1992
08/25/00 FRI 10:30 FAX 914 486 2002
D C CTY ATTORNEY
D
~002
(
Policy Title:
Section :it:
Policy #:
Page :fI::
Date:
XII
7
01
02/20/92
ALCOHOL AND DRUG ABUSE
(GENERAL UNIT)
Policy Statement
In order to ensure a safe working environment for all employees
and provide the most effective delivery of services to residents
of Dutchess County, it is the policy of Dutchess County that no
employee may manufacture, distribute, dispense, .use, sell,
purchase, possess or be under the influence of alcohol or other
illegal/controlled chemical substance, except prescription
medication, during scheduled business hours or while on or using
County owned property. The County recognizes that alcohol and
chemical substance abuse are progressive, potentially fatal
diseases which may affect employees' lives and relationships with
families and/or co-workers, quality of life and job performance.
The County encourages and supports employees who seek voluntary
treatment. Employees must abide by the terms of this policy
statement as a condition of employment and failure to do so may
result in disciplinary proceedings. However, nothing herein is
intended to diminish the rights 'of an employee under the
collective bargaining agreement or the law.
t._ Guidelines
1. Using, selling, manufacturing, distributing, dispensing,
being under the influence of or impaired by or possessing
alcohol (unless in a sealed container) or any
illegal/controlled chemical substance on County premises is
prohibited.
2. When there is probable cause to believe that an employee has
violated this policy, the infraction shall be reported to ~
the department head or his designee or where that is_l1.9S.-----~_1!~~~-
appropriate, to the Commissioner of Personnel (nereafter, 11../'_)"<""(:..1)}
any of these individuals will be referred to as the
investigating official), who will be responsible for
investigating the incident in an appropriate manner.
3. If the employee appears to be under the influence of an
J i~~ega~/Eontrolled chemical substance or alcohol, form
'\ ",::=,.:.SUB==..As.::Ol i II attached hereto as Exhibit A, II shall be
completed by the investigating official. The employee will
be told he may voluntarily admit he is under the influence
of alcohol or other chemical substance. The circumstances,
~-~es~~ed by the employee, will be added to form
SUB.~AB",,-Ol-".'
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08/25/00 FRI 10:30 FAX 914 486 2002
D C CTY ATTORNEY
D
~003
(-.
Policy Title:
ALCOHOL AND DRUG ABUSE
(GENERAL UNIT)
Section :It:
Policy 4t:
Page *:
Date:
XIX
7
02
02/20/92
Guidelines Cont'd
4. Employees who are on-call and are expected to respond to
emergency situations, or who have responsibility for snow
removal and have been notified of an impending storm prior
to leaving work, are expected to comply wi~h this policy
" statement for the entire duration of time they are on-call.
5.S This policy is not intended to prohibit consumption of
:;~~~'I~~~~:e:; ~~~:1~;ia~~~~;::S~:~!~~~~,~,,;:~~i:~:~!~~~ir;~eY
'tby the facility.
~~~'~AnY employee covered under a grant program as described in
~~~~{ 41 USC Sect~on 702 (the Drug Free Workpl~ce A~t) or 55
"'L!'--~,4., Federal RegJ.s, t,e r 2167,7 eta seg. must notJ.fy hJ.s department
~ YVl head in writing of any conviction for violation of a
criminal drug statute in the work place within five calendar
days of the conviction.
(~,
Procedures
1.
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(, 2.
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A violation of the policy is observed,-amiis reported to the
departme~ head, his designee or the/Commissioner of
2ersonne~.A as appropriate.
The investigating official determines if there is reasonable
cause to believe a violation of policy has occurred because
of overt behavioral manifestations. These may include:
slurred speech, unstable gait, alcoholic breath, redness of
the eyes, flushed face, unfocused gaze, inability to
comprehend normal conversation, poor coordination or other
atypical or abnormal behavior or the employee was observed
~~~using_a~cohol or using an illegal chemical substance on or
,(. '--in -<C9unty owned property.
3. Thereafter, the investigating official fills out an
AL~ohol/Substance Abuse Incident Report and contacts the
Qer_s_Q.!lnel~~Dep_ar:tment, to make arrangements to send the _', /
. employee to a. health care professional for immediate (-~ '
evaluation. If the employee is a member of ~7hargaining J-
unit, the employee shall be advised of his r~ght to contact .~~
t~ Union for representation.
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08/25/00 FRI 10:31 FAX 914 486 2002
D C CTY ATTORNEY
D
~004
r
Policy Title:
Section t:
Policy :It:
Page #:
Date:
XII
7
03
02/20/92
ALCOHOL AND DRUG ABUSE
(GENERAL UNIT)
Procedures Conttd
4. The investigating official should discuss the problem with
the employee. The employee should be offered the
opportunity to admit he is or was under the influence of
alcohol or an illegal controlled chemical substance. The
} circumst~~~~J__a____~ described by the employee, will be added
_ \ to f_q~~"""'AB-OD. The investigating official shall order
"', 'u~e employee to go to the health care professional for
~."\' evaluation if directed by the Personnel Department.
5. If the employee voluntarily admits he has violated this
policy, the employee shall be scheduled for counseling with
his supervisor at a later date and given a copy of the memo
pertaining to the scheduled counseling session.
6. If there is reasonable suspicion of the possession or sale
of an illegal/controlled chemical substance ,/the-u~-u_~ ")
investigating official shall fill out-uform~~~(}J.\ ~nd ~..._
shall report the incident to the (.P-ersonne~Departmen't" which
will take such action as necessary which may, as
t. appropriate, include a referral to law enforcement
~ officials.
7. If the conclusion of the health care professional is
positive, e.g., indicates that the employee was under the
influence of alcohol or an illegal chemical substance, the
employee is relieved from duty for the remainder of his
scheduled work shift and may charge it against vacation,
compensatory time or in-lieu holiday accruals.
B. If the results of the evaluation session by the health care
'7 professional__ar_e~QJ;L~tj.y~ the employee will be referred to
'\ the_ ~m:r;2l.0ye~AssistancenPrOgram_i for initial treatment
tu---recomrnendations or may choose treatment through his health
care provider. Employees must follow initial treatment J-
recommendations and must submit proof of attensta_I'l.s:~u. --. i)lup' (
p~r~icJpation, progress and prognosis to theL~~~o~~eJ- /7 / I
Department~ In addition, the employee must comply with the
~1' alcohar-an~ drug, ~b~se policy for the duration of his
/,1/, 'Wt~__emplOyment__w_~t~utchess CQuntY. The employee may utilize
. 1- any appropriate benefit time during and for his treatment.
This may include accumulated sick time for those treatment
incidents which cannot reasonably be scheduled other than
during the employee's actual scheduled work hours.
Treatment costs will be borne either by the, employee or
___7 thro~gh",his health insurance plan.
I tY-""',,",-~lr_J-___TheCcl~artmen:t:> will make all reasonable efforts to
t=~ accommodate the treatment program, e.g., through a flexible
o work schedule.
08/25/00 FRI 10:31 }-'AX 914 486 2002
D C CTY ATTORNEY
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~005
(-
Policy Title:
Section t:
Policy =It:
Page =It:
Date:
XII
7
04
02/20/92
ALCOHOL AND DRUG ABUSE
(GENERAL UNIT)
\
Procedures Cont I d ) J
10. When an employee provides written notice to the departtnen~/,-,:_L1i> \
head of a conviction of a criminaLcit:.\lg_s,t~t)lj:.eLthe ~L.'
department head will notify the/Personnel Department-----
immediately. The employee will1be referred to the EmpJ_qy~e
Ass i,st.ance-Program as in number 8 above .--
11l1.;V' I{t.he employee is covered under a grant program as
.-U~jlA described in 41 USC Section 702 or 55 Federal Register
t~~~l ) 21677, the Personnel Department will notify the appropriate
ell federal agency of the conviction including the position
~title of the employee and the grant identification number.
12. The requirement to go to a health care professional (#3 and
#4 above), to be relieved from duty (#7 above) or to follow
treatment recommendations (#8 above) will be mandatory _1"---
any employee. The employee shall have no standing to file a
contract grievance regarding such a mandate. A contract
grievance arbitrator will not have any jurisdiction over
such a case nor have authority to render a decision.
13. An employee allegation of an improper appli~Ltll~ . 'r:::> /
P...O.liC.Y ~all be SUbmitted. in writing to the~Sion~.'.:,:,C:=-..~.f..-I ._ _,,~~~~:~.L~.,(
,Persc;>nnel. within 10 daY~"'7)th7reof,_f_or rev_~~~~_. ~l)?.()~.~~.~ne ~~
employee'l request, the(J:ommlls_ioner -s1'rarI meet and confer-' _. . I ;, .L<J-_
wi th the employee I s Union representati ve !lj..th("re~ut~_~!=-_!O ~h.E!,__._L~~
issues raised by such allegation. The onunissioner~all ;;::":;"X'
review and decide, upon the merits of the em oyee's -<--1,.", ---~7'r-7
allegation. He shall mail his decision to the employee ' ...~ \ .
( within ten working days of submission. Although the '
l ___CConunJssioner need not conduct a formal fact-finding hearing,
he may do' so to seek such addi tiona.l_ info~~tion masnmnn,u }---:(l...J -.........
appropriate to reach a decision. ~ounty officials shall
mak~. ..-!"uch a~min~trative changes as---necessary to accommodate
\ the'~~iSSion~s decision.
\..-----: '.) \
_~ .....\ II,........
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08/25/00 FRI 10:32 FAX 914 486 2002
D C CTY ATTORNEY
D
l4J 006
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ALCOHOL/SUBSTANCE ABUSE INCIDENT REPORT
Employee Name:
Date:
Department:
Time:
Witnesses:
Place:
Part I (To be completed by investigating official):
The following overt behavior was exhibited by this employee:
(Please circle) bloodshot eyes, slurred speech, alcohol on
breath, poor coordination, accident, physical altercation, verbal
altercation, unusual behavior, possession of substance. Other
(describe):
Investigating Official's Signature
Witness' Signature
Part II (To be completed and siqned by employee):
Employee Statement:
Employee's Signature
Part III (To be completed and signed by investiqatinq official):
Action Taken:
Notified Personnel:
(Time/Date)
Notified Union:
(Time/Date)
Referred for Evaluation:
Form SUB-AB-O 1
DATE: 02/20/92
.(Time/Date)
08/25/00 FRI 10:32 FAX 914 488 2002
D C CTY ATTORNEY
D
!4J007
-',
Policy Title:
SEXUAL HARASSMENT
Section t:
Policy #:
Page #:
Date:
I
2
01
11/01/93
PolicX statement
Dut~~~r~;~~l;'has a strong commitment to providing a working
atmosphere conducive to maintaining the dignity of all its
workers. Any act of discrimination or harassment whether it is
based on race, religion, national origin, sex, age or handicap,
is a violation of Section 703 of Title VII of the Civil Rights
Law. In addition, acts of discrimination or harassment undermine
the integrity of the employment relationship, are detrimental to
a positive working environment, are degrading to those who indulge--
in them, and significantly and adversely affect the ~orki~9"-_1.i.f.e_j('/,<..... ~
of those who are subjected to such behavior. The ~uri~shall
actively investigate any alleged act of discrimina~ron or
harassment, and shall take appropriate disciplinary action
I) a~ainst all employees participating in any prohibited manner.
,,;1see "Equal Employment Opportunity/Affirmative Action" and
~sciplinary Action")
Guidelines
1. Unwelcome sexual advances, requests for sexual advances,
requests for sexual favors or other verbal or physical
conduct of a sexual nature will constitute sexual harassment
when:
3.
a) submission to the conduct is either an explicit or
implicit term or condition of employment; or
b) submission to or rejection of the conduct is used as a
basis for an employment decision affecting the person
rejecting or submitting to the conduct; or
c) the conduct has the purpose or effect of unreasonably
interfering with an affected person's work performance,
or creating an intimidating, hostile or offensive work
environment.
~fi~stt~~~ty considers sexual harass~ent to be a partic-
urarly-destructive form of employee misconduct. Offenders
will be subject to the full weig~~~~~ft~~~lplinary sanc-
tions, as will any supervisor or~ho, having been
made aware of such conduct by a subordinate, knowingly
allows such acts to continue.
While conducting investigations, no action will be taken
without the concurrence of the employee, and complete
confidentiality will be maintained throughout the investi-
gatory process. In addition, any employee who participates
in the procedure may do so without fear of retaliation.
2.
I
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08/25/00 FRI 10:33 FAX 914 486 2002
D C CTY ATTORNEY
D
~008
Policy Title:
SEXUAL HARASSMENT
Section #:
Policy #:
Page #:
Date:
I
2
02
11/01/93
Guidelines Cont'd
4. Retaliation against an employee who has filed a discrimina-
tion complaint is illegal and will result in disciplinary
action.
5. Nothing in this policy should be construed as in any way
limiting an employee's right to utilize the grievance proce-
dure, or to file a complaint with the New York State Divi-
sion of Human Rights, or to take any legal action which they
deem advisable. However, once the employee decides to file
a complaint with the New York State Division of Human 7~~'~'~
Ri.9hts, the internal inves.t. igation .QY the/county Equal
Emplo~JW.t_Opportuni_t.Llf;~CU-Of.!Jce.:t')will cease.
~~A~~~All~ounty employees shall attend-the mandatory in-service
1/'- ~. training workshop on sexual harassment.
,
Procedures
1. DU~~~Y employees who feel they have been the .1
victims of sexual harassment or discrimination shoul~ '~1"~~'~
address complaints to either their department head/'19te T:~;~ ",/' ;"';---<""-
Comm~S~Qrre~~of Personnel or the EEO Officer. ;/ ~t
-'/ 2. The U.O_.Of.f,ice:t shall conduct an investigation on all
) ~. .L2:'Z-::rall'egatlons or complaints of discrimination or sexual
fV1~71f harassment. The particular .facts of the allegation will be
'; ../4/'./ examined individually with a review of the nature of the '(,
behavior and the context in which the inci..d~~ts oc~?rred ~~t...i
3. Upon completion of the investigation, th~~O(fice-:r.-~l .......'" 'il( Lt:-<{
compile a report on the incident of alleged harassmgat-qnd . j'
will distribute the report to the department head) th~ _~~(
Commiss~er of Personnel, the County Executive, t~ County . ~
Attorne~_pnd the affected employees. Included in the report
will ~~-an assessment of the legitimacy of the complaint and
a recommendation on a course of actio~~--
4. Department heads shall ensure all Goaa~ employees attend
the mandatory in-service training workshop on sexual
harassment.
08/25/00 FRI 10:33 FAX 914 486 2002
D C CTY ATTORNEY
D
f4J 009
1.'
,
. $.
Introduction
On September 15, 1986, President Reagan issued an Executive order mandating a drug-free
Federal Workplace with the intent that the F~t~~~rtforce would seNe as a model for all
American business. Subsequent to this, the'Oepaftment1>f He?Jth ~nd Human Services (DHHS)
published on April 11 ,1988, Mandatory Guidelines for Federal Workplace Drug lesting
Program.
-~
t <1. ~CJA- " On October 28,1991, President Bush signed the Omnibus Transportation Employee Testing Act.
. I of 1991. The Act required the. Federal Department of Transportation to develop additional
.-.v regUlations that required drug and alcohol testing of additional safety-sensitive employees in the
aviation, highway, rail and transit industries. Specific regulations which impaot Dutchess County
are:
Titl~ 49 Code ~. ral Regu,lations (CFR) Part 40 - Specifies procedures which must be
followed by the . n when conducting drug and/or alcohol testing pursuant to Federal
regulations.
Title 49 CFR Part 362 - Controlled Substances and Alcohol Use and Testing - Requires
employers to test their employees who maintain a Commercial Drivers License (CDL) in the
performance of their duties for prohibited drugs and alcohol under the following work-related
conditions:
a. Pre-employment / Pre-assignment
b. Post-accident
c. Random
d. Reasonable cause / suspicion
e. Return-to-duty
f. Follow-up
Copies of these regulations are available upon request.
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08/25/00 FRI 10:33 FAX 914 486 2002
D C CTY ATTORNEY
D
III 010
-:-
Section I: Purpose
Tc. "Lv} .
DuteheS-s-Geunt{recognizes that the use and/or abuse of alcohol or controlled substances by
drivers of commercial vehicles or Employees in safety-sensitive positions presents a serious
~7~~t to the safety and health of Employees and the .general public. It is the policy of the
~tY that its drivers and safety-sensitive support personnel should be free of drugs and
~lcpbol in compliance with the Omnibus Transportation Employee Testing Act of 1991. The
Oounty has implemented a drug and alcohol testing program which is designed to help reduce
and avoid traffic accidents and injuries to our employees and the public, to discourage
substance and alcohol abuse and to reduce other drug and alcohol-related problems.
Section 1/: Policy
Prohibited Conduct:
{~
G-otmty policy prohibits Employees from engaging in the following conduct:
1.
Using, possessing, dispensing, distrib.1J1i.t:tg, or receiving alcohol. intoxicants, ille~al drugs
or other controlled substances on c-otlbty premises, or while engaged in ~ /
business;
2.
Reporting to work under the influence or with any measurable amount of alcohol,
intoxicants, illegal drugs. or other controlled substances in their system;
3.
Reporting to work under the influence of a prescription drug, unless the Employee's
physician determines that the use of the prescription drug will not adversely affect the
Employee's abiiity to perform a safety-sensitive position. Note that the federal
regulations include prescription medications containing alcohol in the substances banned
from use in the workplace. Therefore, Employees should not report for duty while taking
prescription medication if such medication contains any measurable amount of alcohol;
4.
Consuming any amount of alcohol while performing safety sensitive functions or within
four (4) hours of p'erforming safety sensitive functions;
5.
Consuming any amount of alcohol after a fatal accident unless the Employee has been
tested or eight (8) hours have elapsed from the actual time of the accident;
6;
Consuming any amount of alcohol after a non-fatal accident unless the Employee's
involvement can be completely discounted as a contributing factor to the accident. the
Employee has been tested or' eight (8) hours have elapsed from the actual time of the
accident.
7.
Any unauthorized use of any controlled substance in any situation.
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08/25/00 FRI 10:34 FAX 914 488 2002
D C CTY ATTORNEY
D
I4JOll
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':""
8. Refusing to undergo or cooperate in any alcohol or drug testing required by this Policy;
9. Misusing the policy in regard to subordinates; or
10. Providing false information in connection with a test, or who is suspected of falsifying test
results through tampering, contamination. adulteration, or substitution.
Any Employee who violates any of the rules set forth above is subject to discipline, up to and
including termination.
Section IV: Definitions
For purposes of this Anti-Drug and Alcohol Misuse Plan, the following definitions apply:
"Accident": An occurrence involving a Commercial Motor Vehicle operating on a public road
which results in:
a. A fatality;
b. An Employee being issued a citation under State or local law for a moving traffic violation
arising from the accident;
c. A determination by the supervisor that the Employee's actions or inactions may have
contributed to the accident.
The term" Accident" does not include:
a. An occurrence involving only boarding and alighting from a stationary motor vehiCle; or
b. An occurrence involving only'the loading or unloading of cargo; or
c. An occurrence in the course of the operation of a passenger car or a multipurpose
passenger vehicle (as defined in 49 CFR 571.3) by a motor carrier and is not
transporting passengers for hire or hazardous materials of a type and quantity that
require the motor vehicle to be marked or placarded in accordance with 49 CFR Section
177.823.
"Air Blank": A reading by an EST of ambient air containing no alcohol.
"AIG.,ohol": Means the intoxicating agent in beverage alcohol, ethyl alcohol, or other low
molecular weight alcohols including methyl and Isopropyl' alcohol.
"Alcohol concentration (or content)": Means the alcohol in a volume of breath expressed in
terms of grams of alcohol per 210 liters of breath as indicated by an evidential breath test under
this part.
"Alcohol us~": Means the consumption of any beverage, mixture, or preparation, including any
medication containing alcohol.
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08/25/00 FRI 10:44 FAX 914 486 2002
D C Cry ATTORNEY
D
~012
.,..
"Blind Samole": A urine specimen submitted to a laboratory for quality control testing purposes,
with a fictitious identifier, so that the laboratory cannot distinguish it from employee specimens,
and which is spiked with known quantities of specific drugs or which is blank, containing no
drugs.
"Breath Alcohol Technician (BAn": An individual who instructs and assists individuals in the
Alcohol testing process and operates an E8T.
"Chain of Custody": Procedures to account for the integrity of each urine specimen by tracking
its handling and storage. from point' of specimen collection to final disposition of the specimen.
These procedures shall reqlJi~e that the DOT-approved drug testing custody form be used from
time of collectio~ to receipt by the laboratory.
"Collection Site": A designated clinic/facility where applicants or employees may present
themselve.s for the purpose of providing a specimen of their urine to be analyzed for the
presence of drugs or providing a $ample of their breath to be analyzed for the presence of
alcohol.
"Collection Site Person": A person who instructs and assists applicants and employees through
the specimen collection process.
"Commercial Motor Vehicle": Means a motor vehicle or combination of motor vehicles used in
commerce to transport passengers or property if the motor vehiCle:
a. . Has a gross combination weight rating of 26,001 or more pounds inclusive of a towed
unit with a gross vehicle weight rating of more than 10,000 pounds; or
b. Has a gross vehicle weight rating of 26,001 or more pounds; or
c. Is designed to. transport 16 or more passengers, including the driver;or
d. Is of any size and is used in the transportation of materials found to be hazardous for the
purposes of the Hazardous Materials Transportation Act and which require the motor
vehicle to be placarded under the Hazardous Materials RegulCltions (49 CFR part 172,
subpart F ). .
"Confirmation Test": For alcohol testing, means a second test, following a screening test with a
result of 0.02 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 spectrophotometry (GC/MS) is the only authorized
confirmation method for cocaine, marijuana, opiates, amphetamines, and
phencyclidine). .
,i 'I
((6)
"Covered Emolovee": Employees who are performing, ready to perform, or ceasing to perform
the safety-sensitive job function of operation of a commercial motor vehicle. Each Covered
Employee has the responsibility to be knowledgeable of the requirements of the Plan and to
-4 -
08/25/00 FRI 11:16 FAX 914 486 2002
D C CTY ATTORNEY
D
~001
fully comply with the provisions of the Plan. Covered Employees must notify their supervisor of
any criminal drug statute conviction within five (5) days of such conviction. Upon receipt of such----
notification or other notice for a violation occurring within the workplace, the OQl.f!TtTWnr.-as- --/
required by law, advise the appropriate governmental agency to which it has a contract of such
conviction. A Covered Employee using drugs prescribed by a licensed physician or any other
therapeutic drug use is required to notify his supervisor when such use may impact the
Employee's ability to perform his duties safely.
Q,,' A listing of Covered Employees is provided in Appendix 8.
"Cut - Off Levels": The minimum value established for designating a test result as positive.
"Driver": Mea~s any Employee who operates a commercial motor vehicle for the SoLn:. This
includes, but is not limited to, full time, regularly employed drivers; casual, intermittent or
occasional drivers; leased drivers and independent, owner-operator contractors who are either
directly employed by or under lease to an employer or who operate a commercial motor vehicle
at the direction of or with the consent of an employer. For the purposes of pre-employment or
pre-duty testing only, the term driver includes a person applying to drive a commercial motor
vehicle.
'C1 '\?
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\tA.~/ ,', '
{'. V~ "Druo I Aicohol Proo ram Manaoer ( DAPM )": Shall be responsible for the preparation of the
/IlL/' ~rug and A~cohol Test.ing Policy which. cOr:'plies with requirements of the Department of
A17" I ransportatlon regulatIons as set forth In TItle 49 CFR Parts 382 and 40. The DAPM shall be
It' 1~1 A Y responsible for:
j 0"
J
providing. oversight and evaluation of the Policy;
providing guidance and counseling;
reviewing of all discipline applied under the Policy for consistency and conformance to
the ~ersonnel Department's policies and procedures;
scheduling random drug and alcohol testing and return-to-duty testing;
maintaining a secure file system on drug I alcohol testing results; and
keeping all necessary records. . '
ensuring that all Covered Employees are aware of the provisions of this Policy
"Drugs {Prohibited)":. Marijuana, cocaine,amphetamines, phencyclidine and I or opiates.
. C!6/\.-'dc-t . ')L-L-.'~_ . .
"EAP": Employee Assistance Program at 6utchess County which provides all employees with a
means of obtaining confidential professional assistance in handling personal problems which
may adversely affect job performance. The EAP shall also function as the SAP for the purpose
of this regulation. .
"Evidential Breath Testing Device (EBD": An EBT approved by the National Highway Traffic
Safety Administration ( NHTA) for the evidential testing of breath and placed on NHTA'S
"Conforming Products List of Evidential Breath Measurement Devices" ( CPL ).
"Fail a Orue Test or Test Positive": The confirmation test result shows positive evidence of the
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08/25/00 FRI 10:52 FAX 914 486 2002
D C CTY ATTORNEY
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l4J 001
Post.it. Fax Note 7671 Date
. To 'T WIlPP1NG~'jt.. From ~"f'
,.. .,.. -. r",
presence under DOT procedures of a prohibited drug in the employee's or applicant's SYSlsm.
i "Medical Review Officer {MRO)": A licensed physician (medical doctor or doctor of osteopathy)
If ~ responsible for receiving laboratory results generate~ by an employer's Drug testing program
J 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 medical
history and any other biomedical information.
"Pass a Drua Test or Test Negative": That initial testing or confirmation testing under DOT
procedures does not show,evidence of the presence of prohibited drug In the Employee's or
applicant's system.
"Performino a safety-sensitive function": Means an Employee is considered to be performing a
safety-sensitive function during any period in which he is actually performing, ready to perform,
or immediately available to perform any safety-sensitive functions.
"Refuse to submit to an alcohol or.controlled substances test": Means that an Employee either:
a. Fails to provide adequate breath for testing without a valid medical explanation after he
or she has received notice of the requirement for breath testing in accordance with the
provisions of this part,
b. Fails to provide adequate urine for controlled substances testing without a valid medical
explanation after he has received notice of the requirement for urine testing in
accordance with the provisions of this part. or '
'Cl Engages in conduct that clearly obstructs the testing process. '
" t}.;,fi/ (
/1/<..1/ ~"SAMHS.6": Substance Abuse and Mental Health Services Administration, formerly National
I Institute on Drug Abuse (NIOA), was established by the. Department of Health and Human
Services (DHHS) in 1986 to regulate laboratories performing analytical tests (drug tests) on
human body fluids for employment purposes in the public sector.
"Screening test (also known as initial test)": In alcohol testing, it means an analytical procedure
to determine whether a driver may have a prohibited concentration of alcohol in his or her
system. In .controlled substance testing, it means an immunoassay screen to eliminate
"negative" 'urine specimens from further consideration.
"Substance Abuse Professional (SAP)": Means a licensed physician (Medical Doctor or Dodor
of Osteopathy). or a licensed or certified psychologist, social worker, employee assistance
professional, or addiction counselor (certified by the National Association of Alcoholism and
Drug Abuse Counselors Certification Commission) with knowledge of and clinical experience in
the diagnosis and treatment of alcohol and controlled substances-related disorders.
'7 r{~~~;:~~~s": Responsible for observing the performance and behavior of Covered Employees,
(documenting events which might require reasonable cause testing and requesting second
supervisor for substantiation and concurrence fo'r reasonable cause testing, if available. A
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~.
listing of titles designated as supervisors is pr~vlded in Appendix B.
Section VI: Drug and Alcohol Testing Requirements:
A. ADolicabilitv:
Individuals Subiect to Druo and Alcohol Testina: Any Employee who has a CDL for the
performance of his duties under 49 CFR Part 382 or who is performing safety-sensitive
functions would be subject to Drug/Alcohol testing under the Plan. Refer to Appendix 8 for
r- 7/ specific job titles subject to te~ting under the Plan.
Procedure for Notifving Employees: All Covered Employees will be provided a complete copy
of the Policy and the Plan. '
Substances for Which Testinq MLJ.st Be Condycted: The 4'shall test each Covered
Employee listed in Appendix B 'for evidence of the follow~6stances:
Drug To Be Tested For:
Marijuana
Cocaine
Amphetamines
Phencyclidine
Opiates
Alcohol
Initial Test Cutoff Level (ng/ml)
Marijuana metabolites 50
Cocaine metabolites 300
Amphetamines 1,000
Phencyclidine 25
Opiates metabolites 300
Alcohol .02 (gll)
Confirmatory Test Cutoff Levels (ng/ml)
Marijuana metabolite
Cocaine metabolite
Opiates:
Morphine
Codeine
Phencyclidine
Amphetamines:
Amphetamine
Methamphetamine
Alcohol
15
150
300
300
25
500
500
:02 (g/l)
f3. Reauired Drua and Alcohol Tests:
Pre-EmDlovmentJPre-Assignment T estina:
A pre-employment drug and alcohol test must be conducted before an individual is hired or
contracted and when an individual is transferred/promoted from a noncovered to a covered
position. This also applies to Employees returning from paid or. unpaid leave of 30 days or more
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who have not been participating in the Drug and Alcohol Testing Policy and have not been
subject to the random selection process. A negative test is requIred prior to performing safety-
sensitive functions. .
Post-Accident Testing:
If the accident involves driving a Commercial Motor Vehicle and falls within the definition of
accident described in the definition section of the Policy, the Employee shall be drug tested as
soon as possible but no later than 32 hours after the accident. Each Employee shall also be
alcohol tested within tw~o._~ ~_, rs of the accident if possible but no later than eight (8) hours
after the accident. Theo n~ must take all reasonable steps to obtain a urine specimen and
--
breath sample from an Employee after an accident, as defined above, but any injury should be
/JJif'treated first. Employees should see Appendix E for instructions to Employees regarding
/I~/ post-accident notification and testing. -
Bandom Testing:
The primary purposes of random testing are to deter prohibited drug and alcohol use and to
ensure a drug-free and alcohol-free workforce. Regulations require that Covered Employees -J
shall be subject to drug and alcohol testing on an unannounced and random basis. The G-oomy.-
shall conduct a number of drug tests on all Covered Employees equal to at least 50 percent of
the average number of Covered ,E1;npJClyees each calendar year, spread reasonably over a 12
month period. In addition, the Gouh~shall conduct a number of alcohol tests on Covered
Employees equal to at least 25 percent of the number of such Covered Employees each
calendar year, spread reasonably over a 12 month period. The following is an outline of the key
aspects of the random testing selection process:
a. Employees remain in t~e random selection pool at all times, regardless of whether or not
they have been previously selected for testing.
b. Employees shall be selected for testing by using a computerbased random number
generator ot equivalent random selection method that is matched with an Employee's
Social Security number or County Employee number.
c.. The process will be unannounced as well as random. Employees will be notified that they
have been selected for testing after they have reported for duty on the day of the
collection.
d. Employees will be selected for random testing based on the number of Covered
Employees at the time and the necessary testing rate.
e. Specimen collection will be cond~cted on different days of the week throughout the
annual cycle.
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'.
Steps for random testing: , 0 /' _.C:;
~~~-l .
. - ~
a. The ~:..{or designee), on a pre-determined date, shall use the random selection
proc~ to compile a list of Covered Employees selected for random testing during
that testing cycle.
b. It is the intent o~ this Plan to notify Employees of their selection for random testing after
they have reported for duty. The names of the Employees to be tested will be provided
to the appropriate division manager, department head or supervisor.
c. The list ,of Employees selected will be retained by the DAPM (or designee) in a secure
location. Employees sl1all report immediately to the Collection Site or to the Collection
Sne within 30 minutes. plus travel timlt. once notified by the appropriate ~~fticial.
An Employee will be identified for a random drug and/or alcohol test through a random selection
process. The 'Employee will be notified by his supervisor to report immediately to the designated
collection site. The Employee, will, upon such notification: immediately leave the work
headquarters and report to the designated collection site. Upon arriving at the designated
collection site. the Employee will be require . entify himself to the collection site personnel
- , by presenting a picture identification (i.e. ~ Dty photo identification card or driver's license).
/J j l:...- The Employee will provide his urine specimen and, if applicable a breath sample in accordance
/f {.~.. with the procedures of the collection site (See App~ndix C - Specimen Collection Procedures),
Anytime an Employee tests positive for alcohol ( 0.02 or above) a supervisor will arrange to
transport the Employee from the collection site to the Employee's home.
Reasonable Cause/SusDLc;:ion Testing:
Reasonable cause/suspicion testing is designed to identify drug and/or alcohol affected
Employees who may pose a danger to themselves and others in their job performance.
Employees may be at work in a condition that raises concern regarding their safety or
productivity. Supervisors must then make a decision as to whether there Is reasonable cause to
believe an Employee is using or has used a prohibited drug and/ or alcohol. Supervisors will be
provided with training designed to identify the signs and symptoms of drug and/or alcohol use.
The decision to test must be based on a reasonable and articulate belief that the Employee is
using a prohibited drug and/or alcohol on the basis of specific, current, physical, behavioral or
performance indicators of probable drug and/or alcohol use. In making a determination of
reasonable cause, the factors to be consideted include, but are not limited to, the following:
a. Adequately documented pattern of unsatisfactory work performance, for which no
apparent non-impairment related reason exists, or 'a change in an Employee's prior
pattern of work performance.
b. Physical signs and symptoms consistent with substance abuse.
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c. Evidence of illegal drug or alcohol use, possession, sale or delivery while on duty.
d. Occurrence of a serious or potentially serious accident that may have been caused by
human error or flagrant violations of established safety, security or other operational
procedures.
Anytime an Employee tests positive for alcohol ( 0.02 or above) a supervisor will arrange to
transport the Employee from the collection site to the Employee's home. Anytime an Employee
is drug tested under ~he reasonable cause or post-accident section of this Policy, the Employee
shall not perform any safety-sensitive duties pending the receipt of the drug test results.
Appendix E has .sample forms to help supervisors document work performance problems which
may be related to alcohol or drug impairment.
Return-to-Duty Testing:
An Employee who refuses to take' or fails a drug or alcohol test may not return to duty (i.e.
perform safety-sensitive functions) until the Employee P~~.~~~_a'drug, test"a'nd ak6h61 test, if
applicable, ~~d the S~P~has d:t;rmi~~~d tha~;~e ~mpI6yeEt~~.Y~(~Gt.~Jq,;~cr~tY'(i.e. perform a
safety-sensItIve functIon), ~,^P.~" (, M . ~ Pt.,( . ~,.I\.
Section VII: Use of Employee Who Fails or Refuses a Drug/Alcohol Test
Compliance with the ~ty':DnJ9 and Alcohol Testing .Policy is a condition of employment. If
an Employee refuses to take a required test or:f~J!;S'.? drug' and/or alcohol test, he shall be
removed from safety-sensitive functions and placea' on fea've\vWioufpa{ "Additional disciplinary
action up to and including termination. may result.
The. ~hall noi ~se any emPIOy~e in a safety-sensitive function who either fails a drug test
as verified by the MRO, fails an alcohol test as verified by the BAT or refuses to take a drug
and/or alcohol test required by this Policy.
Before an Employee returns to duty requiring the performance of a safety.sensitive function
. after engaging in conduct prohibited by this Policy, the Employee shall undergo a return-to-duty
drug and/or alcohol test with a result indicating an alcohol concentration of less than 0.02 if the
conduct involved alcohol; or an illegal drug test with a verified negative result if the conduct
inyolved illegal drugs. .
In addition, each Employee identified as needing assistance in resolving problems associated
with alcohol misuse or illegal drug use shall be:
a. . Evaluated by aSubstaf')ce Abuse Professional to determine that the Employee has
properly followed any rehabilitation program prescribed by the Substance Abuse
Professional; and
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b~ubject to unannounced follow-up alcohol and illegal drug tests administered by the
,- l ~ollowlng the Employee's return to duty. The number and frequency of such
follow-up testing shall be directed by the Substance Abuse Professional and consist of at
1~~~.]1g:'f~'?::imt~fjrsf~1~o]it~~following the Employee's return to duty. The Cotm-ty-;
will direct the Employee to undergo return-to-duty and follow-up testing for both alcohol
and illegal drugs, if the 'Substance Abuse Professional determines that return-to-duty and
follow-up testing for both alcohol and illegal drugs is necessary for that particular
Employee. Follow-up testing shall not exceed 60 months from the date of the Employee's
return to duty. The Substance Abuse Professional may terminate the requirement for
follow-up testing a~ 8:1Jy..time after the first six (6) tests have been administered, if the
Substance Abuse Professional determines that such testing is no longer necessary.
Restrictions on an Emolovee Pertainina to Alcohol Usaae:
a. No Employee shall report for duty or remain on duty while having an alcohol
concentration of 0.02 or greater.
b. No Employee'shall possess alcohol during working hours unless the alcohol is
manifested and transported as part of a shipment.
c. No Employee shall use alcohol during working hdurs.
d. No Employee shall use alcohol within four (4) hours prior to performing a safety-sensitive
function.
e. No Employee required to take a post-accident alcohol test shall use alcohol following an
accident for eight (8) hours following the accident, or until he undergoes a post-accident
alcohol test, whichever occurs first.
f. An Employee who is found to have an alcohol concentration of 0.02 but less than 0.04
. shall not be allowed to perform safety-sensitive functions until the start of his next shift
but not less than 24 hours (measured from the time of the test).
g. An Employee who is found to have an alcohol concentration of 0.04 or greater shall not
be allowed to perform safety-sensitive functions and shall be evaluated by a Substance
Abuse Professional who shall determine what assistance, jf any, the Employee needs in
resolving problems associated with alcohol misuse and/or illegal drug use.
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Section VIII: Specimen Collection Requirements
A. Scone:
;J;J~ The procedures contained herein and in Appendix C ~hall be complied with by the designated
/ collection sites. These procedures address the requirements contained in Section 40.25.
B. Genera/Information:
The collection site shall have all necessary personnel. materials, equipment, facilities, and
supervision to provide for th~ .collection, security, temporary storage, and shipping or
.-/ ~ortation of urine specimens to a certified'drug testing laboratory designated by the
'-r~ntY. An independent medical facility may also be utilized as a collection site provided the
(/ other applicable requirements of Appendix C are met.
- ~. . .
J~"'" A designated collection site shall be any suitable location where a specimen can be collected
II" under conditions set forth in Appendix C, including a properly equipped mobile facility. A
I /
,- designated collection site shall have an enclosure within which private urination can occur, a
toilet for completion of urination, and a suitable clean surface for writing. The site must also
h'ave a source of water for washing hands, which if practical, should be external to the
enclosure where urination occurs.
Alcohol tests shall be conducted by a Breath Alcohol Technician (SAT) trained to proficiency ih
the operation of the Evidentiary or Evidential Breath Testing device (EBT). Alcohol tests shall be
conducted in a location that affords visual and aural privacy to the individual being tested.
sufficient to prevent unauthorized persons from se'eing or hearing test results.
Detailed specimen collection procedures are outlined in Appendix C.
Section IX: Drug Testing Laboratory
A. SAMHSA (formerly NIDA) Laboratory:
The ~ shall use a.drug testing laboratory certified under DHHS Mandatory Guidelines for
Federal Workplace Drug Testing Programs; 53 Federal Register 11970, April 11 , 1988 and
subsequent amendments. The laboratory shall provide services in accord/a.n~t.J:t--Part 40 ~nd
Part 382. The name and address of each SAMHSA laboratory ~B9:by-thE(Couflty is contained
In Appendix-Af.--T-hfe laboratory shall permit inspections by the~..YDty,' the FHWA Administrator,
or if the County is subject to ~he jurisdiction of a state agency, a representative of the state
agency.
8. Laboratory Procedures:
These procedures are addressed in Appendix F. '
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.
Section X: Blind Performance Test Procedures
---
. \ .
The C'SYAty shall use blind testing quality control procedures as provided in this section. The
County shall submit three blind performance test specimens for each 100 employee specimens
it submits. .
Section XI: Review of Drug Testing Results
A. General I ,,!forrnation: . ;~ ~
The C~hall use an MR~ho shall be a licensed physician with knowledge of drug abuse
disorders. The MRO shall review all negative and positive drug test re~and interview
individuals tested positive to verify the laboratory report before the COT;lfuyis notified. The
review of negative tests may be an administrative process to ensure the chain-of-custody
procedures were intact.
The MRO has contracted with t~e ~provide the services of an MRO for this drug
te.~olicy in accordance with the requirements of Title 49 CFR 40.33. A listing of the
CO}1nty's MRO, including the name and address, is contained in Appendix A.
B. Reoortina and Review of Results:.
The MRO shall review confirmed positive results. An essential part of the drug testing program
is the final review of confirmed positive results from the laboratory. A positive test result does
nbtautomatically identify an employee/applicant as having used drugs in violation of a DOT
regulation. An individual with a detailed knowledge of possible alternate medical explanations is
essential to the review of the results. This review shall be performed by the MRO prior to the
transmission of results to the DAPM . The MRO review shall include review of the chain-of--
custody to ensure that it is complete on its face.
The duties of the MRO with respect to negative results are purely administrative.
c. Resoonsibilities of MRO:
The ro~e Hhe MRO is to review and interpret confirmed positive test results obtained through
..-
the C. testing program. In carrying out this responsibility, the MRO shall examine alternate
medical explanations for any positive test result. This action could include conducting a medical
interview with the individual and review of the individuals medical history, or review of any other
relevant biomedical factors. The MRO shall review all medical records made available by the
tested individual when a confirmed positive test could have resulted from legally prescribed
medication. The MRO shall not, however, consider the results of urine samples that are not.
obtained or processed in accordance with 'DOT regulations.
The MRO may require the original specimen be reanalyzed to determine the accuracy of the
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test result. The MRO may verify that the laboratory report and assessment are correct.
D. Positive Test R~ults:
Prior to making a final decision to verify a positive test result, the MRO shall give the individual
an opportunity to discuss the test result with him. The MRO shall contact the individual directly,
on a confidential basis, to determi~e 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 5 of this section.; the MRO shall talk directly with the employee before verifying a test
as positive.
If, after making all reasonable efforts and documenting them, the MRO is unable to reach the
individual directly, the MRO shall contact the DAPM who shall direct the individual to contact the
MRO as soon as possible. If it becomes necessary to reach the individual through the DAPM,
the DAPM shall employ procedures that ensure, to the maximum extent practicable, that the
requirement of the employee to cClntact the MRO is held in confidence.
. .
If, aftermaking all reasonable efforts, the designated management official is unable to contact
the employee, the ~ay place the employee on temporary medically unqualified status or
medica/leave. {
The MRO may verify a test as positive without having communicated directly with the'employee
about the test in two circumstances:
a. The Employee ex~reSSI declines the opportunity to discuss the test; or
b. The designated C'. representative has successfully made and documented a contact
with the Employee a d instructed the Employee to contact the MRO (see preceding
p'aragraphs of this section), and more than five days have passed since the date the
Employee was successfully contacted by the designated county representative.
If a test is verified positive under the circumstances specified in preceding paragraph, the
empfoyee may present to the MRO information documenting that serious illness, Injury, or other
circumstances unavoidably 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.
'T~.
Following verification of a positive test result, the MRO shall, as provided in the-Getmty's POliCY,
refer the case to the DAPM (or designee) for action. '
E. Verification for 00;8tes: Review for Prescriotion Medication:
Before the MRO verifies a confirmed positive result for opiates, the MRO shall determine that
there is clinical evidence, in addition to the urine test, of unauthorized use ,of any opium, opiate,
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--r-
or opium derivative (e.g.,morphine/codeine). This requirement does not apply if the County's
GC/MS confirmation testing for opiates confirms the presence of 6monoacetylmorphine.
F, Reconfirmation Analysis:
The MRO shall notify each Employee with a confirmed positive test that the Employee has 72
hours in which to request a test of the split specimen. 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 ofthe split specimen fails to reconfirm the presence of the
drug(s) found in the primary_~pecimen, is unavailable, inadequate for testing, or not testable,
~e MRO shall. cancel the test and report the cancellation and the reasons for it to the DOT, the
I Oottnty, and the Employee.
G. Results Consistent with Leaal Drug Use: . .
If the MRO determines there is a legitimate medical explanation for the positive test result, the
MRO shall report the test result to the Geunty as negative.
. f .
H. Resul!~ Scientificallv lnsufficient:
The MRO, based on review of inspection report, quality control data, multiple sample. and other
pertinent results, may determine that the result is scientifically insufficient for further action and
declare the test specimen negative. In this situation the MRO may request reanalysis of the
original sample before making this decision. The MRO may request that reanalySjs_~e""'____<::l
. performed by the same laboratory or, as provided in paragraph F above, that an aliquo' of the
original specimen be sent for repeat analysis to an alternate laboratory which is ce I led in
accordance with the OHHS guidelines.
The laboratory shall assist in this review process as requested by the MRO by making available
the individual responsible for day-to-day management of the urine drug testing laboratory or
other Employee who is a forensic toxicologist or who has equivalent fore!1sic experieng.~in
urine drug testing, to provide specific consultation as required by thfCO~tY, The ~all
include in any required annual report to FHWA a summary of any negative findings based on
scientific insufficiency but shall not include any personal identifying information in such reports.
I. Disclosure of Information:
Except as provided in this paragraph, the MRO shall not disclose to any third party l1')edical
information provided by the individual to the MRO...J~art of the testing verification process.
The MRO may disclose such information to the ~, DOT or other Federal safety agency, or
a physician responsible for determining the medical qualification of the Employee under the
appropriate DOT regulation, as applicable, only if:
a. An applicable DOT regulation permits or requires such disclosure;
b. In the'MRO's reasonable medical judgment; the information could result in the Employee
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being determined to be medically unqualified under any applicable DOT rule; or
c. In the MRO's reasonable medical judgment, in a situation in which there is no DOT rule
establishing physical qualificati.on standards applicable to the Employee, the information
indicates that .continued performance by the Employee of his or her covered function
could pose a significant safety risk.
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.
Section XII: Retention of S_~!Tlples
Samples that yield positive results on confirmation must.be retained by the laboratory in.
properly secured, long-term, frozen storage for atleast 365 days. Within this 365 day period,
the -=~e or designa,ted r,epresentative, FHWA or oth~r state agenci~~ with jur.isdiction, or
the may request In writing that the sample be retarned for an additIonal perrod. If the
laboratory does not receive the request to retain the sample within the 365 day period, the
sample may be discarded.
Section XIf/: Retesting of Samples
A. General Information:
An Employee/applicant may request in writing to the MRO a retest of the sample provided such
request is made within 72" hours of the Employee having been informed of a verified positive
test from the MRO.
B. Retest Provisions:
If a retest is requested as provided in paragraph A above, the MRO shall direct in writing the
laboratory to provide the split specimen to another DHHS certified laboratory for analysis. The
Employee will be required to pay in advance for the cost of the shipment and repeat analys,is of
the sample.
C. Detection Levels:
Because some substance's deteriorate or are lost during freezing and/or storage, quantifying
levels for a retest are not subject to a specific cutoff requirement but must provide data
sufficient to confirm the presence of the drug or metabolite. 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 the MRO shall cancel the test.
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Secti~EmpJoyee Assistance Program (EAP)
,1
The County provides an EAP for its Employees. The EAP provides confidential counseling for
many different areas of concem to Employees including drug and/or alcohol problems. The_
name and number of the EAP is listed in Appendix A. _~'
Supervisory personn~sible for those Employees covered under this Policy will receive
training under the-Cmm.1fts Alcohol and Drug Testing Policy. The training shall include at least
one SO-minute perio~ of training on the specific, current, physical, behavioral and performance
indicators of probable drug use and an additional SO-minute period of training on the specific,
current, physical, behavioral. ~nd performance indicators of probable alcohol use. This training
shall be for supervisors who may determine whether an Employee must be drug and/or alcohol
tested for reasonable cause.
Section XV: Record Keeping Procedures
A. Generallnformat~C2-n: A /i 1 I./l~~~'~ ~
__ 1 ~ r..:-t...--L'( ,-rc-7
The DAPM (or designee) shall maintain a locked file system which will contain drug and/or
alcohol test results. This file shall be maintained as confidential. Employee files shall be
handled on strict "need-to-know" basis.
Drug and/or alcohol test results shall not be included in personnel files. Information regarding .
an individual's drug and/or alcohol testing results or rehabilitation may be released only upon
written consent of the affected Employee, except:
a. Such information must be released regardless of consent to DOT or other government
agency as a'part of an accident investigation~ or
b. Such information may be disclosed regardless of consent in a lawsuit, grievance or other
proceeding initiated by or on behalf of the Employee and arising from a verified positive
drug and/or alcohol test.
Statistical data related to drug and/or alcohol testing and rehabilitation that is not
name-specified and training records may be released to DOT or other governmental agencies
upon request.
The ~ shall maintain records of this Policy as provided below. The records shall be
maintained in a secure location with controlled access.
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 0.02 or greater,
b. Documentation of refusals to lake required alcohol tests;
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c. EST calibration documentation;
d. Employee evaluation and referrals;
e. . OCIS annual report data;
f. Records of employees verified positive drug test results:
(i) Job classification and functions of Employees;
(ii) Prohibited drug(s) used; and
(iii) Disposition of Employee (Le., rehabilitation,suspension, termination.s, etc.).
g. Documentation of refusals to take required Alcohol and/or Drug test;
h. A copy of each annual calendar year summary required by 49 CFR Sectiun 382.403.
The following records shall ~~ maintained for a minimum of three (3) years:
a. Records that demonstrate the collection process conforms to 49 CFR Section 40.25.
The following records shall be maintained for a minimum of two (2) years:
a. Records related to the alcohol and drug collections process (except calibration of
evidential breath testing devices) and training.
The following records shall be maintained for a minimum of one (1) year:
a. Records of negative and canceled illegal drug test results (as defined in 49 CFR Part 40)
and alcohol test results with a concentration of less than 0.02.
The following specific records shall be maintained:
a. . Records related to the collection process:
(i) 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
cause/suspicion alcohol or drug tests;
f. Documents generated in connection with decisions on post accident tests;
g. Documents verifying existence of a medical explanation of the inability of an Employee to
provide adequate breath or to provide a urine speCimen for testing;
h. Consolidated annual calendar-year summaries as required by 49 CFR Section 382.403.
I. R.ecords related to Employee's test results:
(i) The ~COpy of the alcohol test form, including the results of the
test; .
(ii) The . ty's copy of the drug test chain of custody and control form;
(Hi) Documents sent by the Medical Review Officer to the C~, including
those required by 49 CFR Section 382.407 (a); I
(iv) Documents related to the refusal of any Employee to submit to an alcohol
or drug test required by this Policy; and,
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(v) Documents presented by an Employee to dispute the result of an alCOhol
or drug test administered under this Policy.
j. Records related to other violations of this Policy.
k. Records related to evaluations:
(i) Records pertaining to a determination. by a Substance Abuse Professional
concerning an Employee's need for assistance; and
(in Records concerning an Employee's compliance with recommendations of
the Substance Abuse Professional;
, I
I. Records related to the ~nty!s Computer Information System testing data;
m. Records related tq e~tucation and training:
(i) Materials on alcohol mi$use and illegal drug use awareness, including a
copy of the Policy;
(ii) Documentation of compliance with the requirements of 49' CFR Section
382.601, including the Employee's signed receipt of education materials;
o. Records related to drug and/or alcohol testing:
(I) Agreements with Collection Site facilities, laboratories, Medical Review
Officers and consortia; . 'l~-
(ii) Names and positions of officials and their role in the G~s Drug and
Alcohol Testing Policy;
(iil) Monthly laboratory statistical summaries .of urinalysis required by 49 CFR
Section 40.29(g)(6); and
(iv) The ~ Drug and Alcohol Testing Policy;
V-
Employee Access
An Employee is entitled, upon written request, to obtain copies of any records pertaining to the
Em'ployee's use. of alcohol or drugs, inciuding any records pertaining to his alcohol or drug tests.
Location of Records
All records r~quired by 49 CFR shall be maintained and shall be made available for inspection
at the O~ principal place of business within two (2) business days after a request has
been made by an authorized representative of the FHWA.
-l9-
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D C CTY ATTORNEY
Appendix A
Drug Personnel and Services
1.
Drug/Alcohol Program Manager (DAPM)
Barbara L Sutton 1
Director of Employee Relations
22 Market Street
PoughkeepsieJllY 12601 _
Medical Review Officer (MRO)
William Baubie III, M.D. and John Keene, M.D.
The Workplace at St. Francis Hospital
60 West Cedar Street
Poughkeepsie, NY 12603
uJZ~/-
2.
..,
~.
Primary Laboratory
Coming Metpath . 3
One Malcolm Avenue
Teterboro NJ 07608 - 1070 .
Secondary Laboratory
...--
4. Employee Assistance Program (EAP)
7 Mansion Street
Poughkeepsie NY 12601
D
~015
/{~rC-~~~-~L ?
..l.o
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D
~016
Appendix B
Covered Employees,
Division
Title
Auto Center
Motor Equipment Operator
Aviation
Airport Maintenance Mechanic I
Airport Maintenance Mechanicfl*
Airport Maintenance Supervisor'"
Highway
Assistant Tree Climber
Bridge Maintainer
Bridge Maintena,nce Supervisor""
CEO I
CEO 11*
CEO II/Mechanic
Construction Equipment Mechanic I
Construction Equipment Mechanic II
Equipment Mechanic Supervisor I.
Equipment Mechanic Supervisor II'"
Garage Superintendent. '
Labor SupeNisor'"
Maintenance Superintendent*
MEO
Sector Chief'"
Tree Climber
Tree Maintenance Supervisor.
Tree Trimmer
Parks
Park Maintenance Mechanic
Park Manager I.
Park Manager II"
*Indicates that the title is acting as a Supervisor for the purpose of this Policy and is authorized
to designate reasonable suspicion alcohol or drug testing.
~J
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D C CTY ATTORNEY
D
I4J017
Appendix C
/ Z-;
.~.,AJ_t2/ (./'
Drug and Alcohol Specimen Collection Procedures
Druas
. ,
A. Sea De:
1. The drug testing custody and control farm is to be used as a permanent record on which
identifying data on the employee and on the specimen collection and transfer process
are retained. The drug testing plan requires testing for marijuana, cocaine, opiates,
amphetamines, and phencyclldlne.
2.
Urine specimens collected under. this plan may be used only to.test for controlled
substances designated or approved for testing as described in this appendix and shall
not be used to conduct any other analysis or test.
'.
3. This plan does not prohibit procedures reasonably incident to analysis of the specimen
for controlled substances (e.g.; determination of PH or test for specific gravity, creatinine
concentration, or presence of adulterants). .
13. Procedures:
The collection site person shall utilize the DOT approved drug testing custody and control form
(COG).
C. Security:
1. The purpose of this paragraph is to prevent unauthorized access which could
compromise the integrity of the collection process of the specimen.
2. The designated collection site is to be secure. If a collection site facility is dedicated
solely to urine collection, it shall be secure at all times. If a facility cannot be dedicated
solely to drug testing, the portion of the facility used for testing shall be secure during
drug testing.
.l.2,...
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D
~018
,)
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 2
DruQs cont'd
A Scope: cont'd
3. A facility nonnally' used for other purposes, such as a pUblic rest room or hospital
examining room, may be secured by, visual inspection to ensure other persons are not
present and unde~eq~2 access (e.g.. through a rear door not in view of the collection site
person) Is not possible. Security during collection may be maintained by effective
restriction of access to collection materials and specimens. In the case of a public rest
room, the facility must be posted against access during the entire collection procedure to
avoid embarrassment to the Employee or distr~ction of the collection site person.
4. If it is impractical to maintaIn continuous physical security of a collection site from the
time the specimen is presented until the sealed mailer is transferred for shipment, the
following minimum procedur~s shall apply:
a. The specimen shall remain under the direct control of the collection site person
from delivery to its being sealed in the mailer; and
b. Themailershallbeimmediatelymailed.maintained in secure storage, or remain
under the personal control of the collection site person until mailed.
D. Chain of Custo~:
1. The chain of custody block of the drug testing custody and control form shall be properly
executed by authorized collection site personnel upon receipt of specimens.
2. Handling the transportation of urine specimens from an authorized individual or place to .
another shall always be accomplished through chain of custody procedures. Every effort
shall be made to minimize the number of persons handling specimens.
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D
~019
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 3
. Dru<;ls_ cont'd
E. Access to Authorized Personnel O.n.!y:
1. No unauthorized personnel shall be pennitted in any part of the designated collection site
when urine specim~ns are collected or stored. Only the collection site person may
handle specimens p:!.or to their securement in the mailing container or monitor or
observe a specimen collection (under the conditions specified in this section).
2. To promote security of specimens, avoid distraction of the collection site person, and
ensure against any confusion in the identification of specimens', the collection site person
shall have only one donor under supervision at anytime.
3. For this purpose, a .collection procedure is complete when the urine bottle has been
sealed and initialed, the drug testing custody and control form has been executed. and
the Employee'has departed the site (or, in the case of an Employee who was unable to
provide a complete specimen, has entered a waiting area).
F, Privacy:
1. Procedures for collecting urine specimens shall allow individual privacy unless there is a
reason to believe that a particular individual may alter or substitute the specimen to be
provided, as further described in this paragraph.
2. For purposes of this procedure, the following circumstances are the exclusive grounds
constituting a reason to believe that the individual may alter or substitute the specimen:
a. The individual has presented a urine specimen that falls outside the normal
temperature range (32~38 C /90-100 F); and.
(i) the individual declines to provide a measurement of oral body temperature:
or
(ii) oral body temperature varies by more than 1 C /1.8 F from the temperature
of the specimen;
b. 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 0.2 g/L;
~y
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D
~020
~
'\
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 4
F. Privacy:
2.
c.
The collection site person observes conduct clearly and unequivocally indicat'ing
an attempt to substitute or adultera~e the sample (e.g., substitute urine in plain
view, blue dye in specimen presented); or
3.
d. The Employ'el?b.?S previously been determined to have used a controlled
substance without medical authorization and the particular test was being
coriducted under, a DOT reg'ulation providing for follow.up testing upon or after
return to service. --r--
A higher-level supervisor of the collection site person, or a desi~nated ~ ' I
representative, shall review and concur in advance with any decision by a collection site
person to obtain a specimen under the direct observation of a same gender collection
site person based upon the circumstances described in paragraph 2 above.
G, Integrity and Identitv of Soecimen:
The collection site person shall take precautions to ensure that a urine specimen is not
adulterated or diluted during the collection procedure and that information on the urine custody
and control form can identify the individual from whom the specimen was collected. 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 that reservoir of water in the toilet bowl
always rema,ins blue. Where practicable. there shall be no other source of water (e.g., no
shower or sink) in the enclosure where urination occurs. If there is another source of
water in the enclosure, it shall be effectiv'ely secured or monitored to ensure it is not used
as a source for diluting the specimen. '
2. When ()n individual arrives at the collection site, the collection site person shall ensure
that the individual is positively identified as the individual selected for testing
(e.g.,through presentation of photo identification or identification by the Gounty's
representative). If the individual's identity cannot be established, the collection site
person shall not proceed with the collection. If the individual requests. the collection site
person shal,l show proper identification to the individual.
3. If the individual fails to arrive at the assigned time, the collection site person shall contact
the appropriate authortty to obtain guidance on the action to be taken.
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D C CTY ATTORNEY
D
i4l 021
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 5
G. Inteority and Identtty of Soecimen: cont'd
4.
The collection site person shall ask the individual 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 individual's urine specimen. The collection site
person shall ensure. that all personal belongings such as a purse or briefcase remain with
the outer garment~. Thl? individual may retain his or her wallet. If the individual requests
it, the collection site person shall provide the employee a receipt for any personal
belongings.
5.
The individual shall be instructed to wash and dry his or her hands prior to urination.
6.
After washing hands, the individual 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.
7.
The individual may provide his or her specimen in the privacy of a stall or otherwise
partitioned area that allows for individual privacy. The collection site person shall provide
the individual with a specimen bottle or collection container, if applicable, for this
purpose.
8.
The collection site person shall note any u~ual behavior or appearance on the urine
custody and control form. ~
In the exceptional ~vent that.a ~tY~eSignated collection site is not accessible and
there is an immediate requirement for specimen collection (e.g.,circumstances require a
post-accldent test), a public rest room may be used according to the following
procedures:
9.
a. A collection site person 'of the same gender as the individual shall accompany the
individual.into the public rest room which shall be made secure during the
collection procedure.
b. If possible, a toilet bluing agent shall be placed in the bowl and any accessible
toilet tank.
c. The collection site person shall remain in the rest room, but outside the stall, until
the specimen is collected.
d. If no bluing agent is available to deter specimen dilution, the collection site person
shall instruct the individual not to flush the toilet until the specimen is delivered to
the collection site person.
-27-
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D
~022
I
. \
Appendix C ..
Drug and Alcohol Specimen Collection Procedures
Page 6
G. Intearity and Identity of Soecimen: cont'd
9.
e.
After the collection site person has possession of the specimen, the individ.ual will
be instructed to flush the toilet and to participate with the collection site person in
completing the chain-of-custody procedures.
10. Collection Methodology
a.
Upon receiving the speelmen from the individual, the collection site person shall
determine if it has at least 45 ml of urine (30 ml for the primary specimen and 15
, ml for the secondary specimen).
If the individual is unable to provide such a quantity of urine, the collection site
'person shall instruct the individual 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 DAPM notified.
The MRO shall refer the individual for a medical evaluafion to develOp pertinent
information concerning whether the individual's inability to provide a specimen is
genuine or constitutes tl refusClI to test. Upon completion of the examination, the
MRO shall report his or her co.n~~s-to the employer in writing. '
In pre-employment testing, if t~rit'fdoes not wish to 'hire the individual, the
MRO is not required to make such a referral. .
Upon completion of the examination, the MRO shall report his! her conclusions to
the County in writing.
b.
c.
d,
e.
f.
11. The collection procedures SE;!t forth below shall be followed for a urine collection:
a. The individual shall urinate into a collection container or specimen bottle capable
of holding at least 60 ml.
b. 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.
c. If a single specimen bottle is included 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).
~"7
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D
@023
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 7
G, lntearitv and Identity of Scecimen: cont'd
11.
d.
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.
. .
e. If the test res.ult of the primary specimen is positive, the individual may request
that the MRO gjrect that the split specimen be tested in a different DHHS-certified
laboratory for presence of the drug(s) 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 individual having been notified of a verified positive test
result. All confirmatory testing will be done at the expense of the individual.
f. When the MRO informs the laboratory in writing that the individual 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-or-custody entries.
g. The result of the test of the split specimen is transmitted by the second laboratory
to the MRO.
h. Action required by DOT agency regulations 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 test of the split specimen.
I. 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 County
and the individual. .
12. After the specimen has been provided and submitted to the collection site person, the
individual shall be allowed to wash hisl her hands.
13. 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 cri~icaland in no case shall exceed 4 minutes.
14. A specimen temperature outside the range of 32-38 G/SO -100 F constitutes a reason to
believe that the individual has altered or substituted the specimen. In such cases, the
individual supplying the specimen may vQlunteer to have their temperature taken to
provide evidence to counter the reason to believe the individual may have altered or
substituted the specimen.
'8
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D
~024
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 8
G. lntearitv and Identity of Soecimen: cont'd
16. All specimens suspected of being adulterated shall be forwarded to the laboratory for
testing.
17. Whenever there is r~ason to believe that a particular individual has altered or substituted
the specimen as. de~~.!:!bed in Section F .2.a and c. of this section, a second specimen
shall be. obtained as soon as possible under the direct observation of a same gender
collection site person.
18. Both the individual 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 individual 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.
19. The collection site person shall place securely on the bottle an identification label which
contains the date, the individual's specimen number, and any other identifying
information provided or required by the employer. If separate from the label, the tamper-
proof seal shall also be applied.
20. The donating individual shall initial the identification label on the specimen bottle for the
purpose of certifying that it is the specimen conection from the donor.
21. 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 Qrug
testing custody and control form certifying that the collection was accomplished
according to the applicable Federal requirements.
22. The'individual, shall be asked to read and sign a statement on the drug testing custody
and control form that the specimen collected from him is in fact that specimen he
provided. The collections site persbn and the Employee shall be present at the same
time during procedures outlined in items 19 through 22 of this section.
25. 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.
~ "jl
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D C CTY ATTORNEY
D
~025
Appendix C .
Drug and Alcohol Specimen Collection Procedures
Page 9
G. Integrity and Identity of Soecimen: cont'd
26. 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.
27. Control of Specih1~n.:__
a. While any part of the above chain-of-custody procedures are being performed, it is
essential that the urine specimen and custody documents be under the control of
the involved collection site person.
b. If the involved collection site person leaves his or her work station momentarily,
the collection site person shall take the specimen and drug testing custody and
control form with him or 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.
c. The collection site person shall not leave the collection site in the interval between
presentation of the specimen by the indiVidual and securement of the sample with
an identifying label bearing the individual's specimen identification number and
$eal initialed by the individual. If it becomes necessary for the collection site.
person to leave the site during this jnterv~l, the collection shall be nullified and, at
the election of the County, a new collection may be begun.
H. Collection Control:
To the maximum extent possible, collection site personnel shall keep the Individual's specimen
bottle within sight both before and after the individuall1as urinated. After the specimen.is
collected, it shall be properly sealed and labeled.
\. Tr:..anscortation to Laboratorv:
Collection site personnel shall arrange to ship the collected specimens to the drug testing
laboratory. The specimens shall be placed in shipping containers designed to minimize the
possibility of damage during shipment (e.g.,specimen boxes and/or padded mailers); and those
containers shall be securely sealed to eliminate the possibility of undetected tampering. On the
tape sealing the container, the collection site person shall sign and enter the date specimens
were sealed in the containers for shipment The collection site person shall ensure that the
chain-ofwcustody documentation is attached to each container sealed for shipment to the drug
testing laboratory..
.3c)
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D C CTY ATTORNEY
D
~026
I
('
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 10
J. Failure to Coooerate:
If the individual refuses to--cpoperate with the collection process, the collection site person shall
. inform the designated Co representative and shall document the n~n-cooperation on the.
drug testing custody and contro
K. Emolovee Reauirina Medical Attention:
If the sample is being collected from an Employee in need of medical attention as part of a
post-accident test given in an emergency medical facility, necessary medical attention shall not
be delayed in order to collect the specimen.
L. Use of Chain-ot-Custodv Forms:
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.
Alcohol Testing
A. Scope:
1. The evidential breath testing procedures set forth In this appendix address all the
requirements as set forth in 49 CFR Part 40 and specifies the required form and
disposition. of such testing forms.
, ~',
B. Alc:;.ohol Testina Form'and Loa Book: ~
1. The BAT shall- utilize the Breath Alcohol Testing form provided by theEi~. The
alcohol testing form must comply with the provisions as contained in 49 CFR Part 40 with
regard to the information that must be conta,ined on the form. The form must address the
specific requirements contained in Section 40.59. The ~ may not modify or revise
the form.' '''',j
~(
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D C CTY ATTORNEY
D
141027
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 11
B. Alcohol Testina.Form and Loa Book: cont1d
2. The ~ may utilize a form that is directly generated by an EST and may omit the
< ( spaco for affixing a separate printed result to the testing form. The form shall provide
, l(,~-r '.. triplic4~three consecutive identical copies with copy 1 (white copy) being retained by
C> t\ I ~)," the ~ copy 2 (green copy) shall be provided to the individual, and copy 3 (blue
~r . copy) shall be retaIn~.g.by tile BAT.
3, The County shall use a log book in conjunction ~ith any EST used for screening tests
that does not meet the requirements for receiptsl numbering sequential.
4. The breath alcohol te~ting form may Include such additional information as may be
required for billing or other ~egitimate purposes necessary to the testing, provided that
personal identifying information on the individual (other than the social security number
or employee identification number) may not be provided.
Lfueath T?t9 ~ocations: ~. (tvL),",' c ~"7 .~
1. The CouAty shall ensure that there are sufficient breath testing sites or the availability of
BATs localedwithin a reasonable proximity to each of the Col:l11"ty:s work locations.
// . '-_,r-
__ ' I
2. The COlJn~ shall conduct the testing in a location that affords visual and aural privacy to
the individual being tested. The location shall prevent unauthorized personnel from
seeing or hearing test results. All necessary equipment, personnel, and materials for
conducVng the alcohol testing shall be provided at the testing site.
~/v
3. ~obile collection facility, such as a van that is equipped for alcohol testing, that meets
the requirements set forth in the regulations may be utilized.
4. No unauthorized persons shall be permitted access to the testing site while the EST
remains unsecured, or in order to prevent such individuals from seeing or hearing a test
result. . -y
5. In some circumstances, the Co.ur::rtY may have to conduct such alcohol testing outdoors
at the scene of an accident that does not meet the requirements as specified in
post-accident provisions of the regulations. In su.ch cases, the SAT shall provide the
necessary visual and aural privacy to the Employee to the greatest extent practicable.
6. The BAT shall supervise on.ly one individual's use of the EST at a time. The BAT shall
not leave the alcohol testing site while the testing process is in progress.
..3L
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D
~028
. . \
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 12
D. Breath Alcohol Te'stino Preoarations: .---'-
1. When an individual arrives at the alcohol testing site, the BAT shall ensure that t~e
individual is positively identified as the individual selected for alcohol t~sting (e.g. through
presentation of photo identification or identification by the Coun~resentative). If the
r
individual's identity cannot be established, the BAT shall not proceed with the alcohol
tesllfthe individu~l r~~uests, the BAT shall show proper identification to the individual.
2. The BAT shall explain the alcohol testing process to the individual.
3. If the individual fails to arrive at the assigned time,' the SA"f should contact the
appropriate authority to obtain guidance on any action to be taken.
E. Screenino Te,.?t Procedures:
1. TheBA T shall begin the alcohol testing process by completing Step 1 on the Alcohol
Breath Testing form. The individual shall then complete Step 2 by signing the
certification. Refusal by the individual to sign the certification shall be regarded as a
refusal to take the alcohol test.
2. The BAT shall select an individually-sealec:j mouthpiece and it shall be opened in full view
of the individual and attach it to the EST in accordance with the manufacturer's
instructions.
3. The BAT shall instruct the individual to blow forcefully into the mouthpiece for at least 6
seconds or until the EST instrument indicates that an adequate amount of breath has
been obtained. .
4. If the EBT does n.ot meet the requirements listed for printing receipts, the BAT shall show
the individuai the result displayed on the EST. 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 fOnTI. The BAT shall record in the log book the test number, date
of the test, name of the BAT, location, and quantified test resu~. The individual shall then
initial the log book entry.
33
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D
~029
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 13
E. Screenin9 Test Procedures: cont'd
5.
If the EST provides a printed result but does not print the results directly on to the form,
the SAT shall show the individual the result displayed on the EST. The SAT shall then
affix the test result printout to the breath alcohol test form in the designated space. The
result shall. be secur,ed In such a manner that will provide clear evidence of removal, such
as the use of tamper-_~vident tape.
6.
If the EST prints the test result directly onto' the alcohol fonn, then the SAT shall show
the individual the result displayed on the EST.
7.
If the result of the ~creening alcohol test is a breath alcohol concentration of less than
0.02, the BAT shall date the form and sign the certification in Step 3 of the form. The
individual shall then sign the certific<1tion and fill in the date in Step 4 of the form. If the
individual does not sign the certification in Step 4 or does not initial th~ log book entry for
a test, it shall not be consiqered a refusal to be tested. In this event, the SAT shall note
the individual's failure to sign or initial in the "Remarks"section of this fnrm.
8.
If a test result printed by the EST does not match the displayed result, the SAT shall note
the disparity in the "Remarks" section. Both the SAT and the individual shall initial or
sign the notation. The alcohol test is invalid and the DAPM and the individual shall be so
advised. . ~rl
At this point, no rurt" h, er testing is Cluthorized. TJi, e BAT shall transmit thE) result of less
than 0.02 to th~~ or othE=!r appropriate C'.&unty representative in a confidential
manner. The C~tY shall receive and store the information so as to ensure that
confidentiality is maintained as required in the regulations. .
9.
10.
If the result of the screen test is an alcohol concentration of 0.02 or greater, then the SAT
shall perform a confinnation test. If the confirmation test will be conducted by a different
SAT, then the SAT who conducts the screening test shall complete and sign the form
and log entry. The BAT will upon completion of the alcohol test provide the individual
with Copy 2 of the breath alcohol testing form.
F. Confirmation Test Procedures:
1. When a BAT other than the one who conducted the screening test is required to conduct
the continnation test, the new BAT will require the individualJo provide positive
identification such as photo 10 card or identification by a ~ nty representative. The
SA T, upon request of the individual being tested, will also ovide such identification.
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Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 14
f. Confirmation Test Procedures:
2. The BAT shall instruct the individual not to eat, drink, put any object or substance in his
mouth and, to the extent possible, not belch during the waiting period just prior to the,
confirmation test being conducted. This waiting period shall begin with the completion of
the screening test and shall not be less than 15 minutes, but must be within 20 minutes
of the completion 9f ~e screening test. The SAT shall explain to the individual that the
reason for this is to prevent any accumulation of mouth alcohol leading to an artificially
high reading and that it is for the benefit of the individual to comply with these
'instructions. The BAT shall also explain that the test will be conducted at the end of the
required waiting period, even if the individual has disregarded the instructions. Should
the BAT become aware that the individual has not complied with the instructions as
provided. the SAT shall (':]ote the observations in the "Remarks" section of the form.
3. 'Mlen a BAT other than the one who conducted the screening test is required to conduct
the confirmation test, the new BAT shall'initiate a new Breath Alcohol Testing form. The
BAT shall then complete Step 1 on the form and the individual shall then complete Step
2 by signing the certification. If the individual should choose not to sign the certification,
the SAT shall then make an appropriate notation in the "Remarks" section indicating the
individual's refusal to take the alcohol test. The SAT shall note in the "Remarks" section
thClt a differerit BAT conducted the screening test.
4. The SAT shall open, in the presence of the individual. a new individually sealed
mouthpiece and attach the mouthpiece to the EST in accordance with the manufacturer's
instructions. The BAT wiH then instruct the individual to blow forcefully into the
mouthpiece for at least 6 seconds or until the EST indicates that an adequate amount of
breath has been obtained.
5. The SAT shall ensure, prior to the confirmation test being administered to the individual,
that' the EST shall register 0.00 on an air blank. Should the EST again register greater
than 0.00. the testing shall not proceed using that EST. An EST 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 EST is found to be within the accepted
tolerance limits. Alcohol testing using another EST may proceed.
6. In the event that the screening and confirmation test results are not identical, the
confirmation t~sl $111\ shall be deemed to be the final result on which any disciplinary
action by the my may be taken in order to comply with the requirements of the Policy
and any applicabl federal requirements. '
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1aJ031
Appendix C
Drug and Alcohol Specimen Collection Prqcedures
Page 15
F. Confirmation Test Procedures:
7. If the EST provides a printed result but does not print the results directly onto the form,
the BAT shall show the individual the result displayed on the EST. The BAT shall then
affIX the test result printout to the breath alcohol test form in the designated space. The
result shall be secur.ed in such a manner that will provide clear evidence of removal, such
as the use oftampe~-_~ident tape.
8. If the EST prints the test result directly onto the alcohol form, then the BAT shall show
tile individual the result displayed on the EST.
9.. After the confirmation test is completed, the BAT shall date the form and sign the
certification in'Step 3 of th~ form. The individual shall then be instructed to sign the
certification and fill in the date in Step 4. If the individual should elect to not sign the
certification or to provide his initials in the log book entry for the test conducted, it shCJIl
not be considered as a refusal to be tested. The SAT shall then note the individu~I's
failure to sign or initial the log book in the "Remarks" section of the testing form.
10. If a test result printed by the EBT does not match the displayed result, the SAT shall note
the disparity in the "Remarks" section. Both the BAT and individual shall initial Q.[sign the
notation on the testing form. The test shall be considered "invalid" and the ~tY: \ /
representative and the individual shall be so advised.
11. The BAT shall transmit all alcohol testing results to the DAPM or other fC5Unty-y-n
representative in a confidential manner. All communications by BATs shall be to the
DAPM or designee only and may be provided in writing, in person, or by telephone or
electroni9:~s. The BAT shall ensure th~mediate transmission of test results to
the C~'t0is conducted in order for the C@ to prevent the individual from performing
any covered functions. .
12. The initial transmission will be accomplished in writing, via fax, to the DAPM or designee.
The SAT shall follow the initial transmission by providing to the DAPM or designee the
company's copy of the breath alcohol testing form. The test results shall be stored in
such a manner so as to protect the confidentiality of the results and to eliminate the
disclosure of information to unauthorized persons.
.3c.
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~032
Appendix C
Drug and Alcohol Specimen Collection Procedures
Page 16
G. Refusals to Test and Uncomcleted Tests: '
1. Refusal by an individual to complete and sign Step 2 of the breath alcohol testing form,
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 SAT in the "Remark~" section of the JolTn-. The testing process shall be terminated
and the BAT shall,in:'l]lediately notify the ~~APM or designee.
2. If a screening or confirmation test cannot be completed or if an event occurs to invalidate
the test, the BAT shall, if practicable, begin a new screening or confirmation test using a
new breath alcohol testing form with a new sequential test number.
HJnadeauate Amount of Breath:
1. If the individual is unable, or alleges that he is unable, to provide a sufficient amount of
breath to permit a valid breath test because of a medical condition, the BAT shall again
instruct the individual to attempt to provide an adequate amount. If the individual refuses
to make the attempt, the SAT shall immediately inform the DAPM.
2. If the individual attempts and fails to provide an adequate amount of breath. the BAT
shall so note in the "Remarks" section of the testing form ond shiJll immediately inform
the DAPM. The DAJ=lMshall direct the individual to obtain, as soon as practicLlI otter the
attempt, an evaluation from a licensed physician who is acc€:ptable to the County
concerning the individual's medical ability to provide an adequate amount of breath.
3. If the physician determines, in his reasonable medical judgment, that a medical condition
has or could have precluded the individual from providing an adequate amount of breath.
the individual's failure to provide an adequate amount of breath sh~Ln~t be deemed as a
refusal to take an alcohol test. The physician shall provide to the ~ DAPM a written
statement of the basis of his conclusion. 'i
4. If the physician, in his reasonable medical judgment, is unable to make the determination
that a medical condition has precluded the individual from providing an adequate amount
of breath, the individual's failure to provide an adequate amount of breath shall be
regarded as a refusal 10 take a test~ysician shall provide a written statement of
the basis for his conclusion to the GOfnty D~PM.
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~033
App-endix C
Drug and Alcohol Specimen Collection Procedures
Page 17
I. Invalid Tests:
A breath alcohol test shall be invalid under the following circumstances:
1. The EST does not pass its next external calibration check. This invalidates all test
results of 0.02 or greater on tests conducted since the last valid external calibration test.
This would not invalid~.te any negative tests conducted.
2. The BAT does not observe the minimum 15 minute waiting period prior to conducting the
confirmation test.
3.. The BAT does not perform an air blank of the EST before a confirmation test, or an air.
blank does not result in a re~ding of 0.00 prior to the administration of an alcohol test.
4. The SAT does not sign the breath alcohol testing form.
. 5. The BAT fails to note in the "Remarks" section of the form that the Individual has failed or
refu~ed to sign the.forrn following the recording or printing on or attachment.to the form
of the test results.
6. An EST fails to prInt a confirmation test result.
.7. The sequential test number or alcohol concentration displayed on the EST is not the
same as the sequential test number or alcohol concentration on the printed result.
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~034
.1 ." ~.
Appendix 0
Drug Test Methodology
All drug tests required under this Policy shall be accomplished utilizing a urinalysis drug-testing
methodology. The initial immunoassay screen test will eliminate "negative" urine specimens
from further consideration. A confirmatory test shall be utilized to identify the presence of a
specific drug for all"positive" urine specimens resulting from the initial tests. This confirmatory
test shall use a more reliable technique than the initial screen test (i.e., Gas
Chromatography-Ma~s Spectrometry GC-MS).
If the test result of the primary specimen is positive. the individual may request that the MRO
direct the split specimen to be tested in a different DHHS certified laboratory for 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 individual having been notified of
a verified positive test result. This additional confirmatory test shall use the GC/MS
. methodology.. The individual sRall be responsible for payment for the confirmatory test.
j ~J/t- /' .
l/;> .'I't-I~AlI testing and tests required under this Policy shall be done in accordance with the
{V-. /~ 7... requirements of the DOT Regulations entitled "Procedures for Transportation Workplace Drug
/ . /v' ~ Testing Programs (49 CFR Part 40)", and the US Department of Health and Human Services'
t'" andatory Guidelines for Federal Workplace Drug Testing Programs" and any, if more
tringent, applicable to NY State rules. These governmental regulations set forth the testing
equirements for the drugs, the specimen collection procedures, including the chain-of-custody,
nd the required laboratory certification.
All alcohol tests shall be performed on an Evidential Breath Testing Device (EST) approved by
the National Highway Traffic Safety Administration (NHTSA) which appears on NHTSA's
"Conforming Products List of Evidential Breath Measurement Devices"(CPL). All Alcohol tests
shall be performed by a Certified Breath Alcohol Technician (BAT).
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~035
Appendix E
Instructions To Employees Regarding Post-Accident
Alcohol and/or Drug Testing
There'are strict time requirements regarding post-accident testing. It is the Employee's
responsibility to notify his supervisor immediately of an accident as dGfined under the definition
section of the Policy. If an Employee is unsure whether an incident falls under the definition of
accident, the Employee shall notify supervision of the incident so that an appr~Jial~cision
can be made and documen.~~d by the supeIVisor. The supervisor shall notify fue<Co.unty"s' Drug
and Alcohol Program Manager immediate'ly of an accident which may require a drug and/or
alcohol test Nothing in this Instruction shall be construed to require the delay of necessary
medical attention for,injured people fallowing an accident or prohibit an Employee from leaving
the scene of an accident for the period necessary to obtain assistance in responding to the
accident or to obtain necessary emergency medical care.
No Employee shall use alcohol following an accident as defined in the definition section of this
, Policy for eight (8) hours following the accident, or until he undergoes a post-accident alcohol
test, whichever occu:s first. _-----
An Employee who is subject to post-'dCCitnt testing who fails to remain rC8dlly available for
such testing. including notifying the c6uoty of his location)f:h,~ leaves the scene of the accident
prior to submission to such test, may be deemed by the ~ to have refus?d to submit to
testing. , .r
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~036
. - " .
I .,
Appendix F
A. Drua Testinq:
1. Initial Test: The initial test shall use an immunoassay which meets the requirement of the
Food and Drug Administration for commercial distribution.
2. Confirmatory Test: All specimens identified as positive on the initial test shall be
confirmed using gas chromatography/mass spectrometry (GC/MS) techniques at the
cutoff values listed in the regulations for each drug. All confirmations shall be by
quantitative analysis.. .
1.
-:r-
The laboratory shall report test results to the ~oGntY's MRO within an average of 5
working days after receipt of the specimen bY'theiaboratory. Before any test res'u'\t 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 individual. The
report shall identify the drugs/metab~~tested for, whether positive or negative, the
specimen number assigned by the~ty~ and the drug testing laboratory specimen
number.
8. Reportina Results:
2. . The laboratory shall report as negative all specimens which are negative on the initial
test or negative on the confirmatory test. Only specimens confirmed positive shall be
reported positive for a specific drug.
3. The MRO may request from the laboratory and the laboratory shall quantify test results.
The MRO shall report whether the test is positive or negative and may report the drug(s)
/ for w~sbth.ere was a positive test, but shall not disclose the quantitation of test ~s~lts to-:----; .
~..........th~fY. The MRO may reveal the quantitation of a positive test result to ~6:tY, the
-~ indlvlaual, or the decision maker in a lawsuit, grievance, or other proceeding initiated by
or on behalf. of the individual and arising from a verified positive drug test.
4. The laboratory may transmit results to the MRO by various electronic means (e.g.,
teleprinter, facsimile, or computer) in a manner designed to ensure confidentiality of-the
, . _infgrmation. Results may not be provided verbally by telephone. The laboratory and
~ ~W must ensure the security of the data transmission and limit access to any data
V transmission, storage, and retrieval system. .
-, :
Appendix F
Page 2
8. Reportina Results:
CONTINUE FROM PREUIOUS PAGE 001
8. Reportina Results:
5. The laboratory shall send only to the MRO the original or a certified true copy of the drug
testing custody and control form (copy 1), 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 or the individual responsible for
attesting to the validity of the test reports, and attached to which shall be a copy of the
test report.
6. The laboratory shall provide a monthly statistical summary of urinalysis testing of the
~;Countis employees to the Drug and Alcohol Program Manager and shall not include in .
./ 1tre' 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:
a. Number of specimens received for testing;
b. Number of specimens confirmed positive for:
Marijuana metabolites;
Cocaine metabolites;
Opiates;
Phencyclidine; and
Amphetamines;
c. Number of specimens for which a test was not performed.
9.
Quarterly reports shall not include data from which it is reasonably likely that information
about individuals' tests 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 quarter in which a report is
withheld for this reason, the Taboratory will so inform the ~. uaft'in writing..,----.
Il<..U~ ... /'
The laboratory shall make available copies of all analytical results for ~fy drug testing
programs when requested by DOT with regulatory authority over the County.
Unless otherwise instructed by the ~.tY (Writing, all records pertaining to a given
urine specimen shall be retained by the drug testing laboratory for a minimum of 2 years.
7.
8.
~L
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Appendix F
Page 4
G. Documentation:
,
The drug testing laboratories shall maintain and make available for at least 2 years
documentation of all aspects of the testing process. This 2 year period may be extended upon
written notmcation by DO r. or by a company for which laboratory services are being provided.
The required documentation shall include personnel files on all individuals authorized to have
access to specimens, chain-of-custody documents, quality assurance/quality control records,
procedure manuals, all test q~ta (including calibration curves and any calculations used in
determining test results), reports, records on performance testing, performance on certification
inspections, and hard copies of computer-generated data. The laboratorysl1all maintain
documents for any specimen known to be under legal challenge for an indefinite period.
B.,protegi9D,o.f,ElIlployee R~.GQrds:
1.
Employer contracts with laboratories shall require tha,t the laboratory maintain Employee
test records in confidence, as provided in DOT regulations.
The contracts shall provide that the laboratory shall diSclos~Xf~~mation related to a
positive drug test of an individual to the indivinlJal, the ~tY, or the decision-maker in a
lawsuit, grievance. or other proceeding initiated by or on behalf of the individual and
arising from a certified po::;itive drug t~st.
2.
#C/
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Appendix F
Page 3
C. Lona-Term StoraQe:
Long-term frozen st6rage (-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 minim.um
of 1 year all specimens confirmed positive, in their original labeled specimen bottles. Within this
1 year period, an employee (or other person designated in a DOT agency regulation) may
request the laboratory to ,re,t?J.t:I 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 1 year, except that
the laboratory shall be required to maintain any specimens known to be under legal challenge
for an indefinite period.
D. Retestino Soecimens:
Because some substances deteriorate or are lost during freezing and/or storage, quantitation
for a retest is not subject to a specific cutoff requirement but must provide data sufficient to
confirm the presence of the drug or metabolite.
E. SUbcontracting:
~. Drug testing laboratories shall not subcontract and shall perform ali work with their own
personnel and equipment. The laboratory must be capable of performing testing for the five
classes of drugs (marijuana, cocaine, opiates, phencyclidine. and amphetamInes) using the
initial immunoassay and confirmatory GC MS methods specified in this Appendix. This
paragraph does not prohibit subcontracting of laboratory analysis if specimens are sent directly
.from the collection site to the subcontractor, the subcontractor is a laQoratorY ceJ1ifie,d by DHHS
as required under this Appendix. and the subcontractor is responsible to the ~~r
compliance with this Appendix and applicable DOT regulations as if it were the prime --.....l~
contractor. . Y"
F. 1 nsoections:
DOT, any company utilizing the laboratory, DHHS, or any organization performing laboratory '>--.
certification on behalf of OHHS reserves the right to inspect the laboratory at any time~?
contracts with la.boratories for drug testing, as well as contracts for collection site services, shall
permit the C~tY)md the DOT of jurisdiction (directly or through an agency) ~o conduct
unannounce~pections.
43