HomeMy WebLinkAboutResolutions - No. 2010-219RESOLUTION NO. 2010-219
A RESOLUTION OF THE LODI CITY COUNCIL
AMENDING THE CITY OF LODI DRUG AND ALCOHOL
TESTING POLICYAND PROCEDURE IN ACCORDANCE
WITH THE FEDERAL TRANSIT ADMINISTRATION
DRUG AND ALCOHOL PROGRAM REQUIREMENTS
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WHEREAS, the City of Lodi has a Drug and Alcohol Testing Policy and
Procedure in place; 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 and Alcohol Testing Policy and Procedure to meet
Department of Transportation requirements, as shown on Exhibit A attached hereto and
made a part of this Resolution; and
BE IT FURTHER RESOLVED that the effective date of this policy shall be
October 1, 2010.
Dated: December 15, 2010
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I hereby certify that Resolution No. 2010-219 was passed and adopted by the
City Council of the City of Lodi in a regular meeting held December 15, 2010, by the
following vote:
AYES: COUNCIL MEMBERS — Hansen, Mounce, Nakanishi, and
Mayor Johnson
NOES: COUNCIL MEMBERS — None
ABSENT: COUNCIL MEMBERS — Katzakian
ABSTAIN: COUNCIL MEMBERS — None
P0211PALS]
CITY OF LODI
ADMINISTRATIVE POLICYAND PROCEDU
SUBJECT
DATE ISSUED:
DRUGAND ALCOHOL TESTING
December 2010
Exhibit A
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 underthis policydoes 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 Policyand Procedure.
SECTION 2: EMPLOYEEASSISTANCE PROGRAM
The City has established a voluntary Employee Assistance Program
(EAP) to aid those employees who voluntarily seek help for alcohol or
drug problems. Employeesshould contacttheir supervisors, the EAP
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.1111
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."
SECTION 5: DEFINITIONS
Accident: Means an
vehicle, ifas a result:
occurrence associated with the operation of a
1) An individualdies;
2) An individual suffers a bodily injury and immediately receives
medical treatment away from the scene of the accident;
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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, tum signals, hom, 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 cf 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 (BATJ 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 confirmatory) Test: For alcohol testing means a
second test, following a screening test with a result of 0.012E2, 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 Safety -Sensitive Function: An employee is considered
to be performing a safety -sensitive function during any period in
which he or she b 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 Profess ion aI(SAP): Defines the Substance Abuse
Professional (SAP) as a person who evaluates employees who
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have violated a DOT drug and alcohol regulation and makes
recommendations concerning education, treatment, follow-up
testing, and aftercare. In order to be a SAP, you need to have
certain credentials, possess specific knowledge, receive training,
and achieve a passing score on an examination. There is also a
continuing education requirement
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 d a towed unitwith 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 materialsfound in the
Hazardous Materials Transportation Act.
SECTION 7: PROHIBITIONS
The following conduct s 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 cf 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
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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 pursuantto
the instructions of a physician who has advised the employee
that the substance does not adversely affect the employee's
abilityto safely operate a vehicle; or DOTfunded 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:
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A. Failure to apprear for any test (except for pre-employment) within
a reasonable time, as determined by the employer:
B. Failure to remain at testing site until the testing process is
complete;
C. Failure to provide a urine sample for any required drug test;
D. Failure to permit the observation or monitoring of the specimen
collection when required to do so;
E. Failure to provide a sufficient amount of urine when directed and
there is no adequate medical explanation for the failure;
F. Failure to take a second test when directed to do so by the
employer or collector;
G. Failure to undergo a medical examination when directed to do
so by the MRO or employer;
H. Failure to cooperate with any part of the testing process (eq,
refuse to empty pockets when directed by the collector, behave
in a confrontational way that disrupts the collection process, fail
to wash hands after being directed to do so by the collector);
Failrureto follow the observer's instructions during an observed
collection including instructions to raise your clothing above the
waist, lower clothing and underpants, and to turn around to
permit the observer to determine if you have any type of
prosthetic or other devicea that could be used to interfere with
the collection process;
J. Possess or wear a prosthetic or other device that could be used
to interfere with the collection process; and
K. Admit to the collector or MRO that you adulterated or substituted
the specimen.
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.
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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 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 blunt'
eyes, slurring, or alcohol on the breath.
E. Return -To -Duty Testing: Priorto returningto 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 resultfor controlled substance use.
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 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 (concentration of 0.04 or
greater) test shall result in the mandatory removal of the employee
from the safety -sensitive position. Consequences shall include
discipline, up to and including termination. An employee that
produces a dilute negative specimen will be required to take another
test immediately.
If a covered employee is not terminated, the employee:
A. Must be removed from performing any safety -sensitive function;
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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 his/her 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 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 underthis Policy.
SECTION 14: EMPLU i EE REPRESENTATION
Er I I II t ti 'igt t only during
discussions with management ric to a reasonable ►n test. If
a shop steward is not it I an E t employee
may be selected t the interests f said E K Such
t shall nc i any way, delay or interfere with the
implementatior f this policy I i procedure.
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DRUG AND ALCOHOL TESTING Procedure
SECTION 15: PURPOSE
The purpose of this procedure is to delineate the application of the
Omnibus Transportation Employee Testing Act under the
regulations of the Federal Transit Administration (FTA) and the
Federal Highway Administration (FHWA).
SECTION 16: EFFECTIVE DATE
This procedure shall be effective upon date of Council action.
SECTION 17: 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 18: 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. Specimen validity testing will be
conducted on all urine specimens provided for testing under DOT
authority. Specimen validity testing is the evaluation of the
specimen to determine if it is consistent with normal human urine.
The purpose of validity testing is to determine whether certain
adulterants or foreign substances were added to the urine, if the
urine was diluted, or if the specimen was substituted.
SECTION 19: 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 cf 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,
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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 d 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 cf 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. Informationof the employee's controlled substancetest in
which a positive resultwas 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 20: RANDOM TESTING
All covered employees shall be subject to periodic random testing.
In accordance with, and subject to modification by the DOT,
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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 cf 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 21: 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
prohibitionsof the Drug and Alcohol TestingPolicy.
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 cf his/her position.
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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 Managerwith 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 underthe 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 Remove the employee from safety
sensitive service and 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 22: POST-ACCIDENTTESTI NG
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 notification of 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
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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
consent to 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-accidenttesting, 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 availablefor 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 23: SUBSTANCEABUSE 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.
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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. The SAP shall prescribe the frequency and
duration of follow-up testing.
SECTION 24: SPECIFIED PROCEDURES
Specific procedures pertaining to the subjects listed below are
attached to this Procedure as indicated:
Alcohol Testing Methodologyand Procedures Appendix B
Controlled Substances Testing Procedure Appendix C
Controlled Substance Testing Methodology Appendix D
Test Results Appendix E
Confidentiality and Recordkeeping Appendix F
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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 (includesthe operation ofthe
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
accordancewith the highest level of testing required.
Federal Motor Carrier Safety Administration (FMCSA). Alcohol testing administered at
10% of the total number cf covered employees. Drug test administered to at least 50%
cf covered employees
(1) Public Works Department
Equipment Maintenance Division
Lead Equipment Mechanic
Welder Mechanic
Heavy Equipment Mechanic
Equipment Service Worker
Fleet Services Supervisor
Street Division
Street Supervisor
Street MaintenanceWorker III
Laborer Maintenance Worker Al
Waterl Wastewater Division i
Waterl Wastewater Supervisor
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Plant and Equipment Mechanic
WaterMastewater MaintenanceWorker III
Laborer/Maintenance Worker 1111
(2) ElectricUtility Department
Apprentice Lineman/Linewoman
Electric Lineman/Linewoman
Electric Foreman/Forewoman
ElectricApparatus 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% cf the total
numberof covered employees Drug test administered to at least 25% of covered
employees.
4( 1 Public Works Department
Equipment Maintenance Division
Lead Equipment Mechanic
Welder Mechanic
Heavy Equipment Mechanic
Equipment Service Worker
Fleet Services Supervisor
United 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
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APPENDIX B
ALCOHOL TESTING METHODOLOGYAND PROCEDURES
I. ALCOHOL TESTING METHODOLOGY
A. Breath Alcohol Technician (BAT): The City or its agent shall only utilize a
BAT who meets the stringent training requirements of the DOT or is a law
enforcement officer certified to use the EBT that is utilized.
B. Alcohol Testing Devices: The City or its agent shall only utilize an EBT
which meets the DOT requirements.
C. Qualitv 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.
If. 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 )0 Show the employee the result displayed on the EBT. The
BAT shall record the displayed result, test number, testing
device, serial numberof 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
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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 Preparationfor 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.
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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-
evidenttape).
b. If the EBT prints the test results directly onto the form, the BAT
shall show the employee the result displayed on the EBT.
8. a. Following the completion of the test, the BAT shall date the form
and sign the certification 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 greaterthan
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 BATs to the City concerning the alcohol testing
results of employees shall be to the designated City representative.
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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. 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 Adeauate 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 ar
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.
5
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 cf 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 attachmentto the form of the test result;
6. An EBT fails to print 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.
6
APPENDIX C
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
substitutethe 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 particulartest
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:
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
monitoredto 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 herwallet.
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.
2
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 underthe 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.
3
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 urinationto 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.
11
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 underthe
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
W
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. Observed Collections: A number of situations requiring direct observations
exist. These are done to guard against employee attempts to mask the
testing process. Observed collections are required in the following
circumstances:
1. All return to duty tests;
2. All followup tests;
3. Anytime the employee is directed to provide another specimen
because the temperature of the original specimen was out of the accepted
range of 90°F -100° F;
4. Anytime the employee is directed to provide another specimen
because the original specimen appeared to have been tampered with;
5. Anytime a collector observes materials brought to the collection site
or the employee's conduct clearly indicates an attempt to tamper with a
specimen;
r
6. Anytime the employee is directed to provide another specimen
because the laboratory reported to the MRO that the original specimen was
invalid and the MRO determined that there was not an adequate medical
explanation for the result;
7. Anytime the employee is directed to provide another specimen
because the MRO determined that the original specimen was positive,
adulterated or substituted, but had to be cancelled because the test cf the
split specimen could not be performed.
I. Chain -of -Custody: A chain -of -custody form shall be used for maintaining
control and accountability cf each specimen from the point cf collection to
final disposition cf 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.
7
APPENDIX D
CONTROLLED SUBSTANCE TESTING METHODOLOGY
- -J : • gmw WooermarilW
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.
II. CONTROLLED SUBSTANCES
The controlled substances tested for and cutoff concentration of each are those set
forth by Federal Regulation, Title 49, Part 40, Subpart F, § 40.85 and 40.87, which
may from time to time be amended.
III. INITIALTEST
A. The initial test shall use an immunoassay which meets the requirements of the
Food and Drug Administration for commercial distribution.
B. The City shall use the lowest cut-off concentration permitted by the appropriate
regulatory agency. These cut off concentrations 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.
111. 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."
B. The City shall use the lowest cut-off concentration permitted by the appropriate
regulatory agency. These cutoff concentrations 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 responsiblefor 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. InitialTesting:
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a. Number of specimens received;
b. Number of specimens reported out; and
C. Number of specimens screened positive for controlled
substances as determined by the applicable Federal
regulationsthen in effect.
2. ConfirmatoryTesting:
a. Number of specimens received for confirmation;
b. Number of specimens confirmed positive for controlled
substances as determined by applicable Federal regulations
then in effect.
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.
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APPENDIX E
TEST RESULTS
MEDICAL REVIEW OFFICER (MRO) DUTIESAND 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. POSITIVETEST 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 resultwith 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
requirementthat 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 the City's employee assistance program and notify the City's
Risk Manager cfthe 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
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confirmation testing for opiates confirms the presence of 6-
monocetyl morphine.)
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. Employees do not have access to a test of their split
specimen following an invalid result.
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 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
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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.
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APPENDIX F
CONFIDENTIALITYAND RECORDKEEPING
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.
H. MAINTENANCEAND 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.
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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:
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-accidenttests;
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.
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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 reviewofficers, 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 cf urinalysis;
and
d. The City's drug testing policy and procedures.
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