by the appropriate
regulatory agency.
(3) JThe selection of employees for random drug and
alcohol testing shall be made by a scientifically valid method, such as a random number table or a \
computer-based random number generator. Each covered employee shall have an equal chance of
being tested each time selections are made.
(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
written notice indicating the time he/she is to report to the lab for testing.
(5) The City shall ensure that the dates for administering
random tests are spread reasonably throughout the calendar year. Random testing must be
conducted at all times of day when safety -sensitive functions are performed.
(6) Random tests are unannounced and immediate.
There is an equal chance of selection on each draw with no discretion on the part of management.
D. Reasonable Suspicion Testing_: Covered employees are also required to submit to an alcohol
or drug test when a trained supervisor has reasonable suspicion to 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.
A covered emDlovee shall only be randomlv tested for alcohol misuse while the emDlovee is
Derformine safetv-sensitive functions: iust before the emDlovee is to Derform safetv-sensitive
functions; or just after the employee has ceased performing such functions.
To ensure that supervisors are trained to make reasonable suspicion determinations, supervisors I
vested with the authority to demand a reasonable suspicion drug and alcohol test will attend at least
one hour of training on alcohol misuse 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. I
SECTION 11: CONSEQUENCES OF FAILING AN ALCOHOL AND/OR
DRUG TEST
Deleted: 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 t
Deleted: subject to change as
Deleted: Some employees may be
tested more than once in a year, while
others are not tested at all depending on
the random selection.
Deleted: 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.
Deleted: ¶
E. Return -To -Duty Testing_ Prior to
returning to duty, any employee who has
tested positive shall undergo a retum-to-
duty alcohol test with a result indicating
an alcohol concentration of less than 0.01
and/or a controlled substance test with a
result indicating a verified negative result
for controlled substance use.¶
Deleted: F. Follow-up Testing_ Any
employee who has been certified by 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 and/or
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 SAP 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.¶
A positive result from a drug or alcohol fest will result in the mandatory removal of the employ Deleted: (concentration of 0.04 or
from the safety -sensitive position. Consequences shall include discipline, up to and including greater)
termination. An employee that produces a dilute negative specimen will be required to take another Deleted: may result m disciplinary
action, up to and including
test immediately.
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 METHODS 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 of this policy and its procedure.
Deleted: If a covered employee is not
terminated, the employee:¶
I
A. Must be removed from performing
any safety -sensitive function;¶
B. Must submit to an examination by a
substance abuse professional. Upon a
determination by the substance abuse
professional, the employee may be
required to undergo treatment to cure
his/her alcohol or drug abuse.¶
C. May not be returned to his/her
former safety -sensitive position until the
employee submits to a return -to -duty
controlled substance and/or 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 substance
test;¶
T
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.E
above.¶
T
APPENDIX A
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
and Alcohol Testing Policy.
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.
Employees may be included in more than one listing below in accordance to the various
regulatory agencies under which their work specification is assigned. All covered
employees shall be managed as one pool for testing j2pMoses and shall be tested in
accordance with the highest level of testing required.
Federal Motor Carrier Safety Administration (FMCSA)
Alcohol testing administered at 10% of the total number of covered employees
Drug test administered to at least 50% of covered employees
(1) Public Works Department
Equipment Maintenance Division
Lead Equipment Mechanic
Welder Mechanic
Heavy Equipment Mechanic
Equipment Service Worker
Fleet Services Supervisor
Deleted: Parts Worker¶
Street Division
Street Supervisor
Street Maintenance Worker III
Laborer Maintenance Worker I/II
Water/Wastewater Division
Water/Wastewater Supervisor
Plant and Equipment Mechanic
Water/Wastewater Maintenance Worker III
Laborer/Maintenance Worker I/II
(2) Electric Utility Department
Apprentice Lineman/Linewoman
Electric Lineman/Linewoman
Electric Foreman/Forewoman
glectric Apparatus Mechanic
Utility Equipment Specialist
A covered employee includes regular and part-time/temporary employees in the above listed
classifications.
Federal Transit Administration (FTA)
Alcohol testing administered at 10% of the total number of covered employees
Drug test administered to at least 25% of covered employees
(1) Public Works Department
Equipment Maintenance Division
Lead Eqp�ipment Mechanic
Welder Mechanic
Heavy Equipment Mechanic
Equipment Service Worker
Fleet Services Supervisor
Unites States Coast Guard (USCG)
No alcohol testing required per Coast Guard regulations
tions
Drug test administered to at least 50% of covered employees
Small Vessel Operators
Deleted: Electric Troubleshooter¶
CITY OF LODI
ADMINISTRATIVE POLICY AND PROCEDURE MANUAL
SUBJECT: DRUG AND ALCOHOL TESTING - Procedure
DATE ISSUED:
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 Testing Act of
1991
SECTION 1:
PURPOSE
The purpose of this procedure is to delineate the application
of the Omnibus Transportation Employee Testing Act under the regulations of the Federal Highway
Administration (FHWA).
SECTION 2: EFFECTIVE DATE
This procedure shall be effective,
SECTION 3: ALCOHOL TESTING , CONTROLLED SUBSTANCE
COLLECTION, AND LABORATORY SITES
The identity and locations of the alcohol testing, controlled
substance collection, and laboratory sites and facilities shall be retained in the Human Resources
Division and shall be made immediately available upon request.
SECTION 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
Exhibit E
Deleted: July 20, 2007
procedure, at the time of collection and/or testing, the employee is to have in his/her possession an
appropriate form of identification.
SECTION 5: PRE-EMPLOYMENT TESTING
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 offer of employment to the candidate, and of the candidate's acceptance
of this offer. The hiring department shall refer the candidate to the Human Resources Division.
The Human Resources Division 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 Human Resources Division 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 concentration result of 0.01 or greater, positive controlled substances test 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
after the first time an employee performs safety -sensitive functions. The employee shall not
perform any safety -sensitive functions after fourteen (14) calendar days without obtaining the
information.
F. 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 for which the employee performed safety -sensitive functions in the previous
two years. jThe information obtained must include: _
1. Information of the employee's alcohol test in which a breath alcohol
concentration of 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.
Deleted: The information must be
obtained and reviewed prior to the first
time an employee performs safety -
sensitive functions. Lf not feasible, the
information should be obtained no later
than thirty (30) days after the first time an
employee perforins safety -sensitive
functions.
SECTION 6: RANDOM TESTING
All covered employees shall be subject to periodic random
testing. In accordance with, and subject to modification by the DOT, employees shall be tested at
the minimum 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. Covered 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. Employee 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 job 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 Testing Policy.
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 -sensitive functions of his/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 Human Resources Manager 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 supervisor to 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 drugs.
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 Human Resources Manager and report the status of such testing.
SECTION 8: POST -ACCIDENT TESTING
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 Human Resources Manager 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 Human Resources Manager within one (1) working day of the 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 of the test(s).
SECTION 9: SUBSTANCE ABUSE PROFESSIONAL (SAP)
SERVICES
Each employee who engages in conduct prohibited by this
Policy and Procedure shall beTeferred to a SAPfor treatment at their own expense.
SECTION 10: SPECIFIED PROCEDURES
Specific procedures 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
Deleted: evaluated by
Deleted: who shall determine what
assistance, if any, the employee needs in
resolving problems associated with
alcohol misuse and controlled substance
use
Deleted: 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
retum-to-duty alcohol test with a result
indicating an alcohol concentration of
less than 0.01 if the conduct involved
alcohol, or a controlled substance test
with a verified negative result if the
conduct involved a controlled substance.¶
T
. In addition, each employee
identified as needing assistance in
resolving problems associated with
alcohol misuse or controlled substances
use shall be:¶
A. evaluated by a SAP to
determine that the employee has properly
followed any rehabilitation program
prescribed under, and¶
T
B. subject to unannounced
follow-up alcohol and controlled
substance tests administered by the City
following the employee's return to duty.
APPENDIX A
ALCOHOL TESTING METHODOLOGY AND PROCEDURES
L 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. Quality 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, sufficient to prevent
unauthorized persons from seeing or hearing test results.
II. ALCOHOL TESTING PROCEDURES
A. Preparation for Testing_ Prior to being tested, the BAT shall require the employee to
provide a photo identification and shall explain the testing procedure to the
employee.
B. Procedures for Screening Test: The following procedures shall be followed:
1. 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 of breath 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.
(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 manner, 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 confirmation test shall be performed.
7. If the confirmation test will be conducted by 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.
C. Procedures for Confirmation Test: The following procedures 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 than 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 of the form.
3. 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 administered 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 instrument.
However, testing may proceed on another instrument.
5. Any EBT taken out of service because of failure to perform an air blank
accurately shall not be used for testing 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 confirmation test results are not identical,
the confirmation test result is deemed to be the final result upon which any
action under operating administration rules shall be based.
7. a. 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).
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 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 this 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 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 invalid 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 invalid.
a. The BAT shall transmit all results to the City in a confidential manner.
The Human Resources Manager 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
confidentiality is 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
1. This section sets forth procedures to be followed in any case in which an
employee is unable, or alleges that he 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 shall be 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
administration of the test;
4. The BAT does not sign the required form;
5. The BAT has failed to note on the remarks section of the form that 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.
APPENDIX B
CONTROLLED SUBSTANCES TESTING PROCEDURE
I. URINE SPECINIEN COLLECTION: The following procedures 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 specimen provided.
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 - 99.80F), and
a. The employee declines to provide a measurement of oral body
temperature; or
b. Oral body temperature varies by more than 1°C/1.8°F from the
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 concentration below .2g/L;
3. 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.); or
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 Human Resources
Manager, 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 coat or jacket that might 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 ml 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 shall be
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 ml of urine from the specimen bottle into a second
specimen bottle (to be used as the primary specimen) and retain 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 primary specimen. The MRO shall honor such a request if 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 of the rest of the 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
employee for a medical evaluation to develop pertinent 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.1., 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 be sealed (by placement of a tamper-
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 certifying that 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 from him/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 custody and 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) a new collection begun.
H. Chain -of -Custody: 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.
I.
II.
APPENDIX C
CONTROLLED SUBSTANCE TESTING METHODOLOGY
APPROPRIATE LABORATORY
The City of Lodi shall utilize a DHHS certified laboratory for the processing of all
controlled substance tests. The identification of such laboratory may be obtained by
contacting the Human Resources Manager.
INITIAL TEST
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:
Marijuana metabolites 100 ng/ml
Cocaine metabolites
300 ng/ml
Opiate metabolites
*300 ng/ml
Phencyclidine
25 ng/ml
Amphetamines
1,000 ng/ml
*25 ng/ml if immunoassay 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 of these 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/ml
Cocaine metabolite
150 ng/ml
Opiates:
Morphine
300 ng/ml
Codeine
300 ng/ml
Phencyclidine
25 ng/ml
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.
IV. 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 specimen by 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 identification number (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 various electronic means (for
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 retrieval 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 Human Resources Manager 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 screened positive for:
Marijuana metabolites
Cocaine metabolites
Opiate metabolites
Phencyclidine
Amphetamine
2. Confirmatory Testing:
a. Number of specimens received for confirmation;
b. Number of specimens confirmed positive 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 will 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.
APPENDIX D
TEST RESULTS
I. 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
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.
II. 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 him/her.
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 make the initial contact, and a medically licensed or
certified staff person may gather information from the employee. Except as
provided in paragraph II.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 circumstances provided for in DOT agency drug testing regulations.
F. If a test is verified positive under the circumstances specified in paragraphs II.E.1-3,
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 Formatted: Highlight
the City's employee assistance program and notify the City's Risk Manager of the
test results.
III. VERIFICATION FOR OPIATES; REVIEW FOR PRESCUPTION 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-monocetylmorphine.)
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
verification process.
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
£
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 may be disclosed.
APPENDIX E
CONFIDENTIALITY AND RECORDKEEPING
I. CONFIDENTIALITY AND 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
Human Resources Manager. The reports or test results shall be disclosed to
City management on a strictly need -to -know basis and to the tested
employee upon request. Disclosures, without consent, may also occur when:
1. the information is compelled by law or by judicial or
administrative process;
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 and/or 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 with 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:
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 substances tests,
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 summary.
2. Two Years. Records related to the alcohol and controlled substances
collection process (except calibration of evidential breath testing
devices) and training 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 minimum 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 selection process;
C. Calibration documentation for evidential breath testing
devices;
d. Documentation of breath alcohol technician training;
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 calendar year summaries.
2. Records related to an employee's results:
a. The City's copy of the alcohol test form, including the results
of the 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.
Ego It
From "Drug and Alcohol Testing — Policy"
SECTION 11: CONSEQUENCES OF FAILING AN ALCOHOL AND/OR
DRUG TEST
A positive result from a drug or alcohol test may re
will result in the mandatory removal of the emulovee
termination. An employee that produces a dilute negative specimen will be reauired to take another
RESOLUTION NO. 2008-75
A RESOLUTION OF THE LODI CITY COUNCIL
AMENDING THE CITY OF LODI DRUG FREE
WORKPLACE POLICY AND 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 amended it on July 18,2007; and
WHEREAS, due to Federal Transportation Administration 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 does hereby
amend 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 RESOLVEDthat the effective date of this policy shall be May 8,
Dated: May 7, 2008
I hereby certify that Resolution No. 2008-75 was passed and adopted by the City
Council of the City of Lodi in a regular meeting held May 7, 2008, by the following vote:
AYES: COUNCIL MEMBERS — Hansen, Hitchcock, Johnson, Katzakian,
and Mayor Mounce
NOES: COUNCIL MEMBERS — None
ABSENT: COUNCIL MEMBERS—None
ABSTAIN: COUNCIL MEMBERS — None
4RN OHL
City Clerk
2008-75
CITY OF LODI
SUBJECT:
1EXHIBIT-Al
ADMINISTRATIVE POLICY AND PROCEDURE MANUAL
DRUG-FREE WORKPLACE - Policy
DATE ISSUED: May 7,2008
SECTION:
REFBRENCE 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 with 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's property 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 j ob can adversely affect j ob performance
and ernployee/public safety. The City respects the privacy of its employees and contractors
unless involvement with drugs and/or alcohol off the j ob adversely affects j ob performance
and employee/public- safety.
SECTION 3: COMPLIANCE
The U.S. Department of Transportation DOT has published 49 CFR. Rat 29,
implementing the 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
GFR (Code of Federal Regulations) Part 655 and 382 mandates urine drug testing and
breathalyzer alcohol testing, for employees performing safety -sensitive functions. The
regulation prevents the performance of safety -sensitive functions when there is a positive
test result or test refusal. A safetv-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 of payments 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 occumng 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 occumng 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 drug 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
drug/alcohol 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 carnes 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 employee taking prescribed drugs which may interfere with safe work performance is
required to provide written documentation from the prescribing physician indicating the
level of interference with job 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 conjunction with
Human Resources. Failure to notify a supervisor may result in disciplinary action in
accordance with City policy and procedure. An employee may be required to provide a
statement from a licensed physician, indicating when the employee is able to work safely, or
any limitations she/he 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
concentration of 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 applicant will not be eligible
for the position. 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
1EXHIBIT e
ADMINISTRATIVE POLICY AND PROCEDURE MANUAL
SUBJECT DRUG-FREE WORKPLACE - Procedure
DATE ISSUED: May 7, 2008
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 Disabilities Act 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 the process by
which to address the issues raised by such use.
SECTION2: SUPPORT SERVICES/EDUCATION /TRAINING
All employees may receive educational information and training regardingthe detection and
deterrence associated with the use of illegal drugs and alcohol use. Safety Sensitive
employees may receive training annually. For immediate support and guidance employees
may contact:
SAMHSA'S 1 -800 -662 -HELLP All
Center for Substance Abuse Treatment (4357)
Employee Assistance Program
(209) 333-6704 Please contact Human Resources for
Substance Abuse Professional additional information
SECTION 3: REASONABLE SUSPICION
Reasonable Suspicion is cause based on subjective evidence and objective facts sufficient to
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 hislher 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 an
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 he individually examined,
obtaining as much evidence of impairment as possible.
SECTION 4: 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 Human Resources Division 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.
Drug/alcohol testing is used as a last resort after an employee refuses an EAP referral or
EAP recommendations are rejected.
After a supervisorhas received training on druglalcohol 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 his/her 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 permitted 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 required by federal and/or state law.
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, or a follow-up drug and alcohol test as
described in this policy.
An employee may be asked to submit to a urine 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 employee be directed to undergo drug/alcohol testing the following provisions
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. Alcohol testing is only permitted just before, during, and just after the
performance of safety -sensitive duties.
D. If the initial test result is positive and the confirmation test result is negative, the overall
screening is considered negative.
E. 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 bome by the employee.
F. 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.
G. 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.
H. The results of the drug screening shall be reviewed by a Medical Review Officer
(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 lett 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 EAP staff is confidential unless 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 reports 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 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. The information obtained must include:
1. Information of the employee's alcohol test in which a breath alcohol
concentration of 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.
SPECIMEN COLLECTION PROCEDURE
When an individual is directed by the City to the medical provider for drug/alcohol
screening, the following procedure is observed:
1. 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.
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
identification verification, removal of all unnecessary garments and bags prior to
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's presence.
5. An employee will be selected at random each quarterly draw to complete a portion
of a Collection Audit 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 wnsecutive error free mock
collections. The five mock collections must include two uneventful collection scenarios, one insufficient quantity of urine
scenario, one temperature out of range scenario, and one scenario in which the employee refuses to sign the CCF and initial the
specimen bottle tamper evident seal.
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 arise during the testing process.
PREPARATION OF RESTROOM
Step -1 Did the collector properly secure all water sources and add
bluing agent to the toilet?
Step -2 Did the collector ensure that there are no foreign
Yes No
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 No
show the donor the instructions on the back of the CCF?
COLLECTION OF URINE SAMPLE
Step -1 Did the collector require to see a valid ID from donor?
Yes No
Step -2 Did the collector require the donor to empty pockets?
Yes No
Step -3 Did the collector require the donor to remove hat, jacket?
Yes No
Step4 Did the collector require the donor to wash and dry hands?
Yes No
Step -5 Did the collector let the donor pick the cup to be used for
Yes No
collection?
Step -6 Did the collector open the cup in front of the donor?
Yes No
Step -7 Did the collector instruct the donor to provide at least 45ml of
Yes No
urine and to come out of the restroom within 4 minutes?
Step -8 Did the collector ensure that the donor does not take anything
Yes No
other than the collection cup with them into the restroom?
Step -9 Did the collector instruct the donor not to flush the toilet?
Yes No
Step -10 Did the collector read the temp strip and mark it on the CCF?
Yes No
Step -11 Did the collector pour the urine into two vials in front of the
Yes No
donor?
Step -12 Did the collector write the date on the seal strips?
Yes No
Step -13 Did the collector have the donor initial the seal strips directly on
Yes No!
the vials?
Step -14 Did the collector sign all appropriate boxes accordingly on the
Yes No
CCF?
Step -15 Did the collector have the donor sign the CCF (step 5) and did the
Yes No
collector verify the name written on the CCF?
Step -16 Did the collector seal up the specimen in the pouch correctly?
yes No
RESOLUTION NO. 2008-76
A RESOLUTION OF THE LODI CITY COUNCIL
AMENDING THE DRUG AND ALCOHOL TESTING
POLICYAND THE DRUG AND ALCOHOL
TESTING PROCEDURESTO 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 amended it on July 18,2007; and
WHEREAS, due to Federal Transportation Administration requirements applying
to employees who operate or maintain Department of Transportation funded equipment
and machinery, an amendmentto that policy is required.
NOW, THEREFORE, BE IT RESOLVED that the Lodi City Council does hereby
amend 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 RESOLVEDthat the effective date of this policy shall be May 8,
M
Dated: May 7, 2008
I hereby certify that Resolution No. 2008-76 was passed and adopted by the City
Council of the City of Lodi in a regular meeting held May 7, 2008, by the following vote:
AYES: COUNCIL MEMBERS— Hansen, Hitchcock, Johnson, Katzakian,
and Mayor Mounce
NOES: COUNCIL MEMBERS — None
ABSENT: COUNCIL MEMBERS — None
ABSTAIN: COUNCIL MEMBERS — None
J&JOHIL
City Clerk
CITY OF LODI
AD]
SUBJECT
DATE ISSUED:
SECTION:
REFERENCE:
SECTION 1:
AND
MANUAL
fEXHIBITAI
DRUG AND ALCOHOL TESTING - Policy
May 7,2008
C
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
PURPOSE
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 of the 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 EAF° provider, or the Human Resources Division
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 rehabilitation programs.
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
SECTION 4: 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.""
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 incur disabling damage as the result of the occurrence and
are 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 210 liters 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 instructs and assists
individuals in the alcohol testing process and operates an evidential breath testing
device (EBT).
Chain of Custodv: 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 0.01`' or greater, that provides quantitative
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 (drug): 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 Safetv-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 known as initial testi In alcohol testing, an analytical
procedure to determine whether an employee may have a prohibited concentration of
alcohol in a breath specimen. Testing is only permitted just before, during, and just
after the performance of safety -sensitive duties. In controlled substance testing, an
immunoassay screen to eliminate "negative" urine specimens from further analysis.
Substance Abuse Professional(SAP): A SAP
SECTION 6: SAFETY-SENSITIVEFUNCTIONS
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 rating of more than
10,000 pounds;
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 Transportation Act.
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 may be subject to "call -out" for
emergency situations, and who may be 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 approved by
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/she 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 if the employee tests positive for 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
substances while 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 performance 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 substances test 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 adulterate the urine specimen or collection
procedure;
F. Not reporting to the collection site in the time allotted by the supervisor or
manager who directs 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.
H. A failure to undergo medical examination.
I. A failure to permit monitoring/observation..
J. A failure to take a second test.
K. Providing a verified adulterated or substituted sample.
L. A failure to remain until the testing process is complete.
SECTION 9: CONSEQUENCES FOR EMPLOYEES FOUND TO
HAW 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 sensitive position for at least twenty-
four (24)hours.
SECTION 10: CIRCUMSTANCES UNDER WHICH DRUG AND
ALCOHOL TESTING WILL BE IMPOSED ON
COVERED EMPLOYEES
A. Pre-Emalovment 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-employmenUpre-
duty drug and alcohol testing. Applicantsiemployees will not be assigned to a safety
sensitive position until after a verified negative drug test result.
If the applicant has previously worked for a DOT employer and has previously failed
or refused a pre-employment drug test administered under this part within the past
two years, the applicant is not eligible for the position.
If a pre-employment drug test is canceled, the City shall require the covered employee
or applicant to take another pre-employment drug test administered under this part
with a verified negative result.
When a covered employee or applicant has not performed a safety -sensitive function
for 90 consecutive calendar days regardless of the reason, and the employee has not
been in the City's random selection pool during that time, the City shall ensure that
the employee takes a pre-employment drug test with a verified negative result.
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. 49 CFR part
655 criteria for testing is a fatality, the need for medical attention away from the
scene, and/or disabling damage to the vehicle. An employee must receive emergency
medical care before being required to submit to a post accident drug and alcohol test.
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 following the accident. If the
appropriate test is not administered within two (2) hours following the accident, the
employee's supervisor shall immediately provide written documentation to the Human
Resources Manager 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, or just 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) Testing rates are determined by the
appropriate regulatory agency.
(3) The selection of employees for random drug
and alcohol testing shall be made by a scientifically valid method, such as a random
number table or a computer-based random number generator. Each covered employee
shall have an equal chance of being tested each time selections are made.
(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 written notice indicating the time he/she is to report to the lab
for testing.
(5) The City shall ensure that the dates for
administering random tests are spread reasonably throughout the calendar year.
Random testing must be conducted at all times of day when safety -sensitive functions
are performed.
(6) Random tests are unannounced and
immediate. There is an equal chance of selection on each draw with no discretion on
the part of management.
D. Reasonable Suspicion Testing_ Covered employees are also required to submit to
an alcohol or drug test when a trained supervisor has reasonable suspicion to 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.
A covered employee shall only be randomly tested for alcohol misuse while the
employee is performing safety -sensitive functions; just before the employee is to
perform safety -sensitive functions; or just after the employee has ceased performing
such functions.
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 misuse 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.
SECTION 11: CONSEQUENCES OF FAILING AN ALCOHOL
AND/OR DRUG TEST
A positive result from a drug or alcohol test shall result in the mandatory removal of
the employee from the safety -sensitive position. Consequences may include discipline,
up to and including termination. An employee that produces a dilute negative
specimen will be required to take another test immediately.
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 METHODS 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 of this policy and its procedure.
APPENDIX A
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 MsUWPolicy.
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.
Employees may be included in more than one listing below in accordance to the various
regulatory agencies under which their work specification is assigned. All covered
employees shall be managed as one pool for testing purposes and shall be tested in
accordance with the highest level of testing required.
Federal Motor Carrier Safety Administration (FMCSA)
Alcohol testing administered at 10%of the total number of covered employees
Drug test administered to at least 50`!0 of covered employees
(1) Public works Department
Eeui=ent Maintenance Division
Lead Equipment Mechanic
Welder Mechanic
Heavy Equipment Mechanic
Equipment Service Worker
Fleet Services Supervisor
Street Division
Street Supervisor
Street Maintenance Worker III
Laborer Maintenance Worker VII
Water/Wastewater Division
Water/Wastewater Supervisor
Plant and Equipment Mechanic
Water/Wastewater Maintenance Worker III.
Laborer/Maintenance Worker I/II
(2) Electric Utilitv Deuartment
Apprentice Lineman/Linewoman
Electric Lineman/Linewoman
Electric Foreman/Forewoman
Electric Apparatus Mechanic
Utility Equipment Specialist
A covered employee includes regular and part-time/temporary employees in the above
listed classifications.
Federal Transit Administration (FTA)
Alcohol testing administered at 10% of the total number of covered employees
Drug test administered to at least 25`70 of covered employees
(1) Public Works Deuartment
Ecxuipment Maintenance Division
Lead Equipment Mechanic
Welder Mechanic
Heavy Equipment Mechanic
Equipment Service Worker
Fleet Services Supervisor
Unites States Coast Guard (USCG}
No alcohol testing required per Coast Guard regulations
Drug test administered to at least 50%of covered employees
Small Vessel Operators
EXHIBIT BI
CITY OF LODI
ADMINISTRATIVE POLICY AND PROCEDURE MANUAL
SUBJECT: DRUG AND ALCOHOL TESTING
Procedure
DATE ISSUED: May 7,2008
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 Testing
Act of 1991
SECTION 1: PURPOSE
The purpose of this procedure is to delineate the
application of the Omnibus Transportation Employee Testing Act under the
regulations of the Federal Highway Administration (FHWA).
SECTION 2:
SECTION 3•
EFFECTIVE DATE
This procedure shall be effective
ALCOHOL TESTING CONTROLLED
SUBSTANCE COLLECTION. AND LABORATORY
SITES
The identity and locations of the alcohol testing,
controlled substance collection, and laboratory sites and facilities shall be retained in
the Human Resources Division and shall be made immediately available upon
request.
SECTION 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 and/or testing, the employee is to
have in his/her possession an appropriate form of identification.
SECTION 5: PRE-EMPLOYMENT TESTING
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 offer of employment to the candidate, and
of the candidate's acceptance of this offer. The hiring department shall refer the
candidate to the Human Resources Division. The Human Resources Division 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 Human Resources Division
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 concentration result of 0.01 or greater, positive
controlled substances test 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 after the first time an employee
performs safety -sensitive functions. The employee shall not perform any safety -
sensitive functions after fourteen (14) calendar days without obtaining the
information.
F. 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 for which the employee performed safety -sensitive functions in the previous
two years. The information obtained must include:
1. Information of the employee's alcohol test in which a breath alcohol
concentration of 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 covered employees shall be subject to periodic
random testing. In accordance with, and subject to modification by the DOT,
employees shall be tested at the minimum 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. Covered 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. Employee 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 thejob 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 theDrug and Alcohol Testing
Policy.
C. Alcohol testing is authorized only if the
observations leading to reasonable suspicion are made during, just preceding, orjust
after the period of the work day that the employee is performing the safety -sensitive
functions of his/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 alcohoUdrug testing on such basis.
E. The supervisor or manager shall immediately
contact his/her supervisor and the Human Resources Manager 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 supervisor to 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 drugs.
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 Human Resources Manager and report the status of such testing.
SECTION 8: POST -ACCIDENT TESTING
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 i s 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 Human Resources Manager 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 Human Resources Manager within one (1)
working day of the 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'shome after completion of the testing and collection.
F. The employee shall be placed upon
administrative leave with pay pending the outcome of the test(s),
SECTION 9: SUBSTANCE ABUSE PROFESSIONAL (SAF)
SERVICES
Each employee who engages in conduct prohibited by
this Policy and Procedure shall be referred to a SAP for treatment at their own
expense.
SECTION 10: SPECIFIED PROCEDURES
Specific procedures 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
APPENDIX A
ALCOHOL TESTING METHODOLOGY AND 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. Quality Assurance Plan (OAK 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,
sufficient to prevent unauthorized persons from seeing or hearing test
results.
II. ALCOHOL TESTING PROCEDURES
A. Preparation for Testing: Prior tDbeing tested, the BAT shall require the
employee to provide a photo identification and shall explain the testing
procedure to the employee.
B. Procedures for Screening Test: The following procedures shall be
followed:
1. 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 of breath 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.
(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 manner, 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 confirmation test shall be performed.
7. If the confirmation test will be conducted by 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.
C. Procedures for Confirmation Test: The following procedures shall be
followed:
1. 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 than 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 of the form.
3. 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 administered 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 instrument. However, testing may proceed
on another instrument.
5. Any EBT taken out of service because of failure to perform an air
blank accurately shall not be used for testing 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 confirmation test results are
not identical, the confirmation test result is deemed to be the final
result upon which any action under operating administration
rules shall be based.
7. a. 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).
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 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 refusal to be tested. In this 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 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 invalid 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 invalid.
9. a. The BAT shall transmit all results to the City in a confidential
manner. The Human Resources Manager or designee shall
receive and handle alcohol testing results in a confidential
manner. All communications by SATs 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 confidentiality is maintained.
D. Refusals to Test and Uncompleted Tests
1. 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. F 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
1. This section sets forth procedures to be followed in any case in
which an employee is unable, or alleges that he 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 W 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 shall be 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 administration of the test;
4. The BAT does not sign the required form;
5. The BAT has failed to note on the remarks section of the form that
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.
APPENDIX B
CONTROLLED SUBSTANCES TESTING PROCEDURE
I. URINE SPECIMEN COLLECTION The following procedures 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
specimen provided.
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.
1. 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 more than 1°C/1.8°F from
the 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 concentration
below .2g/L;
3. 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.); or
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 Human
Resources Manager, 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 coat or jacket that might
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 rrd 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 shall be 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 ml of urine from the specimen
bottle into a second specimen bottle (to be used as the primary
specimen) and retain the remainder (at least 15 rnl) 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 primary specimen. The MRO shall
honor such a request if 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 of the rest of the 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 employee for a medical evaluation to
develop pertinent 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 be sealed (by
placement of a tamper -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 certifying that 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 from him/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 custody and 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 (atthe election of the City) a new 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.
APPENDIX C
CONTROLLED SUBSTANCE TESTING METHODOLOGY
L APPROPRIATE LABORATORY
The City of Lodi shall utilize a DHHS certified laboratory for the processing of
all controlled substance tests. The identification of such laboratory may be
obtained by contacting the Human Resources Manager.
H. INITIAL TEST
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:
Marijuana metabolites
100ng/ml
Cocaine metabolites
300 ng/ml
Opiate metabolites
*300 ng/ml
Phencyclidine
25 ng/ml
Amphetamines
1,000ng/ml
*25 ng/ml if immunoassay 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 of these substances at other
concentrations.
III. 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 n"
Cocaine metabolite' 150 n"
Opiates:
Morphine 300 ng(ml
Codeine 300 ng/ml
Phencyclidine 25 ng/ml
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.
M 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 specimen by 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 identification number (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 various electronic
means (for 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 retrieval 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 Human Resources Manager 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:
1. Initial Testing:
a. Number of specimens received;
b. Number of specimens reported out; and
C. Number of specimens screened positive for:
Marijuana metabolites
Cocaine metabolites
Opiate metabolites
Phencyclidine
Amphetamine
2. Confirmatory Testing:
a. Number of specimens received for confirmation;
b. Number of specimens confirmed positive 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 will 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.
APPENDIX D
TEST RESULTS
I. 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:
1. 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.
II. 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 him/her,
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 make 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,
test;
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:
1. The employee expressly declines the opportunity to discuss the
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 circumstances provided for in DOT agency drug testing
regulations.
F. If a test is verified positive under the circumstances specified in
paragraphs II.E.1-3, 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
GUMS confirmation testing for opiates confirms the presence of 6-
monocetylmorphine.)
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 drag(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. Y 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 verification process.
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 i£:
1. 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 may be
disclosed.
APPENDIX E
CONFIDENTIALITY AND 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 Human Resources Manager.
The reports or test results shall be disclosed to City management
on a strictly need -to -know basis and to the tested employee upon
request. Disclosures, without consent, may also occur when:
1. the information is compelled by law or by judicial or
administrative process;
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 and/or 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 with the terms of the
employee's consent.
11. 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 substances tests,
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 summary.
2. Two Years. Records related to the alcohol and controlled
substances collection process (except calibration of
evidential breath testing devices) and training shall
maintained for a minimum of two (2)years.
3. One vear. 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
minimum of one (bear.
C. spas of Records: The following specific records shall be
maintained:
testing
1. Records related the collection process:
a. Collection logbooks, if used;
b. Documents relating to the random selection process;
C Calibration documentation for evidential breath
devices;
d. Documentation of breath alcohol technician training;
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 calendar year summaries.
Procedure.
2. Records related to an employee's results:
a. The City's copy of the alcohol test form, including the
results of the 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
4. Records related to evaluations:
a. Records pertaining to a determination by a
substance abuse professional concerning an
employee'sneed 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
programs);
C. Monthly laboratory statistical summaries of
urinalysis; and
d. The City's drug testing policy and procedures.