N.Y. Comp. Codes R. & Regs. tit. 7 § 1020.4

Current through Register Vol. 46, No. 18, May 1, 2024

Section 1020.4 - Procedure

Urinalysis testing of inmates shall be conducted as set forth below:

(a) Reasons for testing:

(1) when correctional staff has reason to believe the inmate has used drugs or alcohol and/or the inmate is alleged to have been involved in an act of violent misconduct;

(2) when the inmate is found to be in possession of suspected illicit drugs or alcohol or associated paraphernalia or when suspected illicit drugs or alcohol or associated paraphernalia are detected or found in an area controlled, occupied or inhabited by the inmate;

(3) when the inmate is observed to be in possession of or using illicit drugs or alcohol, but correctional staff are unable to obtain a sample of the substance;

(4) when correctional staff receives information from a source that the inmate is currently under the influence of or has recently used illicit drugs or alcohol;

(5) when an inmate returns late from, or on a random or routine basis when the inmate returns from:

(i) a furlough, work release or other temporary release program;

(ii) community services; or

(iii) an outside work detail;

(6) prior to and after an inmate participates in a family reunion program;

(7) as part of a computer-generated program for random testing of all inmates;

(8) as part of a computer-generated program for random testing of inmates who have been found guilty of drug or alcohol related misconduct in the previous two-year period; and

(9) a watch commander or higher authority may also order inmates to be tested as part of random urinalysis testing program on any identifiable unit of the facility, or on any identifiable program area, or on any identifiable group of inmates. A random urinalysis testing program shall not be used for the purpose of harassing or intimidating any inmate.

(b) Identifying the inmate to be tested. The inmate for whom a urinalysis test is requested shall be identified by an employee to a lieutenant or higher authority, and each urinalysis test shall be approved by the lieutenant or higher authority and documented on the request for urinalysis test form. Note: In facilities where sergeants serve as watch commanders, such sergeants may approve urinalysis testing.

(c) Ordering the inmate to be tested. The inmate ordered to submit a urine specimen for urinalysis testing shall be informed of the underlying reason (whether suspicion, routine or random) why s/he is being ordered to submit the specimen. If the inmate refuses to submit the specimen, s/he shall be informed that this refusal constitutes a violation of facility rules and that s/he may incur the same disciplinary disposition that a positive urinalysis result could have supported. The resultant misbehavior report shall indicate that the inmate was informed of the above.

(d) Obtaining the urine specimen.

(1) The inmate shall be escorted (or shall report) to the facility infirmary, clinic or other appropriate area.

(2) Security or medical staff shall hand to the inmate the specimen bottle, labeled with the inmate's name and number, the date, and any other relevant identifying information. This information shall be typed or written in indelible ink. The inmate shall also be asked if s/he has been taking any medication in the past month, and the inmate's response shall be noted on the request for urinalysis test form. If the inmate's response is "yes" and the subsequent test results are positive, an inquiry shall be made to medical personnel as to what medications the inmate has received in the past month which may lead to a positive result.

(3) Security or medical staff shall ensure that the inmate submits an unadulterated urine specimen in the specimen bottle provided by witnessing the inmate urinate into the bottle. The inmate must be pat frisked prior to submitting the urine specimen and s/he may be required to wash hands or wear gloves to further ensure that the specimen submitted is that of the inmate. The foregoing shall be conducted by security or medical staff of the same sex, in private and outside the presence of other inmates or staff. Female inmates may be required to urinate into a urine collector or an unused plastic cup, rather than the specimen bottle itself. The contents of the collector or the cup shall then be transferred to the specimen bottle by the inmate, or by the witnessing staff person in the presence of the inmate.

(4) If the inmate is unable to provide a urine specimen immediately, s/he shall be detained until s/he is able to provide a urine specimen. Drinking water should be available in an amount not to exceed eight ounces per hour. An inmate who is unable to provide a urine specimen within three hours of being ordered to do so shall be considered to be refusing to submit the specimen. The inmate shall be informed that this refusal constitutes a violation of facility rules and that s/he may incur the same disciplinary disposition that a positive urinalysis result could have supported. The resultant misbehavior report shall indicate that the inmate was informed of the above and it should include an alleged violation of rule 180.14 as described in section 270.2 of this Title.

(5) The staff person witnessing the submission of the specimen by the inmate shall make the appropriate notation on the request for urinalysis test form. If the inmate is unable within three hours of being ordered or if the inmate refuses to submit a urine specimen, this fact shall be noted on the request for urinalysis test form.

(e) Procedure for inmates claiming to be unable to urinate in presence of others. The following procedures shall be employed when the watch commander reasonably believes that the inmate is unable to provide a urine specimen due to an alleged inability to urinate in the presence of others (shy bladder). Reasonable belief is based upon the following criteria, including, but not limited to: medical or mental health records supporting the inmate's claim (to be evaluated by health services or OMH staff), prior disciplinary and/or computerized urinalysis testing data indicating a history of urinalysis testing violations, if applicable, and the inmate's behavior and demeanor at the time of request for the urine sample.

(1) Authorization. The watch commander shall be notified by the staff member assigned to obtain the urine sample and provide verbal authorization for these procedures.

(2) Location. The procedure shall take place in temporary isolation in the facility drug watch cell/room or other appropriate area.

(3) Procedure.

(i) The inmate shall be strip frisked, subject to a metal detector search and given a gown or other garment to wear prior to placement in the drug watch cell/room and will be required to wash their hands or wear gloves, to further ensure that the sample is unadulterated. The cell/room shall be thoroughly searched prior to admission of the inmate and, if applicable, the water supply to the cell/room shall be turned off.

(ii) Security staff shall hand to the inmate the specimen container, labeled with the inmate's name and number, the date and any other relevant identifying information. Staff shall not witness the inmate urinate into the specimen container.

(iii) The inmate shall be detained until he/she is able to provide a urine specimen for up to three hours including any time prior to a determination that special arrangements are necessary. Drinking water should be made available in an amount not to exceed eight ounces per hour. Water given to the inmate shall be consumed under the direct observation of staff. The inmate shall not be allowed to retain any amount of water.

(iv) An inmate who is unable to provide a urine specimen within three hours of the initial order to produce a sample shall be considered to be refusing to submit the specimen. The inmate shall be informed that this refusal constitutes a violation of facility rules and that s/he may incur the same disciplinary disposition that a positive urinalysis result could have supported. The resultant misbehavior report shall indicate that the inmate was informed of the above and it should include an alleged violation of rule 180.14 as described in section 207.2 of this Title, noting that the procedures listed above in subparagraphs (i)-(iii) of this paragraph were followed.

(f) Process the urine specimen.

(1) If the facility has urinalysis testing apparatus:

(i) All persons handling the specimen shall make an appropriate notation under Chain of Custody on the request for urinalysis test form. The number of persons handling the specimen shall be kept to the minimum. The specimen shall be kept in a secure area at all times.

(ii) Place the specimen in a secured refrigerator if it is not to be tested immediately. If it is anticipated that the specimen will not be tested within one day, place it in a secured freezer. It is recommended that the specimen be stored frozen. A log book shall be kept in the vicinity of the refrigerator/freezer, and each person accessing the specimens shall note his or her name, the date, and the time of each such access.

(iii) The individual performing the urinalysis testing shall have been appropriately trained in the use of the testing apparatus and shall precisely follow procedures recommended by the manufacturer for the operation of the testing apparatus.

(iv) If a positive result is obtained on the first test, the procedure followed and the results obtained shall be noted by the operator on the urinalysis procedure form. A second test shall be performed on the same sample. The results of the second test shall be noted on a second urinalysis procedure form. If a positive result is obtained from the second test, the individual performing the urinalysis testing shall cause a misbehavior report to be issued. The inmate's copy of the misbehavior report shall be accompanied by the request for urinalysis test form, the urinalysis procedure form, the inmate's printed results produced by the urinalysis testing apparatus for the positive tests and a statement of the scientific principles and validity of the testing apparatus.

(v) If a negative test result is obtained on the second test, the specimen shall be considered negative and no misbehavior report shall be written.

(2) If the facility does not have its own urinalysis testing apparatus, the specimen may be forwarded to an independent laboratory or to another facility that has urinalysis testing apparatus.

(i) Place the specimen in a secured refrigerator/freezer if it is not to be forwarded immediately. All persons handling the specimen shall make an appropriate notation on the request for urinalysis test form. The number of persons handling the specimen shall be kept to a minimum. A log book shall be kept in the vicinity of the refrigerator/freezer, and each person accessing the specimens shall note his name, the date, and the time of such access.

(ii) Forward the specimen in accordance with procedures recommended by the testing laboratory or facility.

(iii) If a positive result is obtained, a misbehavior report shall be issued. The (inmate's copy of the) misbehavior report shall be accompanied by the request for urinalysis test form, the inmate's test report from the laboratory or facility, a copy of the methods and procedures used by the testing laboratory or facility, and a statement of the scientific principles and validity of the testing apparatus used by the laboratory or facility.

N.Y. Comp. Codes R. & Regs. Tit. 7 § 1020.4