HomeMy WebLinkAboutResolutions - No. 2007-137RESOLUTION NO. 2007-137
A RESOLUTION OF THE LODI CITY COUNCIL
AMENDING THE DRUG AND ALCOHOL
POLICY AND THE DRUG AND ALCOHOL
PROCEDURES TO MEET DEPARTMENT OF
TRANSPORTATION REQUIREMENTS
WHEREAS, the City of Lodi previously adopted a Drug and . Alcohol Testing.
Policy and Procedure on April 26,1995; and
WHEREAS, due to changes in the Federal requirements applying to employees
who operate or maintain Department of Transportation funded equipment and
machinery, an amendment to that policy is required.
NOW, THEREFORE, BE IT RESOLVED that the. Lodi City Council hereby
amends the Drug and Alcohol Policy and the Drug and Alcohol Procedures to meet.
Department of Transportation requirements, as shown on Exhibit A and B attached
hereto and made a part of this Resolution; and
BE IT FURTHER RESOLVED that the effective date of this policy shall be July
19, 2007.
Dated: July 18, 2007
hereby certify that Resolution No. 2007-137 was passed and adopted by the
City Council of the City of Lodi in a regular meeting held July 18, 2007, by the following
vote:
AYES: COUNCIL MEMBERS =Hansen; 1alzakian; once, an - - -- — —_.
Mayor Johnson
NOES: COUNCIL MEMBERS — None
ABSENT: COUNCIL MEMBERS - Hitchcock
ABSTAIN: COUNCIL MEMBERS — None
RANDI JOHL
City Clerk
2007-137
SUBJECT: DRUG AND ALCOHOL TESTING Policy
DATE ISSUED: July, 2007
SECTION: D
REFERENCE: US DOT (FTA) 49 CFR Park 40;
49 CFR Park 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 f ilfilling 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 unpaired m their ability to perform assigned duties in a safe and "----
productive manner;
Encourage =ployees to seek professional assistance for drug and alcohol abuse or dependency;
Comply with all Federal and State regulations requiring a drug -flee 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 DrugFree Workplace Policy
and Procedure.
SECTION 2: EMPLOYEE ASSISTANCE PROGRAM
The City has established a voluntary Employee Assistance Program (EAP) to aid those employees
who voluntarily seek help for alcohol or drug problems. Employees should contact their
supervisors, the EAP provider, or the Personnel Department for additional information.
Employees who think they may have an alcohol or drug usage problem are encouraged to
voluntarily seek confidential assistance from the EAP or other available resources. Employees who
voluntarily come forward and seek assistance will not be disciplined solely for having or admitting a.
drug or alcohol problem. The City will take into consideration employees' performance problems
caused by such dependency. The voluntary seeking of treatment shall not provide immunity from
disciplinary action which were proposed or in process. However, action on related problems may
be postponed pending successful resolution of the usage problem. Successful completion of a drug
or alcohol treatment program shall be considered when determining disciplinary actions. While the
City will be supportive of those who seek help voluntarily, the City will be equally firm in
identifying and disciplining those who continue to be substance abusers and do not voluntarily seek
help or continue substance abuse even while enrolled in counseling or 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
-__ Etnplo�}eea iu_lassific�ttQns_listed,in,Annendic_A_are,:. overcdem ko ees because thq. 3erform.
"safety sensitive functions" as described in Section 6 below, and thus are subject to all of the
provisions of this policy. t't
An employee may be given a written exemption from this Policy by Human Resources, if the
employee's job duties do not include pedorning a "safety sensitive function.11
aEMON 5: DEFINITIONS
Accident: Means an occurrence associated with the operation of a vehicle, if as a result:
1) An individual dies;
2)An individual suffers a bodily injury and immediately receives medical treatment away from
the scene of the accident;
3) One or more vehicles incurs disabling damage as the result of the occurrence and is transported
away from the scene by a tow truck or other vehicle. For purposes of this definition, "disabling
damage" means damage which precludes departure of any vehicle from the scene of the occurrence
in its usual manner in daylight after simple repairs. Disabling damage includes damage to vehicles
that could have been operated but would have been further damaged if so operated; but does not
include damage which can be remedied temporarily at the scene of the occurrence without special
tools or parts, tire disablement without other damage even if no spare tire is available, or damage to
headlights, taillights, turn signals, horn, or windshield wipers that makes the inoperative; or
4) When a State or local law enforcement authority issues a citation to the covered employee for a
moving violation arising from the accident.
Alcohol: The intoxicating agent in beverage alcohol, ethyl alcohol or other low molecular weight
alcohols including methyl and isopropyl alcohol.
Alcohol Concentration: The alcohol in a volume of breath expressed in terms of grants 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 BA An individual who instructs and assists individuals in the
alcohol testing process and operates an evidential breath testing device (EBT).
Chain of Custod r: 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 Lor confirmatory) Test: For alcohol testing means a second test, following a
----- - sereeing-est-h a result-$fi.41Z[Zceater, that--provides—quantitative data o �Icohoi
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, ampletam;nw, and phoncyCE&O.
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.
EvidwtialbMplTestlne Device Mon 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_Offi-m (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.
Perfo a itive 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 Teat (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. In controlled substance testing, an immunoassay screen to eliminate "negative' urine
specimens from further analysis.
Substance Abuse Professional(SM): A SAP
SECTION 6: SAFETY -SENSITIVE FUNCTIONS
A safety sensitive function is driving one of the following vehicles:
A. a vehicle with a grass combination weight of at least
26,001 pounds inclusive of a towed unit with a gross
Vehicle- ofmomlaan-10,0QD-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 safetysensitive functions
while having an alcohol concentration of 4.04 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)1hat
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_theznployee-tests-positive-for_cmtxolledmibgncm.-.- __...----
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 refixsal
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 fimcdons
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
DRU_ TEST
A refusal to submit to an alcohol or controlled substances test required by this policy includes, but is
not limited to:
A. A refilsal 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
SECTION 9: CONSEQUENCES FOR _ EMPLOYEES FOUND TO
HAVE ALCOHOL CONCENTRATION LEVELS OF 0.01
OR GREAM BUI 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
ALCOR L TEM9G WILL BE IMPG ED ON
COVERED EMPLOYEES
A. Pm -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 if they do not pass the tests.
B. Post -Accident Testin; . Post -Accident drug and alcohol testing will be. conducted on
employees following an accident where the employee's performance cannot be discounted as a
contributing factor.
The decision as to whether or not to test the employee will be made by a supervisory and/or
management employees. The presumption is for testing. The only reason an employee will not be
tested following an accident is if a determination is made that the employee's performance could not
have been a contributing factor. If a fatality occurs, the employee will be tested irrespective of
whether his/her involvement may be discounted.
Post -accident alcohol tests shall be administered within two (2) hours following an accident end no
test may be administered after eight (8) hours. A post -accident thug 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 Personnel Director stating the reasons why the test was not promptly
administered.
C. Random Testing: Covered employees will be subject to random alcohol and drug testing as
follows:
(1) A random alcohol test will be administered daring
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) Alcohol testing will be administered to at least 10°10
of the total number of covered employees to random alcohol testing per year. A. random drug test
will be administered to at least 50% of the total number of covered employees per year. These
testing_ratr-s_are subjer-Lto.-change as d!dem i c4 by the_gOmP] iate_reguiatory agency.
(3) Some employees may be tested more than once in a
year, white others are not tested at all depending on the random selection.
(4) On the day the employm is seleeted for ratldam dnlg
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.
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.
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
maybe administered after eight hours following the observation.
To ensure that supervisors are trained to make reasonable suspicion determinations, supervisors.
vested with the authority to demand a reasonable suspicion drug and alcohol test will attend at least
one hour of training on alcohol 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.
E. Return -To- Testin : Prior to returning to duty, any employee who has tested positive shall
undergo a return -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.
F. F Ilow- T : Any. employee who has been certified by an SAP as ni 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.
SECTION 11: CONSEQUENCES OF FAILING AN ALCOHOL AND/OR
DRUQ TEST -
A positive result from a drug or alcohol (concentration of 0.04 or greater) test may result in
�. �_ .� _ .- - T rlicriT �tiori, ung d including t rumination.
If a covered employee is not terminated, the employee:
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;
D. Will be required to submit to unannounced follow-up testing after he/she has been returned to
hisvber safety -sensitive position. See Section 10.E above.
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 SUBSEMCES 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.
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.
(1) Public Works Department
Eauinment Maintenance Division
Lead Equipment Mechanic
Welder Mechanic
Heavy Equipment Mechanic
Equipment Service Worker
Fleet Services Supervisor
Stroet 2ivisioa
Street Supervisor
Laborer Maintenance Worker VIi
Water/Wasiewater Division
worlW20Mter S1ll)Cmisor
Plant and Equipment Mechanic
Water/Wastewater Maintenance Worker III
Laborer/Maintenance Worker MI
(2) Electric Utility Department
Electric Lineman/Linewoman
Electric Foreman/Forewoman
Electric Troubleshooter
Electric. Apparatus Mechanic
Utility Equipment Specialist
A covered employee includes regular and part-time/temporary employees in the above listed
classifications.
EXHIBIT B
CITY OF LODI
ADMINISTRATIVE POLICY AND PROCEDURE MANUAL
SUBJECT: DRUG AND ALCOHOL TESTING - Procedure
DATE ISSUED: July, 2007
SECTION: D
REFERENCE: US DOT (FTA) 49 CFR Part 40
49 CFR Part 655
49 CFR Part 382
49 CFR Part 29
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).
SON 2r- -
EFFECTIVE -DATE -
This procedure shall be effective July 20, 2007
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 Personnel Department
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 druglalcohol 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 Personnel Department shall notify the candidate of the types of testing to be conducted, have
the candidate complete the appropriate notification forms, and schedule the candidate for the
appropriate testing at the appropriate collection and/or testing site.
C. Upon completion. of the drug/alcohol testing, the Personnel Department shall notify the
hiring department of such results.
D. Notification of the results for controlled substance testing shall be provided to the candidate
provided the candidate requests the results within 60 days of being notified of the disposition of
his/her employment application.
E. The City shall obtain, upon written consent of the employee, information on the employee's.
alcohol tests with a 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
-alb :firk-tinw--an.-employee-.4x=form&—qafetj--sensite- _ fimctions._..-Thep yee sW 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 eniploymam with it DOT regulatedageney 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.
SECTION 6: RANDOM TESTING
All employees shall be subject to periodic random testing. In
accordance with, and subject to modification by the DOT, employees shall be tested at .the
minimum annual percentage rate of ten percent (10%) of the average number of employees coveted
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. RandomQeneration_. Employees shall be scaled
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 testes} each time
selections are made.
B. Employee notification. On the nate 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 fumctions 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 Personnel Director with notification of the action taking place, and shall
transport the employee to the testing/collection site.
F. The employee shall be immediately transported by
the 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 Personnel Director 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 dctcrmmation rs not made and tie appropriate tut in not
administered within two (2) hours following the accident, the employee's supervisor shall
immediately provide written documentation to the Personnel Director stating the reasons why the
test was not promptly administered.
B. Where possible, the supervisor or manager should
make every effort under the circumstances surrounding the accident to ensure that ,the employee,
even one who has been permitted to leave or has had to leave the site, is available fora 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 small provide the necessary
authorization for obtaining hospital reports and other documents that would indicate whether there
were any controlled substances in his/her system.
C. If a determination is made to conduct post `accident
testing, the supervisor or manager shall provide documentation of the accident and as to his/her
decision to the Personnel Director within one (1) working day 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 trarspott 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 be evaluated by a SAP who shall determine what assistance, if any, the
employee needs in resolving problems associated with alcohol misuse and controlled substance use.
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.
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
B. subject to unannounced follow-up alcohol and
controlled substance tests administered by the City following the employee's return to duty.
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
ALCOHOL TESTING METHODOLOGY AND PROCEDURES
L ALCOHOL TESTING METHODOLOGY
A Breath Alcohot Technician (BART :: 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 pian 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. -TheBAT_aatd.at_ployee.shall con1plet their reeetive 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. I€ 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.
S. a. In any case in which the result of the screening testis a breath alcohol
concentration of less- than 0.0 1, 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 ftuther 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 Co on 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 objector
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 1.5 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.
S. 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 i 4he-logb� or.a--test, it_ shall not he 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, t%e BAT spall 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 Personnel Director 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 Unco leted 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
time 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. Inabil�, t' y to Provide an Adequate Amount of Breath
1. This section sets forth procedures to be followed in any case in which. an
_ -alleges that.he or A --is lunaW
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 shalt 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;
—fie --BAT_- as_ aikd-to._m te-._on--.the-remarks ion of the form that tbe�.------..
employee has failed or refused to sign the form following the recording or
printing on or attachment to the form of the test result;
G. An EBT fails to print a confirmation test result; or
7. On a confirmation test and, where applicable, on a screening test, the
sequential test number or alcohol concentration displayed on the EBT is not
the same as the sequential test number or alcohol concentration on the
printed result.
CONTROLLED SUBSTANCES TESTING PROCEDURE
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._ __ 3/er --varies-..by--..=ore_-�-1..-L..L,4- o-717CIII-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
tfTan 1.603 and a creatinine concen#rahon below lgl;
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 Personnel Director,
shall review and concur in advance with any decision be a collection site person to
obtain a specimen under the direct observation of a same gender collection site
person based upon the circumstances described herein.
G. The following minimum precautions shall be taken to ensure that unadulterated
specimens are obtained and correctly identified:
1. To deter the dilution of specimens at the collection site, toilet bluing agents
shall be placed in toilet tanks wherever possible, so the reservoir of water '
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- _night_ 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 appeart ce on
the urine custody and control form.
S. The collection site person shall instruct the employee to provide at least
45 mi 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 wine into two specimen bottles. Thirty (30) ml shall be
poured into one bottle, to be used as the primary specimen. At least 15 nil
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
-- - --4he p xy-specimen.--The MRO -honor-such .a rear- i_f itis made
within 72 hours of the employee having been notified of a verified positive e
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
WA (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 valuation ---to -developinformation----
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.$0F) constitutes a reason to believe that the employee has altered or
substituted the specimen. In such cases, the employee supplying the
specimen may volunteer to have his/her oral temperature taken to provide
evidence to counter the reason to believe the employee may have altered or
substituted the specimen.
22. Immediately after the specimen is collected, the collection site person shall
also inspect the specimen to determine its color and look for any signs of
contaminates. Any unusual findings shall be noted on the urine custody and
control form.
23. All specimens suspected of being adulterated shall be forwarded to the
laboratory for testing:
24. Whenever there is reason to believe that a particular employee has altered or
substituted the specimen as described in paragraph I.E.I., a or b, of this
section, a second specimen shall be obtained as soon as possible under the
direct observation of a same gender collection site person.
25. Both the employee being tested and the collection site person shall keep the
specimen in view at all times prior to its being sealed and labeled. A5
the specinieri shall be- sealed=ent-�€-a tsmper--- - ----
proof seal over the bottle cap and down the sides of the bottle) and labeled in
the presence of the employee. If the specimen is transferred to a second
bottle, the collection site person shall request the employee to observe the
transfer of the specimen and the placement of the tamper -proof seal over the
bottle cap and down the sides of the bottle.
26. The collection site person and the employee being tested shall be present at
the same time during the procedures outline in paragraphs I.G.19:-22 of this
section.
27. The collection site person shall place securely on the bottle an identification
label which contains the date, the employee's specimen number, and any
other identifying information provided or required by the City. If separate
from the label, the tamper -proof seal shall also be applied.
2$. 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
- - - - _ - ----- —fig. -Indicate-receiptofAhe_sperjman__._.
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 nullifies
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.
CONTROLLED SUBSTANCE TESTING METHODOLOGY
I. APEWPRIATE 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 Personnel Director.
II. 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 fi-ee 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.
TII. 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 cath drug. All confiflft iW shall be by (1=t1tMve 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 nghnl
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.
N. REPORTING OF TEST RESULTS
A. The laboratory shall report test results to the MRO within an average of five (5)
worldng 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 dmgs/metaboiites 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 confirmedpositive 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 dtug(s) for which there was a positive test, but shall not
disclose the quantitation of test results to the City.
The laboratory—may transmit mmdts_to. the_MRO_by various ele
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 Personnel Director a monthly statistical summary
of urinalysis testing of the City's employees and. shall not include in the summary
any personal identifying information. Initial and confirmation data shall be included
from test results reported within that month. Normally this summary shall be
forwarded by registered or certified mail not more than 14 calendar days after the
end of the month covered by the summary. The summary shall contain the
following information:
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 metabAcs
Morphine, codeine
Phencyclidine
Amphetamine
Methamphetamine
u
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.
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.
TEST RESULTS
isICAL REYIEWOFFICER LNMO DUTIES UALIFICATIONS
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:
I. 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.
POSITIVE TEST RE ULTS
A. Prior to snaking 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, 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 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 111M.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;_RENIEW FOR PRESCRIPTION MEDICATION
A. Before the MRO verifies a confirmed positive result for opiates, Wshe 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 testis
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.
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:
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 pan 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.
CONFIDENTIALITY AND RECORDKEEPING
CONFIDENTIALITY AND ACCESS TO RECORD
A. Laboratory reports or test results shall not appear in an employee's general
personnel file. Information of this nature will be contained in a separate
confidential medical file that will be securely kept under the control of the
Personnel Director. The reports or test results shall be disclosed to City
management on a strictly need-to-lamow 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. Exoept 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
inchiding any *cords- aining_.to_Iiist=..-gLlr,&oi.-ox controlledsubstances
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:
1. Five 5 ears. The following records shall be maintained for a
minimum of five (5) years:
a. Records of employee alcohol test results with results
ln&catmg 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;
£ Documents generated in connection with decisions on post-
_.. ---
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 aliuse
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 t Lining.
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.