STATE OF NEW YORK

TITLE

NO.

4937

DEPARTMENT OF CORRECTIONAL SERVICES

DIRECTIVE
SUPERSEDES

Urinalysis Testing

12/21/2010
DISTRIBUTION

DIR# 4937 Dtd. 10/01/06
EFERENCES (Include but are not limited to)

DATE

A B

PAGES
PAGE 1 OF

DATE LAST REVISED

9

APPROVING AUTHORITY

I.

POLICY: Urinalysis test procedures shall be used to verify whether or not an inmate has used drugs and may
be used to verify whether or not an inmate has used alcohol.

II.

DESCRIPTION: This directive outlines the procedures to be followed by each facility in the administration of
inmate urinalysis testing.

III. BACKGROUND: The use by inmates of illicit drugs and alcohol presents a serious threat to the safety and
security of a correctional facility. Urinalysis testing of inmates can be an effective means by which to detect
and discipline inmates who use illicit drugs or alcohol. Aggressive and consistent urinalysis testing will be one
of many components of a program to ensure a drug-free environment within the Department’s facilities.
IV. 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 these 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:
a.
A furlough, work release, or other Temporary Release Program;
Community service; or

c.

An outside work detail.

6.

Prior to and after an inmate participates in a Family Reunion Program visit.

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.

9.

B.

b.

A watch commander or higher authority may also order inmates to be tested as part of a random
urinalysis testing program on any identifiable unit of the facility, or 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.
Identifying the Inmate to be Tested: The inmate for whom a urinalysis test is requested shall be identified
by an employee and reported to a lieutenant or higher authority, and each urinalysis test shall be approved
by the lieutenant or higher authority and documented on Form#2082 “Request for Urinalysis Test” (see
Attachment A). NOTE: In facilities where sergeants serve as watch commanders, such sergeants may
approve the urinalysis test.

NO.

4937, Urinalysis Testing

DATE 12/21/2010 PAGE 2 of 9

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.
2.

The inmate shall be escorted or shall report to the facility hospital, clinic, or other appropriate area.
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 be asked to acknowledge that the information on the label is correct. 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.
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.

3.

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.

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 there is reasonable belief 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, see Attachment D)

•

Prior disciplinary (FIDS) and/or computerized urinalysis testing (KDTS) data indicating a history
of urinalysis testing violations, if applicable

•

Inmate’s behavior and demeanor at the time of request for the urine sample

NO.

4937, Urinalysis Testing

DATE 12/21/2010 PAGE 3 of 9

F.

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
a.

The inmate shall be strip frisked (to be recorded on Form #1140, “Report of Strip Search or
Strip Frisk”), 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.

b.

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 consistent with the
provisions of Section IV-D-2 of this directive. Staff shall not witness the inmate urinate into
the specimen container.

c.

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.

d.

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 and a misbehavior
report written citing the inmate with charge 180.14, noting that the procedures listed above in
section IV-E-3 were followed.

Report of Special Accommodations: Whenever an inmate has been approved by a facility for a special
urinalysis accommodation, an Outlook E-mail will be sent to docs.sm.specialhousing with the following
information, utilizing the format listed below:
Inmate’s DIN
Inmate’s Name
Facility Name

Originating facility

Date of Request

i.e., Date the inmate requests the special
accommodations

Reason for Special Accommodations

i.e., (medical, shy bladder syndrome)

Facility Superintendents, DSSs, Captains, and Lieutenants may access the statewide list through the
Facility Operations shared drive in the folder “I-M_Spec_urinalysis_Accom.”
G.

Process the Urine Specimen
1.

If the facility has urinalysis testing apparatus:
a.
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.
b.
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, it is recommended that the
specimen be stored frozen.

NO.

4937, Urinalysis Testing

DATE 12/21/2010 PAGE 4 of 9

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 each such access.
c.

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.

d.

If a positive result is obtained on the first test, the procedures followed and the results obtained
shall be noted by the operator on Form #2083.1 “Urinalysis Procedure Form” (see Attachment
B). 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 Forms,” 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 (use Attachment C).

e.
2.

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.

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.
a.

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.

b.

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

c.

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, and 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.

USE OF RESULTS: In a subsequent disciplinary proceeding a positive urinalysis result may be used as
evidence of the illicit use by the inmate of the drug or alcohol indicated by the result. The record of the
disciplinary proceeding must include the “Request for Urinalysis Test” form and:
A.

The “Urinalysis Procedure” forms, any printed documents produced by the urinalysis testing apparatus,
and the appropriate statement of the scientific principals and validity of the testing apparatus (see
Attachment C) if the facility has urinalysis testing apparatus; or

B.

The report of the testing laboratory or facility, a copy of the methods and procedures used by the testing
laboratory or facility, and a statement of the scientific principals and validity of the testing apparatus used
by the laboratory or facility if a laboratory or another facility is used.

VI. STATISTICAL DATA: All results obtained in the course of the Urinalysis Testing Program shall be entered
on the computerized drug testing system.
VII. REQUIRED PARTICIPATION IN PROFICIENCY TESTING: The facility shall enroll in the Urine
Toxicology Proficiency Testing Service of the American Association of Bioanalysts, 205 West Levee,
Brownsville, Texas 78520.

NO.

Attachment A
FORM 2082 (REV. 09/10)

4937, Urinalysis Testing

DATE 12/21/2010 PAGE 5 of 9
STATE OF NEW YORK – DEPARTMENT OF CORRECTIONAL SERVICES

REQUEST FOR URINALYSIS

FACILITY _____________________________________________________________________ Test # _________________
INMATE NAME _________________________________________ NUMBER ________________ CELL __________________
REQUEST MADE BY ____________________________________________________ DATE ___________________________
AGENT(S) SUSPECTED (IF ANY) ___________________________________________________________________________
CIRCUMSTANCES LEADING TO REQUEST __________________________________________________________________
_______________________________________________________________________________________________________
_______________________________________________________________________________________________________
TEST APPROVED BY ___________________________________________________ DATE ___________________________
INMATE TOLD THE UNDERLYING REASON WHY HE IS BEING ORDERED TO SUBMIT A URINE SPECIMEN CIRCLE ONE:
SUSPICION, ROUTINE, RANDOM)
BY ________________________________________________________________

DATE ___________ TIME ___________

HAS INMATE TAKEN MEDICATION RECENTLY? (YES OR NO) SPECIFY __________________________________________
_______________________________________________________________________________________________________
INMATE ORDERED TO SUBMIT SPECIMEN:

DATE __________ TIME ___________

SPECIMEN WITNESSED AND OBTAINED BY ______________________________

DATE __________ TIME ___________

DOES INMATE WILLFULLY REFUSE TO SUBMIT SPECIMEN? (YES OR NO)
DOES INMATE CLAIM TO BE UNABLE TO SUBMIT SPECIMEN IN THE PRESENCE OF OTHERS?
(YES OR NO)*

DATE __________ TIME ___________

* (In the event an inmate makes this claim, the procedures in Directive #4937, section IV -E shall be follow ed).
IF INMATE CLAIMS TO BE UNABLE TO SUBMIT SPECIMEN, HAS INMATE BEEN GIVEN AT LEAST THREE HOURS TO
SUBMIT SPECIMEN? (YES OR NO)
SPECIMEN TESTED BY (IST TEST) __________________________________________ DATE __________ TIME __________
RESULTS ______________________________________________________________________________________________
SPECIMEN TESTED BY (2 ND TEST) __________________________________________ DATE __________ TIME __________
RESULTS ______________________________________________________________________________________________
CHAIN OF CUSTODY (STARTING WITH STAFF OBTAINING SPECIMEN, ATTACH ADDITIONAL PAGES IF NECESSARY)
FROM _____________________________ TO _____________________________ DATE ____________ TIME _____________
FROM _____________________________ TO _____________________________ DATE ____________ TIME _____________
FROM _____________________________ TO _____________________________ DATE ____________ TIME _____________
FROM _____________________________ TO _____________________________ DATE ____________ TIME _____________
FROM _____________________________ TO _____________________________ DATE ____________ TIME _____________
FROM _____________________________ TO _____________________________ DATE ____________ TIME _____________
FROM _____________________________ TO _____________________________ DATE ____________ TIME _____________
FROM _____________________________ TO _____________________________ DATE ____________ TIME _____________
FROM _____________________________ TO _____________________________ DATE ____________ TIME _____________
This form is to be filled out COMPLETELY. It is to accompany the specimen until the specimen is tested.
If the specimen is positive, a MISBEHAVIOR REPORT shall be w ritten.

NO.

Attachment B

4937, Urinalysis Testing

DATE 12/21/2010 PAGE 6 of 9

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NO.

Attachment C

4937, Urinalysis Testing

DATE 12/21/2010 PAGE 7 of 9

“EMIT Drug Detection System”
The EMIT Drug Detection System consists of instrumentation, accessories, and reagents for detecting drugs of
abuse in body fluids. These tests were designed as a primary screening system to detect positive samples in a
given population. A negative result is strong evidence that the drug in question is not present in excess of the
assay detection limit.
The EMIT Assays are qualitative. They are not designed to measure the quantity of drug in a sample, but will
distinguish a positive from a negative sample.
The EMIT Assays are based on a biochemical principle (homogenous enzyme immunoassay) developed by
Syva and used in EMIT assays for therapeutic drug monitoring, and in semi-quantitative and qualitative tests for
drugs of abuse.
The EMIT System is an automated analyzer for drug of abuse urine screening designed to perform all functions
necessary for running emit assays.
The reaction rate of the cut-off calibrator serves as the reference point for determining sample results. A sample
is considered positive if its reaction rate is equal to or greater than that of the cut-off calibrator. Negative and
high calibrator/ controls are run to validate reagent and instrument performance. Urine samples are mixed with
two reagents. The system automatically measures, and mixes samples and reagents. Photometric absorbance
readings are taken on assay reactions. The system computer interprets operator input, processes assay data and
interprets results.
“Limitations”
1.

All reagents must be stored as directed. Storage conditions will affect the stability of the reagents, controls,
and calibrator. Stability is optimal when all are stored refrigerated. Length of stability time diminishes as
storage temperature increases.

2.

Urine samples may be collected in plastic or glass containers. If not tested within one day, it is
recommended that urine samples be stored frozen. Samples not thus frozen may produce a “false
negative”; in no event, however, will the failure to freeze a sample result in a “false positive.” The effect of
urine preservatives has not been established; it is recommended, therefore, that urine preservatives not be
used.

3.

The assay has not been designed for use with body fluids other than urine.

4.

The EMIT Drug Detection System performs optimally when operated within a temperature range of 15-32
degrees C (59-90 degrees F). All performance claims are based on testing done in this temperature range.
Temperatures outside this range may result in decreased assay sensitivity.

5.

The EMIT System is optimized for use with the EMIT reagents and assays. Performance of the EMIT
System with other reagents has not been established.
“Critical Parameters”

Reagents
1.

Temperature of the reagents should not exceed 32 degrees C (90 degrees F) for extended periods.

2.

Discolored reagents should be discarded.

3.

For each test, use reagent vials that have the same lot number and that have been stored under the same
conditions.

NO.

Attachment C continued

4937, Urinalysis Testing

DATE 12/21/2010 PAGE 8 of 9

Instrumentation
1.

The performance of the instrument and reagents should be checked periodically by running the negative
and high calibrator/control with the cutoff calibrator. The EMIT System solution should be filled up as
needed.

2.

At the beginning of each working day, several procedures are required to ensure proper operation of the
instrument and accurate calibration and sample testing. The system solution requires sufficient fill level,
and the system should be primed.

3.

The EMIT System may be left on at all times. If there is a need to turn it off, the operator would then need
to wait until the cooling compartment is completely cooled. Then system will indicate when ready.

Materials
Allow all samples stored in the freezer to completely thaw before use. EMIT system performs optimally when
operated within a temperature range of 15-32 degrees C (59-90 degrees F).
“Reliability”
EMIT tests have been shown to be among the most consistently accurate drug testing methods in current use.
The Centers for Disease Control in Atlanta, Georgia, conducted drug abuse proficiency testing surveys from
l972 to l981. The surveys assessed the reliability of drug testing performed by different analytical methods in
laboratories throughout the country.
In the most recently published data from the l980 surveys, the percentages of correct results obtained with EMIT
tests ranged from 97% (for amphetamines, barbiturates, morphine, and phencyclidine) to 99% (for cocaine and
methadone). The percentages obtained with gas chromatography methods ranged from 95% to 99%, and with
thin-layer chromatography, from 92% to 97%.
A study was performed for Syva by an independent laboratory using GC/MS for all samples parallel with the
EMIT marijuana assay. Analyzing 100 urine samples by both methods, the EMIT did not give a single false
positive result. False negative results may occur due to the lower sensitivity of the EMIT tests than the GC/MS
sensitivity. In legal cases, however, false negative is an error that is to the advantage of the accused.
In its decision dated October 26, l987, in the federal class action suit of Peranzo et al. v. Coughlin, et al., the
Southern District of New York found that “with a 98+% rate of accuracy, the double EMIT testing as performed
by DOCS is sufficiently reliable so that the use of the results as evidence, even as the only evidence, in a
disciplinary hearing does not offend due process.” The Court relied upon DOCS’ record of 98.7% accuracy rate
in proficiency testing with the American Association of Bioanalysts over the past four years.
There is no test method, including the EMIT method, that can offer 100% confidence in the accuracy of its
results. This is because a very small number of urine samples can be expected to produce unusual results due to
differences in their composition, handling, storage, or testing.
Syva is the only drug test manufacturer to express its product accuracy in statistical terms, and they are the only
manufacturer to guarantee such a high level of confidence in the accuracy of its test results. Before they ship
test kits from a newly-manufactured lot, their Quality Control Department uses the new product to test urine
samples containing drug and samples containing no drugs. It commonly obtains correct results for more than
99% of the samples it tests.
Over-the-counter medication with very similar chemical structures may sometimes produce positive results for
amphetamine. These medications are listed in the product literature.

i\IEDICAIAIENTAI. HEALTH RECORDS REVIEW FOR INi\IA'
4937, Urinalysis Testing
CLAIi\IING
Attachment D TO lIE UNAIlI.E TO PROVIDE A URI.....E SAi\IPLE U.....DER STAFf
NO.

DATE 12/21/2010 PAGE 9 of 9

To:

Watch Commander

From: MedicaVMemal Health Unil
Re:

Review of medicaVmcntal health records of inmates claiming 10 be unable Ie
sample under staff observation

Date:
*********************************************************~

Inmate Name

_ DIN__
MEJ)lCAL RECORDS REVIEW

I)

A review of available medical records indicates that the above-named inmate:

Has
Has Not
expressed concern to medical siaffthat he
provide a urine sample under staff observation.
Health Care personnel reviewing records -----occ""=~c_------­
Pri"1 NamelTilk

Signature'

_

_ _ _ Date

i\IENTAL HEALTH RECORDS REVIEW

2)

A review of available mental health records indicales that the above-named ina

Has
Has Not
expressed concern to mental health slaff tt
to provide a urine sample under staff observation.
Mental Health staff reviewing records
Signature'

-----"''''"''''''''c_-----Pri"1 Namd Tille
_

_ _ _ Date_