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Indiana University

University Human Resources

Procedure for Drug and Alcohol Testing

The University’s Substance-Free Workplace policy provides for drug and alcohol testing based on reasonable cause. The following is the testing procedure to follow when a supervisor reasonably suspects a Staff or Temporary employee to be under the influence of drugs and/or alcohol while at work. This procedure replaces section D. in the Substance-free Workplace policy.

1. Establish Reasonable Cause

Reasonable Cause is established by a supervisor through observations that would lead a reasonable person to believe that an employee is under the influence of drugs or alcohol. Reasonable Cause should be determined on a case by case basis; however the decision to request a test of an employee may be based on such things as:

  1. Direct observations of drug or alcohol use, drug or alcohol possession, or possession of drug paraphernalia; or
  2. An employee who exhibits physical signs or symptoms of being under the influence of drugs or alcohol; or
  3. An employee whose action’s, appearance and/or conduct show a pattern of suspected impairment or abnormal or erratic behavior.

The resource, Behaviors and Signs Attributed to Substance Abuse, includes a list of behaviors that may indicate drug or alcohol abuse. This list is not intended to be exhaustive. The observation of one exhibited behavior or sign may or may not be sufficient to achieve reasonable cause. For example, observing an employee with a strong odor of alcohol may give rise to reasonable cause, whereas, observing an employee asleep at his/her desk may not alone give rise to reasonable cause. If an uncertain situation arises, contact campus Human Resources or Indiana University Employee Assistance Program (EAP) for assistance.

2. Attempt to Secure a Witness

  1. The supervisor should summon another member of management to witness the behaviors or signs that may be attributable to substance abuse.
  2. If another member of management is not available, the supervisor should proceed in accordance with this procedure.

3. Complete Documentation

  1. The supervisor should document the employee’s behavior using the form, Statement of Facts Supporting Reasonable Cause of Drug or Alcohol Use by an Employee (Form 1). Documentation should be completed in its entirety prior to meeting with the employee (Step 4).
  2. If during normal business hours, the supervisor should contact Employee Relations in campus Human Resources to discuss this matter before meeting with the employee. If after hours, the supervisor should contact Employee Relations at the first available opportunity.

4. Meet With Employee

  1. The supervisor will meet with the employee in a private location.
  2. The reasons for suspecting the employee of drug or alcohol abuse or other policy violation will be presented to the employee by the supervisor in the presence of a witness. A representative for the employee may also be present if requested and available immediately. For union-represented Service Staff, notification of the right to union representation is required.
  3. The employee should be given an opportunity to respond to the observations reported and the reasons stated.
  4. The employee should be encouraged to cooperate and be advised of Indiana University’s desire to work with her/him if a substance abuse problem exists.
  5. The employee’s responses will be documented.

5. Meeting Outcome – Three Possibilities

  1. Self Disclosure: the employee admits to being under the influence of drugs or alcohol prior to the test and cooperates fully.
    1. The employee is placed on suspension with or without pay depending on the policy provisions covering the employee. The employee will not be permitted to work until the result of a drug and/or alcohol test is available and the issue is resolved.
    2. The employee will be referred to EAP.
    3. A determination will be made on any corrective action to be taken in accordance with the corrective action policy covering the employee. (See Step 9 for additional guidelines/information.)
    4. If employment is allowed to continue, the employee will sign and agree to a Conditional Employment Agreement (Form 4) and to being randomly tested for drugs and/or alcohol. Campus Human Resources must review this agreement before it is presented to the employee.
  2. The employee refuses or fails to promptly submit to the drug and/or alcohol screen or cooperate fully and completely in the prescribed procedures
    1. The employee will be advised that: Refusal of testing may result in corrective action up to and including termination.
    2. If the employee still refuses to submit to screening after being advised of the consequences, the employee will be asked to sign (including a witness, if available) the form, Employee Refusal to Submit to Substance Abuse Testing (Form 3). If the employee refuses to sign the form, this fact should be noted on the form and signed by the employee’s supervisor.
    3. The employee may be charged with violating the Substance-Free Workplace policy by working under the influence of drugs and/or alcohol. (See Corrective Action - Step 9.)
    4. The employee is placed on suspension, with or without pay depending on the policy provisions covering the employee, pending a final determination regarding her/his employment in accordance with the corrective action policy covering the employee. (See Step 9 for additional guidelines.)
  3. Employee cooperates with testing
    1. The employee is placed on suspension with or without pay depending on the policy provisions covering the employee. The employee will not be permitted to work until the results of a drug and/or alcohol test is available and the issue is resolved.

6. Make Testing Arrangements

  1. If your campus facility is not listed below, contact campus Human Resources for information about the testing facility designated for your campus. Obtain the following:
    1. Hours of operation, location, directions, etc.
    2. If applicable, procedure for testing after hours, when the designated facility is closed
    3. The facility's urine/drug screen procedures
    4. Specific location testing facilities:
  2. There are two forms that must be completed before the employee is taken for testing.
    1. Request for Alcohol/Drug Screening (campus-specific form and procedures at Office of Insurance, Loss Control & Claims site)
    2. The supervisor must take the completed form to the designated testing facility.
    3. Workers' Compensation will keep a copy of the completed form for its files.
      • If the web form is used, Workers' Compensation will automatically receive a copy.
      • If a hardcopy is used, a copy must immediately be faxed to Worker's Compensation at 812.855-2720.
    4. The employee must sign the form, Employee Authorization and Consent to Submit to Substance Abuse Testing (Form 2). The form should remain with the rest of the documentation. A copy does not need to be given to the testing facility nor to Office of Insurance, Loss Control & Claims.
  3. The supervisor will then transport and/or accompany the employee to the designated testing facility. UNDER NO CIRCUMSTANCES may an employee transport themselves.

7. Post Test

  1. With the employee’s consent, the supervisor will contact a spouse, family member or other individual to transport the employee to her/his home after the collection procedure is complete.
  2. In the event no such individual is available, the supervisor should:
    1. Transport the employee home;
    2. Designate another university employee to transport her/him home; or
    3. Contact a taxi service to transport the employee home at the university’s expense.
  3. If the employee refuses to agree to any of these procedures and attempts to operate her/his vehicle, the supervisor will make appropriate efforts to discourage the employee from doing so, including contacting university law enforcement officials.

8. Test Results

Test results should be reported in as little as 24 hours and no greater than five working days. The testing procedure will be conducted in an expedient manner.

  1. If the result is negative:
    1. The employee with a verified negative drug or alcohol test result will be allowed to return to work immediately.
    2. The employee will be paid for the time off. Any policy violation will be documented.
    3. The employee should be informed that future instances of suspected substance abuse or impairment may be dealt with in the same manner.
  2. If the result is positive or it has been determined that employee’s specimen was adulterated or falsified:
    1. The university-designated testing facility contacts the employee to document any prescriptions the employee is taking.
      • If the documentation is acceptable, the test is reported as negative. Follow the steps listed above.
      • If the documentation is unacceptable, the test is reported as positive.
    2. The employee remains on suspension pending corrective action.
  3. Test Results
    1. Test results will be disclosed only to a member of management designated by the department, campus Human Resources, and Office of Insurance, Loss Control & Claims. Any information related to an employee’s drug or alcohol test results would otherwise be disclosed only if the employee gives written permission to release the information or if required by law.
    2. The results of any drug or alcohol test conducted pursuant to this procedure shall become a permanent part of the investigation file maintained in campus Human Resources, but not the employee’s personnel file.

9. Corrective Action

The three circumstances that may warrant corrective action are: (1) violation of the Substance-Free Workplace policy, (2) a positive test result, and/or (3) the employee's refusal to test.

  1. The supervisor will determine if circumstances warrant corrective action up to and including suspension and/or termination in accordance with the corrective action policy covering the employee. Factors to consider in making this determination include, but are not limited to:
    1. The circumstances of the incident
    2. The action of refusal to undergo required alcohol or drug testing (this offense is a separate offense from substance abuse)
    3. Previous rehabilitation opportunities
    4. Previous violations of this policy
    5. Whether the controlled substance constitutes authorized medical treatment
    6. Work history, including other corrective actions
  2. Corrective action may include, but is not limited to, one or more of the following:
    1. Disciplinary action up to and including termination.
    2. Recommendation to EAP and/or a rehabilitation program for assistance.
  3. If employee is retained then employee must test negative to a drug screen prior to returning to work.
  4. Confidentiality
    1. Information regarding disciplinary action taken with respect to 1) violation of the Substance-Free Workplace policy, 2) an employee with verified positive test results, or 3) an employee’s refusal to participate, will be maintained in the employee’s personnel file in campus Human Resources and in the employee’s department personnel file.
  5. For detailed corrective action information, refer to the appropriate policy covering the employee. See Corrective Action Resources.

10. Reporting To Licensing Agencies

In addition to termination for violation of the University Substance-Free Workplace policy, law enforcement agencies, licensing authorities and other regulatory bodies will be notified as required by law.


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Page updated: 27 June 2013
Contact Employee Relations: • 812-856-6047

Indiana University is an equal employment and affirmative action employer and a provider of ADA services. All qualified applicants will receive consideration for employment without regard to age, ethnicity, color, race, religion, sex, sexual orientation or identity, marital status, national origin, disability status or protected veteran status. Indiana University does not discriminate on the basis of sex in its educational programs and activities, including employment and admission, as required by Title IX. Questions or complaints regarding Title IX may be referred to the U.S. Department of Education Office for Civil Rights or the university Title IX Coordinator. See Indiana University’s Notice of Non-Discrimination here which includes contact information.

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