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

RECORDS MANAGEMENT QUESTIONNAIRE
APPROPRIATENESS OF RECORDS MAINTENANCE:
Does the auditor observe that a set of records has been established with the following
characteristics:
1) Secure location and access controlled to those few individuals with a need to know;
2) Information released only as appropriate;
3) Federally required tests and testing has priority and is separate from non-DOT testing;
4) Records are maintained for the proper length of time.
Does the employer maintain records of its anti-drug and alcohol misuse program in a secure
location with controlled access?
Except as required by law, or expressly authorized or required, does the employer refrain
from releasing information pertaining to a covered employee that is contained in records
required to be maintained by Part 655.71?
Are DOT tests completely separate from non-DOT tests in all respects, and do DOT tests
take priority (i. e. DOT tests conducted and completed before a non-DOT test is begun, urine
collected in a DOT test not used for a non-DOT test)?
Are the following records maintained for a minimum of 5 years from the date of creation: (1)
covered employee verified positive drug or alcohol test results; (2) documentation of refusals
to take required drug or alcohol tests; (3) covered employee referrals to the SAP; (4) reports
from SAPs, and copies of annual MIS reports submitted to FTA?
Are records kept for 3 years of information concerning drug and alcohol test results of
applicants requested under Section 40.25 from previous employers?
Are records related to the collection process and employee training maintained for a minimum
of 2 years from the date of creation?
Are records of negative drug or alcohol test results maintained for a minimum of 1 year from
the date of creation?
MIS REPORT, STATISTICAL SUMMARIES, AND BLIND SPECIMENS:
Do the records indicate that the transit operator prepares reports and maintains information
confidentiality in a proper manner:
1) MIS report information prepared even if the grantee is not selected to submit a MIS report;
2) MIS report information collected from safety-sensitive contractors;
3) Current list of safety-sensitive contractors and vendors;
4) Bi-annual statistical summaries and blind specimens in order.
Does the recipient annually prepare and maintain a summary of MIS-required information
summarizing the results of its anti-drug and alcohol misuse testing programs during the
previous calendar year, even if the recipient has not been selected to file an MIS report?
Does the recipient ensure the accuracy and timeliness of each MIS report submitted by an
employer, contractor, consortium, or joint enterprise or by a third party service provider acting
on the recipient's or employer's behalf?
Does the recipient receive a semi-annual statistical summary of its drug and alcohol testing
program from each laboratory to which it submits drug specimens for analysis? If so, does it
appear that the count of negative tests and positive tests for the previous calendar year
approximately agrees with data from the MIS report?
If the employer has 2,000 or more covered employees, does it submit the required number of
blind specimens? If it does, is there any indication that the laboratory analysis of the
specimen does not agree with the certified contents of the specimen provided by the
specimen vendor?
Does the employer have a method for tracking test results and actively obtaining information
required by Part 40 from its service agents?
Appendix K. Substance Abuse Management Oversight Questionnaires
K-9
August 2002