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

♦ Documents presented by a covered employee to dispute the result of
an alcohol test administered under 49 CFR Part 654
♦ Records pertaining to a determination by a substance abuse
professional concerning a safety-sensitive employee’s need for
assistance
♦ Records concerning a safety-sensitive employee’s compliance with
the recommendations of the SAP
♦ SAP follow-up testing plan
♦ Annual MIS reports
♦ Records pertaining to a determination by a SAP concerning a safetysensitive
employee’s suitability to return to work as a safety-sensitive
employee.
CONFIDENTIALITY AND ACCESS TO RECORDS
Does the transit system only release testing records and results under the
following circumstances?
⎯ When an employee gives written instruction that the transit
system may release information or copies of records regarding an
employee’s test results to a third party or subsequent employer;
⎯ When, due to a lawsuit, grievance, or proceeding initiated on
behalf of the employee tested, the result must be released to the
decision-maker in the case;
⎯ When an employee provides a written request for copies of
his/her records relating to the test(s) (can not be contingent on
payment);
⎯ When an accident investigation is being performed by the
National Transportation Safety Board (NTSB) and the postaccident
test results are needed for the investigation;
⎯ When records are requested by the DOT or any DOT agency
with regulatory authority over the employer or any of its
employees, or to a state oversight agency authorized to oversee
rail fixed guideway systems;
⎯ When a criminal or civil action resulting from an employee’s
performance of safety-sensitive duties in which a court or
competent jurisdiction determines the test information is relevant
to the case and orders the employer to produce the information;
⎯ When required by a state Department of Transportation (DOT) or
grantee that has oversight responsibility and is required to certify
compliance for FTA.
Does the transit agency ensure that each request for release of
information specifically identifies the person to whom the information is
to be released, the circumstances under which the release is authorized,
Appendix J. Self-Assessment Checklist J-37 August 2002
A
R
DMINISTRATIVE
EQUIREMENTS
Confidentiality and
Access to Records