UCSC:APO:CAPM 7/91

016.000 IMPLEMENTING GUIDELINES FOR THE UNIVERSITY OF CALIFORNIA

POLICY ON SUBSTANCE ABUSE (UCSC Campus Substance Abuse Program)

A. PURPOSE

The following guidelines outline procedures regarding compliance with the University of California Policy on Substance Abuse, including provisions of the Drug-Free Schools and Communities Act (Public Law 101-226) and special requirements for employees, including student 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). This Policy applies to all University of California employees and students.

B. DEFINITIONS

The following definitions are used in this policy:

1. Confidential Information - medical and counseling/psychological 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, the Information Practices Act, and the University of California Policies Applying to the Disclosure of Information from Student Records, and may not be disclosed further without specific authorization by the employee or student, or where authorized pursuant to State or Federal laws and lawful regulations.
2. Conviction - 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 any criminal drug statutes.
3. Substance Abuse Assistance or Rehabilitation Programs - programs which provide drug and/or alcohol counseling, family counseling, treatment, rehabilitation, and assistance in re-entry.
4. Employee - any person holding a University staff or academic appointment. This includes work study students who are employed by the University. Students employed by outside agencies that have written agreements with the University that the agencies are the employer of the students rather than the University are not considered employees of the University.
5. Student - one who is currently enrolled at a campus of the University of California; or one who, during the recess periods between academic terms, has completed the immediately preceding term and is eligible for reenrollment. For purposes of this policy, this includes a student who is enrolled for academic credit during a summer session at the University and has been admitted to the University for the succeeding fall term. Individuals enrolled for continuing education units are not considered students.
6. Support Programs

   a. EMPLOYEE SUPPORT PROGRAMS - consist of Employee Assistance Programs (EAP) and Vocational Rehabilitation Programs (REHAB) and are designed to assist supervisors and employees where work performance is affected 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 Support Programs Coordinator 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. At UCSC, EAP and Vocational Rehabilitation services are provided by the Employee Support Programs Coordinator in the Benefits Office.
   
   b. STUDENT SUPPORT PROGRAMS - refer to campus and community education and assistance programs and referral services which are available to students. Campus education services and programs may include health education programs, residential life activities, and campuswide drug and alcohol education programs that are designed to inform students and other members of the campus community of the problems associated with the illegal use of alcohol and other drugs as well as the abuse of legal substances. Campus student assistance programs include student health services, counseling and psychological services, and drug and alcohol education programs that provide counseling, referral, and treatment for abuse of alcohol and other drugs. Students are encouraged to self-refer and seek assistance for substance abuse problems.

7. Substances

   a. CONTROLLED SUBSTANCES - those defined in schedules I through V of the Controlled Substances Act, 21 U.S.C. 182, and by regulation at 21 C.F.R. 1308. Employees may obtain a list of controlled substances from the Employee Support Programs Coordinator. Students may obtain the list from the Student Health Center.
   
   b. ILLEGAL SUBSTANCES - controlled substances listed in the Controlled Substances Act which are obtained illegally.
   
   c. LEGAL SUBSTANCES

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

C. THE UNIVERSITY OF CALIFORNIA POLICY ON SUBSTANCE ABUSE

The University of California recognizes dependency on alcohol and other drugs as a treatable condition and offers programs and services for University employees and students with substance dependency problems. Employees (including student employees) are encouraged to seek assistance as appropriate from Employee Support Programs, health centers, and counseling and psychological services available at University locations or through referral. Information obtained regarding an employee or student during participation in such programs or services will be treated as confidential, in accordance with Federal and State laws.

The University strives to maintain campus communities and worksites free from the illegal use, possession, or distribution of alcohol or controlled substances as defined in schedules I through V of the Controlled Substances Act, 21 United States Code 812, and by regulation at 21 C.F.R. 1308. Unlawful manufacture, distribution, dispensing, possession, use or sale of alcohol or of controlled substances by University employees and students in the workplace, on University premises, at official University functions, or on University business is prohibited. In addition, employees and students shall not use illegal substances or abuse legal substances in a manner that impairs work performance, scholarly activities, or student life.

Employees found to be in violation of this Policy, including student employees if the circumstances warrant, 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.

Students found to be in violation of this Policy may be subject to corrective action, up to and including dismissal, as set forth in the University of California Policies Applying to Campus Activities, Organizations, and Students (Part A), and in campus regulations, or may be required, at the discretion of the University, to participate satisfactorily in a treatment program.

SPECIAL REQUIREMENTS FOR EMPLOYEES ENGAGED ON FEDERAL OR STATE 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.

Employees working on Federal contracts and grants shall notify the University within five calendar days if they are convicted of any criminal drug statute violation occurring in the workplace or while on University business. This requirement also applies to all indirect charge employees, i.e. an employee who performs support or overhead functions related to the grant and for which the federal government pays its share of expenses, unless the employee's impact or involvement is insignificant to the performance of the grant. The University is required to notify the Federal contracting or granting agency within ten calendar days of receiving notice of such conviction and to take appropriate corrective action or to require the employee to participate satisfactorily in available counseling, treatment, and approved substance-abuse assistance or rehabilitation programs within thirty calendar days of having received notice of such conviction

D. SUBSTANCE ABUSE AWARENESS PROGRAM

UCSC will develop and conduct on-going substance abuse awareness programs for employees, supervisors, and students. These programs shall include annual distribution of information regarding the following:

1. The University of California Policy on Substance Abuse which prohibits the unlawful manufacture, distribution, dispensing, possession, use or sale of controlled substances or legal substances, and the abuse of legal substances in the workplace, on University premises, at official University functions (on or off campus), or on University business;
2. The dangers of substance abuse in the workplace or as a part of student life or scholarly activities, and a description of the health risks associated with substance abuse;
3. Substance abuse counseling, rehabilitation, employee assistance programs, and psychological services for students which are available on campus and through referral;
4. Penalties and disciplinary sanctions that may be imposed upon employees and students for substance abuse violations occurring in the workplace, on University premises, at official University functions, or on University business; and
5. A description of the legal sanctions under local, State, and Federal law for the unlawful possession or distribution of illicit drugs and alcohol.

E. RESPONSIBILITIES

1. The Chancellor is responsible for implementing the provisions of the University of California Policy on Substance Abuse, including provisions of the Drug-Free Schools and Communities Act (Public Law 101-226), and special requirements for employees, including student 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) and for providing required certifications. The Chancellor is also responsible for developing and implementing substance abuse awareness programs for employees, supervisors and students.
2. Employees and students are responsible for understanding and following University policy and the provisions of these guidelines. Employees also are encouraged to seek assistance for substance abuse and dependency problems voluntarily (self-referral) from Employee Support Programs. Students are encouraged to seek assistance form the Student Health Center.

Employees who are engaged on Federal contracts and grant are responsible for notifying their supervisors 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 calendar days after such conviction.
3. Supervisors are responsible for remaining aware of the dangers and warning signs of substance abuse; understanding and applying the appropriate personnel policies and procedures to enforce the substance abuse policy; taking appropriate action (discussed below) should they suspect that the performance or conduct of employees under their supervision is impaired by substance abuse; and by attending campus sponsored training on substance abuse in the workplace.

Supervisors are responsible for notifying the UCSC Office of knowledge that an employee under his/her supervision, who is engaged on a federal contract or grant, is convicted of any criminal drug statute violation occurring in the workplace or while on University business.
4. The Office of Employee and Labor Relations is responsible for notifying the agency funding a federal contract or grant of the position title and award number for each grant on which the employee was working within 10 calendar days after the employee has notified the supervisor of a conviction.
5. The Staff Personnel, Academic Personnel and Student Services offices are responsible for providing drug abuse policy information to employees and students, as specified below.
6. The Employee Support Programs Coordinator is responsible for providing services to supervisors and assessment and referral services to employees seeking assistance for a substance abuse problem. The Employee Support Programs Coordinator also is responsible for communicating the availability of services to employees and supervisors, and for conducting supervisory training.
7. Student Health Services, through the Substance Abuse Education Program, is responsible for providing assessment and referral assistance to students and training programs for those in student services who are responsible for overseeing the welfare of students.

F. PROCEDURES

1. Disciplinary Action

   a. Employees - Employees found to be in violation may be subject to corrective action, up to and including dismissal, under the applicable personnel policies and labor contracts. For Senate members, disciplinary hearing established by the Academic Senate. The administration of discipline shall be in accordance with procedures established by the University in consultation with the Academic Senate.
   Student employees found to be in violation of the Policy as a result of actions taken during the course of their activities as employees may be subject to corrective action under applicable personnel policies or collective bargaining agreements. Existing University policy provides that the loss of University employment shall not be a form of corrective action for students, unless the conduct giving rise to the discipline is related to the employment.
   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 may be subject to discipline or discharge under the applicable personnel policies or collective bargaining agreements.
   
   b. Students - Students found to be in violation of the University of California Policy on Substance Abuse may be disciplined as set forth in the University of California Policies and Procedures Applying to Campus Activities, Organizations, and Students (Part A), and in campus regulations. Types of student disciplinary action include: warning, censure, loss of privileges and exclusion from activities, exclusion from areas of campus, restitution, monetary fines, suspension, interim suspension, and dismissal. In addition, a student's violation while in residence may result in termination of residence contract, financial liability for the term, and affect future eligibility for any on-campus residence hall/apartment. Section 52.124 provides that the loss of University employment shall not be a form of corrective action for students, unless the conduct giving rise to the discipline is related to the employment.
   In addition to, or in lieu of disciplinary action, students may, as a condition of continued enrollment, be required to participate in a substance abuse assistance or rehabilitation program.

2. When an Employee, including a Student Employee, Engaged on a Federal Contract or Grant has been Convicted of a Drug Violation in the Workplace

   a. The employee will notify his/her supervisor within five calendar days of a conviction for a drug violation which has occurred in the workplace (including while traveling or on other University business).
   
   b. The supervisor will notify The Office of Employee and LaborRelations immediately upon receipt of notification from anemployee of a conviction.
   
   c. The Office of Employee and Labor Relations will notify each federal agency of the position title and award number for each grant on which the employee was working within 10 calendar days after the employee provides notice to his/her supervisor of a conviction and maintain appropriate documentation of such notice.
   
   d. The supervisor and the Staff Personnel Office, Academic Personnel Office, or Student Employment Office, as appropriate, and the Office of Employee and Labor Relations will consult as to the appropriate disciplinary action to be taken.

3. When a Supervisor Suspects an Employee's Performance is being Impaired by Substance Abuse

   a. Supervisors are required to take action should there be reasonable cause to suspect that the performance or conduct of employees under their supervision is impaired by substance abuse.
   
   b. The supervisor should maintain a record of the employee's behavior and performance problems for use in rehabilitation efforts or corrective action and should discuss thesituation and steps to be taken with Staff Personnel, Academic Personnel, Student Employment and/or Employee and Labor Relations.
   
   c. The supervisor should encourage employees to access campus Employee Support Programs or other counseling resources. Student employees should be encouraged to access the Student Health Center. Federal legislation requires that an employee's request for a leave of absence to enter a substance abuse treatment program must be accommodated unless it poses an undue hardship on the University. The supervisor must consult with the Employee Support Programs Coordinator prior to denying such a request.
   
   d. The supervisor should notify the Campus Police for assistance in confiscating illegal, improper or controlled substances including drugs, drug paraphernalia or alcohol.

G. COMMUNICATION, TRAINING AND PROGRAM REVIEW

1. The Staff Personnel Office, the Academic Personnel Office and Student Services will coordinate the annual issue of a notice of the University of California Policy on Substance Abuse and information regarding the University's Substance Abuse Awareness Program to employees and students.
2. The Staff Personnel Office, the Academic Personnel Office and the Student Employment Office, as appropriate, will insure that newly employed staff, faculty, and students are given a copy of the University of California Policy on Substance Abuse at the time of hire, which will serve as notice to the employee, that as a condition of employment under Federal contract or grant, the employee must abide by the terms of the University of California Policy on Substance Abuse and notify his/her supervisor of any criminal drug statue conviction for a violation occurring in the workplace, or while traveling or on other University business, no later than five calendar days after such conviction.
   If authority to directly hire employees has been delegated to another office by Staff Personnel, Academic Personnel or Student Employment, the responsibility for providing the policy to the newly hired employee is also considered to be delegated.
3. The Employee Support Programs Coordinator shall present information on the University of California Policy on Substance Abuse in New Employee Orientation Sessions as well as provide information on the availability of Employee Assistance and Vocational Rehabilitation services.
4. Student Services, through the Substance Abuse Education Program and the Colleges, shall present information on the University of California Policy on Substance Abuse at student orientations as well as provide information on the availability of counseling and referral services for students.
5. The Employee Support Programs Coordinator will conduct annual training sessions on substance abuse and Employee Support Programs for campus supervisors.
6. Student Health Services will conduct annual training sessions on substance abuse for residential staff.
7. Compliance with the legal requirements as set forth in the Drug-Free Workplace Act of 1988 and the Drug-Free Schools and Communities Act of 1989 will be assessed by the campus and documentation of the compliance will be maintained. This will include a biennial review of the substance abuse program as provided for in the Drug-Free Schools and Communities Act.