Implementation Guidelines - Federal Transit Administration - U.S. ...

Employee test refusals should also be
maintained in individual employee files for
at least 5 years. Test refusal documentation
should include the DAPM, supervisor,
collector, and/or BAT statements of facts
and circumstances related to the refusal
[§655.71(c)(2)]. Documentation associated
with a substitute or adulterated specimen
should include the CCF, MRO’s report of
results (including the assessment of the
referral physician, if appropriate), split
specimen results, if any, and SAP referral.
In instances of insufficient volume, the
employer should maintain the CCF and
document the selection and evaluation of the
referral physician, and the MRO’s final
determination of whether an existing
medical condition caused the insufficient
volume [§655.71(c)(1)].
If the employer has a second chance
policy, the employee file must include the
SAP’s initial assessment, recommendation
for treatment, reassessment, and the release
to work documentation. The file must
include the CCF, drug test result, and ATF
for the return-to-duty test, as well as the
SAP’s recommended follow-up testing plan
and subsequent CCFs, test results, and ATFs
for the corresponding follow-up tests
[§655.71 (c)(3)].
Records regarding positive test results,
test refusals, and employee disputes that are
associated with individual employees must
be maintained for at least 5 years.
File management methods are discussed
in Section 4.5 of the Best Practices manual
under “Record Keeping Methods.”
Appendix B of the Best Practices manual
contains examples of forms and master logs
used to document the various types of tests
conducted. These forms and logs are
discussed in Section 4.1 of the manual under
the different types of testing. If properly
maintained, these records provide a
comprehensive paper trail that documents
and supports all testing decisions and makes
program oversight, administration, and
production of annual reports easier.
All FTA drug or alcohol test records
must be kept in a secure location with
controlled access [§655.71(a)]. Most
employers have found that keeping their
FTA drug and alcohol testing records in a
separate locked file cabinet is the easiest
way to meet this requirement. These records
should also be maintained separate from
personnel records and medical records to
ensure that no unauthorized persons have
access to test results. The employer must
clearly define who will have access to the
files and for what purpose. In most cases,
access to test results is limited to one or two
people within an organization, most
commonly the DAPM and his/her assistant.
Otherwise, access to information should
be restricted to all agency employees. This
bar to information includes all system
employees, union representatives,
management, supervisory personnel, and
board members. Individuals within the
organization should only be privy to the
information on a “need to know” basis.
Thus, in the case of a pending dismissal or
disciplinary action due to a positive test, the
employee’s supervisor who normally
handles dismissals would need to know the
reason for the dismissal and therefore, it
would be appropriate to inform the
supervisor of the positive test result. Care
should be taken, however, to ensure the test
results do not become “common
knowledge” due to any action or comment
by management personnel. See discussion
on confidentiality and information
disclosure later in this chapter.
If a consortium is used to administer the
employer’s testing program, the employer
Chapter 10. Administrative Requirements 10-5 August 2002