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RECORDS MANAGEMENT QUESTIONNAIRE

RECORDS MANAGEMENT QUESTIONNAIRE

TRANSIT OPERATOR Contact Person Date Auditor 1 Auditor 2

Federal Transit Administration

1

RECORDS MANAGEMENT QUESTIONNAIRE

Num 1.

2.

QUESTION 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? Does the employer only release drug and alcohol testing information related to covered employees as permitted by law or in accordance with the circumstances described in Section 655.73? 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)?

REGULATORY CITATION

Section 655.71(a) states: “An employer shall maintain records of its anti-drug and alcohol misuse program as provided in this section. The records shall be maintained in a secure location with controlled access.” Section 655.73(a) states: “Except as required by law, or expressly authorized or required in this section, no employer may release information pertaining to a covered employee that is contained in records required to be maintained by Section 655.71 of this subpart.”

3.

4.

Section 40.13(a) states: “DOT tests must be completely separate from non-DOT tests in all respects.” Section 40.13(b) states: “DOT tests must take priority and must be conducted

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