Research Administration Office

University of California

Memo Operating Guidance

No. 89-8, Supplement 2

January 16, 1990

Subject: Implementing Guidelines, University Policy on Substance Abuse in the Workplace

Enclosed is a copy of the Implementing -Guidelines for the University Policy on Substance Abuse in the Workplace. Campus and Laboratory responsibilities for implementation of substance abuse awareness programs and certification requirements for federal contracts and grants are outlined in the Implementing Guidelines. Model

communications for employees and supervisors to accomplish these -objectives are also included in the transmittal of the Implementing

Guidelines.

Contract and Grant Officers may continue to sign the Certification Regarding Drug-Free Workplace Requirements and accept the contract clause. Please file this Supplement No. 2 with Contract and Grant Memo No. 89-8, dated March 23, 1989.

Refer: Barbara Yoder ATSS 8-582-2886 (415) 642-2886

Subject Index: 02, 12

Organization Index: U-115

David F. Mears

Director

Research Administration Office

Enclosure


UNIVERSITY OF CALIFORNIA

Office of Employee Relations

December 13, 1989

ACADEMIC VICE CHANCELLORS

ADMINISTRATIVE VICE CHANCELLORS

ASSOCIATE LABORATORY DIRECTORS

Implementing Guidelines for the University Policy on Substance Abuse in the Workplace

In his March 18, 1989 letter to Chancellors and Laboratory Directors transmitting the University Policy on Substance Abuse in the Workplace, President Gardner indicated that implementing guidelines and informational materials for publicizing drug-free awareness programs would be issued by the Office of Employee Relations. Enclosed are the implementing guidelines for the University Policy on Substance Abuse in the Workplace and model communications to employees and supervisors.

We appreciate your comments during the review process, and attach for your information a memorandum identifying the significant changes that have been made in response to suggestions from the campuses, Laboratories, and other offices and individuals. Please note that each campus and Laboratory will need to develop local procedures for implementation of the University Policy on Substance Abuse.

Calvin C. Moore

Associate Vice President--

Academic Affairs

Lubbe Levin

Assistant Vice President-

Employee Relations

Enclosures--

cc:

Chancellors

Laboratory Directors

Members, President's Cabinet

Associate Vice President Pastrone

Assistant Vice President Cox

Assistant Vice President Stover

Assistant Vice President Swartz

University Counsel Canning

Director Phillips

Academic Council Chair Speiss

Staff Council Chair Hillyer

Personnel Managers


UNIVERSITY OF CALIFORNIA

Office of the President

December 11, 1989

IMPLEMENTING GUIDELINES FOR THE

UNIVERSITY POLICY ON SUBSTANCE ABUSE IN THE WORKPLACE

A. AUTHORITY

Chancellors and Laboratory Directors are responsible for implementing the provisions of the University Policy on Substance Abuse in the Workplace, including its special requirements for employees engaged on Federal contracts and grants, as set forth in the Drug-Free Workplace Act of 1988 (Public Law 100-690, Title V, Subtitle D). The Policy applies to all University of California employees.

B. DEFINITIONS

1. Confidential Information

Confidential information as used in this policy is defined as medical records pertaining to the diagnosis or treatment of alcohol or drug abuse or records indicating referral to an alcohol or drug abuse program subject to protection under the Confidentiality of Alcohol and Drug Abuse Patient Records (42 C.F.R., pt. 2), the California Health and Safety Code section 11978, or the Information Practices Act, and may not be disclosed further without specific authorization by the employee, or where authorized pursuant to State or Federal laws and lawful regulations.

The term "conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes.

Drug-abuse assistance or rehabilitation programs

Drug-abuse assistance or rehabilitation programs as referred to in the Policy are treatment programs providing detoxification, drug and/or alcohol counseling, family counseling, and/or twelve step programming appropriate to the recovery from addiction. Although the term "drug-abuse" is used in the Drug-Free Workplace Act, the University Policy uses the term "substance abuse".

For purposes of the Policy, an employee is defined as any person holding a University staff or academic appointment, or holding a position at a Department of Energy Laboratory. The Policy is intended to cover work study students whose primary employer is the University, and who hold a University staff or academic appointment. Work study students whose primary employer is other than the University and who work for outside agencies are not covered by the Policy. Although not covered by the Policy, such work study students are subject to the policies applying to all students as set forth in the University of California Policies Applying to Campus Activities, Organizations, and Students (Part A and Part B).

Employee Support Programs

Employee Support Programs refer to University-sponsored Employee Assistance Programs (EAP) and Vocational Rehabilitation Programs (REHAB). EAPs are designed to assist supervisors and the employee whose personal problem is affecting his/her performance at the work site as a result of substance abuse, chemical dependency, addiction, alcoholism, or other personal problems, EAPs provide confidential services in short-term counseling and intervention, assessment and referral, and supervisory consultation and training. Employees are encouraged to self-refer and seek this confidential assistance from the Employee Assistance Counselor for substance abuse problems. Vocational Rehabilitation Programs provide counseling and technical assistance when an employee becomes disabled because of substance abuse and the need for accommodation, rehabilitation, or medical separation arises. On some campus and Laboratory sites, EAP services and Vocational Rehabilitation services may be provided within a single department or under the department name of Employee Support Programs/Services.

Substances

a. Controlled substances

The term "controlled substances" means a controlled substance in schedules I through V of 202 of the Controlled Substances Act (21 U.S.C. 812). A list of controlled substances is available from the Employee Support Programs/Services at each location.

b. Illegal substances

Illegal substances are controlled substances listed in the Federal Controlled Substance Act (21 CFR 1308) which are obtained illegally.

c. Legal substances

Legal substances are (1) controlled substances that are prescribed or administered by a licensed physician or health-care professional; (2) over-the-counter drugs; and (3) alcoholic beverages.

SUBSTANCE ABUSE AWARENESS PROGRAM

Chancellors and Laboratory Directors are responsible for developing and implementing substance abuse awareness programs for employees and supervisors. Those programs shall include information regarding the following:

1. the dangers of substance abuse in the workplace;

the University's Policy on Substance Abuse in the Workplace;

substance abuse counseling, rehabilitation, and employee assistance programs which are available; and

penalties that may be imposed upon employees for substance abuse violations occurring in the workplace.

Such programs, at a minimum, should include: distribution and discussion of the University's Policy at new employee orientation sessions; identification and dissemination of information regarding Employee Assistance Programs; distribution of educational materials regarding the symptoms and problems of substance abuse; training programs conducted by substance abuse experts; and supervisory training programs and regular updates for new and current supervisors.

De

CERTIFICATION REQUIREMENTS FOR FEDERAL CONTRACTS AND GRANTS

Chancellors and Laboratory Directors are responsible for developing procedures to implement the University Policy on Substance Abuse in the Workplace and the following requirements of the Drug-free Workplace Act of 1988:

to provide notice of the University's substance abuse Policy to each employee engaged in the performance of work under a Federal contract or grant;

to provide notice to each employee that, as a condition of employment under the contract or grant, the employee will abide by the terms of the substance abuse Policy and notify the employer of any criminal drug statute conviction for a violation occurring in the workplace, including while traveling or on other University business, no later than five days after such conviction;

3.

to provide procedures by which an employee engaged on a Federal contract or grant can report convictions for drug violations in the workplace;

to notify the agency funding the grant within 10 days after notice from an employee of a conviction; and

to take appropriate disciplinary action against an employee who has been convicted and/or require the employee to participate satisfactorily in a substance abuse or rehabilitation program.

Campuses and Laboratories should assure that documentation of the University's compliance with the requirements of the Drug-Free Workplace Act of 1988 be retained.

DISCIPLINARY ACTION

Employees found to be in violation of the substance abuse Policy may be subject to corrective action, up to and including dismissal, under the applicable personnel policies or collective bargaining agreements. For a member of the faculty, disciplinary proceedings are in accordance with procedures established by the Academic Senate.

In addition to, or in lieu of corrective action, employees may, as a condition of employment, be required to participate in a substance abuse assistance or rehabilitation program. If the employee continues to perform any job duties during the time of this participation, the employee will be expected to conform to the standards for satisfactory work performance.

Employees found to have engaged in other kinds of misconduct will be disciplined or discharged under the applicable personnel policies or collective bargaining agreements.

Model Employee Communication: Substance Abuse

[Month], 1989

THE

UNIVERSITY POLICY ON SUBSTANCE ABUSE IN THE WORKPLACE

ACADEMIC AND STAFF EMPLOYEES:

On March 18, 1989, President Gardner issued the University Policy on Substance Abuse in the Workplace, which applies to all University employees. The policy represents the University's commitment to achieve and maintain a workplace that is free from the problems of substance abuse and dependency.

The University's objective in adopting this policy is to provide a safe and secure work environment for all employees while recognizing individual rights to privacy and due process. Here is the full text of the policy:

Employee Communication

University of California Office of the President

March 18, 1989

University Policy on Substance Abuse in the Workplace

The University of California recognizes drug and alcohol dependency as treatable conditions and offers Employee Support Programs for University employees with substance-dependency problems. Employees are encouraged to seek assistance for drug- and alcohol-related problems and may request leaves of absence for this purpose, in addition to using approved vacation or sick leave, or attending Employee Support-Programs outside regular working hours. Information obtained regarding an employee during participation in an Employee Support Program will be treated as confidential.

The University strives to maintain a workplace free from the illegal use, possession, or distribution of controlled substances [as defined in schedules I through V of the Controlled Substances Act, 21 United States Code 812, as amended]. Unlawful manufacture, distribution, dispensation, possession, or use of controlled substances by University employees in the workplace or on University business is prohibited. In addition, employees shall not use illegal substances or abuse legal substances in a manner that impairs performance of assigned tasks.

Employees found to be in violation of this Policy may be subject to corrective action, up to and including dismissal, under applicable University policies and labor contracts, or may be required, at the discretion of the University, to participate satisfactorily in an Employee Support Program.

Special requirements for employees engaged on Federal contracts and -grants:

The Drug-Free Workplace Act of 1988 (Public Law 100-690, Title V, Subtitle D) requires that University employees directly engaged in the performance of work on a Federal contract or grant shall abide by this Policy as a condition of employment and shall notify the University within five days if they are convicted of any criminal drag statute violation occurring in the workplace or while on University business. The University is required to notify the Federal contracting or granting agency within ten days of receiving notice of such conviction and to take appropriate corrective action or to require the employee to participate satisfactorily in an approved drug-abuse assistance or rehabilitation program.

AWARENESS: RECOGNIZING THE DANGERS 0F SUBSTANCE ABUSE

The University's plan for implementing this policy recognizes that employee awareness of the dangers and undesirable consequences of substance abuse in the workplace will be critical in the effort to achieve a workplace free from the problems of substance abuse.

Substance abuse in the workplace is dangerous and undesirable for three general reasons: it creates excessive safety risks; it leads to individual performance decline; it has adverse effects on coworkers and the organization as a whole.

SAFETY. Employees with substance-abuse and dependency problems create excessive safety risks for themselves, their coworkers, and others. Such employees tend to have unusually high accident rates. A person who is mentally or physically impaired because of drug or alcohol use may become unfit for duty and behave in careless, reckless, or unsafe ways.

PERFORMANCE. Substance abuse may noticeably affect employees' job performance. Their performance levels can fluctuate, becoming erratic and unpredictable. Over time, the quality of their work declines, they demonstrate poor judgment, and they become unreliable. They are usually absent or tardy more frequently than others.

ADVERSE EFFECTS. Safety and performance problems combine to impact negatively on the workplace and organization in general. There may be dissension between coworkers who are burdened by protecting the substance abuser, and the workload may increase for everyone. Productivity can decline and the organization can fall short of meeting goals and objectives. The organization incurs increased costs in productivity decline, health care benefits, and damage to equipment and property.

A national survey of U.S. corporations, states, and cities conducted late last year revealed that substance abuse in the workplace is increasing. The survey found that drug and alcohol abuse problems cost U.S. business more than $100 billion a year. The costs of absenteeism, medical expenses, and lost productivity were found to make up a significant portion of employers' payrolls. The federal government estimates that substance abuse costs the national economy $177 billion a year.

The human costs of substance abuse -- to the individual, the family, and society -- are inestimable.

WHERE TO GET HELP

A variety of Employee Assistance Program services aimed at the prevention of substance abuse by University employees, as well as assistance programs for those with substance-abuse problems or concerns, are available. Employee Assistance Program (EAP) services are provided by each campus and Laboratory for employees. Information about substance dependency or abuse-disclosed by an employee who is participating in an Employee Assistance Program will be considered confidential, except as otherwise prescribed pursuant to laws and lawful regulations of the United States. In addition to using approved vacation or sick leave or attending EAPs outside regular working hours, employees may request leaves of absence when seeking assistance for drug- and alcohol-related problems.

EAP information, consultation, and referral services assist employees in dealing with a wide range of personal and medical problems that negatively affect work performance. Among the types of EAP services available in the area of substance abuse are training and orientation for employees and supervisors on substance-abuse issues, individual case evaluation, initial counseling, referral to outside counseling and treatment providers, follow-up, assistance in developing individual treatment plans, and assistance dealing with health care providers.

[in addition, EAPs provide training for supervisors regarding their role in implementing the University Policy on Substance Abuse in the Workplace.]

Employees are encouraged to seek assistance for substance-abuse and dependency problems voluntarily (self-referral). To find out what services are available at your campus or Laboratory and how to use them, contact your EAP or Employee Support Programs (ESP) office for confidential assistance. It is listed in the campus or Laboratory phone directory. The individual in your department who handles personnel matters also can direct you to the right office.

[OPTIONAL SECTION INDICATING LOCAL AVAILABILITY OF LIST OF CONTROLLED SUBSTANCES]

[OPTIONAL SECTION DETAILING LOCAL PROCEDURE FOR THE REPORTING OF CRIMINAL DRUG CONVICTIONS PURSUANT TO THE SPECIAL REQUIREMENTS FOR EMPLOYEES ENGAGED ON FEDERAL CONTRACTS AND GRANTS CONTAINED IN THE UNIVERSITY POLICY]


Model Supervisors' Communication: Substance Abuse

[Month], 1989

UNIVERSITY POLICY ON SUBSTANCE ABUSE IN THE WORKPLACE

UNIVERSITY OF CALIFORNIA SUPERVISORS AND MANAGERS:

On March 18, 1989, President Gardner issued the University Policy on Substance Abuse in the Workplace, which applies to all University employees. The new policy represents the University's commitment to achieve and maintain a workplace that is free from the problems of substance abuse and dependency.

The University's objective in adopting this policy is to provide a safe and secure work environment for faculty and staff employees while recognizing individual rights to privacy and due process. Here is the full text of the policy:


Supervisors' Communication

University of California Office of the President

March 18, 1989

University Policy on Substance Abuse in the Workplace

The University of California recognizes drug and alcohol dependency as treatable conditions and offers Employee Support Programs for University employees with substance-dependency problems. Employees are encouraged to seek assistance for drug- and alcohol-related problems and may request leaves of absence for this purpose, in addition to using approved vacation or sick leave, or attending Employee Support -Programs outside regular working hours. Information obtained regarding an employee during participation in an Employee Support Program will be treated as confidential.

The University strives to maintain a workplace free from the illegal use, possession, or distribution of controlled substances [as defined in schedules I through V of the Controlled Substances Act, 21 United States Code 812, as amended]. Unlawful manufacture, distribution, dispensation, possession, or use of controlled substances by University employees in the workplace or on University business is prohibited. In addition, employees shall not use illegal substances or abuse legal substances in a manner that impairs performance of assigned tasks.

Employees found to be in violation of this Policy may be subject to corrective action, up to and including dismissal, under applicable University policies and labor contracts, or may be required, at the discretion of the University, to participate satisfactorily in an Employee Support Program.

Special requirements for employees engaged on Federal contracts and -grants:

The Drug-Free Workplace Act of 1988 (Public Law 100-690, Title V, Subtitle D) requires that University employees directly engaged in the performance of work on a Federal contract or grant shall abide by this Policy as a condition of employment and shall notify the University within five days if they are convicted of any criminal drug statute violation occurring in the workplace or while on University business. The University is required to notify the Federal contracting or granting agency within ten days of receiving notice of such convict/on and to take appropriate corrective action or to require the employee to participate satisfactorily in an approved drug-abuse assistance or rehabilitation program.

THE DANGERS AND WARNING SIGNS OF SUBSTANCE ABUSE

Substance abuse in the workplace is dangerous and undesirable for three general reasons: it creates excessive safety risks; it leads to individual performance decline; it adversely affects coworkers and the organization as a whole. These three types of effects may also be taken as warning signs of substance abuse on the job.

SAFETY. Employees with substance-abuse and dependency problems create excessive safety risks for themselves, their coworkers, and others. Such employees tend to have unusually high accident rates. A person who is mentally or physically impaired because of drug or alcohol use may become unfit for duty and behave in careless, reckless, unsafe ways.

PERFORMANCE. Substance abuse may noticeably affect employees' job performance. Their performance levels can fluctuate, becoming erratic and unpredictable. Over time, the quality of their work declines, they demonstrate poor judgment, and they become unreliable. They are usually absent or tardy more frequently than others.

ADVERSE EFFECTS. Safety and performance problems combine to impact negatively on the workplace and organization in general.

There may be dissension between coworkers who are burdened by protecting the substance abuser, and the workload may increase for everyone. Productivity can decline and the organization can fall short of meeting goals and objectives. The organization incurs increased costs in productivity decline, health care benefits, and damage to equipment and property.

A national survey of U.S. corporations, states, and cities conducted late last year revealed that substance abuse in the workplace is increasing. The survey found that drug and alcohol abuse problems cost U.S. business more than $100 billion a year. The costs of absenteeism, medical expenses, and lost productivity were found to make up a significant portion of employers' payrolls. The federal government estimates that substance abuse costs the national economy $177 billion a year.

The human costs of substance abuse -- to the individual, the family, and society -- are inestimable.

THE SUPERVISOR'S ROLE: THREE "A's"

The University's plan for implementing its policy on substance abuse recognizes the critical role of supervisors and managers in the effort to achieve a workplace free from the problems of substance abuse. That role can be defined as three "A's" --

AWARENESS of the dangers and warning signs of substance abuse

APPLICATION of the appropriate personnel policies and procedures to enforce the substance abuse policy

ACTION as required to deal with situations and help employees with problems related to substance abuse

You can fill this role by learning

understand the UC policy on substance abuse in the workplace; recognize the warning signs and dangers of substance abuse and dependency on the job; know what resources and programs are available [on campus] [at the Lab] to help enforce the policy; know where employees can go [on campus] [at the Lab] to find help for substance abuse problems; encourage employees who need help to obtain it from the [campus] [Laboratory] [Employee Support Programs] [Employee Assistance Program]; document and manage employee performance effectively when faced with deteriorating performance related to actual or suspected substance abuse; and handle crises that may arise -- such as violations of UC policy or criminal activity.

[THE REMAINDER OF THE COMMUNICATION SHOULD ANNOUNCE THE LOCAL SUPERVISOR TRAINING OR INFORMATION PROGRAMS OR RESOURCES AVAILABLE TO HELP SUPERVISORS LEARN ABOUT THE FOREGOING MATTERS.]

[OPTIONAL SECTION INDICATING LOCAL AVAILABILITY OF LIST OF CONTROLLED SUBSTANCES]

[OPTIONAL SECTION DETAILING LOCAL PROCEDURE FOR THE REPORTING OF CRIMINAL DRUG CONVICTIONS PURSUANT TO THE SPECIAL REQUIREMENTS FOR EMPLOYEES ENGAGED ON FEDERAL CONTRACTS AND GRANTS CONTAINED IN THE UNIVERSITY POLICY]


OFFICE OF THE PRESIDENT

300 LAKESIDE DRIVE

OAKLAND, CALIFORNIA 94612-3550

Office of Employee Relations

December 11, 1989

ASSISTANT VICE PRESIDENT LEVIN

Re: Campus and Laboratory Responses to Implementing Guidelines for the University Policy On substance Abuse in the workplace Policy

Following are the comments that have been received from the campuses, Laboratories, and other offices which participated in the development of or have reviewed the Implementing Guidelines for the Substance Abuse in the Workplace Policy.

BERKELEY

The Berkeley campus suggested that the definition of "workplace" be clarified so that an employee traveling on University business or attending professional meetings is considered to be "at work".

Comments: This has been clarified in Section D.2.

The campus suggested that the status of work study students employed in off-campus agencies and students holding a variety of titles be clarified in the definition of "employee".

Comments: The definition of "employee" has been clarified so that all work study students are covered except those employed at outside agencies.

Berkeley suggested that the final paragraph in the Discipline section be eliminated.

Comments: In its deliberations, the Universitywide Committee which developed the initial draft guidelines discussed situations that have arisen when an employee's off-work drug use or activities have been of significant import and warranting discipline. If a nexus can be established between off-work drug abuse or activity and the employee's position with the University, discipline could be considered appropriate. Arbitrators have upheld discipline of employees who have trafficked in drugs by presuming that their off-work conduct would be continued at the workplace.

Insofar as the Policy does not address off-work behavior, the Committee concluded that it was necessary to state that discipline could occur due to other kinds of misconduct.

The campus suggested that a new section on "reprisal" be added so that it is clear that employees who participate in an Employee Assistance Program will not be subject to reprisal because of their participation.

Comments: The campus is correct in stating that it is inappropriate to take reprisals against an employee for participating in an Employee Assistance Program; however, rights extended to employees are appropriate for policy rather than guidelines. Because this statement is not a part of the Substance Abuse Policy, campuses are encouraged to make such a statement in their communications to employees.

DAVIS

The campus expressed concern that the role of the EAP may be compromised in the area of confidentiality if an employee reports a substance abuse problem.

Comments: The Office of Employee Relations has requested a legal opinion from the Office of General Counsel regarding protection of confidentiality between the counselor and the patient and the possible legal obligations to disclose confidential information. Currently, the University advertises its Employee Assistance Programs as confidential, though at least one location informs employees that under certain circumstances, information obtained may be released to legal authorities, i.e. when the employee is a danger to him/herself or to others. The intent of the Guidelines is to maintain confidentiality between the Counselor and the client to the extent permitted under law.

IRVINE

Irvine requested that the definition of "employee" be clarified as it relates to volunteer faculty, researchers funded through other institutions or fellowships, postdoctoral fellows, and others on fellowships.

Comments: The revised definition of "employee" states that any person holding an academic or staff appointment is covered by the Policy. This definition is applicable regardless of pay status or source of funding and would include volunteer faculty, researchers funded through other institutions, and those paid from fellowship funds, since all these individuals hold University appointments. Persons who are doing work at the University in other capacities, such as researchers employed by other institutions, consultants, and independent contractors, are not covered by the University Policy, but would be subject to the terms of their agreements or contracts with the University.

As suggested by the Irvine campus, the phrase "as used in this policy" has been added to the definition of "Confidential information".

Irvine has asked if the five days that an employee has to report a conviction are working or calendar days. The Office of General Counsel has opined that the regulation intends calendar days; however, should the last of those days fall on a weekend or holiday, when many employers may be closed, it would be reasonable to expect that the time frame would be extended to the next business day. Specificity on this issue is appropriate for inclusion in local implementing procedures, which should clarify that if the fifth day falls on a non-business day, the deadline will be extended to the next business day.

LOS ANGELES

The Los Angeles campus suggested that a reference to the California Information Practices Act be added to the definition of "Confidentiality" and that the phrase "while on University business" be added to the phrase "(the employee shall) notify the employer of any . . . conviction occurring in the workplace. . ."

Comments: Both comments have been incorporated.

Employees at the Riverside campus raised similar concerns as expressed by other locations regarding confidentiality of information, the need for a list of controlled substances, the lack of specificity in the definition of "employee", the need for protection from reprisal, and the appropriateness of the paragraph regarding "other kinds of misconduct". In addition, an employee asked whether or not the definition of "conviction" included misdemeanors. (Misdemeanors are included for purposes of reporting convictions of any criminal drug statute violation.)

SANTA BARBARA

Santa Barbara also raised the issue of confidentiality and suggested that consideration be given to applying the policy regarding reporting requirements to all employees (in addition to those working on federal contracts and grants). The original committee that drafted the University Policy discussed the possibility of extending the Federal guidelines to all employees, especially the requirement that employees report any workplace conviction to the University. The Committee concluded that the Policy should be consistent with the current law and that it was unlikely that the supervisor would not be aware that an employee had been convicted for a violation of the Policy, making the reporting of such a conviction to the supervisor unnecessary.

San Diego participated on the Task Force that developed the Guidelines; therefore, the campus did not submit additional comments.

SAN FRANCISCO

The San Francisco campus had no comments on the Guidelines; however, a packet of information relating to the campus implementation of the Policy, including a brochure on the Employee Assistance Program, a letter to faculty and staff employees, and training materials was transmitted by the campus.

The Santa Cruz campus concurs with the Guidelines as proposed.

LAWRENCE BERKELEY LABORATORY

Lawrence Berkeley Laboratory found the Guidelines acceptable.

LAWRENCE LIVERMORE NATIONAL LABORATORY

Lawrence Livermore National Laboratory had no comment on the Guidelines.

LOS ALAMOS NATIONAL LABORATORY

LANL offered the following comments:

It was suggested that language be added to the definition of "confidential" so that the requirements of DOE-mandated security programs would be incorporated.

Comments: The phrase "or where authorized pursuant to State or Federal laws and lawful regulations" has been added to the definition.

It was suggested that language covering Laboratory Staff members, be added to the definition of "employee".

Comments: This language has been added.

ACADEMIC COUNCIL

The Academic Council offered the following comments:

The Council noted that "confidential information" doesn't mention non-medical information obtained during participation in an Employee Assistance Program, although it is called "confidential" in policy.

Comments: For purposes of this Policy, "confidential" refers only to information regarding substance abuse; however, the University advertises its Employee Assistance Programs as "confidential" for all purposes, including any information that is not related to substance abuse.

The Council mentioned that "legal substances" can be dispensed by other than physicians.

Comments: The definition of "legal substances" has been amended to acknowledge that they may be prescribed and/or administered by other health-care professionals.

The Council questioned an employee's status relative to an appeal of a conviction.

Comments: If an employee is convicted of any of the offenses cited in the Policy, the University can proceed in the manner deemed appropriate under the Policy (rehabilitation, termination, etc.) If an employee were terminated because of the conviction and subsequently, on appeal, found to have been innocent, a review of the circumstances surrounding the termination may be considered appropriate. A situation of this nature would be very unique; however, should it occur, the situation would need to be addressed on a case-by-case basis.

COUNCIL OF UC STAFF ASSEMBLIES

The Council proposed that the Guidelines read: "Employees

convicted of any federal state, or local drug statues are in violation of the University's . . . Policy and may be subject

to corrective action . . ." rather than "Employees found to be in violation of the . . .policy may be subject to corrective action. . ." The Council's concern was the possibility of corrective action or dismissal prior to any prosecution and conviction.

Comments: The Policy is intended to cover instances of abuse regardless of a conviction. Consistent with personnel practice, employees whose performance may be impaired because of substance abuse are subject to disciplinary action, up to and including dismissal.

The Council sought clarification regarding the parties responsible for "finding" an employee in violation of the Policy.

Comments: Implementation of the Substance Abuse Policy would most often reside with the employee's supervisor; however, as with the implementation of all personnel policies, judgment is critical to the successful implementation of policy, and circumstances may dictate the coordination of this implementation with others, such as the supervisor's Department Head, others in the administrative chain of command, and professionals in the Personnel Offices. Local training programs will be useful in instructing supervisors in their responsibilities.

OFFICE OF THE SENIOR VICE PRESIDENT--ACADEMIC AFFAIRS

The Office of Student Financial Support suggested that the definition of "Employee" be clarified so that it is clear that work study students with an academic or staff appointment are covered by the Policy.

Comments: The definition has been clarified so that work study students are covered unless their primary employer is an outside agency. Though these students may be issued paychecks through the University payroll office, primary responsibility for their activities on the jobsite are with the agency; these students are, however, covered by policies applicable to all students, and they may disciplined under those policies.

GENERAL CONCERNS

Minor editorial changes were suggested by many locations and have been included, when appropriate. In addition, several locations suggested that the list of controlled substances be made available. Though it was not the intent to include the list in the Guidelines because it is subject to change and highly technical in terminology, an updated list should be available at each campus or Laboratory. Reference to the list's location has been added to the definition of "Controlled Substances".

In addition to the frequently mentioned issue of confidentiality, a major concern--and a consistent theme throughout the responses--was the inadequacy of current benefits coverage when it becomes necessary to deal with the problems of substance abuse, treatment, and rehabilitation.

Judy McConne11

Coordinator--Employee Relations

cc: Acting Manager Kramp