Model Plan for a Comprehensive Drug-Free Workplace Program

XIV.  Records and Reports

A. Confidentiality of Test Results

The laboratory may disclose laboratory test results only to the Medical Review Officer or the staff of the Medical Review Officer. Any positive result which the Medical Review Officer justifies by acceptable and appropriate medical or scientific documentation to account for the result as other than the intentional ingestion of an illegal drug will be treated as a negative test result and may not be released for purposes of identifying illegal drug use. Test results will be protected under the provisions of the Privacy Act, 5 U.S.C. §552a, et seq. and Section 503(e) of the Act, and may not be released in violation of either Act. The Medical Review Officer may maintain only those records necessary for compliance with this order. Any records of the Medical Review Officer, including drug test results, may be released to any management official for purposes of auditing the activities of the Medical Review Officer, except that the disclosure of the results of any audit may not include personal identifying information on any employee.

In order to comply with Section 503(e) of the Act, the results of a drug test of a [Agency] employee may not be disclosed without the prior written consent of such employee, unless the disclosure would be--

   1. To the Medical Review Officer;

   2. To the EAP Administrator in which the employee is receiving counseling or treatment or is otherwise participating;

   3. To any supervisory or management official within the [Agency] having authority to take adverse personnel action against such employee; or
 
   4. Pursuant to the order of a court of competent jurisdiction or where required by the United States Government to defend against any challenge against any adverse personnel action.

B. Employee Access to Records

Any employee who is the subject of a drug test shall, upon written request, have access to any records relating to--

 1. Such employee's drug test; and

  2. The results of any relevant certification, review, or revocation-of-certification proceedings, as referred to in Section 503(a)(l)(A)(ii)(III) of the Act.

Except as authorized by law, an applicant who is the subject of a drug test, however, shall not be entitled to this information.
 

C. Confidentiality of Records in General

All drug testing information specifically relating to individuals is confidential and should be treated as such by anyone authorized to review or compile program records. In order to efficiently implement this order and to make information readily retrievable, the Drug Program Coordinator shall maintain all records relating to reasonable suspicion testing, suspicion of tampering with evidence, and any other authorized documentation necessary to implement this order.

All records and information of the personnel actions taken on employees with verified positive test results should be forwarded to the [Servicing Personnel Office.] Such shall remain confidential, locked in a combination safe, with only authorized individuals who have a "need-to-know" having access to them.
 

D. Employee Assistance Program Records

The EAP Administrator shall maintain only those records necessary to comply with this order. After [an operating unit head] refers an employee to an EAP, the EAP will maintain all records necessary to carry out its duties. All medical and or rehabilitation records concerning the employee's drug abuse, including EAP records of the identity, diagnosis, prognosis, or treatment are confidential and may be disclosed only as authorized by 42 CFR Part 2, including the provision of written consent by the employee. With written consent, the patient may authorize the disclosure of those records to the patient's employer for verification of treatment or for a general evaluation of treatment progress. (42 CFR. §2.1 et seq. (1986), revised regulations promulgated at 52 FR 21796, June 9, 1987).

E. Maintenance of Records

 The [Agency] shall establish or amend a recordkeeping system to maintain the records of the [Agency's] Drug-Free Workplace Program consistent with the [Agency's] Privacy Act System of Records and with all applicable Federal laws, rules and regulations regarding confidentiality of records including the Privacy Act (5 U.S.C. §552a). If necessary, records may be maintained as required by subsequent administrative or judicial proceedings, or at the discretion of the [Agency head]. The recordkeeping system should capture sufficient documents to meet the operational and statistical needs of this order, and include:

 1. Notices of verified positive test results referred by the Medical Review Officer;

 2. Written materials justifying reasonable suspicion testing or evidence that an individual may have altered or tampered with a specimen;

 3. Anonymous statistical reports; and

 4. Other documents the Drug Program Coordinator, Medical Review Officer, or EAP Administrator deems necessary for efficient compliance with this order.

F. Records Maintained by Government Contractors

Any contractor hired to satisfy any part of this order shall comply with the confidentiality requirements of this order, and all applicable Federal laws, rules, regulations and guidelines.
 

G. Statistical Information

The Drug Program Coordinator shall collect and compile anonymous statistical data for reporting the number of--

 1. Random tests, reasonable suspicion tests, accident or unsafe practice tests, follow-up tests, or applicant tests administered;

 2. Verified positive test results;

 3. Voluntary drug counseling referrals;

 4. Involuntary drug counseling referrals;

 5. Terminations or denial of employment offers resulting from refusal to submit to testing;

 6. Terminations or denial of employment offers resulting from alteration of specimens;

 7. Terminations or denial of employment offers resulting from failure to complete a drug abuse counseling program; and

 8. Employees who successfully complete EAP.

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