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Drug and Alcohol Policy Requirements Checklist

(updated 04/2014)

Designated contact person, board adoption

❏ Identity of the person, office, branch or position designated by the employer to answer employee questions about the anti-drug and alcohol misuse prevention program
❏ Approval/adoption by the local governing board of the employer or operator, or other responsible individual with appropriate authority

Covered Employees

❏ Operation of a revenue service vehicle, in or out of revenue service
❏ Maintaining a revenue service vehicle or equipment used in revenue service
❏ Controlling dispatch/movement of a revenue service vehicle (determined by employer)
❏ Operation of a non-revenue vehicle requiring a CDL
❏ Volunteers:
  1. Must have CDL to drive vehicle, or
  2. Remunerated for service in excess of costs incurred
❏ Carrying a firearm for security purposes
*The policy must include a list of the actual positions/categories covered at your company

Prohibited Substances

❏ Marijuana
❏ Cocaine
❏ Amphetamines
❏ Opiates
❏ Phencyclidine
❏ Alcohol

Prohibited behavior

❏ Use of illegal drugs prohibited at all times
❏ Alcohol use prohibited 4 hours prior to performing safety-sensitive functions, while on call, and while performing safety-sensitive functions
❏ Alcohol use prohibited 8 hours after accident or until Post Accident test is performed
❏ Employees are prohibited from performing safety-sensitive functions while having an alcohol concentration of 0.04 or greater


❏ Negative test before 1st safety-sensitive duty, must be made up if canceled
❏ If out of safety-sensitive duty for 90+ days, and out of random testing pool, emp needs DOT pre-employment test with negative result prior to returning to covered duty
❏ Applicant who previously failed/refused a DOT test must show evidence of treatment
❏ If employer chooses to require alcohol test:
  1. pre- SS duty,
  2. all covered employees
  3. after offer of employment/transfer
  4. must follow Part 40 regulations
  5. BAC < 0.02


❏ Scientifically valid selection method
❏ Equal chance of selection on each draw
❏ No discretion on the part of management/supervisors
❏ Testing is conducted on all days and hours throughout the year
❏ Unannounced and immediate
❏ Alcohol testing only permissible just before/ during/just after actual performance of safety-sensitive functions


FTA Thresholds:
     ❏ Fatality
     ❏Medical treatment away from scene, unless driver discounted
     ❏Disabling damage, unless driver discounted
     ❏All other covered employees whose performance could have contributed to the accident
     ❏ Readily available (or considered a refusal to test)
     ❏ Readily available (testing is stayed while employee assists in resolution of the accident or receives medical attention following the accident)

Reasonable suspicion

❏ Trained supervisor
❏ Physical signs & symptoms, contemporaneous observation
❏ Alcohol testing only permissible just before/during/just after SS duty

Return-to-duty and Follow-up

❏ Conducted in accordance with Part 40, subpart O
❏ All tests conducted under direct observation
❏ Follow-up alcohol testing only permissible just before/ during/just after actual performance of safety-sensitive functions


❏ Policy states all FTA-required testing conducted in accordance w/ 49 CFR Part 40

Requirement to Submit

❏ All covered employees are required to submit to drug and alcohol tests as a condition of employment in accordance with 49 CFR Part 655

Period of Coverage

❏ Drug test - anytime on while on duty
❏ Alcohol test (random, reasonable suspicion, and follow-up) - Just before, during, or immediately after actual performance of safety-sensitive functions

Test Refusal

❏ Failure to remain until the testing process is complete
❏ Failure to attempt to provide a breath or urine specimen
❏ Failure to provide a sufficient quantity of urine or breath without a valid medical explanation
❏ Failure to undergo a medical evaluation as required by the MRO or DER
❏ Failure to cooperate with any part of the testing process
❏ Failure to permit an observed or monitored collection when required
❏ Failure to follow an observer's instructions to raise and lower clothing and turn around (observed)
❏ Possessing or wearing a prosthetic or other device used to tamper with the testing process
❏ Failure to take a second test when required
❏ Admitting the adulteration or substitution of a specimen to the collector or MRO
❏ MRO verified adulterated/substituted sample
❏ Refusal to sign Step 2 of alcohol test form
❏ Failing to appear within a reasonable time

*For pre-employment, NOT a refusal: Failure to appear, failure to remain at site prior to start of test, aborting collection before test commences


❏ Positive drug or alcohol (above 0.04) test result or test refusal (SAP Referral Required)
❏ BAC in range of 0.02 to 0.039 (remove employee from safety-sensitive position- apply transit system disciplinary policy if applicable; DOT SAP referral prohibited)
❏ Dilute negative: must have fixed policy to retest or not retest (though policy may differ between test types)

Additional Employer Provisions Allowed

❏ Policy delineates between FTA and company policy prohibitions, terms, etc.
❏ The provisions of the Drug Free Workplace Act of 1988 may be incorporated in the policy statement but must be so identified

Compliance Tips

❏ Effective date of policy-normally found on cover of policy
❏ Policy distribution -Employees should be requested to sign a confirmation of receipt form
❏ Make sure future revisions of a substantive nature also receive Board approval
❏ Make sure all employees have the most current version of the policy
❏ Clearly differentiate between FTA and company authority
Updated: Thursday, April 7, 2016
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