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

• Employers and service agents shall
make available copies of DOTcovered
drug and alcohol testing
program records when requested by
DOT, any DOT agency with
regulatory authority over the
employer or any of its employees, or
to the state oversight agency
authorized to oversee rail fixed
guideway systems.
• Employers and service agents must
also disclose any and all drug and
alcohol testing information required
under Part 655 to the state oversight
agency or grantee required to certify
compliance to FTA on their behalf.
Thus, state departments of
transportation that administer rural
public transit programs under
Section 5311 may have access to its
subrecipient’s drug and alcohol
testing records to ensure compliance.
Similarly, grantees that contract out
safety-sensitive functions to
contractors can review the
contractor’s drug and alcohol testing
program records to monitor
compliance.
Employers shall maintain records in a
secure manner, so that disclosure of
information to unauthorized persons does
not occur. Release of information under any
other circumstance is prohibited by the
regulations [§655.73(a); §40.231].
Besides the employer, the collection site,
laboratory, Medical Review Officer, and
Substance Abuse Professional must also
adhere to strict confidentiality requirements.
The testing laboratory is prohibited from
releasing individual test results to anyone
except the designated MRO. The MRO and
the BAT should only report individual
employee’s test results to designated
employer representatives and to the
individual who was tested.
MROs are also required to release drug
test results and medical information to the
employer, health care provider, SAP, DOT
agency, or NTSB without the employee’s
consent, if the MRO determines the person
is medically unqualified to perform safetysensitive
duties or poses a significant safety
risk [§40.327]. MROs, laboratories, and
SAPs are required to provide employees
with copies of any records pertaining to their
drug and alcohol testing records within 10
days of receiving a written request from the
employee. These records should be
provided free of charge except for
reproduction costs. The laboratory
information must be provided to the
employee via the MRO. All records
including notes and checklists must be
released except for those covered by other
laws pertaining to confidentiality and the
release of clinical records. SAP
recommended follow-up testing plans must
not be released to employees.
Employers and service agents must
provide access to all facilities used to
conduct DOT drug and alcohol testing
functions by DOT or FTA agency
representatives (e.g., auditors). The FTA
representative must be given access to all
written, printed, and computer-based
records, reports, files, materials, data,
documentation, agreements, contracts,
policies, and procedures. Laboratories must
not, however, release or provide a specimen
or a part of a specimen to a third party
without first obtaining written consent from
ODAPC. If a lab receives a court order to
release a specimen, the laboratory must take
necessary legal steps to contest the issuance
of the order.
To ensure confidentiality is not violated,
it is the employer’s responsibility to clearly
Chapter 10. Administrative Requirements 10-8 August 2002