HPM 9.2

Question 1

On September 24, 1986, Governor Deukmejian issued Executive Order D-58-86 (Annex A) directing the California Department of Human Resources (CalHR) to develop “…policies and guidelines designed to achieve a ¬¬¬¬_______ state workplace, while protecting the privacy and with due regard for the constitutional rights of state employees.” In response to this charge, CalHR developed Sections 599.960-599.966 in Title 2 of the California Code of Regulations (CCR 599.960-599.966). These rules constitute CalHR’s current policy on substance abuse and testing (refer to Annex A). HPM 9.2 3-3

Answer 1

drug-free

Question 2

The Department does not condone the use of illegal substances under any circumstances. However, the CalHR policy only addresses _______ impairment. This policy is intended to help ensure that the state workplace is free from the effects of drug and alcohol abuse. These provisions are not a required prerequisite to, nor do they replace, limit, or set standards for any other types of personnel actions, such as: (1) Adverse actions. (2) Employee Assistance Program. (3) Medical examination. HPM 9.2 3-3

Answer 2

on-duty

Question 3

No state employee who is on duty or on standby for duty shall: (a) Use, possess, or be under the influence of illegal or unauthorized _____ or other illegal mind-altering substances; or HPM 9.2 3-3

Answer 3

drugs

Question 4

No state employee who is on duty or on standby for duty shall: Use or be under the influence of _______ to any extent that would impede the employee’s ability to perform their duties safely and effectively. HPM 9.2 3-3

Answer 4

alcohol

Question 5

For the purposes of this policy, standby for duty occurs when an employee is __________ on standby and must thereby be available to respond to an incident within a specified period of time. This includes situations such as planned protest demonstrations, special events, and natural disasters. HPM 9.2 3-4

Answer 5

designated

Question 6

Only employees serving in _________ positions shall be subject to substance testing when there is reasonable suspicion to believe the employee has violated paragraph 2.a. of this chapter. HPM 9.2 3-4

Answer 6

sensitive

Question 7

No employee shall attempt to perform duties which, because of drugs taken due to a _____ prescription, cannot be performed without posing a threat to the health and safety of the employee or others. Employees who are so restricted may be subject to reassignment, medical examination, or other actions specified by applicable statutes and regulations. Employees must report any known physical condition which might reasonably be expected to adversely affect job performance, including the use of drugs or medication as required by Highway Patrol Manual 10.3, Personnel Transactions Manual, Chapter 14, Inconsistent and Incompatible Activities. In addition, drugs, taken in excess of amounts prescribed would be considered “unauthorized” and subject the employee to testing as authorized in paragraph 2.a. of this chapter. HPM 9.2 3-4

Answer 7

legal

Question 8

There is nothing in CalHR rules which precludes an employee from voluntarily submitting to a substance test after being involved in a significant incident (e.g., combat shooting, major traffic collision) for the purpose of establishing the employee’s sobriety at the time of the incident as protection in the event of future litigation. While an employee may ask for a test or a supervisor may suggest a test, no action can be taken against the employee for not participating in a test unless there is reasonable suspicion of substance abuse. In this voluntary situation, an employee’s decision not to be tested _____ not be documented as a refusal, since it is the employee’s option. If the employee requests such a test, the Department will pay for it and the test can be administered according to these established departmental procedures. In accordance with the Code of Federal Regulations, Title 49, Part 40, Subpart B, Section 40.27, employees shall not be required to sign a consent, release, waiver of liability, or indemnification agreement with respect to any part of the drug or alcohol testing process. Furthermore, the employee must not be offered favorable management actions (e.g., discontinuing an investigation) as an inducement to volunteer for a test. An employee’s decision not to volunteer for a test shall not lead to unfavorable management actions, conclusions, or documentation. See Chapter 11, Documentation, for voluntary testing procedures. HPM 9.2 3-4

Answer 8

shall

Question 9

Not all classifications or positions within the Department are subject to the requirements of _________ testing. Only those in positions designated as “sensitive” by the Commissioner may be tested according to the provisions as stated in this manual. HPM 9.2 4-3

Answer 9

substance

Question 10

Subject to the California Department of Human Resources (CalHR) approval, the ____________ designates the positions within the Department which meet the criteria enumerated in paragraph 2. above. Accordingly, the following departmental classifications have been designated and approved as sensitive positions: (1) All peace officers. (2) All cadets. (3) Automobile Mechanic. (4) Automotive Technician series. (5) Commercial Vehicle Inspection Specialist I and II. (6) Public Safety Dispatcher and Public Safety Operator. (7) Public Safety Dispatch Supervisor I and II. (8) Gunsmith. (9) Heavy Truck Driver. (10) Lead Automobile Mechanic. (11) Lead Motorcycle Mechanic. (12) Motor Carrier Specialist I, II and III. (13) Motorcycle Mechanic. (14) School Pupil Transportation Safety Coordinator. HPM 9.2 4-3

Answer 10

Commissioner

Question 11

In accordance with the guidelines established in Sections 599.960- 599.966, Title 2, Article 29, incumbent employees serving in positions designated sensitive and, where applicable, their exclusive representatives were provided a notice of the rules. Employees in sensitive positions were required to acknowledge their receipt of these rules by signing a _____ ___ ___________ form (refer to Annex A). The original forms were forwarded to Human Resources Section, Personnel Files Unit, for inclusion in the employees’ permanent personnel files with copies placed in the employees’ field folders. HPM 9.2 4-4

Answer 11

Receipt and Acknowledgment

Question 12

All departmental cadets shall be advised during the initial portion of their _______ training period of the designation and provided a copy of the CalHR rules (refer to Annex B). Acknowledgment of this fact shall be documented on the Receipt and Acknowledgment form (014-1) by having the cadet sign and date the form. The form will also be signed on the witness line by the person providing the information. HPM 9.2 4-4

Answer 12

Academy

Question 13

All nonuniformed employees in sensitive positions shall be advised of the designation and provided a copy of the CalHR rules by their ________ as part of the pre-employment process. Acknowledgment of this fact shall be documented by having the employee sign and date the Receipt and Acknowledgement form. The person providing the information shall sign as the witness. HPM 9.2 4-5

Answer 13

commander

Question 14

The original copy of the completed Receipt and Acknowledgment form will then be forwarded to Human Resources Section, Personnel Files Unit, for inclusion into the employee’s permanent personnel file and a copy placed in the employee’s field folder. Both of these documents are retained until the employee ___________ separates from the Department. HPM 9.2 4-5

Answer 14

permanently

Question 15

The California Department of Human Resources rules do not permit the mandated substance testing of persons in nonsensitive positions. Despite this requirement, there is nothing in the rule which precludes a nonsensitive employee from voluntarily submitting to a substance test. Such a test will be limited to instances where the Department receives an unsolicited request for a test from a nonsensitive employee. Commanders are not precluded from taking action against a nonsensitive employee suspected of substance abuse. Rather, the rule only prevents the collection of an ___________ sample, even if reasonable suspicion is established. HPM 9.2 5-3

Answer 15

involuntary

Question 16

Should a supervisor suspect on-duty substance abuse or intoxication of an employee in a nonsensitive position, prompt action is still required. While the employee cannot be ordered to submit to a chemical test, there is a need for a thorough investigation into the actions/circumstances which led to the suspicion of substance abuse. Accordingly, supervisors _____ not attempt to elicit a chemical test from an employee whose position has been designated as “non-sensitive.” Such an investigation and any subsequent action taken shall be done in accordance with Highway Patrol Manual (HPM) 10.2, Internal Investigations Manual. The event which leads to the suspicion of substance abuse may be a complaint from a citizen. If this is the case, the complaint should be investigated consistent with HPM 10.4, Citizens’ Complaint Investigations. HPM 9.2 5-3

Answer 16

shall

Question 17

Supervisors who suspect substance abuse by nonsensitive employees are encouraged to support their observations using the same criteria used to establish reasonable suspicion for _________ positions. Since a chemical test will not normally be part of the investigation, it is essential that the supervisor’s final determination be based upon: (1) Articulable facts; (2) Close observation; and (3) Good faith. HPM 9.2 5-3

Answer 17

sensitive

Question 18

As part of the internal investigation, supervisors will be required to carefully document their observations. Since there will not be a mandated test result and there may not be a voluntary test result to confirm the supervisor’s suspicions, documentation must be especially accurate and complete. Circumstances, observations, and/or witness statements leading to a determination of substance abuse shall be documented using the __________ _________ ______ format outlined in Chapter 11, Documentation. This report will then be included as an exhibit in the final request for adverse action. HPM 9.2 5-3

Answer 18

Reasonable Suspicion Report

Question 19

Adverse action ______ be sought when there is a determination of substance abuse. The requested penalty should be consistent with the specific described circumstances surrounding the abuse. HPM 9.2 5-4

Answer 19

should

Question 20

The Department recognizes that many behavioral and personal problems can be successfully treated if early identification is made and appropriate help is obtained. Employees have access to _______ professional counseling services for a variety of personal problems. Any person, including a supervisor, may make these services known to the employee. (Refer to HPM 10.5, Employee Assistance Manual, Chapter 3, Employee Substance Abuse Program.) HPM 9.2 5-4

Answer 20

prepaid

Question 21

As with the sensitive positions, the issue of substance abuse may be addressed in the appropriate Memorandum of Understanding (MOU). Supervisors _____ review the applicable MOU when dealing with a nonsensitive employee whom they suspect of substance abuse to determine if there is additional action they must take or are precluded from taking. HPM 9.2 5-4

Answer 21

shall

Question 22

The ______________ process is a very serious procedure, and the first-line supervisor will be dealing with the involved employee from the time reasonable suspicion first arises until the results of the test are known. (HPM 9.2, 8-3)

Answer 22

substance testing

Question 23

A supervisor making initial contact with an employee suspected of violating the substance abuse policy must take control of the situation. The Department has an obligation either to _______________ and order the test or to determine what, other than substance abuse, may have caused the circumstances upon which the initial reasonable suspicion was based. (HPM 9.2, 8-3)

Answer 23

verify this suspicion

Question 24

Keep the employee under continuous observation until the sample is collected or the decision is made not to test. Do not allow the employee to __________________________ and note any unusual actions. This is a critical step in the process. (HPM 9.2, 8-4)

Answer 24

consume large amounts of liquid

Question 25

Since the decision to test will be based upon reasonable suspicion of substance abuse, the employee should not be allowed to _____________________until the test results are known to be negative. (HPM 9.2, 8-4)

Answer 25

return to duty

Question 26

After initial discussions with the employee, the supervisor’s reasonable suspicion of substance abuse may still exist. If this is the case, this reasonable suspicion must be approved by the __________________ as detailed in Chapter 6, Reasonable Suspicion. (HPM 9.2, 8-4)

Answer 26

confirming official

Question 27

In those instances where only alcohol is suspected, the employee should be returned to full duty ___________________ if completely recovered from its effects. (HPM 9.2, 8-4)

Answer 27

the following day

Question 28

The following criteria will apply after a substance test has been conducted or the employee refuses to submit to a test when directed: If a peace officer is involved, peace officer powers will be immediately suspended along with any requests for secondary employment. Additionally, the employee will be required to immediately surrender all state property (refer to Annex A). These suspensions will remain in effect until the results of the test are known. A decision will be made at that time whether or not to reinstate them. The provisions of this subsection do not apply to circumstances involving only the suspected use of __________. (HPM 9.2, 8-5)

Answer 28

alcohol

Question 29

After providing a urine sample, the employee shall be given a _____________ explaining both the supervisor’s role and the employee’s rights relative to substance testing. (HPM 9.2, 8-5)

Answer 29

memorandum

Question 30

When the test results are known, the employee shall be returned to full duty if the results are negative and there are no other causes for action. The employee’s dock time on the day of the test shall also be adjusted to a paid status. If the results are positive, the ___________________________, through the chain of command, should be consulted for guidance. Each case must be determined individually considering the circumstances. In conjunction with adverse action, supervisors are to consider the value of medical review and/or employee assistance programs. (HPM 9.2, 8-5)

Answer 30

Office of Internal Affairs (OIA)

Question 31

The enactment of the Department of Personnel Administration substance testing rules and this departmental policy do not in any way mitigate the rights guaranteed to employees under the Public Safety Officers’ Procedural Bill of Rights Act (POBR) or the various Memoranda of Understanding (MOUs). Supervisors must also remember that the Commissioner has extended POBR protections to ____ members of the Department, except cadets. Any action with regard to substance testing must be evaluated in light of these rights. (HPM 9.2, 8-6)

Answer 31

all

Question 32

This right to representation does not preclude a supervisor from making initial contact with the employee in an appropriate _______________________ setting to ask questions regarding abnormal behavior, inefficiency, absenteeism, tardiness, unusual appearance, etc. This is part of the process to eliminate substance abuse as a cause for reasonable suspicion. (HPM 9.2, 8-6)

Answer 32

confidential interview

Question 33

Supervisors are to carefully weigh the need to interrogate an employee before the collection of a sample. In most instances, an ______________ should occur after the sample is collected or at a later date when additional information is known. (HPM 9.2, 8-6)

Answer 33

interrogation

Question 34

Unless specifically permitted in the MOU, an employee is not entitled to representation during the ______________________. (HPM 9.2, 8-6)

Answer 34

collection of the sample

Question 35

Employees shall be entitled to representation in any of their discussions with the ______________________________that occur subsequent to implementing this policy. The sample collection process shall include an opportunity for the employee to provide information about factors other than illegal substance use (such as taking legally prescribed medication) that could provide a medical explanation for a positive test result. (HPM 9.2, 8-6)

Answer 35

Medical Review Officer (MRO)

Question 36

The substance testing policy also requires that the employee _____ receive a full copy of any test results and related documentation of the testing process as detailed in Chapter 11, Documentation. (HPM 9.2, 8-6)

Answer 36

shall

Question 37

At the employee’s ____________________, the sample may be retested by that laboratory or another laboratory which has been certified by the United States Department of Health and Human Services under the National Laboratory Certification Program in accordance with Title 49, Code of Federal Regulations Part 40.81. (HPM 9.2, 8-7)

Answer 37

request and expense

Question 38

The Department uses, through a contract with the California Department of Human Resources (CalLHR), one or more Medical Review Officers (MRO) who receive ___________ test results and evaluate them from a medical point of view. Each MRO must be a licensed physician. (HPM 9.2, 9-3)

Answer 38

positive

Question 39

Since the employee has an opportunity to explain a positive test result, it is imperative that supervisors properly document their _________________ that formed the foundation for reasonable suspicion. This information may be necessary to refute a claim made by the employee to explain the test results. (HPM 9.2, 9-3)

Answer 39

observations

Question 40

If the affected employee has additional information for the MRO to consider, it is the __________________ responsibility to provide that information. Departmental supervisors will make reasonable efforts to assist the MRO in establishing necessary appointments with the affected employees. (HPM 9.2, 9-3)

Answer 40

employee’s

Question 41

It is the __________________ who makes the final determination of the test result. This determination can only be made after all available information is considered. (HPM 9.2, 9-3)

Answer 41

Medical Review Officers (MRO)

Question 42

It is possible that the urinalysis and/or discussions between the MRO and employee could result in the identification of some other medical condition not previously known to the Department and/or the employee. Some of these conditions could jeopardize the employee’s continued employment, since the Department has a responsibility to ensure public safety. Should such a condition be revealed through the substance test, the employee may be directed to complete a ______________ examination. (HPM 9.2, 9-4)

Answer 42

fitness-for-duty

Question 43

In an effort to minimize the stigma attached to a substance test, negative results _________ not be included in the employee’s personnel file. Therefore, negative test results and the documentation regarding reasonable suspicion for the test shall be maintained apart from the employee’s personnel folder unless the employee requests otherwise. (HPM 9.2, 10-4)

Answer 43

should

Question 44

Positive test results and the documented reasonable suspicion will become part of the request for adverse action file. This information will be maintained for a period of ______ years and handled consistent with policy contained in Highway Patrol Manual 10.2, Internal Investigations Manual. (HPM 9.2, 10-4)

Answer 44

five

Question 45

_________________ is one of the key concerns raised by substance testing. Therefore, it is imperative that the testing of an employee, as well as the test results, be kept as confidential as possible. (HPM 9.2, 10-3)

Answer 45

Invasion of privacy