Subject: HHS Drug-Free Workplace \-- Drug Testing Program

792-5-00 Purpose and Authority

-10 Coverage

-20 References

-30 Responsibilities

-40 General Provisions

-50 Random Testing

-60 Applicant Testing

-70 \[RESERVED\]

-80 \[RESERVED\]

-90 Voluntary Testing

-100 Follow-up Testing

-110 Medical Review Officer Procedures

-120 Finding of Illegal Drug Use and Disciplinary Action

Exhibit 792-5-A HHS Mandatory Guidelines for Federal Workplace Drug
Testing\
Programs, Subpart B.2.2, Specimen Collection Procedures

Exhibit 792-5-B Random Drug Testing Program \-- Checklist for
Supervisors

Exhibit 792-5-C Random Drug Testing Program \-- Checklist for Employees

Exhibit 792-5-D \[RESERVED\]

Exhibit 792-5-E \[RESERVED\]

Exhibit 792-5-F Sample Notice to Employee Volunteering for

Random Drug Testing

Exhibit 792-5-G Sample Notice to Employee Subject to Follow-up
Testing[^1]

[792-5-00]{.underline} PURPOSE AND AUTHORITY

A.  On September 15, 1986, President Reagan signed Executive Order
    12564, establishing the goal of a Drug-Free Federal Workplace. The
    order made it a condition of employment for all Federal employees to
    refrain from using illegal drugs on or off-duty.

    On July 11, 1987, Congress passed legislation concerning the
    implementation of the Executive Order under Section 503 of the
    Supplemental Appropriations Act for Fiscal Year 1987, Public Law
    100-71. This legislation established requirements for uniformity
    among Federal agency drug-free workplace plans, reliable and
    accurate drug testing, confidentiality of drug test results, and
    centralized oversight of the Federal Government\'s drug testing
    program.

    Working with OPDIV and OS STAFFDIV representatives, the Department
    developed a Plan which was reviewed and certified as being in
    compliance with the requirements of E.O. 12564 and P. L. 100-71.

    That Plan is published as the Plan for a Drug-Free Workplace in the
    U.S. Department of Health and Human Services and was implemented on
    December 14, 1988.

    One element of the HHS Plan is a Drug Testing Program. The purpose
    of this Instruction is to provide HHS policies and procedures for
    the operation of the Drug Testing Program.

[792-5-10]{.underline} COVERAGE

The provisions of this Instruction apply to all HHS employees.

[792-5-20]{.underline} REFERENCES

A.  Section 503, Public Law 100-71, Supplemental Appropriations Act for
    Fiscal Year 1987, July 11, 1987 (law\--requirements for Federal
    drug-free workplace plans)

    Executive Order 12564 (drug-free Federal workplace)

    Mandatory Guidelines for Federal Workplace Drug Testing Programs,
    [Federal Register]{.underline}, Vol. 53, No. 69, pages 11970 -
    11989, April 11, 1988 (government-wide mandatory guidelines
    \--Federal agency drug testing programs)

    FPM Letter 792-19, Establishing-a Drug-Free Federal Workplace,
    November 13, 1989 (guidance for agency drug-free workplace programs)

    Federal Personnel Manual Supplement S293-31, Basic Personnel Records
    and Files System, Subchapter S6, Employee Medical File System

    Plan for a Drug-Free Workplace in the U.S. Department of Health and
    Human Services (known as HHS Drug-Free Workplace Plan)

[792-5-30]{.underline} RESPONSIBILITIES

A.  Departmental Drug Program Coordinator\
    \
    The Departmental Drug Program Coordinator (DDPC) in the Office of
    the Assistant Secretary for Personnel Administration is responsible
    for ensuring that the procedures contained in this Instruction are
    implemented throughout the Department of Health and Human Services
    (HHS). The DDPC may further delegate certain responsibilities in
    order to fully implement the drug testing program.

    Operating Division Drug Program Coordinators

    1.  Each HHS Operating Division (OPDIV) shall designate a Drug
        Program Coordinator (OPDIV DPC). The DDPC serves as the OPDIV
        DPC for the Office of the Secretary (OS). The Public Health
        Service (PHS) may establish DPCs in any of the Health Agencies.
        In these cases, the PHS OPDIV DPC shall ensure that all of the
        OPDIV DPC responsibilities outlined in this Instruction are
        clearly distinguished as belonging either to the PHS OPDIV DPC
        or the Health Agency DPC.

        Each OPDIV, Health Agency, and OS shall designate a second and
        third alternate DPC who shall be fully trained in and ready to
        assume all the responsibilities and duties of the DPC in his/her
        absence. The DDPC must be promptly notified in writing of any
        change in OPDIV or Health Agency DPCs.

    Supervisors\
    \
    Supervisors of employees scheduled for drug testing are responsible
    for notifying them of the date, time, and location of their schedule
    drug test.

[792-5-40]{.underline} GENERAL PROVISIONS

A.  Safeguarding of Records Related to Drug Test Results\
    \
    Test results will be protected under the provisions of the Privacy
    Act, 5 U.S.C. 552a, and Section 503(e) of the Supplemental
    Appropriations the Act for Fiscal Year 1987, Public Law 100-71, and
    may not be released in violation of these statutes. Disclosure of
    drug test results under the "routine use \" exception to the Privacy
    Act\'s disclosure prohibition is strictly limited. (Refer to Chapter
    XIV of the HS Drug-Free Workplace Plan)

    Transmission of Test Results by Laboratory

    1.  Test results shall be transmitted by the urinalysis laboratory
        to the Medical Review Officer (MRO) in a manner consistent with
        the Privacy Act and the HHS Mandatory Guidelines for Federal
        Workplace Drug Testing Programs.

        Test results shall not be communicated orally by the laboratory.

    Release of Positive Test Results

    1.  Confirmed positive laboratory test results shall be disclosed by
        the laboratory only to the MRO.

        After the MRO has completed all responsibilities necessary to
        interpret and evaluate positive test results, the MRO shall
        disclose a verified positive test result only to the employee,
        the appropriate Employee Assistance Program (EAP) Coordinator,
        and the designated management official.

        The management official shall contact the identified employee\'s
        immediate supervisor.

        The employees immediate supervisor shall meet with the
        employee\'s second level supervisor, or other management
        official required to take the necessary administrative and/or
        disciplinary action, and the EAP representative for purposes of
        planning for the mandatory referral of the employee to the EAP,
        the required administrative and/or disciplinary action, and the
        job rehabilitation contract.

        In applicant testing, the MRO shall disclose a verified positive
        test result of a non-HHS employee applicant only to the
        applicant and the designated management official.

        Notification of a verified positive test result shall be mailed
        only to the applicant\'s or the employees home or other
        specified address.

    Release of Negative Test Results

    1.  Employees whose drug test results are negative will routinely
        receive written notification of the results without the need to
        submit a prior request for such information. Such notification
        will be sent to the address as stated in #6 above.

        The MRO will notify the designated management official of
        negative test results from random, and follow-up testing. For
        follow-up testing, the management official will, in turn, notify
        the appropriate EAP Coordinator.

        In the case of applicants, the appropriate Servicing Personnel
        Office (SPO) will be notified. Applicants will, in turn, be
        notified by the SPO.

    Records Maintenance and Retention

    1.  All random test lists generated by the DDPC shall be dated and
        signed by the DDPC and clearly annotated to ensure a complete
        record of all actions. (see 792-5 -50 A.). The DDPC shall
        maintain all test lists in such a manner as to prevent
        unauthorized access to information contained therein. No test
        lists will be maintained other than by the DDPC.

        Records resulting from the testing of employees for use of
        illegal drugs (e.g., chain of custody forms, negative test
        results, confirmed positive test results, medical records made
        available to the MRO by the tested individual, and MRO
        verification statements) shall be retained and filed in the
        Office of Personnel Management (OPM) Government-wide (GOVT)
        Privacy Act systems of records entitled \"Employee Medical File
        System Records\" (OPM/GOVT-10). The OPM notice amending
        OPM/GOVT-10 to include records resulting from drug testing of
        employees in the system was published in the [Federal
        Register]{.underline} on June 12, 1987 (52 FR 22564).

        Records resulting from the testing of applicants for use of
        illegal drugs, including current HHS employees who are
        applicants for an HHS position for which applicant testing is
        required, shall be retained and filed in OPM Government-wide
        Privacy Act systems of records entitled \`Recruiting, Examining,
        and Placement Records\" (OPM/GOVT-5). The OPM notice amending
        OPM/GOVT-5 to include records resulting from drug testing of
        applicants was published in [the Federal Register]{.underline}
        on June 12, 1987 (52 FR 22564).

        Further instructions concerning the maintenance and retention of
        employee and applicant drug testing records are included in
        Federal Personnel Manual (FPM) Supplement S293-31, Basic
        Personnel Records and Files System, Subchapter S6, Employee
        Medical File System, dated September 2, 1987.

[792-5-50]{.underline} RANDOM TESTING

A.  Procedures Prior to Actual Collection

    1.  Employee Identification\
        \
        The DDPC shall generate lists identifying all employees randomly
        selected for drug testing. Under no circumstances will an
        employee not on the list be tested. The lists will contain the
        following information for each employee selected.\
        \
        (1)Name of employee\
        (2)Social security number\
        (3)Gender\
        (4)Occupation Code (Occupation Series)\
        (5)Organization Code (Admin. Code)\
        (6)Duty Location Code (GSA Geographic Code)\
        (7)Immediate Supervisor\'s Name\
        (8)Immediate Supervisor\'s Office Telephone Number\
        (9)Immediate Supervisor\'s Office Address

        Collector Notification and Collection Scheduling

        a.  For worksites covered by the collection contract: (new
            collection sites can be added to the contract)\
            \
            (1) The DDPC shall notify the collector to schedule drug
            testing for those employees randomly selected.\
            \
            (2) The DDPC shall notify the appropriate OPDIV DPC that
            testing of OPDIV employees has been scheduled.

            For geographical locations not covered by the collector
            collection-contract, or by specific request by the OPDIV DPC
            to the DDPC:\
            \
            (1) Specimen collections can be made at the worksites by a
            fully trained collectors.\
            \
            (2) The DDPC shall notify the appropriate OPDIV DPC that
            testing is scheduled to take place at a specific worksite.\
            \
            (3) The OPDIV DPC will coordinate further notification to
            worksite management officials as necessary.\
            \
            (4) The DDPC will establish a collection schedule with the
            collector\
            \
            (5) Collections must be done with as little advance notice
            as possible.

        Supervisor Notification

        a.  The DDPC shall notify the selected employee\'s first line
            supervisor about the scheduled testing at least two hours
            prior to the actual collection. DDPC shall provide the
            supervisor with the date, time, and location of the testing.

            In situations where the first line supervisor is
            unavailable, the next higher management official shall be
            contacted.

            In advance of any testing, a copy of \"Random Drug Testing
            Program-Checklist for Supervisors\" (Exhibit 792-5-B) will
            be given to each supervisor with an employee scheduled for
            testing.

            The DDPC shall keep a record of the date and time a
            supervisor has been contacted for drug test notification.

        Employee Notification

        a.  Approximately 2 hours prior to the actual collection, the
            supervisor shall privately inform the employee that he/she
            has been identified through a random selection process for
            drug testing by urinalysis and is under no suspicion of
            taking illegal drugs. The employees shall be clearly
            informed as to the time and exact location to report for
            testing and instructed to take appropriate photo
            identification. Acceptable identification includes HHS
            employee identification with photo or, if HHS identification
            is unavailable, a driver\'s license with photo.

            Every effort shall be made by the supervisor to personally
            provide the above information to the employee to avoid any
            misunderstandings. In addition, at this time a copy of
            \"Random Drug Testing Program-Checklist for Employees\"
            (Exhibit 792-5-C) will be given to each employee designated
            for random testing.

            The supervisor should be knowledgeable about the drug
            testing program and able to provide information in response
            to employee questions that may extend beyond the information
            provided in written notices.

            The supervisor shall immediately report to the DDPC any
            problem encountered during employee notification. The DDPC
            shall make a record of any problems reported.

        Deferral of Testing

        a.  An employee selected for random drug testing may obtain a
            deferral of testing if the employee\'s first-line and
            second-line supervisors concur that a compelling need
            necessitates a deferral on the grounds that the employee
            is:\
            \
            (1) In a previously approved leave status and therefore
            unavailable for testing;\
            \
            (2) In official travel status away from the test site or is
            about to embark on official travel scheduled prior to
            testing notification; or\
            \
            (3) Is engaged in work critical to the mission of the
            agency, that requires the employee to remain in his or her
            immediate work location, and that can not be done by another
            employee.

            Any testing deferral must be approved by the DDPC .

            An employee whose random drug test is deferred will be
            subject to an unannounced test within the following 60 days.

        Test Lists\
        \
        The official test list shall be annotated, signed, dated, and
        maintained on file by the DDPC.

    Procedures During Collection

    1.  Standard Collection Procedures (Unobserved)\
        \
        To ensure that chain of custody and specimen control are
        maintained, the collector must follow the procedures as
        specified in the HHS Mandatory Guidelines for Federal Workplace
        Drug Testing Programs, Subpart B, 2.2, Specimen Collection
        Procedures. (See Exhibit 792-5-A)

        Direct Observation Collection Procedures

        a.  Collection of urine specimens shall not be made under direct
            observation except in those unusual circumstances allowed in
            Executive Order 12564 and Office of Personnel Management FPM
            Letter 792-19. These exceptions may occur when collection
            site personnel have reason to believe that a particular
            individual may alter or substitute the specimen to be
            provided. (Refer to FPM Letter 792-19, Section 4 g.2)

            Whenever direct observation is required it must be by a
            collection site person of the same gender as the person to
            be tested.

            The collector shall follow the Specimen Collection
            Procedures in the HHS Mandatory Guidelines.\
            \
            (1)The collector shall inform the employee that collection
            will be done under direct observation.\
            \
            (2)Only the employee and collector shall be in the
            collection area when the urine specimen is provided.\
            \
            (3)The direct observation of the collection of a urine
            specimen is highly confidential, and no information shall
            routinely be released concerning the observation other than
            the fact that it was performed.\
            \
            (4) The collector shall document the chain of custody form
            to indicate the sample was collected under direct
            observation.\
            \
            (5) All procedures shall be conducted in a detached,
            objective manner.

        Failure of Employee to Report to Collection Site

        a.  Failure to appear for testing without a deferral will be
            considered refusal to participate in testing, and will
            subject an employee to the full range of disciplinary
            actions.

            If the employee fails to appear for a scheduled collection,
            the collector shall immediately notify the DDPC who in turn
            shall immediately contact the employee\'s supervisor.

            The supervisor shall initiate appropriate action in
            accordance with 792-5-120, Disciplinary Action.

        Employee Refusal to Provide Specimen at the Collection Site\
        \
        In the event an employee refused to provide a specimen, the
        following procedures shall apply:

        a.  The employee shall be informed by the collector that\
            \
            (1) the DDPC will be contacted; and\
            \
            (2) he/she is to report back to the work site supervisor and
            await further instructions.

            The collector shall immediately notify the DDPC and document
            the refusal in writing on the chain of custody form.

            The DDPC shall contact the employee\'s supervisor. The
            supervisor shall initiate action in accordance with
            792-5-120, Disciplinary Action.

        Failure of Employee to Provide Sufficient Quantity of Urine\
        \
        If the employee fails to provide a sufficient quantity of urine,
        at least 60 milliliters (approximately 2 ounces), the following
        procedures shall apply:

        a.  Employees will be given a reasonable period of time to
            provide a specimen. As a general rule, the employee will be
            allowed 4 hours or until the end of the tour of duty,
            whichever is later.

            Employees may be asked to drink fluids to facilitate
            urination.

            If at the end of the waiting period the individual still
            cannot provide a specimen of sufficient quantity, this
            inability shall be recorded by the collector on the chain of
            custody form as failure to provide a specimen and the DDPC
            shall be notified.

            The MRO, upon receipt of his/her copy of the chain of
            custody form, shall contact the employee for any medical
            justification that may exist to explain why the employee
            failed to provide a specimen. If the MRO believes the
            employees justification is medically acceptable, no further
            action shall be taken against the employee. If the MRO
            believes there is no medical basis for the failure to
            provide a specimen, he/she shall notify the designated
            management official.

            The employees supervisor shall be contacted and asked to
            notify the employee that he/she is to be re-tested soon. The
            supervisor shall initiate appropriate action in accordance
            with 792-5-120, Disciplinary Action only if the employee
            refuses to be re-tested or fails to provide a sufficient
            quantity of urine during re-test.

        Tampering/Adulteration/Substitution of Urine Samples

        a.  Should the collector have a reasonable basis to believe the
            employee has tampered with/ adulterated/substituted his/her
            sample, the collector shall:\
            \
            (1) request the employee to remain at the collection site,
            preferably in the presence of a second collector;\
            \
            (2) immediately contact the DDPC to detail the reasons for
            this belief; and then,\
            \
            (3) document these reasons in writing before proceeding
            further.

            The DDPC, after consultation with appropriate OPDIV DPC and
            Office of the General Counsel staff, may authorize the
            collection under direct observation.\
            \
            (1) The DDPC shall document the collectors phone call,
            reasons for requesting observation, and final decision,
            including rationale for this decision.\
            \
            (2) When appropriate, the DDPC shall contact the employee\'s
            supervisor. The supervisor shall initiate action in
            accordance with 792-5-120, Disciplinary Action.

[792-5-60]{.underline} APPLICANT TESTING

A.  Individuals Subject to Applicant Testing

    1.  Coverage\
        \
        All individuals tentatively selected for employment with HHS in
        a testing designated position (TDP) will be tested prior to
        employment/appointment. This includes any current HHS employee,
        except one who is already in a TDP immediately prior to the
        selection.

        Details and Temporary Appointments\
        \
        In the instance of details or temporary appointments to TDPs,
        applicant testing will be done if the term of such
        employment/appointment is expected to exceed 90 days, regardless
        of the length of the initial action. For all details or
        temporary appointments to TDPs that are documented on a SF-50,
        Notification of Personnel Action, the individual occupying the
        position will be subject to random testing.

    Personnel Office Responsibilities

    1.  Notifying Applicants of Testing Requirements

        a.  All vacancy announcements and recruitment notices for TDPs
            shall state:\
            \
            \"All applicants tentatively selected for this position will
            be required to submit to urinalysis prior to appointment to
            screen for illegal drug use.\"

            In addition, any individual tentatively selected for a TDP
            will be notified that appointment to the position will be
            contingent upon a negative drug test result. Failure of the
            vacancy announcement or recruitment notice to contain this
            information will not preclude applicant testing if advance
            written notice is provided in some other manner to
            individuals tentatively selected.

        Insuring Required Applicant Testing is Accomplished

        a.  Upon notification that an individual subject to applicant
            testing has been tentatively selected for a TDP, the
            appropriate personnel official shall call the DDPC to
            request that a drug test be scheduled. The request for the
            drug test should be the last action taken prior to the offer
            of employment.

            The personnel officials request for applicant testing to the
            DDPC shall include the following information:\
            \
            o Name of applicant\
            \
            o Social security number\
            \
            o Gender\
            \
            o Occupational series and title of position\
            \
            o Organizational location of position\
            \
            o Recommended date and location for testing (most often the
            home area of the applicant)\
            \
            o Name and telephone number of personnel official to be
            contacted regarding test information

    Applicant Notification and Testing

    1.  The DDPC schedule the applicants for testing with the collector
        and notify the appropriate personnel official of the date, time,
        and location of the drug test. The personnel official will
        contact the applicant direct him/her to the collection facility.
        The drug test must be undertaken as soon after notification as
        possible, and no later than 48 hours after notice to the
        applicant. Where appropriate, an applicant may be reimbursed for
        reasonable travel expenses.

        Notification to applicants concerning their scheduled test shall
        include information about the MRO procedure, wherein they will
        have the opportunity to submit medical documentation that may
        support a legitimate use for a specific drug. These applicants
        shall be further informed that any such information will be
        reviewed only by the MRO to determine whether the individual is
        legally using an otherwise illegal drug.

    Consequences of Positive Test Results

    1.  As with random testing, all test results will go from the
        laboratory to the MRO. The MRO will conduct the same medical
        review of any confirmed positive test result with the applicant
        as he or she does with other positive test results (see
        792-5-110).

        If the MRO verifies a confirmed positive test result, and the
        applicant is not a current HHS employee, the MRO will inform the
        designated management official of the positive results of the
        drug test. In addition, if the applicant is a current HHS
        employee, the MRO will follow the procedures in 792-5-110.

        Upon notification of a verified positive applicant test result,
        by the designated management official, the appropriate Personnel
        Officer shall:

        a.  Not extend a final offer of employment to the applicant;

            Object to the applicant on the basis that illegal drug use
            is incompatible with the goals of the Department and with
            the duties required of the sensitive position for which the
            applicant has applied;

            Inform the applicant that the Department will not hire the
            applicant because of a verified presence of an illegal drug
            in the applicant\'s urine;

            Inform the applicant that he or she may reapply for
            employment with the Department in six months;

            Inform the applicant that information on community treatment
            and rehabilitation services is available from the
            appropriate EAP.

    Applicant Testing Records

    1.  As with records of other types of testing, the MRO and the DDPC
        maintain records concerning applicant testing.

        Personnel Officers with appointing authority over TDPs will also
        maintain applicant testing records for a period of one year from
        the testing date.

        Applicant testing records must be maintained separately from any
        other personnel office records in a highly secure manner with
        very limited access.

    Procedures During Collection

    1.  Standard Collection Procedures (Unobserved)\
        \
        Follow procedures in 792-5-50 B. 1.

        2.Direct Observation Collection Procedures\
        \
        Follow procedures in 792-5-50 B. 2.

        Failure of Applicant to Report to Collection Site

        a.  If the applicant fails to appear for a scheduled collection,
            the collector shall immediately notify the DDPC by
            telephone, who in turn shall immediately contact the SPO.

            The SPO will contact the applicant to determine the reason
            for the failure-to report to the collection site. If
            appropriate, testing can then be rescheduled. No offer of
            employment shall be made until a negative test result has
            been received.

        Applicant Refusal to Provide Specimen at the Collection Site\
        \
        In the event an applicant refuses to provide a specimen, the
        following procedures shall apply:

        a.  The applicant shall be informed by the collector that\
            \
            (1) DDPC will be contacted; and\
            \
            (2) he/she is to report back to work if an HHS employee, or
            otherwise leave the collection site.

            The collector shall immediately notify the DDPC, who will
            inform the SPO.

            No final offer of employment will be made unless a negative
            test result has been rendered.

            The DDPC shall contact the SPO when an applicant refuses to
            provide a specimen. Applicants who are not current employees
            and who refuse to be tested shall be refused employment.
            Current HHS employees who refuse to provide a specimen for
            drug testing shall be deemed to have withdrawn their
            application for the covered position.

        Failure of Applicant to Provide Sufficient Quantity of Urine\
        \
        If the applicant is unable to provide a sufficient quantity of
        urine (at least 60 milliliters, about 2 ounces), the following
        procedures shall apply:

        a.  Applicants will be given a reasonable period of time to
            provide a specimen.

            Applicants may be asked to drink fluids to facilitate
            urination.

            If at the end a reasonable waiting period the individual
            still cannot provide a specimen of sufficient quantity, this
            inability shall be recorded by the collector on the chain of
            custody form as failure to provide a specimen, and the DDPC
            will be contacted.

            The DDPC shall contact the SPO and inform them of this
            failure. If appropriate, testing will be rescheduled. No
            final offer of employment in a TDP will be made until a
            negative test result has been rendered.

        Tampering/Adulteration/Substitution of Urine Samples

        a.  Should the collector reasonably believe the applicant has
            tampered with/adulterated/substituted his/her sample, the
            collector shall:\
            \
            (1) request the applicant to remain at the collection site,
            preferably in the presence of a second collector: and\
            \
            (2) call the DDPC to detail the reasons for this belief.

            The DDPC shall take the following actions:\
            \
            (1) After consultation with appropriate OPDIV DPC and Office
            of the General Counsel staff, authorize collection of a
            second specimen under direct observation if the
            circumstances clearly warrant.\
            \
            (2) Document the collectors call, reasons for requesting
            observation, and final decision, including rationale for
            this decision.\
            \
            (3) When the applicant is a current HHS employee, contact
            the employee\'s supervisor so that appropriate action can be
            initiated in accordance with 792-5-120.\
            \
            (4)When appropriate, contact the SPO to initiate appropriate
            action for an applicant.

[792-5-70]{.underline} \[RESERVED\]

[792-5-80]{.underline} \[RESERVED\]

[792-5-90]{.underline} VOLUNTARY TESTING

A.  To demonstrate their commitment to the Department\'s goal of a
    drug-free workplace and to set an example for other Federal workers,
    HHS employees not in testing designated positions may volunteer for
    unannounced random testing. Volunteering employees will be included
    in the pool of employees occupying testing designated positions and
    be subject to random testing and all of its consequences on the same
    basis as employees occupying TDPs.

    Employees wishing to volunteer for random testing may do so by
    submitting a signed written request to the DDPC. The request shall
    include the following data:

    1.  Name of employee

        Social security number

        Gender

        Occupation Code (Occupation Series)

        Organization Code (Admin. Code)

        Duty Location Code (GSA Geographic Code)

        Immediate Supervisor Name

        Immediate Supervisor\'s Office Telephone Number

        Immediate Supervisor\'s Office Address

    Acknowledgment and Confirmation of Employee Request\
    \
    The DDPC shall, within 10 working days of his/her receipt of a
    request for voluntary testing, provide to the requesting employee
    two copies of an acknowledgment notice of that request. Exhibit
    792-5-I is a sample notice. The notice:

    1.  Acknowledges to employees request to volunteer for random
        testing.

        Provides an explanation of the consequences of failing to meet
        test requirements, see 792-5-120.

        Explains the consequences of a positive test result, see
        792-5-120.

        States that the employee will be added to the random testing
        pool of employees occupying testing designated positions from
        which employees to be tested are randomly selected.

        Includes a receipt acknowledged statement for the employee to
        sign and date. The employee is instructed to return this signed
        copy no later than 10 working days after receipt and that
        failure to do so will be viewed as a withdrawal of the
        employee\'s request for voluntary testing.

    Cancellation of Volunteer Status

    1.  Annual\
        \
        At the end of every calendar year, all employees who acknowledge
        receipt of the DDPC's notice acknowledging their request to
        volunteer for the random drug testing pool during the calender
        year will be removed from the random testing pool. Employees
        wishing to volunteer to be included in the random testing pool
        for the following calendar year must submit a new written
        request.

        By Employee\
        \
        An employee may, up until the time they are notified they have
        been randomly selected for drug testing, submit a signed written
        request to the supervisor canceling their request to volunteer
        for testing.

[792-5-100]{.underline} FOLLOW-UP TESTING

A.  Testing Requirements

    1.  All-employees referred through administrative channels who
        undergo a counseling or rehabilitation program for illegal drug
        use through the Departments EAP will be subject to unannounced
        testing following completion of such a program for a period of
        one year.

        Such employees shall be tested at the frequency stipulated in
        the rehabilitation contract, or, in the alternative, at a
        frequency of at least one testing per calendar quarter.

        This follow-up testing must be distinguished from testing
        necessary as part of the employees treatment plan, which is
        carried out by a certified rehabilitation facility or treatment
        provider and is monitored by the EAP. Such testing is not part
        of the Department\'s testing program, is not released to
        management officials within HHS (unless the employee consents),
        and does not constitute a finding of illegal drug use for
        purposes of disciplinary action. This requires close
        coordination between the DDPC and EAP Administrators to ensure
        clear differentiation between testing as part of rehabilitation
        and testing as follow-up to rehabilitation.

    Test Scheduling\
    \
    Follow-up testing should be unannounced, but should be scheduled in
    accordance with the follow-up testing provisions in the employees
    job rehabilitation contract.

    Collector Notification\
    \
    DDPC will request that the follow-up test be scheduled.

    Supervisor Notification

    1.  The DDPC shall notify the employee\'s supervisor at least two
        hours prior to the actual collection.

        In situations where the first level supervisor is unavailable,
        the next higher management official shall be contacted.

        The DDPC shall provide the supervisor with the information to be
        conveyed to the employee.

        The DDPC shall document the date and time the supervisor was
        notified.

    Employee Notification

    1.  On the day of collection, approximately two hours prior the
        actual collection, the supervisor or management official shall
        provide the employee with written notice that he/she has been
        scheduled for follow-up drug testing. Exhibit 792-5-J is a
        sample notice to employees of follow-up testing. The employee
        shall be clearly informed as to the exact time and location for
        the test and instructed to take appropriate photo
        identification. Acceptable identification includes an HHS
        employee photo identification or, if unavailable, a driver\'s
        license with photo.

        The supervisor shall be knowledgeable about the drug testing
        program and able to provide information in response to employee
        questions that may extend beyond information provided in written
        notifications.

        The supervisor shall immediately report to the DDPC any problem
        encountered during employee notification that would preclude
        notification.

    Unavailability of Employee

    1.  When an employee scheduled for follow-up testing is unavailable
        for legitimate reasons (e.g., on travel, leave), the supervisor
        shall immediately notify the DDPC .

        The DDPC shall arrange a new date/time of collection and
        immediately notify the employee's supervisor that the collection
        has been rescheduled.

        The DDPC shall document the reason for rescheduling and the new
        date/time of the test.

    Procedures During Collection\
    \
    Procedures for standard (unobserved) collection, see 792-5-50 B.,
    will be followed for follow-up testing, unless the counselor or
    treatment provider advises otherwise.

[792-5-110]{.underline} MEDICAL REVIEW OFFICER PROCEDURES

A.  General

    1.  Functions of the Medical Review Officer (MRO)

        a.  Receive all laboratory test results;

            Review and interpret positive test results;

            Assure that an individual who has tested positive has been
            afforded an opportunity to submit medical documentation of
            lawful use of an otherwise illegal drug;

            Consistent with confidentiality requirements, refer written
            determinations regarding all verified positive test results
            together with all relevant documentation and a summary of
            findings to the appropriate EAP Coordinator;

            Consistent with confidentiality requirements, refer written
            determinations regarding all verified positive test results
            to the designated management official together with all
            relevant documentation and a summary of findings;

            Notify the designated management official, or employees, of
            negative test results;

            Maintain the medical system of records for the drug testing
            program;

            Monitor the specimen collection operation and laboratory
            testing and reporting operations to ensure accurate and
            complete information is available for decision-making
            purposes;

            Coordinate with and report to the Assistant Secretary for
            Personnel Administration on all activities and statistical
            findings on a regular basis; and

            Assist the DDPC and OPDIV DPCs in carrying out Drug-Free
            Workplace Program duties wherever possible to conserve
            resources and to efficiently and speedily accomplish
            reliable and accurate testing objectives.

        Organizational Relationships

        a.  The Departmental Medical Review Officer (HHS MRO) receives
            and maintains records of all specimen collections and drug
            testing results. The HHS MRO, in consultation with field
            MROs as necessary, makes verification determinations of
            positive test results.

            Field MROs may be used by the HHS MRO when necessary to
            obtain information from an individual who is the subject of
            a positive test result to aid in the MRO verification
            process. Field MROs also may be used to notify the
            designated management official and EAP Coordinator of a
            positive test result. Field MROs are designated to service a
            particular organization or geographical area, or when
            necessary, are designated on an ad hoc basis to assist with
            the verification of a particular positive test result or
            group of positive test results. Field MROs must be licensed
            physicians with knowledge of substance abuse disorders and
            possible alternate medical explanations of positive test
            results.

        Communications

        a.  Communications regarding sensitive medical information
            (positive drug test results, medical records reviews,
            medical interviews, consultations with treating physicians,
            etc.) will be conducted in a manner that provides the
            maximum protection of each employee\'s right to privacy.
            Medical details in individual cases will be restricted to
            communications between health care professionals and only as
            required to arrive at a decision regarding a positive drug
            test result.

            Telephone communication is permitted for the purpose of
            acquiring medical or other information necessary to arrive
            at a medical determination in individual cases. Only those
            persons who have a need to know will be privy to or
            participate in such conversations.

            Transmittal of written medical information will be by sealed
            envelope labeled: \`To be opened by addressee only.\" This
            would include drug test results, medical record and
            interview information, communications between an EAP
            Coordinator/Counselor and an MRO, drug testing control
            forms, etc. .

    Review of Test Results

    1.  Test results from the contract laboratory will be received by
        the HHS MRO.

        The medical review of each positive test result must be
        performed by the HHS MRO, a licensed physician with knowledge of
        substance abuse disorders and of possible alternate medical
        explanations for a positive test result. The purpose of the
        review is to determine if the positive result is evidence of
        illegal drug abuse.

        The HHS MRO shall examine alternate medical explanations for any
        positive test result. This examination could include actions
        such as conducting a medical interview with the individual,
        review of the individuals medical history, or review of any
        other relevant biomedical factors. Evidence to justify a
        positive result may include, but is not limited to:

        a.  A valid prescription; or

            A verification from the individual's physician

        The HHS 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 HHS MRO shall
        not, however, consider the results of urine samples that are not
        obtained or processed in accordance with the HHS Mandatory
        Guidelines for Federal Workplace Drug Testing Programs.

        In every case of a positive test result, the HHS MRO shall give
        the tested individual an opportunity to discuss the test result
        with him or her.

        Only the HHS MRO is authorized to order a reanalysis of the
        original sample. Such retests must be at laboratories certified
        under the HHS Mandatory Guidelines.

        If the HHS MRO determines there is a legitimate medical
        explanation for the positive test result, he or she shall
        determine that the result is consistent with legal drug use and
        report the test result as negative.

        The HHS MRO may also determine that a positive test result is
        scientifically insufficient for further action and declare the
        test specimen negative. Such a determination may be based on
        review of laboratory inspection reports, quality control data,
        multiple samples, and other pertinent data. In this situation
        the HHS MRO may request reanalysis of the original sample before
        making this decision.

        Each positive test report received from the contract laboratory
        shall have a verification statement signed by the HHS MRO to the
        effect that:

        a.  the positive test result has been verified as positive, or

            the medical review has resulted in a determination that the
            positive test result has been reclassified as negative.

[792-5-120]{.underline} FINDING OF ILLEGAL DRUG USE

A.  General

    1.  An employee may be found to use illegal drugs on the basis of
        any appropriate evidence which includes, but is not limited to:

        a.  Direct observation;

            Evidence obtained from an arrest or criminal conviction;

            A verified positive test result; or

            An employee\'s voluntary admission.

        In accordance with the requirements of Executive Order 12564,
        disciplinary action must be initiated, with one exception (see
        792-5-110 B. below), against employees found to use illegal
        drugs. The disciplinary action initiated may range from written
        reprimand to removal and must be appropriate in consideration of
        all the facts and circumstances surrounding the finding of
        illegal drug use.

        All disciplinary actions initiated based on a finding of illegal
        drug use must be taken pursuant to the requirements of Title 5
        of the U.S. Code, its implementing regulations, and other
        relevant statutes, regulations, Departmental Personnel
        Instructions, and applicable labor-management negotiated
        agreements.

        Unless the circumstances of the finding of illegal drug use
        dictate otherwise, disciplinary actions initiated should be held
        in abeyance following their proposal as long as the employee is
        pursuing counseling and rehabilitation.

        Mere receipt of a report of arrest or other indication of arrest
        or conviction is not, except in the most egregious
        circumstances, by itself grounds for a finding of illegal drug
        use. All of the evidence surrounding the arrest or conviction
        must be considered before management can determine that a
        finding of illegal drug use is appropriate.

        The SPO and employee and labor relations specialists must be
        consulted before any action based on a finding of illegal drug
        use is initiated.

    Safe Harbor\
    \
    A fundamental purpose of the Department\'s Drug-Free Workplace Plan
    is to assist employees who themselves are seeking treatment for drug
    use. For this reason, as authorized by E.O. 12564, the Department
    will not initiate disciplinary action against any employee who meets
    all three of the following criteria:

    1.  Voluntarily identifies him/herself as a user of illegal drugs
        prior to being identified through other means. This means before
        being notified of being selected for specimen collection under
        random testing (792-5-50 A. 4.), before being notified of
        required applicant testing (792-5-60 C), or otherwise before an
        incident upon which a finding of illegal drug use is based.

        Obtains counseling or rehabilitation through EAP.

        Thereafter refrains from using illegal drugs.

    Actions Based on On-Duty or On Agency Property Use or Possession of
    Illegal Drugs and Drug Trafficking

    1.  Use of illegal drugs on-duty or on agency property.

        a.  Upon learning that an employee has used illegal drugs
            on-duty or on agency property, the supervisor shall be
            responsible for documenting all relevant details to support
            any disciplinary action to be taken against such an employee
            for that use.

            The supervisor shall initiate appropriate disciplinary
            action against an employee when such action is supportable
            by the evidence. A finding of on-duty or on agency property
            drug use shall be treated the same as a verified positive
            drug test result. The employee will be referred to the EAP
            for entry into a counseling/rehabilitation program.

        Possession of or trafficking in illegal drugs on-duty or on
        agency property

        a.  Upon learning that an employee has possessed illegal drugs
            or has engaged in illegal drug trafficking (e.g., sale,
            manufacture, growing, distribution or transportation)
            on-duty or on agency property, the supervisor shall be
            responsible for documenting all relevant details to support
            any disciplinary action to be taken against such an employee
            based on that possession.

            The supervisor shall initiate appropriate disciplinary
            action against an employee when such action is supportable
            by the evidence.

    Actions Based on Failure to Comply with Procedures During Collection

    1.  Failure of employee to report to designated collection site

        a.  Failure to appear for testing without a deferral (see
            792-5-50 B. 3.) will be considered a refusal to participate
            in testing, and will subject an employee to the full range
            of disciplinary actions. The supervisor shall be responsible
            for documenting all relevant details to support the
            disciplinary action to be taken.

            The supervisor shall initiate disciplinary action consistent
            with the totality of the circumstances surrounding the
            employees failure to report to the designated collection
            site.

        Refusal of employee to provide a specimen at the collection site

        a.  Refusal of employee to provide a specimen at the collection
            site (see 792-5-50 B. 4.) will be considered a refusal to
            participate in testing, and will subject an employee to the
            full range of disciplinary actions. The supervisor shall be
            responsible for documenting all relevant details to support
            the disciplinary action to be taken.

            The supervisor shall initiate disciplinary action consistent
            with the totality of the circumstances surrounding the
            employee\'s refusal to provide a specimen.

        Failure of employee to provide a sufficient quantity of urine

        a.  Failure of employee to provide a sufficient quantity of
            urine (see 792-5-50 B. 5.) could be considered a refusal to
            participate in testing, and could subject an employee to the
            full range of disciplinary actions. The supervisor shall be
            responsible for documenting all relevant details to support
            any disciplinary action to be taken, including the facts
            regarding any re-test.

            The supervisor shall initiate disciplinary action consistent
            with the totality of the circumstances surrounding the
            employee\'s refusal to provide a sufficient quantity of
            specimen.

        Tampering/adulteration/substitution of urine samples by employee

        a.  Upon notification by the DPC that an employee has tampered
            with/adulterated/substituted his/her sample (see 792-5-50
            B.5.), the supervisor shall be responsible for documenting
            all relevant details to support any disciplinary action to
            be taken against an employee because of
            tampering/adulteration substitution of a urine sample.

            The supervisor shall initiate disciplinary action consistent
            with the totality of the circumstances surrounding the
            employee\'s tampering with/ adulteration/substitution of a
            specimen.

    Actions Based on Verified Positive Urinalysis Result or First
    Finding of Illegal Drug Use

    1.  First Verified Positive Urinalysis Result or First Finding of
        Illegal Drug Use

        a.  Upon receipt of a first verified positive urinalysis finding
            that an employee uses illegal drugs or a first finding of
            illegal drug use the supervisor shall assign the employee to
            non-sensitive duties, i.e., duties that do not involve a
            potential danger to public health or safety, access to
            firearms, protection of life or property, etc. Therefore, an
            employee who possesses a security clearance shall no longer
            have a need for access to classified information. The
            security clearance shall be withdrawn by the Manager,
            Personnel and Information Security Group, ASPER, pending
            completion of a counseling/rehabilitation program. The
            clearance may be reissured at that time if a renewed need
            for access is justified and clearance requirements are met.

            The supervisor shall initiate disciplinary action consistent
            with the totality of the circumstances surrounding the
            finding of illegal drug use.

            The employee will be referred to the EAP for entry into a
            counseling/rehabilitation program (see HHS Drug-Free
            Workplace Plan, Section III).

            If the employee enters into a counseling/rehabilitation
            program, the employee will be informed in writing that the
            disciplinary action proposed against him/her will be held in
            abeyance pending successful completion of the counseling/
            rehabilitation program.

            If the employee fails to enter into a counseling/
            rehabilitation program, the disciplinary action initiated
            against him/her will be processed.

            If after starting a counseling/rehabilitation program the
            employee drops out of it or otherwise fails to live up to
            the requirements of the Job Rehabilitation Contract, the
            supervisor will carry out disciplinary action consistent
            with the totality of the circumstances, including the
            provisions of the employees Job Rehabilitation Contract.

        Second Verified Positive Urinalysis Result or Second Finding of
        Illegal Drug Use

        a.  Upon receipt by a management official of a second verified
            positive urinalysis result or a second finding of illegal
            drug use, removal of the employee is mandatory under E.O.
            12564.

            The supervisor shall initiate action to remove an employee
            from the Federal service for such cause as will promote the
            efficiency of the service. The employee shall be charged
            with failure to refrain from illegal drug use.

            The removal must be processed in accordance with all
            applicable laws, regulations, Departmental Personnel
            Instructions, and labor-management negotiated agreements.

            The employee will not be offered a second opportunity to
            enter a counseling/rehabilitation program.

    Federal Register / Vol. 53, No. 89 / Monday, April 11, 1988 / Notice

Federal Register

Vol. 53, No. 69

Monday April 11, 1988

Notices

Subpart B

2 Specimen Collection Procedures

\(a\) Designated of Collection Site. Each agency drug testing program
shall have one or more designated collection sites which have all
necessary personnel, materials, equipment, facilities, and supervision
to provide for the collection, security, temporary storage, and shipping
or transportation or urine specimens to a certified drug testing
laboratory.

\(b\) Security Procedures shall provide for the designated collection
site to be secure. If a collectionsite 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 secured during drug testing.

\(c\) Chain of Custody. Chain of custody standardized forms shall be
properly executed by authorized collection site personnel upon receipt
of specimens. Handling and transportation of urine specimens from one
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.

\(d\) Access to Authorized Personnel Only. No unauthorized personnel
shall\
be permitted in any part of the designated collection site when urine
specimens are collected or stored.

\(e\) Privacy. Procedures for collecting urine specimens shall allow
individual privacy unless there is reason to believe that a particular
individual may alter or substitute the specimen to be provided.

\(f\) Integrity and Identity of Specimen. Agencies shall take
precautions to ensure that a urine specimen not be adulterated or
diluted during the collection procedure and that information on the
urine bottle and in the record book 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 the
reservoir of water in the toilet bowl always remains blue. there shall
be no other source of water (e.g., no shower or sink) in the enclosure
where urination occurs.

\(2\) When an individual arrives at the collection site, the collection
site person shall request the individual present photo identification,
the collection site person shall contact the supervisor of the
individual, the coordinator of the drug testing program, or any other
agency official who can positively identify the individual. If the
individual's identity cannot be established, the collection site person
shall not proceed with the collection.

\(3\) If the individual fails to arrive at the assigned time, the
collection site person shall contact the appropriate authority to obtain
guidance on the action to be taken.

\(4\) 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 garments. The individual may retain his or her wallet.

\(5\) 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

\(7\) The individual may provide his/her specimen in the privacy of a
stall or otherwise partitioned area that allows for individual privacy.

\(8\) The collection site person shall note any unusual behavior or
appearance in the permanent record book.

\(9\) In the exceptional event that an agency-designated collection site
is not accessible and there is an immediate requirement for specimen
collection (e.g., an accident investigation), a public rest room may be
used according to the following procedures: 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. If possible, a toilet bluing agent shall be placed in the
bowl and any accessible toilet tank. The collection site person shall
remain in the rest room, but outside the stall, until the specimen is
collected. 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. After the collection site person has possession of the specimen,
the individual will be instructed to flush the toilet and to participate
with the collection site person in completing the chain of custody
procedures.

\(10\) Upon receiving the specimen from the individual, the collection
site person shall determine that it contains at least 60 milliliters of
urine. If there is less than 60 milliliters of urine in the container,
additional urine shall be collected in a separate container to reach a
total of 60 milliliters. (The temperature of the partial specimen in
each separate container shall be measured in accordance with paragraph
(f)(12) of this section, and the partial specimens shall be combined in
one container.) The individual may be given a reasonable amount of
liquid to drink for this purpose (e.g., a glass of water). If the
individual fails for any reason to provide 60 milliliters of urine, the
collection site person shall contact the appropriate authority to obtain
guidance on the action to be taken.

\(11\) After the specimen has been provided and submitted to the
collection site person, the individual shall be allowed to wash his or
her hands.

\(12\) 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 measurement is critical and in no case shall exceed 4
minutes.

\(13\) If the temperature of a specimen is outside the range of 32.5° -
37.7° C / 90.5° - 99.8° F, that is a reason to believe that the
individual may have altered or substituted the specimen, and another
specimen shall be collected under direct observation of a same gender
collection site person and both specimens shall be forwarded to the
laboratory for testing. An individual may volunteer to have his or her
oral temperature taken to provide evidence to counter the reason to
believe the individual may have altered or substituted the specimen
caused by the specimen's falling outside the prescribed range.

\(14\) Immediately after the specimen is collected, the collection site
person shall also inspects the specimen to determine its color and look
for any signs of contaminants. Any unusual findings shall be noted in
the permanent record book.

\(15\) All specimens suspected of being adulterated shall be forwarded
to the laboratory for testing.

\(16\) Whenever there is reason to believe that a particular individual
may alter or substitute the specimen shall be obtained as soon as
possible under the direct observation of a same gender collection site
person.

\(17\) 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. 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 tamperproof seal over
the bottle cap and down the sides of the bottle.

\(18\) The collection site person and the individual shall be present at
the same time during procedures outlined in paragraphs (f)(19)-(f)(22)
of this section.

\(19\) 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 agency.

\(20\) The individual shall initial the identification label on the
specimen bottle for the purpose of certifying that it is the specimen
collected from him or her.

\(21\) The collection site person shall enter in the permanent record
book all information identifying the specimen the collection site person
shall sign the permanent record book next to the identifying
information.

\(22\) The individual shall be asked to read and sign a statement in the
permanent record book certifying that the specimen identified as having
been collected from him or her is in fact that specimen he or she
provided.

\(23\) higher level of supervision 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 on
a reason to believe that the individual may alter or substitute the
specimen to be provided.

\(24\) The collection site person shall complete the chain of custody
form.

\(25\) The urine specimen and chain of custody form are now ready for
shipment. If the specimen is not immediately prepared for shipment, it
shall be appropriately safeguarded during temporary storage.

\(26\) While any part of the above chain of custody procedures is being
performed, it is essential that the urine specimen and custody documents
be under the control of the involved collection site person. If the
involved collection site person leaves his or her work station
momentarily, the specimen and custody form shall be taken with him or
her or shall be secured. 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, the specimen shall be
packaged for mailing before he or she leaves the site.

\(g\) Collection Control. To the maximum extent possible, collection
site personnel shall keep the individual's specimen bottle within sight
both before and after the individual has urinated. After the specimen is
collected, it shall be properly sealed and labeled. An approved 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 an approved chain
of custody form each time a specimen is handled or transferred and every
individual in the chain shall be made to minimize the number of persons
handling specimens.

\(h\) Transportation to Laboratory.

Collection site personnel shall arrange to ship the collected specimens
to the drug testing laboratory. The specimens shall be placed in
containers designed to minimize the possibility of damage during
shipment, for example, specimen boxes 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 supervisor shall sign and enter the date specimens were sealed in
the containers for shipment. The collection site personnel shall ensure
that the chain of custody documentation is attached to each container
sealed for shipment to the drug testing laboratory.

HHS Drug-Free Workplace

Random Testing Program

Checklist for Supervisors

Shortly before the date that random drug testing is scheduled to be
conducted, the Departmental Drug Program Coordinator (DDPC) will notify
you which of your employees have been selected for drug testing and the
proposed schedule. This information is confidential. The following
procedures should be followed in notifying employees of the collection
process.

\[ \] Approximately 2 hours prior to the actual collection, inform the
employee privately that he/she has been identified through a random
selection process for drug testing by urinalysis. Clearly inform the
employee as to the date, time, and exact location to report for testing
and instruct him/her to take photo identification.

\[ \] Employees may be scheduled to report to the collection site at
various internals when a number of them are scheduled for testing on the
same day. Coordinate with the DDPC any scheduling changes necessary to
maintain work operations. Do not make any unilateral changes.

\[ \] Only the DDPC can schedule employees for random drug testing.

\[ \] The collection will be performed by a government contractor, who
will ensure the process is properly administered. Advise employees to be
prepared to provide a urine specimen at the scheduled collection time.

\[ \] Coordinate any necessary travel arrangements with the employee,
including reimbursement of expenses.

\[ \] Give each scheduled employee the attached Checklist for Employees,
which provides helpful information about the collection process.

\[ \] Fill in the bottom portion of the Checklist to indicate the date,
time, and location for the scheduled drug test.

\[ \] When an employee selected for random testing is unavailable for
legitimate reasons (e.g., working different shift, travel, leave), you
must inform the DDPC who will annotate the random test list by
indicating the reason for any employee\'s deletion from the list. Once
you have been notified of scheduled testing, any leave requests
submitted by scheduled employees for the testing day should be carefully
scrutinized.

\[ \] Immediately report any problems encountered during employee
notification to the DDPC. Employees who fail to cooperate with the
collection procedures will be subject to disciplinary actions consistent
with Departmental regulations. (You must obtain guidance from your
servicing personnel or labor and employee relations offices in these
instances.)

\[ \] If an employee is unable to provide a sufficient quantity of
urine, he/she will be given a reasonable period of time to provide a
specimen. As a general role, the employee will be allowed four hours or
until the end of the work shift, whichever is later. If employee is
essential to work operations, he/she may be allowed to return to the
work site while ) waiting to provide a specimen. If at the end of the
waiting period the employee still cannot provide a specimen, he/she will
be rescheduled for drug testing by the DDPC.

\[ \] If you have any questions or concerns, you should share them with
your OPDIV or STAFFDIV Drug Program Coordinator.

Attachment - Checklist for Employees

HHS Drug-Free Workplace Program

Random Testing Program

Checklist for Employees

You have been identified through a process of random selection for drug
testing by urinalysis. Please be assured that your selection and the
selection of other employees for such drug testing in no way reflects
that the Department has any specific cause to suspect the usage of
illegal drugs. The process by which you have been selected uses a
computer program to make a random selection of HHS employees in Testing
Designated Positions (TDPs) . Please take a few minutes to read the
following information, which describes your role in the collection
process.

\[ \] Present required photo identification to the collector.

\[ \] When instructed by the collector, complete a pre-test/chain of
custody form.

\[ \] Remove any unnecessary outer garments, e.g., coat, jacket. All
personal belongings (e.g., purse, briefcase) must remain with outer
garment(s). You may retain your wallet.

\[ \] When instructed by collector, wash and dry your hands.

\[ \] You may provide the specimen in the privacy of a stall or
otherwise partitioned area that allows for individual privacy. It will
be necessary for you to provide a specimen of at least 60 milliliters
(approximately 2 ounces). If you are unable to provide a sufficient
quantity, you will be given a reasonable period of time to provide an
adequate specimen. As a general rule, you will be allowed four hours or
until the end of your shift, whichever is later. If at the end of the
waiting period you still cannot provide a specimen, drug testing will be
rescheduled.

\[ \] You should observe the entire collection procedure.

\[ \] When instructed, read and sign the certification statement
certifying that the specimen in the bottle is yours, and came from your
body at the time of collection.

\[ \] Note the temperature reading on the bottle and verify that the
temperature was correctly recorded by initialing the chain of custody
form.

\[ \] If you have any questions or concerns, share them with your
supervisor or your OPDIV Drug Program Coordinator.

\[ \] You must report to the location below at the time specified to
provide a urine sample:

Date of Collection: \_\_\_\_\_\_\_\_\_\_\_\_\_\_

Time of Collection: \_\_\_\_\_\_\_\_\_\_\_\_\_\_

Location of collection facility:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

If necessary, management will arrange for your transportation to the
collection facility.

\[RESERVED\]

\[RESERVED\]

NOTICE TO EMPLOYEE VOLUNTEERING FOR RANDOM DRUG TESTING

\[Date\]

Subject: [INFORMATION]{.underline} Acknowledgment of Request for
Voluntary

Inclusion in the Random Testing Pool

From: (HHS Drug Program Coordinator)

To: (Employee)

This notice will acknowledge your recent written request to volunteer
for inclusion in the HHS random testing pool. As you know, under
Executive Order 12564, \"Drug-Free Federal Workplace\", the Department
of Health and Human Services (HHS) has initiated a comprehensive program
to achieve the goal of a drug-free workplace in HHS. This program,
including provisions for HHS employees to volunteer for inclusion in the
random testing pool, is set forth in the Plan for a Drug-Free Workplace
in HHS.

If you return the acknowledgment of receipt timely, you will be included
in the automated data base from which computer generated random
selections of employees for urinalysis drug testing are periodically
made. You will remain in this data base until the end of this calendar
year. If you wish to be included in the random testing pool for the
following calendar year you must submit a new written request to
volunteer for the testing pool. Also, you may, up until the time you are
notified of being randomly selected for testing, submit a signed written
request to your supervisor canceling your request to volunteer for
inclusion in the random testing pool.

Drug testing in HHS is performed through urinalysis by an independent
contract laboratory certified by the National Institute for Drug Abuse
(NIDA). The testing methodology reflects all the scientific and
technical procedures necessary to assure the results are highly reliable
and accurate. NIDA certification provides for strict quality control
procedures. These procedures will include an initial screen of the urine
sample you provide for illegal drugs and a confirming test by gas
chromatography/mass spectrometry.

To assure that the sample collected from you is not accidently confused
with any other sample, strict procedures will be used when collecting
and transferring the specimen. The total of these procedures is known as
the chain of custody. The test results from your sample will be handled
with maximum respect for individual confidentiality consistent with
safety and security.

A confirmed positive test result reported by the laboratory will be
reviewed by a Medical Review Officer (MRO) before a determination is
made about whether you have used illegal dregs. You will be given an
opportunity to discuss with the MRO all prescription and
over-the-counter drugs you may be taking that could affect the outcome
of the drug test.

If it is determined that you are using illegal drugs, you will be
provided the opportunity to use the services of the Department\'s
Employee Assistance Program (EAP). Through this program, you will
receive counseling and learn about the availability of rehabilitation.
Information about the EAP may be obtained from your immediate supervisor
or by contacting your local EAP Coordinator.

Refusal to submit to testing or failure to cooperate with the collection
procedures will be grounds for disciplinary action, up to and including
removal from the Federal service. Refusal to enter or successfully
complete a counseling/rehabilitation program after a finding of illegal
drug use will be grounds for removal from the Federal service. If you
test positive a second time as a result of any subsequent drug test
(except testing done during and as part of a rehabilitation program), or
a second determination of illegal drug use by you is made, you will be
removed from the Federal service.

I have sent you two copies of this memo. Please sign both copies of the
receipt acknowledgment and return one of them to me. Unless I receive
your acknowledgment by \_\_\_\_\_\_\_\_, you will not be added to the
random testing pool.

If you have other questions, please contact me or your OPDIV Drug
Program Coordinator.

VOLUNTEER'S ACKNOWLEDGMENT OF RECEIPT OF NOTICE

I acknowledge receiving notice from the HHS DPC concerning procedures
for voluntarily being included in the HHS random testing pool and the
consequences of a confirmed positive drug test result or refusing to
cooperate with collection procedures.

I understand that failure to sign and return this acknowledgment by the
date noted in the notice will be viewed as a withdrawal of my request
for voluntary drug testing.

The following information is needed for inclusion in the automated data
base from which computer generated random selections will be made:

\(1\) Social Security Number

\(2\) Employee Name

\(3\) Gender

\(4\) Occupation Code (Occupation Series)

\(5\) Organization Code (Admin. Code)

\(6\) Duty Location Code (GSA Geographic Code)

\(7\) Immediate Supervisor\'s Name

\(8\) Immediate Supervisor\'s Office Phone Number

\(9\) Immediate Supervisor\'s Office Address

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Employee Date

NOTICE TO EMPLOYEE SUBJECT TO FOLIOW-UP DRUG TESTING

(Date)

Subject: INFORMATION: Notice of Follow-up Testing for Illegal Drugs

From: (Supervisor or Management Official)

To: (Employee)

When you entered the Department\'s Employee Assistance Program following
a finding that you had used illegal drugs, a program of follow-up
testing was established to commence after your successful completion of
your counseling/rehabilitation program. You are scheduled for follow-up
testing today.

You must report to the location below at the time specified to provide a
urine sample:

Date of collection: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Time of Collection: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Location of collection facility:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

If necessary, management will arrange for your transportation to the
collection facility.

Drug testing in HHS is performed through urinalysis by an independent
contract laboratory certified by the National Institute of Drug Abuse
(NIDA). The testing methodology reflects all the scientific and
technical procedures necessary to assure the results are highly reliable
and accurate. NIDA certification provides for strict quality control
procedures. These procedures will include an initial screen of the urine
sample you provide for illegal drugsand a confirming test by gas
chromatography/mass spectrometry.

To assure that the sample collected from you is not accidentally
confused with any other sample, strict procedures will be used when
collecting and transferring the specimen. The total of these procedures
is known as the chain of custody. The test results from your sample will
be handled with maximum respect for individual confidentiality
consistent with safety and security. A confirmed positive test result
reported by the laboratory will be reviewed by a Medial Review Officer
(MRO) before a determination is made that an employee has used illegal
drugs.

You will be given an opportunity to discuss with the MRO all
prescription and over-the-counter drugs you may be taking that could
affect the outcome of the drug test.

If you test positive you will be removed from the Federal service.
Refusal to submit to testing or failure to cooperate with the collection
procedures will be grounds for removal from the Federal service.

If you have other questions after providing a urine sample as directed
today, please contact your servicing personnel office or OPDIV Drug
Program Coordinator.

[^1]: ^.^ Responsible office: Personnel and Information Security Group,
    Office of Personnel Services, Office of the Assistant Secretary for
    Personnel Administration, HHS (FTS 245-3153)