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

may arrange to have the consortium
maintain some or all of its records. It is not
necessary, under these circumstances, for
the employer to maintain a duplicate set of
records, however, it may be in the
employer’s best interest to keep copies. See
Chapter 11 of these Guidelines for a more
detailed discussion of possible roles and
responsibilities of consortiums. Regardless
of who maintains the employer’s records, it
is the employer’s responsibility to exercise
and document oversight/compliance
activities to ensure accurate and current
records are kept that comply with FTA
regulations.
Checklists of how long you should retain
each of your records can be found in the
Sample Documentation section of this
chapter.
Service Agent Record Keeping
Requirements. The various service agents
participating in the DOT drug and alcohol
testing process also have specific record
keeping requirements.
Collection sites must keep copies of
Copy 3 of the CCF for at least 30 days
[§40.73(a)(9)]. Specimen collectors must
maintain records documenting their
credentials including qualifications training,
proficiency demonstration, refresher
training, and error correction training.
These records must be made available to
employers and DOT agency representatives
upon request [§40.33(g)]. Similarly,
BAT/STTs must also maintain
documentation of their credentials and make
them available to employers or DOT agency
representatives upon request [§40.213(g)].
Laboratories must maintain non-negative
specimens in secure, long-term frozen
storage for a minimum of 1 year [§40.99].
If the primary specimen is non-negative, the
split specimen must be stored for at least 1
year or for the same period of time that the
primary specimen is retained. The
laboratory must retain all records pertaining
to each specimen for a minimum of 2 years
[§40.109]. The records and specimens must
be maintained for a longer period if
requested by the employer, employee, MRO,
or DOT agency.
Laboratories must produce and retain an
aggregate statistical summary of drug test
results for each employer on a semi-annual
basis [§40.111]. The information required
for the summary is presented in the Sample
Documentation section of this chapter. The
summary for the period beginning on
January 1 through June 30 of each year must
be reported to employers by July 20 of the
same calendar year. Summaries covering
the period from July 1 through December 31
must be reported by January 20 of the next
calendar year. The laboratory must also
maintain these summary reports for at least
2 years.
The lab summary reports must not
include any employee specific information
or information upon which an employee’s
identity can be inferred. Thus, laboratory
reports will not be sent to employers that
have fewer than 5 aggregate test results.
Medical review officers must maintain
documentation of their credentials including
medical licenses, qualifications training, and
continuing education credits [§40.121(e)].
These records must be made available to
employers and DOT agency representatives
upon request. Substance abuse professionals
must also maintain and make their
credentials and training documentation
available upon request [§40.281(e)]. In
addition, SAPs must maintain copies of all
reports provided to employers for a period
of 5 years. Additional clinical records must
be maintained in accordance with federal,
state, and local laws that govern
Chapter 10. Administrative Requirements 10-6 August 2002