1

Best Practices

FTA Drug and Alcohol Testing Program

October 2009 

Mandatory Direct Observation Collections for Return-to-Duty 

and Follow-Up Testing 

On July 30, 2009, the Office of Drug and Alcohol Policy and Compliance (ODAPC) published a Final Rule

in the Federal Register, that restores mandatory direct observation collections for all return-to-duty and 

follow-up testing. This direct observation rule is to be applied to all return-to-duty, safety-sensitive 

transportation industry employees who have already failed or refused to take a prior drug test. 

Mandatory direct observation for return-to-duty and follow-up testing is to begin on August 31, 2009. All 

employees who undergo return-to-duty and follow-up tests on and after the effective date must have their 

collections observed by testing personnel. This includes employees currently in follow-up testing programs 

who will still be in those programs on and after August 31, 2009. 

The Final Rule on direct observations may be found on the Federal Register website at: 

http://edocket.access.gpo.gov/2009/pdf/E9-18156.pdf 

As a result of this latest mandate, the following sections of the Best Practices Manual have been updated to 

reflect this testing requirement. 

• Section 2.8 – Return-to-Duty and Follow-Up Testing 

• Section 5.1 – Managing the Referral, Evaluation, and Treatment Process 

• Appendix D, Figure D-5. Collection Site Checklist (Sheet 3) Observed Collections 

Updated Example Policies

In January 2009, 12 updated drug and alcohol example policies were added to the Best Practices Manual: FTA 

Drug and Alcohol Testing Program binder. These policies were reviewed and determined to be compliant with 

49 CFR Parts 40 and 655. These updated polices replace the original example polices that were first 

published with the Best Practices Manual in March 2002, and are intended for employers who wish to 

develop their own internal drug and alcohol policies or oversee the work performed by consultants. The 

updated policies that are provided in Appendix A. Example Policies, are as follows: 

(1) Large Transit System–MARTA

(2) Rural Paratransit Contractor–Drug-Free Workplace–Lift, Incorporated

(3) Medium Transit System–Knoxville Area Transit

(4) Large Transit System–Zero Tolerance–Houston Metro

(5) Small Transit System–Clermont County

(6) City Government–FTA and FMCSA–City of Charlottesville

(7) Small Transit System–Athens–Clarke County

(8) Large Transit System–San Diego Transit Corporation
2

(9) State DOT–Statewide Policy–Ohio DOT

(10) With Second Chance (template policy)

(11) No Second Chance (template policy)

(12) FTA and FMCSA (template policy)

The text of the enclosed removable booklet remains unchanged and it still references the original example 

polices from the 2002 printing of this manual. Readers should disregard those referenced policies as they are 

not provided in this revision. Those interested in the original example polices can access them on the FTA 

Office of Safety and Security, Drug and Alcohol Publications Web site at: http://transitsafety.volpe.dot.gov/Publications/order/default.asp. The booklet will be updated at a later time. 

For additional information on current U.S. Department of Transportation and Federal Transit 

Administration drug and alcohol regulations, please refer to the FTA Office of Safety and Security Web site 

at: http://transit-safety.volpe.dot.gov (click Drug & Alcohol). The Office of the Secretary’s Office of Drug 

and Alcohol Policy and Compliance (ODAPC) Web site provides information and interpretations on drug 

and alcohol polices and regulations, including 49 CFR Part 40. The ODAPC site can be accessed at: 

http://www.dot.gov/ost/dapc/index.html. 
U.S. Department

of Transportation

Federal Transit

Administration

Revised October 2009

Best Practices Manual: FTA Drug

and Alcohol Testing Program

Office of Safety and Security
Notice 

This document is disseminated under the sponsorship 

of the Department of Transportation in the interest of 

information exchange. The United States Government 

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1. AGENCY USE ONLY (Leave blank) 2. REPORT DATE 

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Final Report 

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4. TITLE AND SUBTITLE 

Best Practices Manual: FTA Drug and Alcohol Testing Program 

5. FUNDING NUMBERS 

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6. AUTHOR(S) 

Robert L. Gaumer 

7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 

EG&G Technical Services * 

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U.S. Department of Transportation 

Federal Transit Administration 

Office of Safety and Security 

Washington, DC 20590 

10. SPONSORING/MONITORING 

AGENCY REPORT NUMBER 

FTA-MA-90-5005-02-1 

11. SUPPLEMENTARY NOTES 

*Under contract to: 

U.S. Department of Transportation 

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12a. DISTRIBUTION/AVAILABILITY STATEMENT 

This document is available to the public through the National Technical Information Service, 

Springfield, Virginia 22161. 

12b. DISTRIBUTION CODE 

13. ABSTRACT (Maximum 200 words) 

This document is part of a two-volume set prepared under the Federal Transit Administration’s (FTA) General Technical Assistance Program, to 

provide guidance to the recipients of FTA funding that are required to test their safety-sensitive employees for drug use and alcohol misuse. 

This volume discusses “best practices” used by employers to establish and maintain a compliant testing program. The other volume, 

Implementation Guidelines for Drug and Alcohol Regulations in Mass Transit, explains the regulatory requirements, which were revised in 

2001. 

The best practices discussed here were identified during 5 years of FTA-sponsored audits of existing programs. They are responses to the 

requirements that allow for flexibility in how to comply, i.e., areas where employers have to choose between different options and areas where 

they may want to exceed the minimum FTA requirements. This document identifies the areas where choices are required, the issues involved in 

making those choices, and “real world” examples of choices made. The discussions are organized according to the four required elements of an 

FTA anti-drug use and alcohol misuse program: (1) a program policy statement, (2) an education and training program, (3) a testing program, 

and (4) a procedure for referring policy violators to a substance abuse professional. 

14. SUBJECT TERMS 

Drugs and alcohol, drug and alcohol testing, best practices, public transit, safety, accidents, Federal Transit 

Administration, FTA, regulations. 

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328 

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1 inch (in) = 2.5 centimeters (cm) 1 millimeter (mm) = 0.04 inch (in) 

1 foot (ft) = 30 centimeters (cm) 1 centimeter (cm) = 0.4 inch (in) 

1 yard (yd) = 0.9 meter (m) 1 meter (m) = 3.3 feet (ft) 

1 mile (mi) = 1.6 kilometers (km) 1 meter (m) = 1.1 yards (yd) 

1 kilometer (km) = 0.6 mile (mi) 

AREA (APPROXIMATE) AREA (APPROXIMATE) 

1 square inch (sq in, in2) = 6.5 square centimeters 

(cm2

) 

1 square centimeter (cm2

) = 0.16 square inch (sq in, in2) 

1 square foot (sq ft, ft2) = 0.09 2) 1 square meter (m2) = 1.2 square yards (sq yd, 

yd2

) 

1 square yard (sq yd, yd2) = 0.8 square meter (m2) 1 square kilometer (km2) = 0.4 square mile (sq mi, mi2) 

1 square mile (sq mi, mi2) = 2.6 square kilometers 

(km2

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1 pound (lb) = 0.45 kilogram (kg) 1 kilogram (kg) = 2.2 pounds (lb) 

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(lb) 

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= 

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VOLUME (APPROXIMATE) VOLUME (APPROXIMATE) 

1 teaspoon (tsp) = 5 milliliters (ml) 1 milliliter (ml) = 0.03 fluid ounce (fl oz) 

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1 fluid ounce (fl oz) = 30 milliliters (ml) 1 liter (l) = 1.06 quarts (qt) 

1 cup (c) = 0.24 liter (l) 1 liter (l) = 0.26 gallon (gal) 

1 pint (pt) = 0.47 liter (l) 

1 quart (qt) = 0.96 liter (l) 

1 gallon (gal) = 3.8 liters (l) 

1 cubic foot (cu ft, ft3) = 0.03 cubic meter (m3) 1 cubic meter (m3) = 36 cubic feet (cu ft, ft3) 

1 cubic yard (cu yd, yd3) = 0.76 cubic meter (m3) 1 cubic meter (m3) = 1.3 cubic yards (cu yd, yd3) 

TEMPERATURE (EXACT) TEMPERATURE (EXACT) 

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For more exact and or other conversion factors, see NIST Miscellaneous Publication 286, Units of Weights and Measures. Price $2.50 

SD Catalog No. C13 10286 Updated 6/17/98 
BEST PRACTICES 

FTA Drug and Alcohol Testing Program 

Preface 

In 1995, the Federal Transit Administration (FTA) established an on-site audit 

program to monitor compliance with the drug and alcohol testing regulations 

enacted by the U.S. Department of Transportation in 49 CFR Part 40, 

Procedures for Transportation Workplace Drug and Alcohol Testing Programs, 

and by FTA in 49 CFR Part 653, Prevention of Prohibited Drug Use in Transit

Operations, and 49 CFR Part 654, Prevention of Alcohol Misuse in Transit

Operations. The many audits conducted under this program have revealed 

efficient and effective methods used by recipients of FTA funding to comply 

with the many areas of flexibility in those regulations. These methods are 

referred to as “best practices.” 

This document discusses the issues that employers should address when 

deciding how to comply with and whether to exceed the DOT/FTA

requirements, and provides best practice examples (identified during the 

audits) of decisions made by the audited entities. The examples are responses 

to the various regulatory requirements. Also included are multiple responses 

to the same requirements to show different approaches used by different types 

of employers. Because the workforces and operating environments of FTA 

funding recipients vary widely in some respects, the material in every example 

will probably not be applicable to every entity, and in some cases none of the 

examples may be applicable word-for-word. 

This Best Practices manual assumes that the reader understands the 

regulatory requirements, which are explained in Implementation Guidelines for

Drug and Alcohol Regulations in Mass Transit. The Implementation Guidelines

document updates the document published under the same title in April 1994 

(FTA-OH-26-001-94-1). The revised Implementation Guidelines summarize and 

interpret the revised 49 CFR Part 40 issued in December 2000 and the revised 

FTA regulations, issued in August 2001 in 49 CFR Part 655, Prevention of

Alcohol Misuse and Drug Use in Transit. 

All of the examples in this manual were audited and judged to be compliant 

with Part 40 before it was recently revised and with Parts 653 and 654. Each 

of the example policy statements (contained in Appendix A, and discussed and 

referenced in Chapter 2) have been updated to address the revised Part 40 and 

Part 655, but no policies have been audited for compliance with the revised 

Part 40 and Part 655. The other best practice examples have been adjusted by 

the author to reflect the revisions in Parts 40 and 655. 

This manual will be posted on the FTA Office of Safety and Security website: http://transitsafety.volpe.dot.gov, and will be updated periodically. The web posting will probably be 

updated more often than the printed document.

 Page iii
BEST PRACTICES 

FTA Drug and Alcohol Testing Program 

Acknowledgements 

The author wishes to thank Mark Snider of the Federal Transit Administration 

(FTA) Office of Safety and Security for his guidance and direction in preparing 

this manual. The author also thanks James Harrison of the Volpe National 

Transportation Systems Center for his direction and coordination of the various 

resources required for this project. Special appreciation is given to Robbie 

Sarles and Jeff Halstead of RLS & Associates for their invaluable assistance in 

providing information and best practice examples, for providing contacts for 

additional examples, and for reviewing the draft text and appendices. Rodney 

Sams of ICF Consulting and Leila Procopio-Makuh of LPM and Associates also 

provided information and best practice examples. John Morrison of Ketron 

reviewed the technical accuracy of the text and policy examples. Appreciation 

is given to the many transit agencies and state departments of transportation 

that contributed examples of their practices. These include: 

• Broward County (Florida) Transit 

• City of Albuquerque, Transit Department 

• Denver Regional Transit District 

• Des Moines Metropolitan Transportation Authority 

• Government of the Virgin Islands 

• Greater Cleveland Regional Transit Authority (GCRTA) 

• Hartford (Connecticut) Regional Transit District 

• Long Beach (California) Transit 

• Los Angeles County Metropolitan Transportation Authority (LACMTA)

• Massachusetts Bay Transportation Authority (MBTA) 

• Rhode Island Public Transit Authority (RIPTA) 

• San Francisco Bay Area Rapid Transit (BART) District 

• Southeastern Pennsylvania Transportation Authority (SEPTA) 

• Southwestern Ohio Regional Transit Authority (SORTA)/Cincinnati Metro 

• SuTran Transit System, Sioux Falls, South Dakota 

• Tri-County Metropolitan Transit District, Oregon/Tri-Met 

• Washington Metropolitan Area Transportation Authority (WMATA) 

• Western Maine Transportation Services 

• Florida Department of Transportation 

• Georgia Department of Transportation 

• Minnesota Department of Transportation 

• Ohio Department of Transportation 

• West Virginia Department of Transportation, Division of Public Transit

The author also thanks Nathan Grace of EG&G Technical Services for assisting 

with the review process and coordinating the production of this manual. 

 Page iv
BEST PRACTICES 

FTA Drug and Alcohol Testing Program 

Table of Contents 

Page

Preface.................................................................................................................... iii 

Acknowledgements ................................................................................................. iv 

List of Figures.......................................................................................................... vii 

1. Introduction ....................................................................................................... 1-1 

1.1 Background................................................................................................ 1-1 

1.2 Scope of Best Practices ............................................................................ 1-2 

1.3 Organization of Best Practices Information................................................ 1-3 

2. Program Policy Statement.................................................................................. 2-1 

2.1 FTA Test Requirement................................................................................ 2-4 

2.2 Optional Provisions ..................................................................................... 2-4 

2.3 Applicability ............................................................................................. 2-5 

2.4 Prohibited Behavior..................................................................................... 2-6 

2.5 Testing Circumstances ............................................................................... 2-7 

 Pre-Employment Testing ............................................................................ 2-7 

 Reasonable Suspicion Testing.................................................................... 2-8 

 Post-Accident Testing ................................................................................. 2-8 

 Random Testing.......................................................................................... 2-9

2.6 Testing Methodology and Integrity.............................................................. 2-9 

2.7 Refusal Behavior and Consequences ........................................................ 2-10 

2.8 Consequences of Drug Use and Alcohol Misuse........................................ 2-10 

 Return-to-Duty and Follow-Up Testing ....................................................... 2-12 

2.9 Designated Contact Person ........................................................................ 2-12 

3. Education and Training ..................................................................................... 3-1 

3.1 Education.................................................................................................... 3-1 

3.2 Training....................................................................................................... 3-2 

 Training for Safety-Sensitive Employees .................................................... 3-4 

 Training for Determining Reasonable Suspicion of Drug and Alcohol Abuse 3-6 

4. Testing Program Implementation and Management........................................... 4-1 

4.1 Internal Administration ................................................................................ 4-2 

 General Administrative Duties..................................................................... 4-2 

 Pre-Employment Testing ............................................................................ 4-3 

 Reasonable Suspicion Testing.................................................................... 4-4 

 Post-Accident Testing ................................................................................. 4-5 

 Random Testing.......................................................................................... 4-6

4.2 External Administration ............................................................................... 4-7 

 Procurement of Service Agents ................................................................... 4-8 

 Oversight of Service Agents and Contractors/Subrecipients ....................... 4-9 

 Page v
BEST PRACTICES 

FTA Drug and Alcohol Testing Program 

4.3 Specimen Collection and Analysis .............................................................. 4-10 

 Collection Procedures ................................................................................. 4-10 

 Collection Facilities ...................................................................................... 4-11 

Monitoring of Collection and Analysis Operations ........................................ 4-14 

Selection of Collection and Analysis Service Agents ................................... 4-16 

4.4 Medical Review ........................................................................................... 4-17 

 Managing the Medical Review Process....................................................... 4-17 

 Selection of Medical Review Officers .......................................................... 4-18 

 Monitoring Performance of Medical Review Officers ................................... 4-19 

4.5 Records Management.................................................................................. 4-19 

 Record Keeping Methods ............................................................................ 4-20 

 Records Security and Access Control ......................................................... 4-20 

5. Referral, Evaluation, and Treatment .................................................................. 5-1 

 5.1 Managing the Referral, Evaluation, and Treatment Process ....................... 5-1 

 5.2 Selection of Substance Abuse Professionals ............................................ 5-3 

 5.3 Monitoring Performance of Substance Abuse Professionals....................... 5-3 

Appendix A. Example Policies................................................................................ A-1 

Appendix B. Example Administrative Forms and Lists ........................................... B-1 

Appendix C. Example Oversight Forms and Lists .................................................. C-1 

Appendix D. Example Specimen Collection Forms and Lists................................. D-1 

Appendix E. Example Medical Review Forms and Lists......................................... E-1 

Appendix F. Example Substance Abuse Referral Forms ...................................... F-1

 Page vi
BEST PRACTICES 

FTA Drug and Alcohol Testing Program 

 Page vii

List of Figures 

 

Figure Page

4-1 Typical Rest Room as Collection Site ........................................................... 4-11 

4-2 Collector in Rest Room with Donor ............................................................... 4-12 

4-3 Side View of Collection Van.......................................................................... 4-13 

4-4 Rear View of Collection Van ......................................................................... 4-13 

4-5 Rear Step of Collection Van.......................................................................... 4-13 

4-6 Interior of Collection Van............................................................................... 4-14 

4-7 Toilet in Enclosure in Collection Van............................................................. 4-14 

4-8 Sink in Collection Van .............................................................................. .... 4-14 

BEST PRACTICES 

FTA Drug and Alcohol Testing Program

1. Introduction 

This Best Practices manual discusses issues in the US Department of 

Transportation’s (US DOT) and Federal Transit Administration’s (FTA) drug and 

alcohol testing regulations where employers have to make decisions on how to 

comply with the requirements, and provides “real world” examples of choices 

made. This manual and Implementation Guidelines for Drug and Alcohol 

Regulations in Mass Transit are being issued as a two-volume set under the 

FTA’s General Technical Assistance Program, to provide guidance to the FTA 

grantees that are required to test their safety-sensitive employees for drug use 

and alcohol misuse. The Best Practices manual assumes that the reader 

understands the regulatory requirements, which are explained in the 

Implementation Guidelines. 

1.1 Background 

In 1991, in response to growing concerns about the risks posed by the use of 

drugs and misuse of alcohol by transportation industry employees while 

performing safety-sensitive functions, Congress passed The Omnibus 

Transportation Employee Testing Act, which mandated all agencies of US DOT

to implement a drug and alcohol testing program. In 1994, US DOT published 

the minimum uniform requirements for the programs of all the modal 

administrations, in 49 CFR Part 40, Procedures for Transportation Workplace 

Drug and Alcohol Testing Programs. 

Also in 1994, FTA published requirements for certain recipients of FTA 

financial assistance, in 49 CFR Part 653, Prevention of Prohibited Drug Use in 

Transit Operations, and 49 CFR Part 654, Prevention of Alcohol Misuse in

Transit Operations. The FTA regulations were consistent with the provisions of 

Part 40. They were designed to provide the maximum level of safety to 

passengers using public transit services across the country, the employees of 

such providers, and others who may share the roadway with transit vehicles; to 

protect civil rights; and to minimize liability in all locations. 

Shortly after the FTA regulations were implemented, FTA initiated a program to 

monitor compliance. Monitoring consists of review of annual reports submitted 

by the grantees, as required by the regulations, and on-site audits of the 

grantees’ drug and alcohol testing programs. The number of transit accidents 

per passenger mile involving operators, dispatchers, and others who control the 

movement of vehicles has decreased since the program was initiated. 

In 2000, US DOT revised Part 40, to clarify the organization and language, to 

incorporate guidance and interpretations, and to respond to changes in 

Chapter 1. Introduction Page 1-1
BEST PRACTICES 

FTA Drug and Alcohol Testing Program

technology and the testing industry. The amended Part 40 was published in 

the Federal Register in December 2000. 

Accordingly, the FTA regulations were revised to conform with the amended 

Part 40. The revised FTA drug and alcohol regulations were combined in a 

single rule: 49 CFR Part 655, Prevention of Alcohol Misuse and Drug Use in 

Transit. The revised rule also incorporates comments from the FTA grantees 

and guidance that FTA has issued in the past several years, including technical 

assistance, letters of interpretation, audit findings, newsletters, training 

classes, safety seminars, and public speaking engagements. 

1.2 Scope of Best Practices 

Although some of the FTA testing requirements are rigid and prescriptive with 

straight forward responses, many of the requirements have no single response 

that would be correct for all grantees. There are areas of flexibility requiring 

decisions on how to comply. Part 655 also allows employers to exceed its 

minimum requirements. 

This document discusses the issues that employers should factor into their 

decisions of how to comply with and whether to exceed the FTA requirements. 

It also provides the numerous “best practices” identified during the many onsite audits conducted over the past several years. “Best Practices” are efficient 

and effective methods used by grantees to comply with the requirements. 

The practices in this document include policy statements, forms and 

checklists, and narrative descriptions of approaches actually used by grantees. 

In some cases, multiple examples for addressing the same issue or requirement 

are given to show different solutions for different types of transit systems or 

operating scenarios, or just to offer the grantees choices for achieving the same 

result. Though the audit teams have found the grantees to be very similar in 

general, they have found them to be very different in specifics. Therefore, the 

material in every example will probably not be applicable to every entity, and in 

some cases none of the examples may be applicable word-for-word. 

The companion to this document, Implementation Guidelines for Drug and

Alcohol Regulations in Mass Transit, updates the document published under 

the same title in April 1994 (FTA-OH-26-001-94-1). The revised Implementation

Guidelines summarize and interpret Part 655. The Implementation Guidelines

and the Best Practices are intended to be used together; each document 

provides numerous cross-references to the other document. The 

Implementation Guidelines tell the reader what the requirements are, and the 

Best Practices tell how to comply with them.

Chapter 1. Introduction Page 1-2
BEST PRACTICES 

FTA Drug and Alcohol Testing Program

1.3 Organization of Best Practices Information

This manual is designed for easy reference for specific issues or requirements, 

and it refers readers to the Implementation Guidelines for explanation of the 

requirements. 

The many best practice examples in this manual appear in six appendices, and are 

referenced and discussed in the text. The text is bound separately so it can be removed 

from the binder for ease of use when referring to the examples. The separately bound text 

can also be readily carried or stored in a pocket or briefcase for use as a portable reference. 

Chapters 2 through 5 address the four required elements of a drug and alcohol 

testing program specified in Part 655.12. Chapter 2 addresses the program 

policy statement requirements and cites examples from compliant1 policies; it 

is subdivided according to the many content areas specified in Part 655.15. 

Chapter 3 describes the types of education and training programs that have 

been implemented to satisfy the requirements in Part 655.14, and summarizes 

lengthy full-text examples that will be provided on the FTA Office of Safety and 

Security website: http://transit-safety.volpe.dot.gov. Chapter 4 provides best 

practice discussions and cites many examples for implementing and managing 

a drug and alcohol testing program; it is subdivided by program functions--

internal administration (the employer’s own program), external administration 

(the program of the employer’s contractors, subrecipients, and service agents), 

specimen collection and analysis, medical review, and records management. 

Chapter 5 addresses referral, treatment, and evaluation of employees who 

produce positive drug or alcohol test results, including procuring and 

monitoring substance abuse professionals (SAPs). 

Appendix A contains the full-text example policies discussed in Chapter 2. 

Appendix B contains the example administrative forms and lists discussed in 

Section 4.1. Appendix C contains the example oversight forms and lists 

discussed in Section 4.2. Appendix D contains the example specimen 

collection forms and lists discussed in Section 4.3. Appendix E contains the 

example medical review forms and lists discussed in Section 4.4. Appendix F 

contains the example substance abuse referral forms discussed in Chapter 5. 

 

http://transitsafety.volpe.dot.govThis manual will be posted on the FTA Office of Safety and Security website: 

, and will be updated periodically. The web posting will probably be 

updated more often than the printed document. 

1 Each of the example policies cited in Chapter 2 (and presented in Appendix A) was audited and judged 

to be compliant with Part 40 before it was recently revised and with Parts 653 and 654, and each of them 

has been updated to address the revised Part 40 and Part 655. However, no policies have been audited 

for compliance with the revised Part 40 and Part 655. 

Chapter 1. Introduction Page 1-3

Best Practices 

FTA Drug and Alcohol Testing Program 

2. Program Policy Statement 

As mentioned in the Implementation Guidelines (in Chapter 4), FTA requires 

each employer to establish a policy that defines its Drug and Alcohol Testing 

Program, and requires the entity’s governing body to formally adopt the policy. 

An entity’s governing body is the board of directors or highest ranking officials. 

The person who is primarily responsible for implementing and managing the 

program usually guides development of the initial draft of the policy, and 

presents it to the governing body for review and approval. It is generally useful 

to involve top management officials, union officials (if the employees are 

represented), and local legal counsel in reviews of the draft policy. 

To show proof of governing board adoption, some entities include a header on 

their entire document that contains the policy number, adoption date, and 

appropriate signature. Other common methods include a page documenting 

meeting minutes, or a formal adoption page complete with signatures. Another 

method is to include it as an appendix.

Although policies must be changed, readopted, and redistributed to reflect 

significant regulatory revisions, policy readoption is not necessary for minor 

regulatory changes or minor changes in the policy statement, such as the 

name of the entity’s new Drug and Alcohol Program Manager, Medical Review 

Officer (MRO), Substance Abuse Professional (SAP), collection site, or testing 

laboratory. Such changes are often included in an appendix and described in a 

form distributed to safety-sensitive employees. Moreover, these types of 

changes can often be avoided by adding the words “or successor” after the 

names of specific persons and organizations. 

Some employers use their own staff to develop the policy. Others contract with 

an outside expert or company. Both approaches have been successful. Peer 

systems can share their policies, but they should read the shared language 

carefully to make sure it meets the specific needs of their system. The key to a 

successful policy is that it be clear to the employees and clear to the attorneys 

and auditors. Clearly stated policies that focus on specifics tend to have the 

fewest legal challenges. 

Use of a consultant may be preferable if the entity lacks the appropriate 

internal resources and if consultants are available who are extremely familiar 

with the FTA regulations and fully understand the local situation. The 

experience of prospective consultants should be examined carefully before they 

are hired. The audit teams have found a broad range in the quality of policies 

developed by consultants. Even some of the large consulting companies 

providing transportation safety support do not seem to be fully aware of the 

Chapter 2. Program Policy Statement Page 2-1
Best Practices 

FTA Drug and Alcohol Testing Program 

FTA regulations. Some of them assume that Federal Motor Carrier Safety 

Administration (FMCSA) testing requirements are the same as those for FTA. 

Appendix A contains six example policies for entities that wish to develop their 

policy internally or oversee the work of consultants: 

(1) Southwestern Ohio Regional Transit Authority/Cincinnati Metro 

(2) Long Beach Transit (California) 

(3) Tri-County Metropolitan Transit District/Tri-Met (Portland, Oregon) 

(4) Des Moines Metropolitan Transit Authority (Iowa) 

(5) Ohio Department of Transportation 

(6) Georgia Department of Transportation 

Each of these policies was audited and judged to be compliant with Part 40 before 

it was recently revised and with Parts 653 and 654, and each of them has been 

updated to address the revised Part 40 and Part 655. However, no policies have 

been audited for compliance with the revised Part 40 and Part 655. 

The Cincinnati Metro and Long Beach Transit Policies in Appendix A have not

been formally approved by their governing boards since they were revised. 

These six policies were chosen to provide a broad cross section of different 

types of grantees. Cincinnati Metro and Long Beach Transit are large bus 

systems. Tri-Met is a large bus and light rail system. The Des Moines 

Metropolitan Transit Authority (MTA) is a medium-size bus system. The Ohio 

Department of Transportation (DOT) and Georgia DOT each issue a model 

policy to all their subrecipients (almost all of which are small transit operators 

and most of them rural), and strongly encourage its use. 

The Cincinnati Metro and Long Beach Transit Policies are zero tolerance for 

testing positive. The Ohio DOT Policy permits the subrecipient to specify zero 

tolerance or a second chance. The Des Moines MTA Policy is zero tolerance for 

testing positive on all tests except random, but it specifies a second chance for 

a random positive. The Tri-Met and Georgia DOT Policies permit a second 

chance but do not guarantee it. 

The Long Beach Transit Policy is configured differently than the others. It is 

packaged as a booklet that employers and supervisors can readily carry with 

them. It begins with a 22-point summary of the policy, divided into three 

areas: illegal drug policy, FTA drug policy, and alcohol policy. The summary is 

followed by “guidelines” for administering the policy. 

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Point-by-point discussions of the minimum policy-content requirements in Part 

655.15 with specific references to the examples in Appendix A are provided in 

the remainder of this chapter. These discussions are organized in subsections 

that generally correspond with the requirements, though the order has been 

changed to reflect the needs and preferences of the grantees and employers: 

(1) FTA Test Requirement - The requirement that safety-sensitive 

employees must submit to drug and alcohol testing administered in 

accordance with Part 655 

(2) Optional Provisions - Employer-implemented requirements of the drug 

and alcohol program that exceed the minimum requirements in Parts 40 

and 655 

(3) Applicability - The categories of employees subject to the regulations 

(4) Prohibited Behavior – Specific information concerning the conduct that 

is prohibited by Part 655 

(5) Testing Circumstances - The specific circumstances under which 

safety-sensitive employees will be tested for alcohol and prohibited drugs 

(6) Drug and Alcohol Testing Methodology and Integrity - The procedures 

used to test for the presence of drugs and alcohol, to protect the 

employee and the integrity of the testing process, to safeguard the 

validity of the test results, and to ensure that the test results are 

attributed to the correct employee (A statement that the employer will 

follow all the requirements in 49 CFR Part 40 will suffice.) 

(7) Refusal Behavior and Consequences - A description of the behavior that 

constitutes a refusal to take a drug or alcohol test and a statement that 

refusal constitutes a violation of the employer’s policy 

 (8) Consequences of a Drug or Alcohol Positive - The consequences for an 

employee who has a verified positive drug test, has a verified alcohol 

concentration of 0.04 or greater, or refuses to submit to a drug or alcohol 

test (including mandatory requirements of immediate removal from the 

safety-sensitive function and evaluation by a SAP), and the consequences 

(as set forth in Part 655.35) for an employee who has a verified alcohol 

concentration of 0.02 or greater but less than 0.04

 (9) Designated Contact Person - The identity of the person designated by the 

employer to answer employee questions about the drug and alcohol program 

Many policies combine these categories and include additional categories. 

Training and education often appear in policy statements, though not required by 

Part 655.15. The Tri-Met Policy (in Section L), the Ohio DOT Policy (in Section D), 

and the Long Beach Transit Guidelines (in Section V) include a section on 

education and training. The Cincinnati Metro Policy (in Part III Section 9.0) and 

the Georgia DOT Policy (in Section 9.0) include a section on training.

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2.1 FTA Test Requirement 

A statement that covered employees must submit to drug and alcohol testing 

administered in accordance with Part 655 often appears near the beginning of 

the policy and in conjunction with the list of DOT prohibited substances, as in 

the Ohio DOT Policy where it appears as a subpoint under prohibited 

substances (in Section E). Cincinnati Metro covers this requirement under 

policy (in Part III Section 2.0) immediately before the prohibited substances 

section. Both the Des Moines MTA and Georgia DOT Policies cover the 

requirement in the purpose (in Section 2.0) shortly before the prohibited 

substances section. The statement appears (in Section J) farther from the 

prohibited substances discussion (Section D) in the Tri-Met Policy. Long Beach 

Transit covers this requirement in several different areas (in Items 12 through 

15 of its policy summary and the introduction to the guidelines). 

2.2 Optional Provisions

Employers rarely include optional provisions as a separate section of the policy 

text. Optional provisions are normally mentioned and identified as additional 

in the sections where they logically belong. This is the method used in all of 

the example policies in Appendix A. Some employers use underlines, italics, or 

bold to distinguish between DOT/FTA (i.e., Parts 40 and 655) and nonDOT/FTA testing requirements. The Cincinnati Metro, Long Beach Transit, 

and Georgia DOT Policies present the DOT/FTA requirements in bold. The Long 

Beach Transit and Georgia DOT Policies also italicize the requirements of the 

Drug-Free Workplace Act of 1988 (49 CFR Part 29). The Ohio DOT Policy uses 

standard typeface for the DOT/FTA requirements and uses underlines for the 

transit agency’s requirements. 

Some employers use a testing notification letter that explicitly informs 

employees of the authority under which they will be tested. In addition to 

being clearly differentiated from DOT/FTA requirements, optional provisions 

should be clearly stated to minimize the likelihood that they will be contested. 

Additional requirements often include prohibition and testing of additional 

substances, employee assistance programs, and rehabilitation options. Most 

policies prohibit all controlled substances. Some refer to substances prohibited 

by the Drug Free Workplace Act of 1988. Some employers provide for testing of 

other substances, e.g., ecstasy, barbiturates, non-barbiturate sedatives 

(methaqualone), benzodiazipines (Valium, Librium, Xanax), non-amphetamine 

stimulants, and LSD. LSD is the most difficult and expensive drug to identify 

forensically. Any additional substances must be listed in the policy if an 

employer intends to test for them. The Tri-Met Policy (in Section J1a) requires 

applicants for safety-sensitive positions to provide a second urine specimen for 

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testing of barbiturates, benzodiozepenes, methadone, and propoxyphene. In 

the Des Moines MTA Policy (in Section 6.0), the MTA “reserves the right” to test, 

under its own authority, for any drugs that an employee is reasonably 

suspected of abusing. 

2.3 Applicability

Each position title that includes safety-sensitive duties should be listed in the 

policy regardless of the percentage of the position’s duties that are safety 

sensitive. The policy should also state that all employees and their duties have 

been reviewed. Including the names of all employees subject to testing is the 

clearest method, though possibly not practical in organizations with more than 

a few employees. 

Because 85 percent of all court cases related to drug and alcohol testing in the 

transit industry involve whether the employee testing positive was subject to 

the testing requirement and why, employers should review all duties and 

potential duties of each job title and employee. Front-line operations and 

safety supervisors usually perform safety-sensitive duties. Other managers/ 

supervisors (e.g., general manager, road supervisor, safety officer, and 

operations manager) are sometimes considered to be safety-sensitive because 

they may operate a vehicle. These employees are most likely to operate a 

vehicle (or perform dispatching duties) at small transit operations that have few 

employees, where it is often necessary for managers/supervisors to have a 

broad range of duties, perform multiple roles, or be available to substitute for 

safety-sensitive employees. Positions that people do not usually think of as 

being safety-sensitive, such as bus washers, must also be reviewed carefully 

because the employee may be required to move revenue service vehicles. 

The most complicated position to identify as safety-sensitive is dispatcher 

because the functions vary from agency to agency. According to the FTA 

definition of safety sensitive, a dispatcher controls movement of vehicles, and 

in most rail operations and large bus operations this is perfectly clear. 

However, in many paratransit operations, a dispatcher is merely the person 

who receives and relays transportation requests or makes schedules. Many of 

these employers (which are often in rural and small areas) have few appropriate 

candidates for this position who are willing to be tested. The difficulty is these 

employees may occasionally be asked to instruct the drivers on routes to 

destinations. 

Employers have stated their applicability policy in a number of ways. Large 

employers with many positions often use an appendix, attachment, or exhibit to 

list all safety-sensitive position titles, as in the Cincinnati Metro, Long Beach 

Transit, and Tri-Met Policies. The Ohio DOT and Georgia DOT Policies, though 

they are intended for small employers, recommend listing the positions in an 

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attachment. These positions are listed at the end of the Des Moines MTA Policy, 

following the section on contact persons, but the list is not labeled as an 

appendix, attachment, or exhibit. Tri-Met also includes the position codes in its 

list. 

Some policies expand applicability beyond the DOT/FTA requirements. 

Cincinnati Metro, Long Beach Transit, Tri-Met, and Des Moines MTA require all 

their employees (and applicants) to be tested under the agency’s authority for 

all categories except random. The requirement that non-safety-sensitive 

employees are also subject to the policy appears near the beginning of the 

policies (in Part III Section 1.0 of the Cincinnati Metro Policy, in Section III of 

the Long Beach Transit Guidelines, in Section B of the Tri-Met Policy, and in 

Section 3.0 of the Des Moines MTA Policy). The exception for random testing in 

the Tri-Met Policy appears in Section J1d. The exception for random testing in 

the Des Moines MTA Policy appears in Section 6.0, which also includes an 

exception for follow-up and return-to-duty testing. 

2.4 Prohibited Behavior 

The policy should specify behavior prohibited by the employer, including use, 

manufacture, distribution, dispensing, and possession of controlled 

substances. Possession and use of alcohol on the premises should also be 

addressed. Most employers use a separate section for prohibited behavior (or 

conduct), as in the Tri-Met, Des Moines MTA, Ohio DOT, and Georgia DOT

Policies (in Sections E, 5, F, and 5, respectively). Cincinnati Metro, however, 

addresses this requirement by reprinting the Drug-Free Workplace Act of 1988 

in its policy (in Part II). Long Beach Transit cites the prohibited behavior 

requirements of the Drug-Free Workplace Act for drugs and for alcohol in Items 

10 and 21, respectively, of its policy summary. 

Another issue to be addressed is use and notification of prescription and overthe-counter drugs. The policy should state that ingestion of controlled 

substances is prohibited regardless of the source. A procedure for employees 

to report use of all prescription and over-the-counter drugs and assignment of 

responsibility for reviewing the reports may be helpful. The Cincinnati Metro 

Policy addresses use of prescription and over-the-counter drugs under 

consequences (in Part IV, Section 11.0). Long Beach Transit requires (in Item 9 

of its policy summary) employees who take any prescribed medication that 

could affect their job performance to notify the agency in advance. The Tri-Met 

Policy requires reporting the use of any legal drugs that may impair 

performance (in Section H), and mentions use of prescription and over-thecounter drugs under prohibited substances and prohibited behavior (in 

Sections D and E). The Des Moines MTA, Georgia DOT, and Ohio DOT Policies 

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address use of legal drugs under prohibited substances (in Section 4.2, Section 

4.2, and Item 2 of Section E, respectively). 

2.5 Testing Circumstances 

This section addresses specific issues related to pre-employment, reasonable 

suspicion, post-accident, and random testing policies. Since return-to-duty and 

follow-up tests are linked to the employer’s consequences policy, they are 

discussed in Section 2.8. 

Some policies address salary compensation for testing. The Des Moines MTA 

Policy has a subsection (6.1) on compensation for testing. Most employers pay 

employees’ time (including overtime if the testing extends beyond their shift) for 

all tests except pre-employment (or pre-promotion or transfer), return-to-duty, 

and follow-up, but often do not state that in their policies. The Des Moines MTA 

also pays employees’ time for follow-up testing. The Cincinnati Metro Policy (in 

Part III Section 5.6) provides for compensation at the applicable rate for 

employees during random tests, but compensation is not mentioned under any 

of the other test categories. The Tri-Met Policy (in Section J1d) requires the 

employee to be paid overtime for the time that a random test collection extends 

beyond the end of the shift. 

Many policies address payment for re-tests (i.e., split sample) that are 

performed at the employee’s request. Most of them require employees who test 

positive on split samples to pay for the split sample, though the specifics vary. 

The Cincinnati Metro Policy (in Part III Section 4.1.3, the Long Beach Transit 

Guidelines (in Section IXD), and the Ohio DOT Policy (in Section I) require the 

transit agency to cover the initial cost, but also require the employee to 

reimburse the agency if the sample is positive. The Des Moines MTA Policy (in 

Section 6.2) states that all expenses for the test will be collected from the 

employee via a one-time payroll deduction unless the result invalidates the 

result of the original test. The Georgia DOT Policy (in Section 6.1, Note 24) 

recommends including the statement “the split sample test will occur 

regardless of up-front payment, but that the transit system reserves the right 

to seek reimbursement from the employee.” 

 

Pre-Employment Testing

There are two areas of flexibility in stating the Part 655 requirements for preemployment testing. First, the employers may, under their own authority, 

require pre-employment alcohol testing provided their policy states the FTA 

requirements that pertain to such testing. Second, employers may specify, 

under their own authority, a shorter time for retesting employees for drugs who 

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have not performed a safety-sensitive function for 90 consecutive days and who 

have been out of the random test pool during that time. 

Reasonable Suspicion Testing 

The employer may want to include examples, in the policy, of the legally 

accepted reasons for ordering reasonable suspicion tests or use wording that 

the employees are more likely to understand. 

Some policies address transportation of employees to the collection site when a 

reasonable suspicion test is ordered, to ensure they do not drive if unfit 

(particularly a company vehicle) and that they report immediately and directly 

to the collection site. The Ohio DOT Policy (in Section L) states “the Transit 

Department shall be responsible for transporting the employee to the testing 

site.” The Tri-Met Policy (in Section J1b) prohibits the employee from driving 

home, though the employee is responsible for transportation home; it states 

that the Transit District will arrange and pay for transportation home if 

necessary. The Des Moines MTA Policy only states a requirement for 

employees to be escorted to the collection site under random testing (in Section 

6.7), but this requirement is implied for all testing under paid testing (in 

Section 6.1): “. . . until such time as they are released by the supervisor 

escorting the employee.” 

Post-Accident Testing

Some employers provide, in their policy, for testing covered employees for all 

accidents to remove all decision making of whether to test, which may occur 

during difficult circumstances. However, they must still decide which 

authority to test under, and must clearly indicate on the accident report which 

authority they are testing under. The policy may also use a more stringent 

definition of an accident, providing it also states the FTA definition. Some 

employers use a fixed-dollar amount of property damage as the definition. TriMet exceeds FTA requirements for post-accident testing. The Tri-Met Policy (in 

Section J1c) requires a test if an employee receives a citation while on the job

for a violation that affects public safety, or violates District rules or procedures 

and poses a threat to the safety of employees or the public or to property (e.g., 

a run-away vehicle or allowing a vehicle to strike a fixed object). 

Employers may want to address transportation of employees to the collection 

site when a post-accident test is ordered for the same reasons as addressing it 

when a reasonable suspicion test is ordered. Transportation is not addressed 

as frequently for post-accident tests because unfitness for duty is not always 

suspected as in reasonable suspicion testing. The Tri-Met Policy (in Section

J1c) also prohibits the employee from driving home following a post-accident

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test, though the employee is responsible for transportation home; it states that 

the Transit District will arrange and pay for transportation home if necessary. 

The Des Moines MTA Policy implies that employees are to be escorted to the 

collection site when any drug or alcohol test is ordered, under paid testing (in 

Section 6.1): “. . . until such time as they are released by the supervisor 

escorting the employee.” 

Random Testing

The method used to select safety-sensitive employees for random tests should 

be stated in the policy. Random-number tables or computer-based randomnumber generators mapped to safety-sensitive employees’ identification 

numbers are often used. 

The FTA testing percentages should also be stated in the policy, and the policy 

should be modified to reflect FTA adjustments to those percentages. 

Employers that choose to test non-DOT/FTA safety-sensitive employees should 

state in their policy the categories of employees who will be included in their 

own (non-DOT/FTA) pool, and the rate at which they will be tested. Employers 

should meet the random test percentages stated in their policies. 

Employers may want to require employees selected for random testing to be 

accompanied by a supervisor to the collection site, to ensure that they report 

immediately and directly. The Des Moines MTA Policy (in Section 6.7) requires 

the employee to be escorted immediately to the collection site. 

2.6 Testing Methodology and Integrity

The policy need only state that the tests be conducted in accordance with the 

provisions in 49 CFR Part 40, Procedures for Federal Workplace Drug and 

Alcohol Testing Program. The Tri-Met Policy, in Section J2, states the specimen 

collection and analysis will be conducted in accordance with U.S. Department 

of Health and Human Services Mandatory Guidelines for Federal Workplace 

Drug Testing Programs, Final Guidelines, and with Part 40. Many employers, 

however, repeat portions of the Part 40 Methodology requirements in their 

policies. This is often done at the request of labor unions. Extensive detail on 

testing methodology is included, in varying amounts, in the Cincinnati Metro 

Policy (in Part III Section 4), in the Long Beach Transit Guidelines (in Sections 

IX, X, XI, and XII), in the Des Moines MTA Policy (in Section 6.0), in the Ohio 

DOT Policy (in Sections I and J), and in the Georgia DOT Policy (in Section 6.0). 

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2.7 Refusal Behavior and Consequences 

Numerous examples of the behavior that constitutes a refusal to take a drug or 

alcohol test are listed in Part 40, and in the Implementation Guidelines. This 

information is often incorporated as a separate section (as in the Cincinnati 

Metro Policy, in Part III Section 7.0) or subsection (as in the Long Beach Transit 

Guidelines, in Section VIIA3). Long Beach Transit defines refusal under 

enforcement/ consequences. Another option is to include this information as 

part of a section on compliance, as in the Tri-Met Policy (in Section I), the Des 

Moines MTA Policy (in Section 5.4), and the Georgia DOT Policy (in Section 5.4). 

The Ohio DOT Policy lists numerous examples under its definition of “test 

refusal” in Section C. 

2.8 Consequences of Drug Use and Alcohol Misuse 

In addition to stating the minimum consequences required by FTA for 

violations of the regulations (which are summarized in the Implementation 

Guidelines), the policy should also clearly state the disciplinary action that will 

be taken by the employer related to the various violations. The disciplinary 

actions stated in policies and the way that they are stated vary widely. 

Some employers (such as Cincinnati Metro and Long Beach Transit) have a 

zero-tolerance policy for testing positive, or refusing to be tested, for drugs and 

at 0.04 or higher for alcohol. That is, the employee is terminated for the first 

offense. Des Moines MTA has a zero-tolerance policy for all positive tests except 

random, but specifies a second chance for a random positive, though employees 

testing positive are prohibited from bidding on or driving designated contracted 

school routes. Many employers state the consequences as discipline up to and 

including termination, allowing discretion on whether to terminate for a first 

offense, as in the Tri-Met and Georgia DOT Policies. Tri-Met specifies that the 

decision will depend on the severity of the violation and the employee’s record. 

The Ohio DOT Policy allows the individual subrecipients to establish their own 

discipline code. The policy includes all the language and sections needed for a 

second-chance policy, but has prompts for insertion of “zero tolerance” in the 

appropriate locations (in Sections A, H, and O). 

Experience has shown that consequence/discipline policies that are very 

specific and allow little discretion tend to receive the fewest legal challenges, 

particularly in agencies with a strong union presence. 

Most employers terminate employees for a first offense of prohibited behavior or 

for refusing to be tested. Most policies include provisions requiring employees 

to inform the employer of convictions for drug- and alcohol-related offenses. 

Most policies also provide lesser consequences for an alcohol test between 0.02 

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and 0.039, which is not a positive as defined by Part 40. Cincinnati Metro’s 

zero-tolerance policy (in Part IV Section 3.0) allows a second chance for those 

who test between 0.02 and 0.039 for alcohol, but it requires a disciplinary 

suspension of at least 30 days without pay (or sick leave) and signing of a lastchance agreement. The Long Beach Transit Guidelines (in Section VIIA1) state 

that those who test between 0.02 and 0.039 on more than one occasion may be 

subject to discipline up to and including discharge, but mentions no discipline 

for the first offense. Both policies offer a second chance for voluntary selfconfessors, but require them to complete a rehabilitation program. Most 

polices exempt self-confessors from disciplinary action and offer treatment 

opportunities providing they do not test positive. The Des Moines MTA Policy 

has a separate section (5.8) on voluntary treatment. It requires referral to the 

SAP at the MTA’s expense, but does not require the employee to follow the 

SAP’s recommended treatment plan, though it encourages the employee to do 

so. 

Provisions for grievance and appeal, beyond the FTA protection of MRO review 

of test results and split-sample testing should also be addressed in the policy. 

The Tri-Met Policy addresses this issue under discipline (in Section M). 

Some policies have separate sections on consequences or discipline, i.e., Long 

Beach Transit (in Section VIIA of its guidelines), Tri-Met (in Section M), Des 

Moines MTA (in Section 7.1), and Ohio DOT (in Section Q). In addition to the 

section on consequences in the Long Beach Transit Guidelines, many of the 

items (4, 6, 8, 10, 16, 17, 19, 20, and 21) in the Long Beach Transit Policy 

summary include consequences. The Tri-Met Policy also discusses 

consequences under prohibited behavior (in Section E) and under return to 

work (in Section N). The Des Moines MTA Policy also discusses consequences 

in various subsections under prohibited conduct (in Section 5), under returnto-duty testing (in Section 6.8), and under re-entry conditions (in Section 8.0). 

The Ohio DOT Policy includes a note for zero-tolerance employers to remove the 

provisions that specify discipline other than termination. The Cincinnati Metro 

Policy has a separate part (IV) on consequences with separate sections on 11 

categories of violations. The Georgia DOT Policy covers consequences under 

treatment requirements (in Section 5.5) and under test procedures (in Section 

6.0). 

The placement of the requirement that all employees who test positive be 

referred to a SAP varies from policy to policy. This requirement appears in a 

separate section on SAP referral in the Cincinnati Metro, Long Beach Transit, 

and Tri-Met Polices. The SAP referral section is under rehabilitation (in Part V 

Section 2.0) in the Cincinnati Metro Policy, in Section XII of the Long Beach 

Transit Guidelines, and under general provisions for drug and alcohol testing 

(in Section J3) in the Tri-Met Policy. The requirement is included under 

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compliance with testing requirements in the Des Moines MTA Policy (in Section 

6.0), under result of drug/alcohol test in the Ohio DOT Policy (in Section Q), 

and under testing procedures in the Georgia DOT Policy (in Section 6.0). 

Return-to-Duty and Follow-Up Testing

All policies that allow a second chance must discuss return-to-duty and followup testing. Because “zero-tolerance” policies often have exceptions for selfconfessors or for alcohol tests under 0.04 (e.g., the Cincinnati Metro and Long 

Beach Transit Policies), all employers should address return-to-duty and 

follow-up testing in their policy. Both the Cincinnati Metro Policy and the Long 

Beach Transit Guidelines include sections on return-to-duty and follow-up 

testing (in Part III Sections 5.3 and 5.4 and in Section VIIIE, respectively) and 

on rehabilitation (in Part V Section 3.0 and in Section XIII, respectively). Even 

an employer that requires termination for all first violations and gives no grace 

for self-confessors should include these provisions in case it is required to 

reinstate an employee, by a higher authority such as the Fair Labor Relations 

Board. 

Most employers require the employee, or the employee’s insurance carrier, to 

pay for rehabilitation and the required return-to-duty and follow-up tests. 

These requirements should be included in the policy and identified as 

independent of FTA authority. All of the policies in Appendix A require the 

employee to be responsible for treatment and rehabilitation cost. 

2.9 Designated Contact Person

Although this requirement is listed first in the policy-content requirements, 

Part 655 does not specify where in the policy to include the identity of the 

contact person. Most employers include it at the end of the policy, as in the 

Tri-Met, Des Moines MTA, Ohio DOT, and Georgia DOT examples. (Tri-Met 

includes its contact persons under program administration, in Section P.) 

However, some employers include the name on the first page. Long Beach 

Transit includes the contact person on the first page of its guidelines, in 

Section II. Still others place it in an appendix along with the names and 

contact information for other important professionals and vendors (e.g., MROs, 

SAPs, collection sites, and laboratories), as in the Cincinnati Metro Policy (in 

Appendix B). Long Beach Transit includes an extended list of contacts in an 

attachment, in addition to the contact name on the first page of the guidelines. 

An appendix or attachment provides employees with a “quick reference guide” 

to this information, and it enables distribution of a revised appendix or 

attachment with updated contact information, thereby avoiding the need to readopt and redistribute the policy. 

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The person designated to answer employee questions about the drug and 

alcohol program is often the person responsible for program administration. 

For smaller organizations, this may be a human resources manager, an 

operations manager, or a general manager. The contact person’s position title, 

address, telephone number, and fax number should also be included, as well 

as the words “and their successor.”

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3. Education and Training 

This chapter discusses methods for meeting the FTA education and training 

requirements contained in Part 655.14, as discussed in the Implementation

Guidelines (in Chapter 5). The issues related to meeting those requirements 

are also discussed. 

3.1 Education

Informational materials on prohibited drug use include posters, pamphlets and 

brochures, fact sheets, and newsletter articles. These materials are often 

distributed to new employees with orientation materials, and are 

communicated via postings and displays in common areas of the workplace, 

anti-drug abuse campaigns, and seminars. A common source of these 

materials is employee assistance programs (EAPs). 

Many transit agencies have contracts with EAP providers to assist employees 

with various types of personal problems. These contracts often require the EAP 

to supply and distribute educational materials on substance abuse. EAPs 

often issue brochures and posters to employers and mail informational 

materials directly to employees’ homes. EAPs also provide employees with 

evaluation and referral, short-term individual counseling, individual case 

management, crisis intervention (24-hour crisis line), and employee 

educational programs. 

 

The Center for Substance Abuse Prevention provides EAP models, as well as 

telephone information and literature on policy, drug testing, and related topics, 

at no cost to employers. It also provides referrals to other information sources 

and lists of consultants by geographic area. This information can be received or 

ordered through the Center’s Drug-Free Workplace Help line, (800) 843-497, 

between 9:00 a.m. and 8:00 p.m. EST Monday through Friday. 

Other national organizations that are frequently used as sources of educational 

information and materials include: 

• Americans for a Drug-Free America--This organization distributes various 

pamphlets on the effects of illegal drug use. These materials are 

published by American Crisis Publishing, Inc., 3800 Hudson Bend Road, 

Austin, TX 78734, (512) 266-2485. 

• National Safety Alliance (NSA), P.O. Box 159060, Nashville, TN 37215, 

(615) 832-0046--Many transit agencies distribute the NSA handbook 

titled Substance Abuse Training for the Workplace. 

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• National Clearinghouse for Alcohol and Drug Information (NCADI), P.O. 

Box 2345, Rockville, MD 20852, (800) 729-6686, (301) 468-2600--The 

Clearinghouse provides fact sheets, films, posters, pamphlets, and 

brochures at no or low cost. Multilingual materials and a free quarterly 

catalog are also available. 

• Partnership for a Drug Free America, 405 Lexington Avenue, New 

York, NY 10174-0002, (212) 922-1560—This organization provides 

posters, audiotapes, and videotapes with high-impact messages. 

There is no charge for these materials, but donations are requested. 

Health insurance carriers, mental health agencies, and state substance abuse 

clearinghouses also provide informational and educational materials on substance abuse for distribution to employers. Each State has at least one federally 

funded clearinghouse that provides nationally and locally produced materials. 

3.2 Training 

Various approaches and combinations of approaches are used to meet both of 

the training requirements in Part 655.14(b). Some employers use one approach 

or combination to train their safety-sensitive employees and another one to 

train their supervisors and other company officials who are responsible for 

determining reasonable suspicion of drug and alcohol use. 

Most of these approaches involve some type of classroom training with an 

instructor or facilitator leading the session. The most comprehensive approach 

includes a lecture, presentation of a video, or use of some other interactive 

technology, a question-and-answer session, discussion of the company policy 

and issues relevant to the employer’s operation, and role playing. A 

professional on the effects and indications of substance abuse would give the 

lecture, show the video, and answer questions about substance abuse. A 

person knowledgeable about the employer’s operations (e.g., a human 

resources official, drug and alcohol program manager (DAPM), or a third-party 

administrator (TPA)--would answer questions about the employer’s operations 

and lead discussions related to the work environment. In some cases, one 

person can perform both functions, such as a DAPM who is also a health 

professional or a TPA who is a substance abuse consultant. 

Many large and medium-size employers and consortia contract with consulting 

firms experienced in delivering workplace training or other substance abuse 

professionals to prepare a curriculum and present it. Some of these large 

organizations have a professional on their internal staff or a TPA who prepares 

or presents the curriculum. Sometimes the internal professional or TPA 

presents a curriculum prepared by a consulting firm or contracted 

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professionals. In some cases, internal professionals work with consultants or 

contractors to prepare and present the training. 

Smaller entities not affiliated with a consortium often have a staff member lead 

the training using commercial training programs or training manuals and 

materials acquired from their state department of transportation (DOT), a 

nearby transit agency, or FTA. Self-paced training programs in booklet and 

videotape formats are available from standard suppliers of training materials 

for the transit industry or from companies and individuals that advertise on 

the Internet. Some state DOTs purchase these materials and distribute them 

to their transit employers, particularly for small entities with limited budgets. 

Other state DOTs hire consultants to prepare standard training manuals (or 

prepare them using internal staff) for their transit agencies. 

Discussion and role-playing techniques can be used with any of these 

approaches at minimal additional expense, and are very effective because they 

allow the agency’s staff to address other issues. 

Professionals who may prepare training curricula or provide training include: 

• EAP providers 

• Nurses and physicians 

• Mental health professionals 

• Drug and alcohol treatment specialists 

• Pharmacists 

• Toxicologists 

• Law enforcement drug awareness specialists 

Organizations that may be sources for identifying or locating training 

professionals include: 

• National organizations and their local affiliates, such as the Employee 

Assistance Professionals Association and their state chapters and the 

National Council on Alcoholism and Drug Dependence 

• State substance abuse clearinghouses 

• State-wide nonprofit organizations, such as Connecticut’s “Drugs Don’t 

Work!” or Texas’ “War on Drugs” 

Though FTA requires that all training records be kept for only 2 years, many 

employers retain all training records indefinitely. This is particularly important 

if consulting companies or contracted professionals are used. 

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FTA Drug and Alcohol Testing Program

Training for Safety-Sensitive Employees 

The required drug abuse training is often incorporated in the employee 

orientation process. Many employers find it difficult to cover all the required 

information in 60 minutes, particularly if questions, discussions, and role 

playing are included. Some trainers also test the participants before they begin 

to assess their knowledge and enable them to tailor the training to the 

employees’ needs. They may also test them again upon completion to asses 

their comprehension. Thus, many transit agencies have found 2 hours to be a 

more appropriate drug training period. It is also helpful to encourage 

employees to talk to their physicians and supervisors about over-the-counter 

and prescription medications to determine alternatives to their use while on 

duty. Some employers also cover alcohol misuse and aspects of drug abuse 

not required by Part 655.14, such as effects of additional illegal drugs and 

over-the-counter and prescription medications. 

Videos are a useful tool for employee training, providing they support and do 

not contradict the specifics of the FTA regulations. One example of an effective 

video is Effects of Drugs and Alcohol on the Human Body by Comdata, though 

FTA does not endorse the product. 

The Florida Department of Transportation has a Public Transportation 

Substance Abuse Program that it distributes to the FTA grantees in Florida. 

The Employee’s Manual and Instructor’s Manual will be available on the FTA 

Office of Safety and Security website: http://transit-safety.volpe.dot.gov. The 

program contains modules on: 

• Drugs and public safety 

• Alcohol 

• Each of the FTA prohibited drugs 

• Over-the-counter drugs 

• Combining drugs 

• Florida DOT policy

• Availability of help 

• A test and certification

The Des Moines Metropolitan Transit Authority (MTA) has a Substance Abuse 

Training Manual, which will also be available on the FTA Office of Safety and 

Security website: http://transit-safety.volpe.dot.gov. This manual addresses: 

• The Regulatory Requirements 

• Jobs considered Safety Sensitive 

• Required Types of Testing 

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FTA Drug and Alcohol Testing Program

• Signs, Symptoms, and Effects of the Five Prohibited Drugs 

• Alcohol Testing 

• Sample Collection Procedures 

• Role of Outside Professionals and Hotline Telephone Number 

• Confidentiality 

• Disciplinary Action 

The Des Moines MTA Training Manual also includes the outline for the training 

for safety-sensitive employees: 

Des Moines MTA Substance Abuse Training Outline 

• Impact of Drug Abuse on Society and Industry 

− National, Regional, and Local Statistics on Prohibited Drug Use 

− Safety, Personal Health, and Work Environment 

• Response of the Federal Government and the Transit Industry 

− Drug-Free Workplace Act 

− Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations (49 CFR Part 655) 

− Procedures for Transportation Workplace Drug and Alcohol Testing Programs (49 CFR Part 40) 

− MTA Policy on Prohibited Drugs and Alcohol 

• Safety, Personal Health, and Work Environment Effects of Each of the Five Prohibited Drugs 

• Manifestations and Behavioral Cues That May Indicate Use of Each of the Five Prohibited Drugs 

• Procedures and Protections of the FTA Drug and Alcohol Testing Program 

• Questions and Answers

When hiring professional trainers, employers should be sure that the trainers 

thoroughly understand the FTA regulations. The same caution should be 

exercised when acquiring self-paced training materials. Many trainers and 

training material producers prepare and deliver products used to comply with 

the Federal Motor Carrier Safety Administration (FMCSA) requirements, and 

believe that they also apply to FTA. The FMCSA and FTA regulations have 

significant differences. Applying the FMCSA requirements to a transit program 

could affect employer liability and employee civil rights. 

Important criteria to consider in selecting a trainer are: 

• Workplace experience with transit or similar industries 

• Concern with safety, cost reduction, productivity, liability, and public 

image, as well as employee welfare 

• Understanding of Parts 40 and 655 and how to respond to employee 

attitudes and concerns regarding drug and alcohol testing 

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FTA Drug and Alcohol Testing Program

• Training style, platform skills, techniques, tools, and methods appropriate 

to adult learning, including appropriate and high-quality audio/visual 

material, handouts, role playing, and case studies 

• Willingness to learn about the customer’s operations, policy, programs, 

values, and culture 

• Flexibility, professionalism, and tact in handling diverse opinions and 

needs of resistant employees, assertive managers, supervisors, 

executives, and union representatives 

Some professional trainers use commercial off-the-shelf curricula. Such 

curricula have to be tailored to reflect the employer’s procedures, discipline 

policy, and EAP. The employer may want to have its own human resources, 

medical, or labor relations professional work with the contracted training 

professionals in developing and presenting the training sessions. 

Training for Determining Reasonable Suspicion of Drug and Alcohol Abuse 

Most employers exceed the scope of the requirements in Part 655(2)(b). 

Additional topics typically addressed in supervisory training include: 

• Role and responsibility of supervisors and other company officials who 

are responsible for determining reasonable suspicion 

• Initiating, substantiating, and documenting a test referral 

• Intervention and confrontation with employees 

Other elements that can further improve the training effectiveness include 

introducing the context of the regulation, reviewing the testing program 

requirements, and reviewing agency disciplinary procedures. Role playing has 

proved to be especially effective in reasonable suspicion training. 

Given their tendency to expand the scope, most employers have found that 

reasonable suspicion cannot be effectively covered in the required minimum of 

60 minutes. A comprehensive program often requires 3 hours of training for 

drugs and an additional 3 hours for alcohol. Medium-size and large transit 

agencies often dedicate at least a day or two to reasonable suspicion training. 

The Massachusetts Bay Transportation Authority (MBTA), for example, has 

developed a week-long program for determining reasonable suspicion of drug 

and alcohol use. The MBTA program consists of live presentations and 

extensive role playing, and is presented by contracted professional trainers, the 

MBTA Medical Unit, and the EAP provider. Considerable research and effort 

has been spent on developing the program, based on the environment at the 

MBTA. In the past, the agency experimented with commercial off-the-shelf 

presentations and videotaping of MBTA materials, and found both approaches 

to be far less effective than live presentations. 

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FTA Drug and Alcohol Testing Program

Because identification of suspicious behavior is an important part of a substance abuse prevention program and it is difficult and uncomfortable for many 

supervisors, many employers require refresher training at specified intervals. 

A video and a leader’s guide on reasonable suspicion have been produced for 

and are available from FTA at no charge. The video consists of four segments: 

(1) General Requirements on Reasonable Suspicion Referrals

(2) Alcohol Abuse in the Workplace

(3) Prohibited Drug Use in the Workplace

(4) Make the Call: the Reasonable Suspicion Interview 

The Leader’s Guide —Reasonable Suspicion Referral for Drug and Alcohol 

Testing: A Training Program for Transit Supervisors, Leader’s Guide— will be 

available on the FTA Office of Safety and Security website: http://transitsafety.volpe.dot.gov. It contains a trainer packet and a trainee packet on five

exercises: 

(1) General Requirements for Making Reasonable Suspicion Referrals

(2) Alcohol Abuse in the Workplace

(3) Prohibited Drug Use in the Workplace

(4) Make the Call: the Reasonable Suspicion Interview

(5) Wrap-up Discussion

The Hartford (Connecticut) Regional Transit District has documented its 

supervisor training in a manual (prepared by NSA) titled Substance Abuse in

the Workplace: Supervisor Training. This manual, which is used by all but one 

of the approximately 60 transit operators in the state, addresses the following 

issues: identification of a problem, the supervisor’s role in an effective 

substance abuse program, situations confronting supervisors, reasonable 

suspicion testing information and step processes, and three parts of an 

effective confrontation interview. It also contains appendices on drug retention 

time in the body and suggested demeanor for supervisors, tips on 

confrontational interviews, documentation forms, and DOT information. 

The Des Moines MTA Substance Abuse Training Manual (mentioned in the 

discussion of training for safety-sensitive employees) also includes the outline 

for the MTA’s additional training for supervisors and other officials responsible 

for determining reasonable suspicion: 

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FTA Drug and Alcohol Testing Program

Chapter 3.Training Page 3-8 

Des Moines MTA Reasonable Suspicion Training Outline

• Impact of Drug Abuse on Society and Industry 

− National, Regional, and Local Statistics on Prohibited Drug Use 

− Safety, Personal Health, and Work Environment 

• Response of the Federal Government and the Transit Industry 

− Drug-Free Workplace Act 

− Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations (49 CFR Part 655) 

− Procedures for Transportation Workplace Drug and Alcohol Testing Programs (49 CFR Part 40) 

− MTA Policy on Prohibited Drugs and Alcohol 

• Safety, Personal Health, and Work Environment Effects of Alcohol Use and Prohibited Drug Use 

• Procedures and Protections of the MTA Drug and Alcohol Testing Program 

• Responsibility of Supervisors, Especially as Related to Drug and Alcohol Programs 

− To Supervise 

− To Deal with Problems in Workplace (e.g., Unacceptable, Deteriorating, and Unsafe Performance) 

• Indicators of Probable Alcohol Misuse or Prohibited Drug Misuse (common to all substance abuse 

and individually to alcohol and to each of the 5 DOT prohibited drugs) 

− Physical 

− Behavioral 

− Speech 

− Performance 

− Body Odors 

• Supervisory Responsibilities Related to Reasonable Suspicion 

− Removal from Safety-Sensitive Position

− Observation and Documentation 

− Confidentiality of the Employee 

− Review Findings 

− Make Reasonable Suspicion Decision 

− Escort to Collection Site 

− Escort Home 

− Special Considerations in Dealing with Alcohol- or Drug-Influenced Employees 

• Conflict Resolution 

• Resources Available to the Supervisor 

− Drug and Alcohol Program Manager (DAPM) and Designated Employer Representative (DER) 

− Medical Review Officer 

− Substance Abuse Professional 

− Employee Assistance Program 

− Security and Law Enforcement 

− Other 

• Questions and Answers
Best Practices 

FTA Drug and Alcohol Testing Program 

4. Testing Program Implementation and Management 

The employer is ultimately responsible for maintaining an FTA mandated Drug 

and Alcohol Testing Program that complies with 49 CFR Parts 40 and 655. 

Likewise, the grantee is responsible for ensuring that all of its operations and 

maintenance contractors and subrecipients maintain a compliant program. 

The required program consists of three test functions: urine collection and 

analysis, breath collection and analysis, and medical review. 

Each employer must have an employee or employees responsible for ensuring 

operation of a compliant program. Large employers often have a separate 

position for administering the program, often referred to as Drug and Alcohol 

Program Manager (DAPM) and occasionally as Substance Abuse Program 

Manager (SAPM). The responsibilities of this position are sometimes performed 

by more than one employee. Small employers do not usually have a separate 

position of DAPM or SAPM; the program management functions are assigned to 

an employee or employees to perform in addition to their other duties. 

Program managers come from various backgrounds, and there is no particular 

discipline that seems to provide a more appropriate experience than any other. 

The most common backgrounds include general manager, operations 

management, safety, risk management, human resources, and administrative 

assistant. The primary requirement is that they are very knowledgeable of the 

regulations; all employees who perform program management functions should 

attend FTA seminars conducted by the Transportation Safety Institute (TSI). 

Some employers use their employees to perform all the program management 

functions while others hire third party administrators (TPA) to administer part 

or all of their program. The three test functions are frequently contracted out, 

though some large employers use internal staff to perform one or two or all 

three of these functions. Employers must have an effective overarching 

method for ensuring that the required tests are performed in accordance with 

the policy and records are kept. 

This chapter addresses the issues associated with implementing and 

maintaining a compliant program and references best practice examples 

(contained in Appendices B, C, D, and E) for addressing them. These 

discussions appear in five sections: 

(1) Internal administration (managing DAPM functions performed by the 

employer’s staff, examples in Appendix B) 

(2) External administration (procuring service agents and monitoring 

service agents and contractors/subrecipients, examples in Appendix C) 

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FTA Drug and Alcohol Testing Program 

(3) Specimen collection and analysis (both urine and breath, examples in 

Appendix D) 

(4) Medical review (examples in Appendix E)

(5) Records management 

4.1 Internal Administration 

This section addresses general administrative issues and concerns and the 

issues related to and methods used for ensuring compliance with the four 

types of testing required for all employers: pre-employment, reasonable 

suspicion, post-accident, and random. (Issues related to return-to-duty and 

follow-up tests are discussed in Chapter 5.) Though this section may be most 

useful to program managers who either perform the functions themselves or 

delegate them to internal staff, the discussions here and the examples in 

Appendix B may also be useful to managers who contract out their 

administrative functions. They can be used as benchmarks or standards in 

evaluating performance of TPAs and can be offered as advice or tools to TPAs 

and contractors/subrecipients. 

Many employers use forms and checklists to create consistent routines for 

performing administrative functions and to document completion of those 

functions. Appendix B contains examples that have been used successfully. 

General Administrative Duties 

A frequent audit finding is no evidence that employees received the policy 

statement. Some grantees require that safety-sensitive employees sign forms 

acknowledging that they have received the drug and alcohol policy statement, 

and retain the documents as a means of proof of notification. Examples of 

policy receipt certification forms used by the Massachusetts Bay 

Transportation Authority (MBTA), the Washington Metropolitan Area 

Transportation Authority (WMATA), and the Tri-County Metropolitan Transit 

Authority (Tri-Met), Portland, OR, appear in Figures B-1, B-2, and B-3, 

respectively. 

Lists of employees and supervisors, or other company officials, who attend and 

complete required training are often maintained to provide documentation that 

the training requirement was met. Lists used by Cincinnati Metro for this 

purpose appear in Figures B-4 and B-5, respectively. Some employers also 

issue certificates to each employee who completes the training, and retain file 

copies of the certificates issued. Figure B-6 is a an example of a form, used by 

the Government of the Virgin Islands, for certifying that supervisors or other 

company officials have received the required reasonable suspicion training. 

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The City of Albuquerque uses printed lists to document and disseminate the 

roles and responsibilities of the Program Manager, department program 

coordinators, departmental divisional contacts, and front-line supervisors, 

shown in Figures B-7, B-8, B-9, and B-10, respectively. 

The City of Albuquerque also uses an Excel spread sheet with tracking facility 

as a master log to assist with managing each of the four types of FTA tests 

required for all employers. These are discussed and referenced individually 

later in this section under their respective testing types. The MBTA uses a 

single log, shown in Figure B-11, to track all testing. 

The City of Albuquerque uses a form (shown in Figure B-12) to document the 

results of each test through each step of the process, from collection to the 

disciplinary action. This form includes provision for signatures by the 

laboratory scientists who identify the result and the medical review officer 

(MRO) who reviews it. 

Broward County (Florida) Transit provides a log (shown in Figure B-13) for 

each supervisor to fill out whenever a test is ordered. This form provides for a 

very detailed sequence of events. It allows the employer to monitor the amount 

of time the employee spends en route to the site, the amount of time spent 

waiting to be tested after arriving at the site, and the amount of time the 

employee spends on the return trip to work. 

 

Forms are commonly used to notify employees of ordered tests and to 

document the order. Notification forms used by the Ohio Department of 

Transportation (DOT) and MV Transportation (an operations contractor for 

several transit agencies) appear in Figures B-14 and B-15, respectively. The 

MV Transportation form includes the time that the employee is sent for testing 

and the time the employee arrives at the collection site, and it provides for 

transportation to the site by a supervisor. 

Forms are also used to document and notify management of positive test 

results. Figures B-16 and B-17 are forms used by the Los Angeles County 

Metropolitan Transportation Authority (LACMTA) to document positive drug 

test results and positive alcohol test results, respectively. The MBTA uses one 

form (shown in Figure B-18) to notify an employee of a positive drug or alcohol 

result. The MBTA also uses a form (shown in Figure B-19) to notify the 

immediate supervisor of an employee’s positive result. 

Pre-Employment Testing

The West Virginia DOT Division of Public Transit documents its preemployment testing process in a flow chart, shown in Figure B-20. 

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FTA Drug and Alcohol Testing Program 

The City of Albuquerque uses a summary sheet (shown in Figure B-21) to 

document the test of each applicant for a safety-sensitive position, including 

both FTA and City definitions of safety sensitive. Albuquerque’s Excel spreadsheet master log for tracking pre-employment testing appears in Figure B-22. 

The MBTA uses a form (shown in Figure B-23) to notify an applicant for a 

safety-sensitive position of a positive drug or alcohol result. 

Reasonable Suspicion Testing

The West Virginia DOT Division of Public Transit documents its reasonable 

suspicion testing process in a flow chart, shown in Figure B-24. Western 

Maine Transportation Services, a small rural seasonal fixed-route bus system, 

documents its reasonable suspicion testing process in a slightly different flow 

chart and uses a form along with it to document symptoms and referrals, as 

shown in Figure B-25. 

Three variations on documentation forms used by large systems appear in 

Figures B-26, B-27, and B-28—LACMTA, MBTA, and Albuquerque, 

respectively. Ohio DOT also distributes the form shown Figure B-28 to its 

subrecipients, which include many small systems. The LACMTA form is the 

most compact of the three and calls for the least amount of written 

explanation. 

Both the San Francisco Bay Area Rapid Transit (BART) District and the Denver 

Regional Transit District (RTD) use a single form to document circumstances 

for ordering both reasonable suspicion and post-accident tests. BART’s 

“Observation/Incident Report” appears in Figure B-29, and Denver RTD’s 

“Accident/Incident/Reasonable Cause Report” appears in Figure B-30. Both 

forms distinguish between tests ordered per FTA authority and those ordered 

under the transit district’s rules. The BART form lists the criteria for testing 

under each set of rules separately, and lists BART’s procedures for reasonable 

suspicion testing on the back of the form, along with a space for comments, 

incident description, and action taken. The Denver form requires the 

supervisor to check which rules apply to the test ordered, but does not describe 

the rules. The Denver form is the only one of the six aforementioned 

reasonable suspicion documentation forms that does not require the supervisor 

to check off observed behavioral and appearance symptoms from an extensive 

list. It requires written comments under several different categories. The 

groupings of symptoms used in the six different examples vary widely. 

Albuquerque also requires its supervisors to fill out and sign a summary report 

(shown in Figure B-31) for each reasonable suspicion test ordered, in addition 

to filling out the “Fitness for Duty” form shown in Figure B-28. Albuquerque’s 

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Excel spreadsheet master log for tracking reasonable suspicion testing is 

shown in Figure B-32. 

Occasionally, a reasonable suspicion test ordered by a supervisor is not 

administered. It is useful to document these occasions on a standard form. 

Albuquerque’s summary report (shown in Figure B-31) has a block for 

explaining such an occurrence. Sioux Falls Transit System (SuTran), South 

Dakota, uses a separate form (shown in Figure B-33) when an ordered 

reasonable suspicion drug test is not performed. 

Many times, employees have tested negative in FTA reasonable suspicion tests 

even though the criteria for ordering the tests was met. Employers should 

understand that many of the symptoms that are basis for these tests are also 

symptoms of other problems (e.g., marital stress, sleep disorders, job 

dissatisfaction) that may impair performance of safety-sensitive functions. 

Though it is not required by FTA, some employers require (or strongly 

recommend) counseling for employees who test negative in properly ordered 

reasonable suspicion tests, to identify such problems. 

Post-Accident Testing

Many employers have devised forms to assist supervisors in determining 

whether to test operators following an accident (and under what authority), in 

documenting procedures to be followed after the decision is made, in recording 

all the required information, and in providing explanations of why tests were 

not conducted at specific times. 

The Greater Cleveland Regional Transit Authority (GCRTA) issues a two-sided 

card (shown in Figure B-34) to its supervisors. The front side contains a 

decision tree for determining whether to order a post-accident test under FTA 

authority. The back lists the criteria for ordering a test under GCRTA 

authority. However, the GCRTA card is merely a decision-making guide; it 

requires no documentation. 

The West Virginia DOT Division of Public Transit documents its post-testing 

process in a flow chart shown in Figure B-35. It also issues a decision-making 

form (shown in Figure B-36) for supervisors to fill out to document occurrences 

and decisions made following each accident. It requires the supervisor to note 

which authority (FTA or company) the decision to test was made under, and to 

explain why an alcohol test was not performed within 8 hours of the accident 

and a drug test was not performed within 32 hours of the accident. 

The San Francisco BART “Observation/Incident Report” (shown in Figure B-29) 

requires supervisors to check off post-accident criteria that are met following 

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an accident. There are two lists of three items each—one list with FTA criteria 

and the other with BART criteria. A test should be ordered if any of the items 

are checked; it should be an FTA test if any FTA item is checked. This BART

report also requires the supervisor to check off symptoms, from the extensive 

list, observed in the operator following the accident. The presence of these 

symptoms could be basis for ordering a reasonable suspicion test if none of the 

post-accident criteria are met. BART also issues procedural instructions 

(shown in Figure B-37) to be followed when an accident occurs. These include 

making the decision and what to do after either decision is made. 

The Denver RTD “Accident/Incident/Reasonable Cause Report” (shown in 

Figure B-30) requires written explanations under the three FTA non-fatalaccident test scenarios, completion of the reasonable cause section if the 

second or third scenario exists, and indication of whether FTA or RTD rules 

apply. The FTA post-accident test criteria are listed on the back of the form. 

LACMTA uses a form (shown in Figure B-38) that summarizes the FTA postaccident testing regulations, and requires the supervisor to document answers 

to questions leading to a decision of whether to test under FTA authority, 

requires documentation of reasons why tests are delayed or not performed if 

FTA criteria are met, and provides a checklist of procedures. 

 

Figures B-39 and B-40 also show forms that require complete documentation 

of accident information, including whether ordered tests were performed at 

specific times with explanations if they were not performed. Figure B-39 is 

used by the Southeastern Pennsylvania Transportation Authority (SEPTA). It 

provides a checklist of both FTA and SEPTA criteria. Figure B-40 is a 

summary report that the City of Albuquerque requires its supervisors to 

complete and submit within 24 hours of an accident. SuTran uses a separate 

form (shown in Figure B-41) when an FTA criterion for a post-accident test is 

met but no test is performed within 32 hours. 

Figure B-42 is Albuquerque’s Excel spreadsheet master log for tracking postaccident testing. 

Random Testing

Figures B-43 and B-44 are flow charts showing procedures for random testing. 

The two charts use different approaches. The approach in Figure B-43, which 

is used by the West Virginia DOT Division of Public Transit, is oriented to the 

employee’s response to the testing order. There are two separate event 

sequences following the notification of testing: one for the employees who 

report to the collection site as ordered and another for those who do not report. 

There are also two separate sequences for employees who report to the 

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collection site: one for those who provide a specimen and another for those 

who do not. The approach in Figure B-44, which is used by San Francisco 

BART, is oriented to the supervisor who is notified of an employee’s selection. 

It lists the steps to be followed by the supervisor. 

Many employers notify their employees of selection for a random test in writing, 

and keep copies of the notices in their records. Figures B-45 and B-46, used 

by BART and the MBTA, respectively, are examples of notices of selection for a 

random test. Both of these forms call for documentation of all pertinent 

notification information, contain instructions to the selected employee chosen 

for a random test and consequences for non-compliance, and require the 

employee to sign the form to acknowledge receipt. 

The City of Albuquerque has a comprehensive set of forms that it uses to 

disseminate instructions and provide for documentation of its random selection 

process. The instructions for the selections process are listed in Figure B-47. 

The roles and responsibilities of the selector are listed in Figure B-48. The form 

used by the Transit Department to list the names of all the employees selected 

during a particular draw appears in Figure B-49; this list includes the date and 

time of the scheduled test, the test notification, and the actual test. A separate 

form, shown in Figure B-50, is used to list all employees within each department 

tested during each test period and to record their collection dates and times. 

The form used to document each individual test order, the result, and the action 

taken when the result is positive appears in Figure B-51. Figure B-52 is 

Albuquerque’s Excel spreadsheet master log for tracking random testing. 

Excel spreadsheets with a tracking facility have proved especially useful in 

tracking random testing. 

Forms can also be used to help employers keep the random pool fully populated 

with all currently working employees. The Rhode Island Public Transit 

Authority (RIPTA) requires that an employee status form, shown in Figure B-53, 

be filled out whenever a safety-sensitive employee begins or terminates work. 

This form is used to add or delete the employee’s name from the random pool. 

4.2 External Administration 

As previously mentioned, many employers contract out some or all of their 

administrative responsibilities to TPAs. Small transit agencies and operations 

and maintenance contractors often enter into a TPA consortium (C/TPA) with 

other small employers, for economic and logistical reasons. Larger agencies and 

contractors often hire their own TPAs. Administrative functions performed by 

TPAs vary widely from employer to employer and consortium to consortium. 

TPAs are sometimes used to procure and monitor other service agents—urine 

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collectors and laboratories, screen test technicians (STTs) and breath analysis 

technicians (BATs), medical review officers (MROs), and substance abuse 

professionals (SAPs). Some TPAs even employ some or all of these specialists on 

their staff. Many employers, however, contract with these service agents directly. 

Program managers should exercise caution when selecting service agents. 

Some of the large nationwide companies, particularly TPAs, have the worst 

compliance records. Program managers also need to closely and proactively 

monitor all of their contracted service agents, as well as the programs 

conducted by any subrecipients or operations and maintenance contractors 

subject to Parts 40 and 655. 

Procurement of Service Agents 

Many employers seek service agents that are part of a trade association. 

Membership is no guarantee of a quality provider, but it is an advantage. The 

members are informed, some associations have a certification process, and 

substandard performance and uncooperative behavior by member providers 

can be reported to the organization. Examples of these organizations include: 

• Drug & Alcohol Testing Industry Association: 800-355-1257, www.datia.org

• American Association of Medical Review Officers: 919-489-5407

• American Society of Addictive Medicine: 301-656-3920

• American College of Occupational and Environmental Medicine: 847-228-

6850

• Substance Abuse Program Administration Association: 800-672-7229 

The following general steps have proved helpful in selecting various types of 

service agents for FTA drug and alcohol testing programs. These steps apply to 

all providers: 

• Contact other employers in the area to identify vendors that have 

performed their duties well. (Either local or nationwide companies can be 

suitable.) 

• Prepare a written request for proposals (RFP) that clearly states the 

procedures that must be effectively performed by each type of provider 

needed, including complete documentation of their professional 

credentials, a short statement on the FTA procedures for their specialty 

and how they contrast with other applications they have been involved 

with, and a summary of the training that their personnel have received 

and how their performance is monitored. 

• Formulate standards for evaluating the proposals, assemble a panel to 

review the proposals against the standards, select those that score the 

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highest on the evaluation, and invite them for a brief presentation of their 

proposal and a question and answer session. 

• Formulate a checklist of questions for the interview that will demonstrate 

their understanding of the relevant FTA requirements and will reveal the 

training received by their personnel for all functions to be performed. 

• Take detailed notes during the interviews so the data can be used in the 

final evaluation process by the evaluation panel. 

• Select the agency that scores the highest. 

• Enter an agreement that, ideally, includes a provision allowing the transit 

agency to terminate the contract at will and for convenience. 

Specific advice for selecting specimen collection and analysis companies, MROs, 

and SAPs appear in Section 4.3, Section 4.4, and Chapter 5, respectively. 

Oversight of Service Agents and Contractors/Subrecipients

To help ensure that contracted service agents comply with the regulations, 

many employers develop a relationship with their providers. They talk with 

them, ask questions, impose performance standards, require documentation, 

visit their facilities at least once per year to perform informal reviews or formal 

audits, and impose corrective action for non-compliance. Employers can also 

report substandard performance and uncooperative behavior by service agents 

to FTA. If problems persist, FTA can initiate a Public Interest Exclusion (PIE), 

under Part 40, against the service vendor. 

Because grantees (and other employers) are responsible for the compliance of 

their operations and maintenance contractors and all subrecipients, they often 

develop similar relationships with those entities as developed with service 

agents. Many grantees also require quarterly management reports summarizing 

test reports and annual management information systems (MIS) reports. 

The Implementation Guidelines contain regulatory checklists for evaluating 

compliance of service agents and contractors/subrecipients. Appendix C 

contains examples of forms and lists used by state DOTs and transit agencies 

for monitoring compliance of subrecipients, operations and maintenance 

contractors, and contracted service agents. 

Minnesota DOT issues comprehensive checklists to its subrecipients for 

monitoring their TPAs and C/TPAs, shown in Figures C-1 and C-2, 

respectively. Specific issues and concerns related to monitoring specimen 

collection and analysis companies, MROs, and SAPs appear in Section 4.3, 

Section 4.4, and Chapter 5, respectively. 

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LACMTA issues written guidelines, shown in Figure C-3, to all of its operations 

and maintenance contractors. These guidelines are used as a basis for judging 

compliance when LACMTA staff visit the contractor’s facilities. GCRTA uses a 

single-page form, shown in Figure C-4, for documenting compliance when its 

staff visit the contractor’s facilities. Ohio DOT uses a very detailed multi-page 

checklist, shown in Figure C-5, for evaluating the programs of contractors. 

4.3 Specimen Collection and Analysis 

 

Many of the concerns and issues associated with urine collection and breath 

collection are similar, and both tests are often ordered at the same time and 

performed at the same facility. Therefore, this section addresses both of these 

functions. It is organized by the following topics: collection procedures, 

collection facilities, monitoring of collection and analysis operations, and 

selection of collection and analysis service agents. Within each topic, issues 

that are unique to each collection process are discussed separately. The 

analysis procedures are different and are also discussed separately. Examples 

of forms and lists used to assist with specimen collection appear in Appendix D. 

Collection Procedures 

As mentioned in Chapter 2, some transit agencies require, in their policies, 

that employees ordered to take reasonable suspicion or post-accident tests be 

transported or escorted to the collection site to ensure that they travel directly 

to the site. Transporting or escorting people for all tests is good practice, if 

feasible, and can be required when the test is ordered even if the requirement 

is not documented in the policy. 

As in all aspects of the testing process, forms can be a useful tool in 

communicating collection practices and documenting occurrences, such as 

arrival times and performance of the various steps in the process. 

San Francisco BART issues collection instructions (shown in Figure D-1) to 

each employee who is tested, and requires urine collectors to complete and sign 

a checklist (shown in Figure D-2) for each collection performed. 

Forms are also useful in documenting a donor’s inability, or unwillingness, to 

produce a urine or breath specimen. Ohio DOT issues “shy bladder” and “shy 

lung” forms (shown in Figures D-3 and D-4, respectively) to its subrecipients to 

document these occurrences. Some delays in producing specimens by donors 

who ultimately produce a negative specimen have been interpreted as a ploy to 

collect additional pay or avoid work. A useful device for monitoring the amount 

of water consumed by “shy bladder” donors is to issue 10-ounce bottles of 

water one at a time to a maximum of four bottles, record the number of empty 

bottles, and observe the consumption. 

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Another frequent issue in urine collection is hand washing. Many donors do 

not want to handle their own pen before they wash their hands and do not 

want to use the collector’s pen that was used by others before they washed 

their hands. One solution is to issue throw-away pens. 

Collection Facilities 

Some large transit authorities, such as New York City Transit (NYCT), New 

Jersey Transit (NJT), SEPTA, MBTA, and LACMTA have their own collection 

facilities and have trained urine collectors, STTs, and BATs on their staff. Most 

other employers contract out for these services, either directly or through a TPA 

or C/TPA. Specimens can be collected at a fixed location, at the employees’ 

facilities, or at or near the employees’ facilities using a collection vehicle. 

Either internal or contracted urine collectors, STTs, and BATs can be used at 

any of these locations. 

The ideal environment for ensuring compliance with FTA urine collection

requirements contains the following features: 

• Clean rest rooms that are large enough to conduct an observed collection 

with sufficient personal space for the donor 

• Sinks with electrical switches that allow the hot and cold running water 

to be turned off from outside of the rest room 

• Absence of drop ceilings in the rest room 

• A pressurized cold water system in the toilet tank that prevents access 

without dismantling the system 

• Lockable storage containers suitable for securing valuables such as 

purses and wallets 

However, these features cannot always be found in vendor 

fixed locations. They are found even less often at on-site 

Figure 4-1. Typical Rest 

Room as Collection Site

employee facilities. On-site urine collection is often done 

in a typical rest room, shown in Figure 4-1, of a transit 

office building. These rest rooms are typically not secure. 

They may have places to hide clean urine specimens (e.g., 

above ceiling tiles) or may contain adulterants (hot and 

cold running water, soaps, cleaning chemicals). 

One way to safeguard the process in an unsecured rest 

room is to have the collection technician stand inside the 

rest room but outside the private toilet stall (as shown in Figure 4-2) while the 

specimen is being produced. There are also several ways to secure the 

facilities.

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One way to temporarily secure a water source at a sink is 

to install winged water faucet controls, drill holes in the 

Figure 4-2. Collector in 

Rest Room with Donor

holes in the wings, and put a metal bar between the wings. 

Another method is to place evidence tape over the faucet 

handles to prevent the donor from turning on the water or 

at least to enable the collector to detect tampering with the 

faucets. Evidence tape tears when someone tries to 

remove it. Masking tape, however, does not serve this 

purpose because it can be easily removed and reapplied. 

Evidence tape can also be placed across the tiles and 

frames of drop ceilings and on toilet tops to enable the collector to detect 

removal of fixtures. Waste baskets and toilet paper, paper towel, and Kleenex 

dispensers are common places for storing clean specimens and adulterants, 

and should be removed during the collection process. 

Toilets and urinals with sensors, which cause automatic flushing when a 

person moves away from the fixture, should not be used because flushing 

washes out the bluing agent. Some collectors place masking tape over sensors 

with some success, though others have not found this approach useful. 

Some collectors place tape over the flush handles to detect flushing of the 

colored water to get access to clear water. However, since the color of the water 

in the bowl would be clear, indicating the toilet had been flushed, the tape 

would only serve to detect replacement of bluing agent. 

There are fewer concerns with breath collection facilities. Breath samples can 

be taken and analyzed in any room that is visually private and reasonably 

soundproofed, provided the equipment meets FTA specifications and is properly 

calibrated, the technician operating the equipment is properly trained, and 

precautions are taken to prevent contamination of breath samples. 

Alcohol, alcohol swabs, and other contaminants should not be stored anywhere 

near breath collection and analysis equipment. One issue with the equipment 

is its height. It should be adjustable to make it easy for everyone to blow into. 

HEIGHT OF BREATH COLLECTION EQUIPMENT 

Metro-Dade Transit Agency (MDTA), a unionized system in Miami, Florida, experienced a 

grievance regarding placement of breath collection and analysis equipment on tables. Donors 

had difficulty blowing into the equipment when they were sitting down. In response, MDTA 

attached the collection and analysis equipment on a flat tray and mounted the tray on a jack. 

This assemblage was then placed on top of a chest of drawers. All of the necessary materials 

are kept in the drawers. The height of the collection and analysis device can be adjusted up or 

down to be at the same height as the mouth of the donor. The adjustable-height system is 

always level at any available height. The donors are now better able to provide a complete 

sample during the specified available time.

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The bigger concern with breath testing is the cost and availability of the 

equipment. Evidential breath testing (EBT) devices are expensive and BATs

have to be trained to use them. Many small operators are unable to afford EBT

devices. EBT service agents are often difficult to find in rural areas. Many 

rural employers often arrange to use EBTs that are owned by other entities, 

e.g., trucking companies, school bus companies, railroads, small airstrips, U.S. 

Coast Guard. Most attempts to use EBTs owned by police departments have 

not proved successful. 

Mobile collection facilities have become popular for both drug and alcohol 

testing. Many employers contract with mobile collection vendors, and some 

transit systems with large safety-sensitive work forces acquire vans, equip 

them with the necessary equipment, and hire full-time employees to staff them. 

For some operations, use of mobile facilities can reduce testing life-cycle costs. 

Merely driving the collection vehicles past employee facilities can have a 

deterrent effect. If properly configured and equipped, vehicles can provide a 

secure and comfortable environment for both urine and breath collection. 

Figures 4-3 through 4-8 show the mobile urine collection facility used by 

SuTran’s vendor2 in Sioux Falls, South Dakota. 

The exterior of Figure 4-3. Side View of Collection Van Figure 4- 4. Rear View of Collection Van

the collection 

vehicle, shown 

in Figures 4-3 

and 4-4, looks 

like any other 

raised-roof van. 

It has a pair of 

side doors to 

Figure 4-5. Rear Step of Collection Van 

provide access to the urine collection area. As 

shown in Figure 4-5, a substantial step has 

been added to the rear bumper, to provide 

primary ingress/egress through the rear doors. 

The step should be designed so that it can be 

used safely in wet, icy, and snowy weather. 

This van includes the required writing surface 

and benches adjacent to the rear doors, as 

shown in Figure 4-6. The space below the seats 

is used to store unopened urine collection kits, 

breath analysis equipment, and other 

materials. 

 

2 Sure Test, Inc., P.O. Box 1840, Sioux Falls, SD 57101. FTA does not recommend or endorse

Sure Test or any other company. The photos are included solely for reference purposes. 

Chapter 4.Testing Program Implementation and Management Page 4-13 
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FTA Drug and Alcohol Testing Program 

Figure 4-6. Interior of Collection Van The two-drawer filing cabinet is used to store 

chain-of-custody forms, employer contact 

information, directions, and other printed 

information necessary to provide collection 

service. Interior walls are available for posting the 

collection procedures for the donor. Carpeting or 

other slip-resistant surface can be provided on 

the floor to maximize footing safety. 

The space is reasonably comfortable for the 

collector and the donor to sit and complete all of 

the necessary forms. The gentleman in Figure 4-6 

is approximately 6-feet tall and stocky. 

Behind the collector is the 

enclosure that houses a standard 

Figure 4-7. Toilet in Enclosure 

in Collection Van 

Figure 4-8. Sink in 

Collection Van 

recreational vehicle toilet, shown 

in Figure 4-7. The enclosure is 

large enough to allow a donor to 

produce a specimen without any 

discomfort, either standing or 

sitting. Between the enclosure 

and the operator’s seat is the 

reservoir for water to fill the bowl 

and to eventually flush its 

contents. 

A sink for hand washing, shown in 

Figure 4-8, is located behind the 

filing cabinet. The sink area 

includes a towel rack for drying hands and a wastebasket for used towels and 

other materials. 

Monitoring of Collection and Analysis Operations 

To ensure compliant collection operations, employers should encourage 

feedback from and listen to employees who return from collection sites, and the 

program managers should regularly review the performance of all urine 

collection technicians, STTs, and BATs, whether they are internal staff, 

contracted service agents, or contractor or subrecipient staff. Program 

managers should talk to collection staff and ask them about their collection 

procedures and the type and amount of supervision of their performance. 

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FTA Drug and Alcohol Testing Program 

Program managers should ensure that new collection technicians receive the 

initial training required in Part 40, and that all technicians receive the required 

refresher training. Development of standard forms and certificates can help in 

tracking and documenting the courses completed by the various technicians 

and the dates of completion. Program managers should also sample and 

evaluate data in the collection operation’s central files. Reasons should be 

provided for all collections resulting in cancelled tests, either documented in 

the records or given during the review. 

Common findings during audits of collection and analysis operations include 

EBT devices that are not calibrated, BATs who are not properly trained, and 

urine analysis laboratories with no recorded results for documented collections. 

Questions to ask during a review of a urine collection operation include: 

• What precautions are taken to prevent clean samples from being placed 

in the collection room prior to a donor’s arrival? 

• How are observed collections handled when the donor and the collector 

are different genders (particularly when a collection vehicle is used to 

meet a donor at a remote location)? 

• How often do “shy bladders” occur and how are they documented? 

Questions to ask during a review of a breath collection and analysis operation 

include: 

• What precautions are taken to prevent contamination of breath samples? 

• How often do “shy lungs” occur and how are they documented? 

• Has the EBT device been approved by the National Highway Traffic Safety 

Administration (NHTSA). 

• How often does the manufacturer recommend calibrating the EBT device? 

(Ask to see the manufacturer’s Quality Assurance Plan, QAP, for the 

device.) 

• How often is the EBT device actually calibrated? (Ask to see the 

calibration log and compare it to the QAP.) 

Mock collections should also be conducted at least once per year. Non-routine 

elements (e.g., a bottle of soap in a pocket for a urine collection or refusal to 

sign the form) should be included. In addition to noting any violations or 

errors or fatal flaws in the process, the evaluator should note whether the 

collections staff are aware of any errors or fatal flaws. A form used by Ohio 

DOT for documenting results of mock collections appears in Figure D-5. 

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It is also useful to schedule a few random tests (both drug and alcohol) during 

the 4 hours immediately after service ends, to ensure there is a facility for postaccident testing during that period. 

Selection of Collection and Analysis Service Agents 

The most common method of specimen collection is using a service agent’s 

fixed location facility offering multiple services, such as occupational health 

practices or clinics, doctors’ offices, hospitals, or testing laboratories. There 

are also specimen collection services that operate independently of any other 

medically related functions. These providers vary widely in terms of their 

business focus. There are also companies with specimen collection as their 

only business that fully understand FTA requirements for urine and/or breath 

collection. These companies are sometimes staffed with multiple trained 

technicians and/or medical doctors and can sometimes provide the level of 

service required. However, such companies are the exception. More often, the 

independent providers are secondary services provided by non-medical 

businesses. One audited specimen collection service was a small operation 

that was part of a computer software development company. 

Entering an agreement with an FTA-compliant company with multiple offices in 

a spatially large service area that is open 24 hours a day and 7 days a week is 

often cost-effective for large and medium-size companies or consortia. However, 

such opportunities do not always exist. Alternatives include: 

• Use of multiple fixed-location urine collection facilities for different times 

of the day, and for weekend days and holidays 

• A collection service that comes to employees’ facilities to collect a sample, 

using a standard rest room for urine collection and a private room for 

breath collection 

• A collection service that uses a mobile collection facility 

Use of a collection service with a mobile facility, for both drug and alcohol 

collection, is particularly common in rural areas among Section 5311 

providers, where other services are not available at the times needed. Many 

other employers have found that the flexibility provided by collection vehicles 

significantly reduces system disruption costs. The vehicles can be deployed on 

any day, at any time, and to any location. Though the cost per collection is 

usually higher with a mobile collector than with a fixed-location collector, the 

life-cycle costs are often lower when service delays, supervisor time, additional 

vehicles, “deadhead” time, and transportation expenses are considered. 

In addition to the practices discussed in Section 4.2 for selecting any service 

agent, evaluators should inquire about the training and supervision the urine 

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FTA Drug and Alcohol Testing Program 

collection technicians, STTs, and BATs receive and their procedures. The 

evaluators should also ask the questions suggested in the “Monitoring of 

Collection and Analysis Operations” discussion earlier in Section 4.3. 

Perspective urine collectors should be asked to perform a detailed mock 

collection at their site for the evaluation panel. Perspective breath collectors 

should be asked to bring their screening devices and EBT devices to the 

interview and allow an evaluator to test them. 

If emergency rooms propose to provide urine and/or breath collection, the 

collection staff should be asked how they will handle drug tests if all medical 

staff are involved with emergency treatment when a specimen donor arrives, 

and what they will do if a patient arrives with a severe emergency condition 

while a specimen collection is being performed. 

A regularly updated list (once per month) of urine analysis laboratories that 

have been certified by the U.S. Department of Health and Human Services 

(DHHS) can be obtained from the Division of Workplace Programs, 5600 

Fishers Lane, Rockwall II Building, Suite 815, Rockville, MD 20857, telephone: 

(301) 443-6014, or at http://www.health.org/workpl.htm. This list is also 

published in the Federal Register under the heading “Substance Abuse and 

Mental Health Services Administration (SAMHSA).” 

Criteria for choosing between compliant laboratories are customer service, 

billing procedures, cost, reliability, and accuracy. Validity testing may 

influence cost. See FTA Drug and Alcohol Testing newsletters, particularly 

Bulletin 16. 

4.4 Medical Review 

This section discusses proven practices used by employers to manage the 

medical review process, to select MROs, and to monitor their performance. 

 

Managing the Medical Review Process

Standard forms have proved useful in managing and documenting the various 

medical review functions. Examples of forms and lists used to assist with 

managing the medical review process appear in Appendix E. 

The City of Albuquerque uses printed lists (shown in Figure E-1) to document 

and disseminate the roles and responsibilities of MROs. Albuquerque issues 

checklists to its MROs to guide them through the entire medical review process 

and to guide them in their interviews with tested employees (shown in Figures 

E-2 and E-3, respectively). 

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FTA Drug and Alcohol Testing Program 

Use of standard forms provides records of various medical review occurrences, 

e.g., employee requests to test the split sample following a confirmed positive 

test result and an MRO’s inability to contact a tested employee following a 

confirmed positive result. A split sample form issued by Ohio DOT to its 

subrecipients appears in Figure E-4. A failure to make contact form, prepared 

by University Services (Philadelphia, PA) for the Monroe County (Pennsylvania) 

Transportation Authority, appears in Figure E-5. 

A flow chart of the verification process performed by an MRO (developed by the 

FTA drug and alcohol testing program audit team3, based on the team’s 

knowledge of the regulations and experience in evaluating grantees’ medical 

review programs) appears in Figure E-6. 

 

Selection of Medical Review Officers 

Some large transit authorities, such as NYCT, NJT, SEPTA, MBTA, and 

LACMTA, hire MROs as employees. Most other employers contract out for 

MRO services, sometimes with companies that include support staff as well as 

several MROs, either directly or through a TPA or C/TPA. Prudent practices for 

selecting MROs are the same regardless of the administrative mechanism used 

to procure them. 

There is no national registry of MROs. However, the American Association of 

Medical Review Officers (919-489-5407), the American Society of Addictive 

Medicine (301-656-3920), and the American College of Occupational and 

Environmental Medicine (847-228-6850) have many members who have the MRO 

qualifications required by FTA.

In addition to the practices discussed in Section 4.2 for selecting any service 

agent, employers should include the Part 40 qualification requirements in the 

procurement or solicitation device used to obtain medical review services or hire 

MROs as internal staff. Employers should also carefully examine the credentials 

of prospective MROs, and should meet with them and discuss their experience 

and knowledge about substance abuse disorders and their understanding of 

Parts 40 and 655 and how to interpret them. These discussions should include 

major medical review issues, such as how they handle prescription medications 

and over-the-counter (OTC) medications and what experience they have with 

donors claiming that herbal teas caused their positive test for marijuana. 

 

 

3 The FTA drug and alcohol testing program audits are performed by ICF Consulting and the 

Ketron Division of the Bionetics Corporation.

Chapter 4.Testing Program Implementation and Management Page 4-18 
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Monitoring Performance of Medical Review Officers

To ensure compliant collection operations, program managers should regularly 

review the performance of MROs, whether they are internal staff, contracted 

service agents, or contractor or subrecipient staff. All correspondence with 

MROs should be reviewed as it is received, to identify unusual situations that 

may indicate questionable performance. Data in the MRO office files should be 

sampled and evaluated regularly. Examples of unusual situations include long 

delays between test dates and reports of positive results that are later reversed, 

lack of timely response to communications, and errors on the type of test 

reported (i.e., pre-employment, reasonable suspicion, post-accident, random, 

return-to-duty, and follow-up). 

One method used to monitor MRO performance is to maintain a matrix of tests 

by category and dates. Any pre-employment test dates occurring well after the 

hire date or well after any random tests suggest a categorization error. Multiple 

postings of the same test results suggest poor record maintenance and may 

suggest overall poor organizational management. 

MRO reversals of positive tests reported by the laboratory should be 

questioned. There are a variety of legitimate reasons for reversing a positive, 

but legitimate cause for doing so occurs very infrequently. Reversal of more 

than a few positives per year for most companies is unusual, though some 

industries and locations have unusual circumstances. Nevertheless, such 

occurrences should be examined thoroughly. 

Additionally, program managers should ensure that all MROs complete the 

continuing education units required by Part 40 within the required time frame. 

They should also establish a mechanism for receiving notification of all new 

hires of MROs, and review their qualifications to ensure compliance with Part 

40. Development of standard forms and certificates will help in tracking and 

documenting the continuing education completed by MROs and in maintaining 

awareness of newly hired MROs and documenting their qualifications. 

 

4.5 Records Management 

As discussed in the Implementation Guidelines, drug and alcohol testing 

programs generate a large number of records that must be stored and 

maintained per Parts 40 and 655. These records are clearly designed to 

document that the required activities have been accomplished correctly. It is 

often useful to exceed FTA’s retention requirements. It is particularly useful to 

maintain a contractor oversight file and to retain negative test result records 

for longer than the one year required. In fact, it may be in a system’s best 

interest to retain all records indefinitely. This would provide useful data for 

Chapter 4.Testing Program Implementation and Management Page 4-19 
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Chapter 4.Testing Program Implementation and Management Page 4-20 

scheduling random tests, and would provide a complete history of the overall 

testing program. 

Record Keeping Methods 

Part 655 does not specify how to organize records. However, a logical system is 

needed. Simple methods have worked best for many employers. There are two 

basic record keeping methods: (1) by test category and (2) by individual 

employee (by name or by identification number). The first method is used by 

many large authorities, e.g., Oahu Transit and Kauai Transit in Hawaii and the 

Transit Authority of River City (TARC) in Louisville, Kentucky. Use of a master 

log for each test category is helpful when using the test category method. The 

individual employee method can be very cumbersome unless the employer is 

small and has a stable work force. A third option is to file the information by 

date and by employee within each date file. 

It is also useful to enter data from records into analysis files that can be used 

to evaluate the performance of the drug and alcohol testing program. For 

example, organizing the random test records so that the information can be 

easily collected and inserted into an Excel file to produce graphs will 

demonstrate whether the random tests were conducted across all hours of 

operation and across all service days. 

Records Security and Access Control 

To ensure compliance with FTA requirements for securing and controlling 

access to test records, employers should store all required records in locked 

filing cabinets in a locked room that can be entered only through a locked door. 

A combination lock should be used on the door to prevent unauthorized 

duplication of keys. 

Records should not be kept in a room with drop ceilings with removable tiles. 

A person can remove the ceiling tiles in the hall in front of the records room, 

climb over the wall, and drop through the opening. A truly secure records 

room has wall partitions that abut and attach to the roof or ceiling of the 

building, thereby preventing anyone from climbing over the walls. 
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Chapter 5. Referral, Evaluation, and Treatment Page 5-1 

5. Referral, Evaluation, and Treatment 

Employers with policies that call for automatic termination of any employee 

who violates the DOT/FTA drug and alcohol rules (i.e., a zero-tolerance policy) 

may want to devise a standard form listing the names, addresses, and 

telephone numbers of FTA-compliant substance abuse professionals (SAPs) in 

the local area. The form should also include the name of the violator, the date 

and nature of the violation, the date of effective termination, the date that the 

form was issued to the terminated employee, and the signature of the person 

who issues the form. Maintenance of such information would provide evidence 

of compliance with the referral requirements in Parts 40 and 655. In compiling 

the list of SAPs, these employers may also want to refer to the discussion of 

SAP selection later in this chapter (in Section 5.2). 

Employers with second-chance policies, however, have much greater 

administrative responsibilities for referral, evaluation, and treatment of 

violators. This chapter discusses proven practices used by employers to 

manage this process, to select SAPs, and to monitor their performance. 

 

5.1 Managing the Referral, Evaluation, and Treatment Process

Standard forms have proved useful in managing and documenting the various 

functions in this area. Examples of forms used to assist with managing the 

referral, evaluation, and treatment process appear in Appendix F. 

 

To help employees better understand this process, employers with a secondchance policy may want to list the Part 40 requirements that pertain to the 

process and the role and responsibilities of SAPs, and to distribute the lists to 

all employees who violate the FTA drug and alcohol regulations. 

Employers must ensure that all return-to-duty and follow-up tests be 

conducted under direct observation. This can be stipulated in the drug and 

alcohol policy, included in a list of requirements given to employees who enter 

treatment, or communicated to SAPs when they begin work for the employer. 

Forms to document referrals provide records of employees referred to SAPs and 

the names and addresses of the SAPs. The City of Albuquerque uses a referral 

form (shown in Figure F-1) that informs the employee of the referral, lists the 

SAP referred to and an alternate SAP, designates the party responsible for 

payment, and requires a signature to acknowledge receipt of the referral. The 

Ohio Department of Transportation (DOT) uses the same form. The San 

Francisco Bay Area Rapid Transit (BART) District uses a form (shown in Figure 
BEST PRACTICES 

FTA Drug and Alcohol Testing Program 

F-2) that includes documentation of the circumstances surrounding the 

referral and the SAP’s findings and recommendations. 

Many employers require employees to sign contracts, or agreements, 

documenting the conditions of their rehabilitation and continued employment. 

Ohio DOT issues agreement forms to its subrecipients to use when an 

employee enters treatment as a condition for continued employment and when 

the employee is approved for return to duty following successful completion of 

treatment. These forms appear in Figures F-3 and F-4, respectively. 

The City of Albuquerque uses a form (shown in Figure F-5) to document all 

occurrences during the entire treatment and follow-up period, including the 

date and results of each rehabilitation test. This type of comprehensive form or 

a series of more specific forms documenting evaluations performed by SAPs 

and the treatment programs and tests that they order can be used as a case 

history summary of the SAP-client relationship. Such a summary can then be 

augmented with support documentation to complete the file. 

The Massachusetts Bay Transportation Authority (MBTA) issues a standard 

evaluation form containing 28 “yes/no” questions (shown in Figure F-6) to 

SAPs. The SAPs are required to ask the questions to all new clients, record the 

answers on the form, apply prescribed point values to each answer (as shown 

in Figure F-64), and tally the overall score. Another standard form, shown in 

Figure F-7, is used to document the specific requirements of the treatment plan 

devised for the client, who is required to sign the form. The form shown in 

Figure F-8 is used by the MBTA to document the SAP’s evaluation of the 

client’s performance during the treatment program, recommendations for 

further participation after the client returns to work, and the number of followup tests required of the client during the five years following return to duty. 

San Francisco BART uses a follow-up assessment form (shown in Figure F-9) to 

document information regarding the treatment plan completed by a returning 

employee, the results of the evaluation following treatment, the date and 

results of the return-to-duty test, the SAP’s recommendations for follow-up 

testing and treatment, and existence of a return to work contract. 

Flow charts showing procedures used by the West Virginia DOT Division of 

Public Transit for return-to-duty testing and for follow-up testing appear in 

Figures F-10 and F-11, respectively. 

 

4 The instructions for the answer scoring and the scores appear in this example as sheet 3 of 

Figure F-6. The MBTA uses two separate forms for the questions and the scoring key, and 

repeats the questions on the scoring key form. The scoring key has been added to the form 

containing the questions in this example for convenience of presentation.

Chapter 5. Referral, Evaluation, and Treatment Page 5-2 
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5.2 Selection of Substance Abuse Professionals

Some large transit authorities, such as the MBTA, hire SAPs as employees. 

Most employers, however, contract out for SAP services, either directly or 

through a TPA or C/TPA. Prudent practices for selecting SAPs are the same 

regardless of the administrative mechanism used to procure them. 

There is no national registry of SAPs. However, the Substance Abuse Program 

Administration Association (800-672-7229) has many members who have the 

SAP qualifications required by FTA. Other employers have proved to be a good 

source for identifying local SAPs who have performed their duties well. Local 

SAPs are often most effective, since it is more convenient for them to meet faceto-face with their clients than it is for SAPs who are located a long distance 

from the employer’s facilities. There are very few SAPs in rural areas.

In addition to the practices discussed in Section 4.2 for selecting any service 

agent, employers should include the FTA qualification requirements in the 

procurement or solicitation device used to contract with SAPs or hire them as 

internal staff. Employers should also carefully examine the credentials of 

prospective SAPs, ask them to submit sample forms they currently use in their 

practice, and meet with them and discuss their experience and knowledge 

about substance abuse disorders and their understanding of Parts 40 and 655 

and how to interpret them. An important question to ask is whether they or 

the drug and alcohol program manager generates follow-up test programs. A 

number of audits have found that the employer devised the test schedule and 

imposed it on the SAP. A number of audits have also identified SAPs who do 

not understand their role as protector of public safety. Thus, prospective SAPs 

should be quizzed about their role. Another question to ask is how many tests 

are required of a rehabilitated employee during the first year of follow-up 

testing. 

5.3 Monitoring Performance of Substance Abuse Professionals 

To ensure compliant collection operations, program managers should regularly 

review the performance of SAPs, whether they are internal staff, contracted 

service agents, or contractor or subrecipient staff. All correspondence with 

SAPs should be reviewed as it is received, and all data in the SAP office files 

should be sampled and evaluated regularly, to ensure that the SAP monitors 

the clients throughout their treatment programs and to identify other 

questionable performance. One example of questionable performance is always 

prescribing six follow-up tests within a year of the client’s return to duty. If 

this is done consistently for a large number of clients, the SAP may not be 

tailoring the testing program to the individual’s needs. Another example is 

recommending a return-to-duty test soon after the employee tests positive on a 

Chapter 5. Referral, Evaluation, and Treatment Page 5-3 
BEST PRACTICES 

FTA Drug and Alcohol Testing Program 

Chapter 5. Referral, Evaluation, and Treatment Page 5-4 

random, reasonable suspicion, or post-accident test. The SAP may not have 

performed the required evaluations before recommending the test. 

Additionally, program managers should ensure that all SAPs complete the 

continuing education units required by Part 40 within the required time frame. 

They should also establish a mechanism for receiving notification of all new 

hires of SAPs, and review their qualifications to ensure compliance with Part 

40. Newly hired SAPs should also be asked the questioned suggested in 

Section 5.2. Development of standard forms and certificates will help in 

tracking and documenting the continuing education completed by SAPs and in 

maintaining awareness of newly hired SAPs and documenting their 

qualifications.
Best Practices 

FTA Drug and Alcohol Testing Program 

December 2007 

The enclosed packet of example drug and alcohol policies and procedures is intended to update the original 

example polices that were first published with the Best Practices Manual: FTA Drug and Alcohol Testing Program 

in March 2002. These example policies have been reviewed and determined to be current and fullycompliant with the revised 49 CFR Parts 40 and 655. Each of the example policies is ordered according to 

the size and type of employer it pertains to. The last three policies in the packet are template policies that 

may be adjusted or tailored according to the needs of any employer. 

These examples policies are provided for employers that would like to develop their own internal policies 

and procedures, review the policies and procedures of safety-sensitive contractors or monitor the work 

performed by consultants. These policies may be used as guides to help employers update or revise their 

current drug and alcohol testing polices and procedures to be compliant with the amended 49 CFR Parts 40 

and 655. Some employers may also wish to use these example policies to expand upon their current drug 

and alcohol testing policies and procedures for safety-sensitive employees. These policies apply to every 

safety-sensitive employee as defined in the Federal regulations, and are provided as “best practice” examples 

only. 

For additional information on current U.S. Department of Transportation and Federal Transit 

Administration drug and alcohol regulations, please refer to the FTA Office of Safety and Security Web site 

at: http://transit-safety.volpe.dot.gov (click Drug & Alcohol). The Office of the Secretary’s Office of Drug 

and Alcohol Policy and Compliance (ODAPC) Web site provides information and interpretations on drug 

and alcohol polices and regulations, including 49 CFR Part 40. The ODAPC site can be accessed at: 

http://www.dot.gov/ost/dapc/index.html. 

Appendix A. Example Policies 

Revised–December 2007 

Best Practices 

FTA Drug and Alcohol Testing Program 

Appendix A. Example Policies 

This appendix contains 12 updated and compliant policies for employers that wish to develop their own 

drug and alcohol policies internally or oversee the work performed by consultants. Each of these policies 

was reviewed and determined to be compliant with the revised 49 CFR Parts 40 and 655. Each policy is 

ordered according to the type and size of the respective employer. The updated example policies are as 

follows: 

(1) Large Transit System–MARTA 

(2) Rural Paratransit Contractor–Drug-Free Workplace–Lift, Incorporated 

(3) Medium Transit System–Knoxville Area Transit 

(4) Large Transit System–Zero Tolerance–Houston Metro 

(5) Small Transit System–Clermont County 

(6) City Government–FTA and FMCSA–City of Charlottesville 

(7) Small Transit System–Athens–Clarke County 

(8) Large Transit System–San Diego Transit Corporation 

(9) State DOT–Statewide Policy–Ohio DOT 

(10) With Second Chance (template policy) 

(11) No Second Chance (template policy) 

(12) FTA and FMCSA (template policy) 

For additional information on U.S. Department of Transportation and Federal Transit Administration drug 

and alcohol policies and regulations, please visit the Office of Drug & Alcohol Policy & Compliance 

(ODAPC) Web site at: http://www.dot.gov/ost/dapc/index.html. Here, you will find helpful information 

on 49 CFR Part 40, including frequently asked questions and interpretations on Part 40. You may also refer 

to the FTA Drug and Alcohol Program Web site for current information on testing rates, legislation, and 

drug and alcohol testing regulations: http://transit-safety.volpe.dot.gov/DrugAndAlcohol /default.asp. 

Appendix A. Example Policies Page A-1 

December 2007 

Large Transit System 
 

Metropolitan Atlanta Rapid Transit Authority (MARTA) 
 

Drug and Alcohol Policy/Program 
 

Metropolitan Atlanta Rapid Transit Authority (MARTA) 
 

Drug and Alcohol Policy/Program 
 

Summary: MARTA’s policy covers a large transit system and is dedicated to 

providing safe, dependable, and economical transportation services to transit 

system passengers. MARTA is also dedicated to protecting its most valuable 

asset, its employees, by providing a healthy and safe working environment. It is 

MARTA’s policy to ensure that employees are not impaired in their ability to 

perform assigned duties in a safe, productive and healthy manner, create a 

workplace environment free from the adverse effects of drug abuse and alcohol 

misuse, prohibit the unlawful manufacture, distribution, dispensing possession, or 

use of controlled substances, and encourage employees to seek professional 

assistance any time personal problems, including alcohol or drug dependency, 

adversely affect their ability to perform their assigned duties. 

 

EMPLOYEE ASSISTANCE PROGRAM............................................................. 18 

GENERAL....................................................................................................................................... 18 

INFORMATION DISCLOSURE ........................................................................... 19 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

TABLE OF CONTENTS 

1 POLICY STATEMENT ............................................................................................ 3 
 

2 PURPOSE ................................................................................................................... 3 
 

3 APPLICABILITY ...................................................................................................... 4 
 

4 PROHIBITED SUBSTANCES ................................................................................. 5 
 4.1 ILLEGALLY USED CONTROLLED SUBSTANCES OR DRUGS ............................................................... 5 
 

4.2 LEGAL DRUGS................................................................................................................................. 5 
 

4.3 ALCOHOL ........................................................................................................................................ 6 
 

5 PROHIBITED CONDUCT ....................................................................................... 6 

HOW TO REPORT MEDICATION...................................................................................................... 18 

CONFIDENTIALITY OF RECORDS AND ERIFICATION..................................................................... 18 

 VOLUNTARY TREATMENT REQUIREMENTS................................................................................. 8 

NOTIFYING MARTA OF CRIMINAL DRUG CONVICTIONS ................................................................ 9 

PROPER APPLICATION OF THE POLICY............................................................................................. 9 

CONFIDENTIALITY........................................................................................................................... 9 

TESTING PROCEDURES...................................................................................... 10 

OVERVIEW .................................................................................................................................... 10 

OBSERVED COLLECTIONS.............................................................................................................. 11 

BREATH ALCOHOL TESTING.......................................................................................................... 12 

EMPLOYEE REQUESTED TESTING .................................................................................................. 12 

PRE-EMPLOYMENT TESTING ......................................................................................................... 13 

REASONABLE SUSPICION TESTING ................................................................................................ 13 

POST-ACCIDENT TESTING ............................................................................................................. 14 

OVER-THE-COUNTER MEDICATIONS ............................................................................................. 17 

V

 MANUFACTURE, TRAFFICKING, POSSESSION, AND USE................................................................... 6 
 

INTOXICATION................................................................................................................................. 6 
 

ALCOHOL AND DRUG USE............................................................................................................... 6 
 

COMPLIANCE WITH TESTING REQUIREMENTS ................................................................................. 7 
 

SIDE EFFECTS ................................................................................................................................ 17 
 

5.1

5.2

5.3

5.4

5.5 

5.6 

5.7 

5.8 

6 
 

6.1 

6.2 

6.3 

6.4 

6.5 

6.6 

6.7 

6.8 RANDOM TESTING......................................................................................................................... 16 

7 Prescription and Over-th 
 e-Counter Medication ................................................... 16 

7.1 REPORTING OF PRESCRIBED DRUGS .............................................................................................. 16 

7.2 PRESCRIBED DRUGS THAT DO NOT NEED TO BE REPORTED ........................................................ 17 

7.3 PRESCRIBED DRUGS THAT MUST BE REPORTED ........................................................................... 17 
 

7.4 

7.5

7.6 

7.7 

8 
 

8.1 

9 
 

9.1 PRE-EMPLOYMENT........................................................................................................................ 19 
 

9.2 RETENTION AND RELEASE............................................................................................................. 19 
 

10 EMPLOYEE AND SUPERVISOR TRAINING ................................................... 20 
 10.1 GENERAL....................................................................................................................................... 20 
 

10.2 SUPERVISORS ................................................................................................................................ 20 
 

11 PROGRAM CONTACTS........................................................................................ 21 
 

12 SAFETY-SENSITIVE POSITIONS....................................................................... 22 
 

13 NON-SAFETY-SENSITIVE POSITIONS ............................................................ 26 
 

14 DRUG AND ALCOHOL FACT SHEETS............................................................. 27 
 14.1 ALCOHOL ...................................................................................................................................... 27 
 

14.2 AMPHETAMINES ............................................................................................................................ 29 
 

14.3 CANNABINOIDS (MARIJUANA) ...................................................................................................... 31 
 

14.4 COCAINE ....................................................................................................................................... 34 
 

14.5 OPIATES (NARCOTICS) .................................................................................................................. 36 
 

1 

Revised 7/1/05 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

14.6 PHENCYCLIDINE (PCP).................................................................................................................. 38 
 

15 MINIMUM THRESHOLDS ................................................................................... 40 
 

16 HEMP PRODUCTS................................................................................................. 42 
 

17 MEDICATION APPROVAL FORM..................................................................... 44 
 

Revised 7/1/05 

2 
 

Department of Transportation (DOT) has also published 49 CFR Part 40, as amended, 

Transportation has published 49 CFR Part 655, that mandates urine drug testing and 

breath alcohol testing for individuals in safety-sensitive positions and prohibits 

performance of safety-sensitive functions when there is a positive test result. The U.S. 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

1 POLICY STATEMENT 

The Metropolitan Atlanta Rapid Transit Authority (MARTA) is dedicated to providing 

safe, dependable, and economical transportation services to our transit system passengers. 

MARTA is also dedicated to protecting its most valuable asset, its employees, by 

providing a healthy and safe working environment. In meeting these goals it is our policy 

to: 

•	 Ensure that employees are not impaired in their ability to perform assigned duties in a 

safe, productive and healthy manner; 

•	 Create a workplace environment free from the adverse effects of drug abuse and 

alcohol misuse; 

•	 Prohibit the unlawful manufacture, distribution, dispensing possession, or use of 

controlled substances; and 

Federal regulations governing workplace anti-drug and alcohol misuse programs in the 

•	 To encourage employees to seek professional assistance any time personal problems, 

including alcohol or drug dependency, adversely affect their ability to perform their 

assigned duties. 

This Drug and Alcohol Policy strengthens and reaffirms our commitment to the safety of 

our patrons and employees and our dedication to maintaining a Drug Free Workplace by 

enforcing a zero tolerance to Drug and Alcohol abuse. 

2 PURPOSE 

The purpose of this policy is to ensure worker fitness for duty and to protect our 

employees, passengers, and the public from the risks posed by the misuse of alcohol and 

use of prohibited drugs. This policy is also intended to comply with all applicable 

transit industry. The Federal Transit Administration (FTA) of the U.S. Department of 

which sets standards for the collection and testing of urine and breath specimens. In 

addition, the Federal government published 49 CFR Part 29, “The Drug-Free Workplace 

Act of 1988,” which requires the establishment of drug-free workplace policies and the 

reporting of certain drug-related offenses to the FTA. 

This policy identifies the DOT/FTA requirements applicable to safety-sensitive employees 

covered under 49 CFR Parts 40 and 655 in italics. 

Revised 7/1/05 

3 
 

3 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

APPLICABILITY 

This policy applies to all employees and contractors when they are on MARTA property 

or when performing any transit related safety-sensitive or non-safety-sensitive business. 

This policy applies to off-site lunch periods or breaks when an employee is scheduled to 

return to work. Visitors, vendors, and contract employees are governed by this policy 

while on MARTA premises and will not be permitted to conduct MARTA related 

business if found to violate this policy. 

•	 Operating a non-revenue service vehicle when required to be operated by a holder of 

a Commercial Drivers License (CDL). 

In addition to being subject to all other elements of this policy, employees who perform 

“safety-sensitive functions” for MARTA, as that term is defined in (49 CFR 655.4), are 

subject to random drug and alcohol testing and other special requirements set forth in 

this policy. Generally, a safety-sensitive function occurs when an employee is 

performing, ready to perform or immediately available to perform any duty related to the 

operation of mass transit services. The following are safety-sensitive functions: 

•	 Operating a revenue service vehicle, whether or not such vehicle is in revenue 

service. 

• Controlling dispatch or movement of a revenue service vehicle. 

•	 Maintaining a revenue service vehicle or equipment used in revenue service. 

Maintenance functions include the repair, overhaul, and rebuild of engines, vehicles 

and/or equipment. 

•	 Carrying a firearm for security purposes. 

•	 Supervising, where the supervisor performs any functions listed in items 1-5 above. 

MARTA has evaluated the actual duties performed by employees in all job classifications 

and determined which employees perform safety-sensitive functions A list of identified 

safety-sensitive positions is included in Section 12 of this policy. Any new job 

classification will be assessed to determine if the new position is to be considered safetysensitive. 

Revised 7/1/05 

4 
 

 

approval from a physician for the use of a drug in the course of medical treatment. The 

A legally prescribed drug means that an individual has a prescription or other written 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

4 PROHIBITED SUBSTANCES 

Prohibited substances addressed by this policy include the following: 

4.1 ILLEGALLY USED CONTROLLED SUBSTANCES OR DRUGS 

The use of any illegal drug or any substance identified in Schedules I through V of 

Section 202 of the Controlled Substance Act (21 U.S.C. 812), as further defined by 21 

CFR 1300.11 through 1300.15 is prohibited at all times unless a legal prescription has 

been written for the substance. This includes, but is not limited to: marijuana, 

amphetamines, opiates, phencyclidine (PCP), and cocaine, as well as any drug not 

approved for medical use by the U.S. Drug Enforcement Administration or the U.S. Food 

and Drug Administration. Illegal use includes use of any illegal drug, misuse of legal 

prescribed drugs, and use of illegally obtained prescription drugs. 

Under 49 CFR 655.21, all safety-sensitive employees will be tested for prohibited drugs 

and drug metabolites in the following circumstances: pre-employment, post-accident, 

reasonable suspicion, and random. The following drugs must be tested for in each urine 

specimen: marijuana, cocaine, amphetamines, opiates, and phencyclidine. Illegal 

consumption of these products is prohibited at all times. 

4.2 LEGAL DRUGS 

The appropriate use of legally prescribed drugs and non-prescription medications is not 

prohibited. However, the use of any substance which carries a warning label that 

indicates that mental functions, motor skills, or judgment may be adversely affected must 

be reported to supervisory personnel before performing work related duties. Employees 

the-counter drugs that may adversely affect his/her ability to perform safety-sensitive 

are strongly urged to seek and obtain medical advice prior to using prescription or overduties. 

misuse or abuse of legal drugs while performing MARTA business is prohibited. For 

DOT drug testing, if the MRO determines that an employee has a legitimate medical 

reason for the presence of a prohibited drug in their urine specimen, the MRO will report 

the test result as negative to MARTA. However, the MRO may also medically disqualify 

an employee from performing safety-sensitive duties because of medication use. For 

further information, see 49 CFR 40.135(d). 

The use of medical marijuana and hemp products that present levels of drugs or drug 

metabolites above the DOT minimum thresholds is considered a violation of this policy. 

Additional information regarding legal drug use and the use of hemp products is provided 

in Section 15, 16, and 17 of this document. 

Revised 7/1/05 

5 
 

 

 

 

employment tested for alcohol. 

Under 49 CFR 655.31, all safety-sensitive employees will be tested for alcohol in the 

following circumstances: post-accident, reasonable suspicion, and random. All safetysensitive applicants and transfers into safety-sensitive positions will also be preMETROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

4.3 ALCOHOL 

The consumption/use of beverages containing alcohol or substances including any 

medication, mouthwash, food, candy, or any other substance such that alcohol is present 

in the body while performing MARTA business is prohibited. 

5 PROHIBITED CONDUCT 

5.1 MANUFACTURE, TRAFFICKING, POSSESSION, AND USE 

Pursuant to the Drug-Free Workplace Act of 1988, all transit system employees are 

prohibited from engaging in the unlawful manufacture, distribution, dispensing, 

possession, or use of prohibited substances on Authority premises, in Authority vehicles, 

5.3 ALCOHOL AND DRUG USE 

or while on Authority business. Employees who violate this provision will be 

immediately discharged. Law enforcement will be notified, as appropriate, where 

criminal activity is suspected. 

5.2 INTOXICATION 

Any safety-sensitive or non-safety-sensitive employee who is reasonably suspected of 

being intoxicated, impaired, or not fit for duty shall be suspended without pay from job 

duties pending an investigation and verification of condition. Employees who fail to 

pass a drug and/or alcohol test shall be removed from duty immediately and 

discharged. A drug or alcohol test is considered positive if the individual is found to 

have a quantifiable presence of a prohibited substance in the body above the minimum 

thresholds defined in 49 CFR Part 40, as amended. 

No safety-sensitive or non-safety-sensitive employee is permitted to report for duty or 

remain on duty when his/her ability to perform assigned functions is adversely affected 

by alcohol or when his/her breath alcohol concentration is 0.02 or greater. No safetysensitive or non-safety-sensitive employee shall consume alcohol while on duty, in 

uniform, while performing safety-sensitive functions, or just before or just after 

performing a safety-sensitive function. No safety-sensitive employee shall consume 

alcohol within four (4) hours of reporting for duty, or during the hours they are on call. 

All safety-sensitive employees are prohibited from reporting for duty or remaining on 

duty any time there is a quantifiable presence of a prohibited substance in the body above 

the minimum thresholds defined in 49 CFR Part 40, as amended. Employees violating 

these provisions will be discharged. Any safety-sensitive or non-safety sensitive 

Revised 7/1/05 

6 
 

 

 

 

specimen collection cup for the drug test or the mouthpiece is selected for the breath 

to report for a drug/alcohol test will be discharged; 

Fail to remain at the testing site until the testing process is complete (for preemployment testing, the testing process does not begin until the donor receives the 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

employee with a confirmatory breath alcohol test result of 0.02 or greater will be 

immediately removed from duty. Under MARTA policy, a safety-sensitive employee 

with a confirmatory breath alcohol test result with a concentration of .02 or greater, but 

less than .04 will be immediately removed without pay for the remainder of their shift 

and will be suspended without pay until their next shift or for a minimum of eight hours 

which ever is greater. Prior to returning to work, the safety-sensitive employee must 

submit to and pass a DOT breath alcohol retest(concentration of .02 or less). The 

inability to perform a safety-sensitive or non-safety-sensitive duty due to a 

confirmatory breath alcohol test result of 0.02 or greater but less than 0.04 will be 

considered an unexcused absence and subject to MARTA’s disciplinary procedures 

A confirmatory breath alcohol test result of 0.04 or greater will be considered a positive 

alcohol test result and in violation of this policy and the requirements in 49 CFR Part 

655 for safety-sensitive employees. 

5.4 

All safety-sensitive employees will be subject to urine drug testing and breath alcohol 

testing as a condition of employment. Any safety-sensitive employee who refuses to 

comply with a request for testing shall be removed from duty immediately and 

discharged. Observed collections will be conducted as outlined under Section 6.2 of this 

policy and in compliance with 49 CFR 40.67. An MRO verified adulterated or 

substituted drug test result will result in discharge. The following circumstances 

constitute a test refusal by an applicant/employee: 

• All employees are required to depart for drug/alcohol testing immediately upon 

notification. Any employee, who fails to report to the testing center (except for preemployment testing) within a reasonable time, as determined by MARTA, will be 

COMPLIANCE WITH TESTING REQUIREMENTS 

•

subject to disciplinary action up to and including discharge. All employees who fail 

alcohol test); 

•	 Fail to provide a urine and/or breath specimen for any DOT required drug and/or 

alcohol test (for pre-employment testing, the testing process does not begin until the 

donor receives the specimen collection cup for the drug test or the mouthpiece is 

selected for the breath alcohol test); 

•	 Fail to sign the certification at Step 2 of the Alcohol Test Form; 

•	 In the case of a directly observed or monitored collection in a drug test, failing to 

permit the observation or monitoring of the employees provision of a specimen; 

Revised 7/1/05 

7 
 

who voluntarily discloses a substance abuse problem before a disciplinary matter 

develops and/or before notification for a required test, will be subject to return to duty 

and follow-up testing under MARTA authority (using non-DOT testing paperwork). The 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

•	 Fail to provide a sufficient amount of urine or breath when directed, and it has been 

determined, through a required medical evaluation, that there was no adequate 

medical explanation for the failure; 

•	 Fail or decline to take a second test that MARTA or the collector has directed the 

employee to take; 

•	 Fail to undergo a medical examination or evaluation, as directed by the MRO as part 

of the verification process, or as directed by the DER as part of the “shy bladder” or 

“shy lung” procedures (this does not apply to pre-employment testing unless the test 

is conducted following a contingent offer of employment); 

•

when so directed by the collector, behave in a confrontational way that disrupts the 

collection process); 

•	 An MRO verified adulterated or substituted drug test result. 

Random and reasonable suspicion drug testing can be performed any time a safetysensitive employee is on duty. Random and reasonable suspicion alcohol testing can only 

be performed when a safety-sensitive employee is actually performing a safety-sensitive 

duty, just before, or just after the performance of a safety-sensitive duty. Under MARTA 

5.5 V

as described in Section 6.6 of this policy. 

OLUNTARY TREATMENT REQUIREMENTS 

	 Fail to cooperate with any part of the testing process (e.g., refuse to empty pockets 

policy, reasonable suspicion testing can only be performed given documented suspicion 

All employees are encouraged to make use of the available resources for treatment for 

alcohol misuse and illegal drug use problems. Under MARTA’s policy, any employee 

purpose of the return to duty testing is to provide a degree of assurance that the employee 

is drug and alcohol free, i.e., the employee is able to return to work without undue 

concern of continued drug abuse or alcohol misuse. 

The employee must be referred to EAP and evaluated by a substance abuse professional 

and pass a return to duty test. A return to duty test will include both drug and alcohol 

testing as well as meet other return-to-duty requirements. The employee must have a 

verified negative drug test result and a breath alcohol test result of less than 0.02 before 

returning to his/her safety-sensitive functions. Once returned and as a condition of 

ongoing employment, the employee must follow the recommended frequency and 

duration of follow-up testing from the EAP/substance abuse professional. Any employee 

who refuses or fails to comply with requirements for treatment, after care, or return 

to duty shall be discharged. The cost of any treatment or rehabilitation services will be 

paid for directly by the employee or their insurance provider. Employees will be allowed 

8 

Revised 7/1/05 
 

•

•

The information is compelled by law or by judicial or administrative process; 

Program Manager and Wellness Coordinator. The reports or test results may only be 

disclosed without the employee’s consent when: 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

to take accumulated sick leave and vacation leave to participate in the prescribed 

rehabilitation program. 

Any follow up testing will be apart and in addition to participation in the random testing 

program. 

5.6 NOTIFYING MARTA OF CRIMINAL DRUG CONVICTIONS 

Under the Drug Free Workplace Act, all employees are required to notify MARTA of 

any criminal drug statute conviction, for a violation occurring in the workplace, within 

five days after such conviction. Failure to comply with this provision shall result in 

discharge. MARTA will notify FTA of any employee criminal drug statute conviction 

within 10 days of notification of the conviction. 

5.7 PROPER APPLICATION OF THE POLICY 

MARTA is dedicated to assuring fair and equitable application of this substance abuse 

policy. Therefore, supervisors/managers are required to use and apply all aspects of this 

policy in an unbiased and impartial manner. 

disregards the requirements of this policy, or who is found to deliberately misuse the 

policy in regard to subordinates, shall be subject to disciplinary action up to and 

including termination of employment. 

5.8 C

MARTA affirms the need to protect individual dignity, privacy and confidentiality 

throughout the testing process. Laboratory reports or test results shall not appear in an 

Any supervisor/manager who knowingly 

separate confidential file that will be kept under the control of the Drug and Alcohol 

employee’s general personnel file. Information of this nature will be contained in a 

ONFIDENTIALITY 

	 	 The information has been placed at issue in a formal dispute between the employee 

and employer. 

In all other cases the employee must sign a separate release every time substance testing 

information is to be disclosed. The employee must sign releases anytime information is 

to be released to the employee, union representative, subsequent employers, and to any 

other third party designated by the employee. 

All records will be maintained in accordance with 49 CFR Parts 40 and 655. 

Revised 7/1/05 

9 
 

 

 

All drug testing laboratory results will only be reported to a Medical Review Officer 

thresholds established in 49 CFR 40.87. 

established for each drug and/or its metabolites. 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

6 TESTING PROCEDURES 

6.1 OVERVIEW 

Urine drug testing and breath testing for alcohol may be conducted under MARTA 

policy or as required by federal regulations. All safety-sensitive employees shall be 

subject to pre-employment, random, reasonable suspicion and post-accident drug and 

alcohol testing as defined in other sections of this policy. 

Testing shall be conducted in a manner to assure a high degree of accuracy and 

reliability and using techniques, equipment, and laboratory facilities which have been 

approved by the U.S. Department of Health and Human Service (DHHS). All testing will 

be conducted consistent with the procedures in 49 CFR Part 40, as amended. Copies of 

49 CFR Part 40 are available for review by the employees from DAPM in the 

Department of Human Resources. An electronic version of 49 CFR Part 40 is also 

available for download at the Office of Drug and Alcohol Policy and Compliance website 

(http://www.dot.gov/ost/dapc/index.htm). The collection procedures will be performed in 

a private, confidential manner and every effort will be made to protect the employee, the 

integrity of the drug testing procedure, and the validity of the test result 

DOT regulations only permit urine testing for the following five drugs: marijuana, 

cocaine, opiates, amphetamines, and phencyclidine. Urine specimens will be collected 

using the split specimen collection method as described in 49 CFR Part 40, as amended. 

Each specimen will be accompanied by a Federal Drug Testing Custody and Control 

Form and identified using a unique identification number that attributes the specimen to 

 An initial drug screen will be conducted on the primary urine 

specimen. For those specimens with non-negative initial drug screen results, 

. 

The test will be considered positive if the amounts present are above the minimum 

confirmatory Gas Chromatography/Mass Spectrometry (GC/MS) test will be performed. 

the correct individual. 

Policy Section 15 lists the minimum thresholds 

(MRO). An MRO is a licensed physician with detailed knowledge of substance abuse 

disorders and drug testing. The MRO will review the test results to ensure the scientific 

validity of the test. Before verifying that an employee has a positive test result, the MRO 

is responsible for contacting any such employee, on a direct and confidential basis, to 

determine whether the employee wishes to discuss the test or present a legitimate medical 

explanation for the positive test result. The MRO will subsequently review the 

employee’s medical history/medical records to determine whether there is a legitimate 

medical explanation for a positive, substituted or adulterated laboratory result. If no 

legitimate medical explanation exists to explain the test result, the test will be verified 

positive, substituted, or adulterated and reported to MARTA’s Designated Employer 

Representative (DER). If the MRO determines that an employee has a legitimate 

explanation for a positive test result, the MRO will report the test result as negative. An 

MRO staff person may make the initial contact with the employee to set-up an 

Revised 7/1/05 

10 
 

 

the MRO reports to the DER that there was no adequate medical explanation for the 

notice will be conducted if any of the following situations occur: 

• The DHHS-certified laboratory reports to the MRO that a specimen is invalid, and 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

appointment to speak with the MRO, but only the MRO is permitted to discuss the test 

result with the employee. If, after reasonable efforts (three (3) times in 24 hours), the 

MRO/MRO staff is unable to reach the employee directly, the MRO will contact 

MARTA’s DER for assistance in contacting the employee. MARTA’s DER will take 

maximum precautions to preserve the confidentiality to the MRO contact. 

If after making all diligent and reasonable efforts, neither the MRO nor MARTA’s DER 

are able to contact the employee within ten (10) days of the date the MRO received the 

positive test result from the laboratory, the MRO will verify the test result as positive. 

The MRO will also verify a test result as positive if the employee does not contact the 

MRO within 72 hours of being contacted by MARTA’s DER or the employee expressly 

declines the opportunity to discuss the test result. 

collection. 

The MRO may reopen the verification of a positive test result if the employee presents an 

reason acceptable to the MRO to do so (e.g., documentation of serious injury or illness or 

other circumstances that unavoidably prevented the employee from being contacted 

within the designated time period). If the employee then presents a legitimate (in the 

MRO’s opinion) explanation for the positive test, the MRO shall declare the test to be 

Any safety-sensitive applicant/employee with a dilute negative test result (creatinine ≥ 5 

mg/dL) will be directed by the DER to undergo an immediate second unobserved 

negative. 

collection under direct observation (by a person of the same gender) with no advance 

6.2 OBSERVED COLLECTIONS 

Consistent with the requirements in 49 CFR 40.67, an immediate urine specimen 

results. 

•	 The MRO reports to the DER that the original positive, adulterated, or substituted 

test result had to be cancelled because the test of the split specimen could not be 

performed. 

•	 MARTA may direct an employee to provide a specimen a urine specimen under 

direct observation for return-to-duty and follow-up drug tests. 

•	 The collector, must immediately conduct a collection under direct observation if they 

are directed by the DER to do so; or 

•	 The collector observes materials brought to the collection site or the employee’s 

conduct clearly indicates an attempt to tamper with a specimen; or 

•	 The temperature of the original specimen provided was outside the acceptable 

temperature range of 90-100 o

F; or 

•	 The original specimen appeared to have been tampered with; or 

11 

Revised 7/1/05 
 

 

 

but are governed under MARTA’s own policy and testing authority. 

6.4 EMPLOYEE REQUESTED TESTING 

Professional (SAP) for assessment and referral in accordance with 49 CFR Part 40. 

Non-safety-sensitive employees are exempt from FTA regulations included in this policy, 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

•	 The MRO directs MARTA to conduct a second specimen collection under direct 

observation because the creatinine concentration of an applicant/employee’s initial 

specimen provided was equal to or greater than 2 mg/dL but less than or equal to 5 

mg/dL. 

6.3 BREATH ALCOHOL TESTING 

Breath alcohol testing will be conducted utilizing a National Highway Traffic Safety 

Administration (NHTSA) approved evidential breath-testing device (EBT) operated by a 

trained breath alcohol technician (BAT). All breath alcohol test results will be reported 

only by an MRO or BAT to the Designated Employer Representative (DER). If the initial 

test indicates a breath alcohol concentration of 0.02 or greater, a second test will be 

performed to confirm the results of the initial test. A safety-sensitive or non-safetysensitive employee who has a confirmatory breath alcohol test result of 0.02 or greater 

will be immediately removed from duty. Under MARTA policy, a safety-sensitive 

employee with a confirmatory breath alcohol test result with a concentration of .02 or 

greater, but less than .04 will be immediately removed without pay for the remainder of 

their shift and will be suspended without pay until their next shift or for a minimum of 

eight hours which ever is greater The inability to perform a safety-sensitive or nonsubmit to a drug or alcohol test (see policy Section 5.4) will be immediately removed 

safety-sensitive duty due to a confirmatory breath alcohol test result from 0.02 to 

0.039 will be considered an unexcused absence and subject to MARTA’s 

disciplinary procedures. A confirmatory breath alcohol test result of 0.04 or greater 

will be considered a positive alcohol test result and a violation of this policy and federal 

requirements in 49 CFR Part 655. 

Any safety-sensitive or non-safety-sensitive employee with a confirmed positive drug 

test result, confirmatory breath alcohol test result of 0.04 or greater, or refuses to 

from their safety-sensitive position, discharged, and referred to a Substance Abuse 

Any safety-sensitive or non-safety sensitive employee who questions a positive, 

adulterated or substituted test result of a required drug test identified in this policy may 

request that the split sample be tested. This test must be conducted at a different DHHS 

certified laboratory. The test must be conducted on the split sample that was provided by 

the employee at the same time as the original sample. If an employee requests split 

sample testing, the split sample test will occur regardless of up-front payment, but 

MARTA reserves the right to seek reimbursement from the employee unless the result of 

the split sample testing invalidates the result of the original test. The employee’s request 

for a split sample test must be made to the Medical Review Officer within 72 hours of 

notice of the original sample verified test result. Requests after 72 hours will only be 

Revised 7/1/05 

12 
 

 

REASONABLE SUSPICION TESTING 

sensitive function. 

Any safety-sensitive employee that has a confirmed positive pre-employment drug 

and/or alcohol test will be discharged. 

6.6 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

accepted if the delay was due to documentable facts that were beyond the control of the 

employee. Non-safety-sensitive employees are exempt under FTA regulations, but 

MARTA’s own policy authority regulates adherence. 

6.5 PRE-EMPLOYMENT TESTING 

All safety-sensitive position applicants or transfers from non-safety sensitive to safetysensitive positions shall undergo urine drug testing (following procedures set forth in 49 

CFR 655.41 and49 CFR Part 40, Subparts C-I) prior to hire or transfer into a safetysensitive position. Under MARTA’s own policy, all safety sensitive applicants and 

transfers shall undergo breath alcohol testing following a contingent offer of employment 

or transfer. Alcohol testing will be conducted using the alcohol testing procedures set 

forth in 49 CFR Part 40. Receipt by MARTA of a verified negative drug test result and a 

pass a pre-employment drug and alcohol test prior to the performance of ANY safetynegative breath alcohol test result (<0.02 BAC) is required prior to employment. A 

verified positive pre-employment drug and/or alcohol test will disqualify an 

applicant for employment. Any safety-sensitive applicant who undergoes a preemployment test, but is not actually assigned safety sensitive duties within 90 days from 

the date of the test, will have to retest with negative test results prior to the applicant’s 

first performance of safety-sensitive duties. 

Under MARTA’s policy, a pre-employment/pre-transfer test will also be performed 

anytime an employee’s status changes from an inactive status in a safety-sensitive 

position to an active status in a safety-sensitive position. 

All safety sensitive employees who have not performed a safety-sensitive function for 90 

or more consecutive calendar days, regardless of the reason, AND HAVE BEEN OUT 

OF THE RANDOM TESTING POOL DURING THAT TIME PERIOD, must successfully 

A reasonable suspicion referral for testing will be made on the basis of specific, 

contemporaneous, (happening at that moment), articulable observations concerning the 

appearance, behavior, speech, or body odor of the safety sensitive employee. Examples 

of reasonable suspicion include, but are not limited to, the following: 

•	 Physical signs and symptoms consistent with prohibited substance use or alcohol 

misuse. 

All safety-sensitive and non-safety-sensitive employees may be subject to a fitness for 

duty evaluation, and urine and/or breath testing when there are reasons to believe that 

drug or alcohol use is adversely affecting his/her job performance. Additional examples 

13 

Revised 7/1/05 
 

 

not the vehicle is in revenue service). Accident as defined by the FTA is an occurrence 

associated with the operation of a vehicle, if as a results of: 

6.7 POST-ACCIDENT TESTING 

All safety-sensitive employees will be required to undergo urine and breath testing if they 

are involved in an FTA accident with a MARTA Transit vehicle (regardless of whether or 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

of reasonable suspicion under MARTA’s policy include, but are not limited to, the 

following: 

•	 Evidence of the manufacture, distribution, dispensing, possession, or use of 

controlled substances, drugs, alcohol, or other prohibited substance. 

•	 Occurrence of a serious or potentially serious accident that may have been caused 

by prohibited substance abuse or alcohol misuse. 

•	 Fights (to mean physical contact), assaults, and flagrant disregard or violation of 

established safety, security, or other operating procedures. 

Reasonable suspicion referrals must be made by a supervisor or company official who is 

trained to detect the physical signs and symptoms, facts, circumstances, physical 

evidence, or patterns of performance and/or behaviors associated with drug use and/or 

test under MARTA’s policy. 

alcohol misuse. If two supervisors, trained to identify the signs and symptoms of drug 

and alcohol use, reasonably conclude that objective facts may indicate drug use or 

alcohol misuse, this will be sufficient justification for testing. One supervisor will 

complete the “Reasonable Suspicion” form, but at least two trained supervisors may 

participate in the reasonable suspicion determination. Under MARTA policy, a 

supervisor or other MARTA authorized official may make reasonable suspicion referrals 

A reasonable suspicion test for drugs can be conducted anytime a safety sensitive 

employee is on duty. A reasonable suspicion test for alcohol can only be conducted when 

the observations are made during, just preceding, or just after the performance of safetysensitive functions. Apart from FTA regulation, all MARTA employees and contractors 

as identified in Policy Section 3, “Applicability,” may be subject to reasonable suspicion 

for non-DOT tests. 

•	 An individual dies (fatality); 

•	 An individual suffers bodily injury and immediately receives medical treatment 

away from the scene of the accident; 

•	 Mass transit vehicle involved is a bus, electric bus, van or automobile, one or 

more vehicles including non-FTA funded vehicles incur disabling damage as the 

results of the accident and the vehicle or vehicles are towed from the scene by a 

tow truck or other vehicle; and 

•	 Mass transit vehicle involved is a rail car, trolley car, trolley bus, or vessel, the 

mass transit vehicle is removed from operations. 

Revised 7/1/05 

14 
 

 

Any safety-sensitive employee who does not remain available for testing or leaves the 

Any safety-sensitive employee involved in an accident must refrain from alcohol use for 

eight hours following the accident or until he/she undergoes a post-accident alcohol test. 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

In the case of a fatality, each surviving safety-sensitive employee operating the vehicle at 

the time of the accident must be tested as well as any other safety-sensitive employees not 

on the vehicle, whose performance could have contributed to the accident (based upon 

the best information available at that time). 

An accident could be the result of a collision with another vehicle or pedestrian, or it 

could be associated with an incident that occurs on the vehicle without any contact with 

another vehicle. 

In a non-fatal accident, all safety sensitive employees operating the vehicle at the time of 

the accident will be tested unless it is determined the employee’s performance can be 

completely discounted as a contributing factor to the accident. Any other safety-sensitive 

employee whose performance could have contributed to the accident will also be tested. 

All safety-sensitive employees must be tested within 32 hours of the accident for drug 

The decision regarding being “completely discounted” will be made by the supervisor on 

the scene based upon the best information available at the time of the incident. 

Accidents involving safety-sensitive management and non-safety sensitive employees 

during the use of non-revenue vehicles may be subject to post accident testing under 

MARTA’s policy. 

Following a covered accident, the safety-sensitive employee will be tested as soon as 

possible. If the alcohol test is not administered within two (2) hours of the accident, the 

supervisor or DER must prepare and maintain on file a “Post Accident” form stating the 

reason the test was not promptly administered. If an alcohol test was not administered 

within eight (8) hours following the accident, all attempts to administer the test must 

cease and the DER must document the “Post Accident” form. 

testing. 

scene of the accident without a justifiable explanation prior to submission to drug and 

alcohol testing will be considered to have refused the test and the employee will be 

discharged. Employees tested under this provision will include not only the operator, 

but also any other covered employee whose performance could have contributed to the 

accident. 

Nothing in this section shall be construed to require the delay of necessary medical 

attention for the injured following an accident or to prohibit a safety-sensitive employee 

from leaving the scene of an accident for a period necessary to obtain assistance in 

responding to the accident or to obtain the necessary emergency medical care. However, 

any employee under the above circumstance who fails to remain readily available for 

drug or alcohol testing (including notifying MARTA of his/her location) or who otherwise 

Revised 7/1/05 

15 
 

can result in disciplinary action up to and including discharge. All employees who 

fail to report for a drug test will be discharged. 

All safety-sensitive employees with a MRO verified positive on a drug or alcohol test 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

leave the scene of the accident without appropriate authorization prior to drug and 

alcohol testing, will be considered to have refused the test. 

If MARTA is unable to perform a FTA drug and alcohol test (i.e., employee is 

unconscious, employee is detained by law enforcement agency), the transit system may 

use drug and alcohol post-accident test results administered by State and local law 

enforcement officials (49 CFR Part 40). The State and local law enforcement officials 

must have independent authority for the test and MARTA must obtain the results in 

conformance with State and local law. 

6.8 RANDOM TESTING 

The FTA regulation (49 CFR 655.45) requires random (unannounced) testing of drugs 

and alcohol for all safety-sensitive employees. The selection of safety-sensitive 

employees for random drug and alcohol testing will be made using a scientifically valid 

method that ensures each covered employee will have an equal chance of being selected 

each time selections are made. The random tests will be unannounced and spread 

throughout the year. Based upon MARTA’s operations, random testing is conducted on 

all days and hours during which safety-sensitive functions are performed. 

All safety-sensitive employees can be tested at any time during an employee’s shift (i.e. 

beginning, middle, and end). Employees are required to proceed immediately and 

directly to the collection site upon notification of their random selection. Under 

MARTA policy, any employee who does not proceed immediately to the testing 

center when notified, or who fails to report to the testing center within one hour of 

notification, will be placed on medical hold without pay until the DER investigates 

the late report. The DER will require a written, signed statement from the 

proceed immediately for testing or taking greater than one hour to report for testing 

employee documenting the circumstances of employee’s situation. Failure to 

will be immediately removed from their safety-sensitive position discharged and 

referred to a Substance Abuse Professional (SAP), in accordance with 49 CFR 655. 

7 PRESCRIPTION AND OVER-THE-COUNTER MEDICATION 

7.1 REPORTING OF PRESCRIBED DRUGS 

In the interest of protecting employees and the general public, safety-sensitive employees 

must make sure that any prescribed drug or any combination of drugs being taken will 

not adversely impact their job performance. The prescribing licensed medical 

practitioner must approve the medication to ensure that the employee’s job duties can be 

performed safely. This approval must be reported in writing to MARTA. A copy of the 

Medication Approval Form is provided in Section 17 of this policy or employees can 

16 

Revised 7/1/05 
 

performance altering side effects, whether or not the label warns of them. Although 

may be the best judge of how a substance is impacting him/her. As such, the employee 

has the responsibility to refrain from using any over-the-counter medication that causes 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

obtain a Medication Approval Form from the Wellness Coordinator at x4285 or online 

via MARTANET. 

7.2 PRESCRIBED DRUGS THAT DO NOT NEED TO BE REPORTED 

Drugs on the Medication Approval Form listed under the section titled “Drugs That Do 

Not Need To Be Reported” do not need to be reported, whether taken alone or in 

combination with other drugs that do not need to be reported. This includes antibiotics, 

birth control pills, vitamins, local dental injections, creams, ointments, and lotions. When 

using a drug that does not need to be reported, it is the employee’s responsibility to make 

sure that the drug taken is exactly the same as the drug on the list. (See Section 17 for a 

list of these drugs.) 

7.3 

Safety-sensitive employees must report prescribed drugs listed under the section of the 

Medication Approval Form titled “Mandatory Reportable Drugs With Restrictions” or 

any other drug that is not listed on the form. When reporting prescribed drugs all other 

prescribed drugs being taken at the same time must also be approved and reported. (See 

Section 17 for a list of these drugs.) 

7.4 

It is the responsibility of safety-sensitive employee, when selecting an over-the-counter 

medication, to read all warning labels before selecting it for use while in a working 

status. Medications whose labels indicate they may affect mental functioning, motor 

skills or judgement should not be selected. The advice of a pharmacist, if available at the 

purchase site may be helpful in making a selection appropriate to the employee’s job 

OVER-THE-COUNTER MEDICATIONS 

PRESCRIBED DRUGS THAT MUST BE REPORTED 

duties. If no alternate medication is available for the condition, employees should seek 

professional assistance from their pharmacist or physician. Ultimately, the employee 

safety-sensitive employees are not required to provide written notice to the Authority 

when using over-the-counter medications it is highly recommended that the employee 

confer with his/her physician regarding the possibility of adverse side effects that may 

impair job performance. 

7.5 SIDE EFFECTS 

Employees who experience medication side effects or do not feel fit for duty, regardless 

of medications or previous approvals, must consult their personal physician and 

immediately refrain from performing hazardous activities, including all safety-sensitive 

functions. 

Revised 7/1/05 

17 
 

 

8 EMPLOYEE ASSISTANCE PROGRAM 

8.1 GENERAL 

MARTA’s Employee Assistant Program offers help for employees to improve or 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

7.6 HOW TO REPORT MEDICATION 

To report a medication, the employee’s licensed medical practitioner must read and sign 

the Medication Approval Form. Employees should bring a medication approval form 

with them when they visit their doctor. This form must be returned to MARTA’s 

Wellness Coordinator prior to resuming safety-sensitive functions. Forms may be hand 

delivered, mailed, or faxed. Contact information for MARTA’s Wellness Coordinator is 

provided in Section 11 of this Policy. 

Employees have the responsibility to explain their job duties to their medical practitioner 

and ensure that the use of prescribed medication will not pose a safety risk to themselves, 

other employees, or the general public. It is recommended that the employee provide the 

medical professional with a copy of their current job description. Copies of job 

descriptions may be obtained by contacting MARTA’s compensation Office at 404-848-

5518 or 404-848-5801. 

If the employee’s use of a prescription or over-the-counter drug endangers the 

employee, other employees or the public, or has contributed to an accident, the 

employee will be subject to discipline, including discharge, under MARTA policy. 

7.7 CONFIDENTIALITY OF RECORDS AND VERIFICATION 

Medication Approval Forms will be kept in a confidential medical file under the control 

of the Wellness Coordinator and may be verified by MARTA’s medical advisors. If an 

employee’s personal physician and MARTA’s medical advisor differ regarding use of a 

medication, the Wellness Coordinator will work with the employee’s medical practitioner 

and the Authority’s medical advisor to resolve the disagreement. 

maintain job performance by solving personal problems. A component of that program is 

to help employee who have some type of personal problem related to addiction (drugs & 

alcohol). Refer to section 5.5 for voluntary treatment requirements and MARTA’s EAP 

policy on the MARTAnet, reference # III.L. The EAP contact is also noted in this policy 

in Section 11. 

Revised 7/1/05 

18 
 

guideway systems; 

To the employee, upon written request; 

regulatory authority over MARTA or the employee; 

of its employees, or to a State oversight agency authorized to oversee rail fixedMETROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

9 INFORMATION DISCLOSURE 

9.1 PRE-EMPLOYMENT 

To be considered for employment, all applicants will be asked to give consent to MARTA 

for a background check of their previous DOT covered employer(s) over the past two 

years as defined by 49 CFR 40.25. Information requested will include: 

• Alcohol test results of 0.04 or higher alcohol concentration 

• Verified positive drug tests 

• Refusals to be tested (including verified adulterated or substituted drug test results) 

• Other violations of DOT agency drug and alcohol testing regulations 

•

•	 With respect to any employee who violated a DOT drug and alcohol regulation, 

documentation of the employee’s successful completion of DOT return-to-duty 

requirements (including follow-up tests) 

9.2 RETENTION AND RELEASE 

All drug and alcohol testing records will be maintained in a secure manner so that 

disclosure of information to unauthorized persons does not occur. Information will only 

be released in the following circumstances: 

• To a third party only as directed by specific, written instruction of the employee; 

• To the decision-maker in a lawsuit, grievance, or other proceeding initiated by or on 

the behalf of the employee tested; 

• To a subsequent employer upon receipt of a written request from the employee; 

Information obtained from previous employers of a drug and alcohol rule violation 

• To the National Transportation Safety Board during an accident investigation; 

• To the DOT or any DOT agency with regulatory authority over the employer or any 

•

• Records will be released if requested by a Federal, State or local safety agency with 

•	 If a party seeks a court order to release a specimen or part of a specimen contrary to 

any provision of Part 40 necessary legal steps will be taken by the Authority to 

contest the issuance of the order. 

Revised 7/1/05 

19 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

10 EMPLOYEE AND SUPERVISOR TRAINING 

10.1 GENERAL 

All safety sensitive employees will undergo a minimum of one hour of training on the 

signs and symptoms of drug use including the effects and consequences of drug use on 

personal health, safety, and the work environment. The training must also include 

manifestations and behavioral cues that may indicate prohibited drug use. 

10.2 SUPERVISORS 

Supervisors will also receive in addition to the above training one hour of reasonable 

suspicion training on the physical, behavioral, and performance indicators of probable 

drug use and one hour of additional reasonable suspicion training on the physical, 

behavioral, speech, and performance indicators of probable alcohol misuse. 

Information on the signs, symptoms, health affects and consequences of alcohol misuse is 

present in Section 14. 

Revised 7/1/05 

20 
 

MEDICAL REVIEW OFFICER 

Name: Dr. Alton Greene, M.D. 

Title: Caduceus Occupational Medicine 

Address: 145 North Ave., Atlanta, Georgia 30308 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

11 PROGRAM CONTACTS 

Any questions regarding this policy or any aspect of the drug and alcohol program should 

be directed to one of the following MARTA representatives: 

PROGRAM MANAGERS 

Name: Deborah Avery, M.Ed. 

Title: Manager of Employee Development & Wellness 

Address: 2424 Piedmont Rd., NE, Atlanta, Georgia 30324 

Telephone Number: 404-848-5941 

FAX Number: 404-848-4222 

Or 

Name: Phyllis W. Lee, MS, CVE, CCM 

FAX Number: 404-848-4476 

Telephone Number: 404-848-4285 

Telephone Number: 404-607-7677 

FAX Number: 404-607-7858 

(MRO) 

Title: Supervisor-Transitional Employment & Wellness 

Address: 2424 Piedmont Rd., NE, Atlanta, Georgia 30324 

Telephone Number: 404-848-4516 

FAX Number: 404-848-5717 

PROGRAM COORDINATOR (DER) 

Name: Kim DeJarnette 

Title: Wellness Coordinator 

Address: 2424 Piedmont Rd., NE, Atlanta, Georgia 30324 

EMPLOYEE ASSISTANCE PROGRAM 

Name: Cameron & Associates, Inc. 

Address: 6100 Lake Forest Drive, Suite 550 

Telephone Number: (404) 843-3399; 1-800-334-6014 

www.caiquality.com 

Revised 7/1/05 

21 
 

 

 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

12 SAFETY-SENSITIVE POSITIONS 

EMPLOYEES SUBJECT TO ALL TYPES OF TESTING TO INCLUDE FTA/DOT TESTING PROVISIONS 

OPERATE VEHICLES CRITICAL TO THE SAFETY OF THE TRAVELING PUBLIC 

5OPR3588NU SMALL BUS OPERATOR FT 

5OPR3587NU SMALL BUS OPERATOR PT 

5OPR7056NU BUS OPERATOR 

5OPR7065NU BUS OPERATOR - PART TIME 

8CHF3340EN CHF INSTRUCTOR-BUS TRANS TRNG 

6CHF7221EN CHIEF RAIL TRAINING INSTRUCTOR 

5INS7175EN INSTRUCTOR BUS OPERATIONS 

5INS3022EN INSTRUCTOR RAIL TRANSPORTATION 

5INS3063EN LEAD INSTRUCTOR RAIL TRANSPORT 

5OPR7648NU P.T. PARATRANSIT OPERATOR 

5OPR7647NU PARATRANSIT OPERATOR 

5OPR7055NU RAIL OPERATOR 

5OPR7935NU STUDENT BUS OPERATOR (FT) 

5OPR7934NU STUDENT BUS OPERATOR (NH) 

5OPR7936NU STUDENT BUS OPERATOR (PT) 

5OPR3225NU STUDENT PARATRANSIT OPERATOR 

5SUP3613SN SUPV RAIL YARD TOWER 

5SUP7889SN SUPV BUS TRANSPORTATION 

5SUP3010SN SUPV PARATRANSIT CERTIFIED 

6TEC7253NN TECHNICAL ASSISTANT 

DISPATCH OR CONTROL REVENUE SERVICE VEHICLES 

4AGM3287EN 

5BLK7047NU BUS DISPATCHER (BLOCKOUT) 

5INS7925EN CHIEF INSTRUCTOR CONTROL CTR 

5ADM7932NN COMMUNICATIONS SPECIALIST 

AGM BUS OPERATIONS 

1PRO3040EN 

5DIR7394EN 

5DIR1660EN 

5DIR3412EN DIR PARATRANSIT & SPECIAL SVCS 

5DIR2315EN DIR RAIL TRANSPORTATION 

5DSP2320SN DISPATCHER-RAIL TRANSPORTATION 

5DSP7645SN DISPATCHER PARATRANSIT 

5DSP1735SN DISPATCHER RADIO COMMUNICATIONS 

5DSP1740SN DIVISION DISPATCHER 

5ENG1840EN ENVIRONMENTAL SAFETY OFFICER 

1DIR3406EN EXECUTIVE DIR SAFETY 

2ENG0290EN FIELD INSPECTOR 

5MGR7798EN GEN SUPT BUS TRANS OPERATIONS 

5MGR7799EN GEN SUPT BUS TRANS SVC 

5MGR7785EN GEN SUPT CONTROL CENTER 

CONSTRUCTION SAFETY OFFICER 

DIR BUS MAINTENANCE 

DIR BUS TRANSPORTATION 

Revised 7/1/05 

22 
 

 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

5MGR7803EN GEN SUPT PARATRANSIT 

5MGR7544EN GEN SUPT RAIL LINE 

5MGR3325EN GEN SUPT RAIL SERVICE OPERATNS 

5MGR7806EN GEN SUPT RAIL TRANSPORTATION 

5MGR3003EN ASST SUPT RADIO COMMUNICATION 

1PRO3006EN INDUSTRIAL SAFETY OFFICER 

5ADM7628NN PARATRANSIT SCHEDULER II 

5ADM7724NN PARATRANSIT SCHEDULER I 

1PRO3118EN SAFETY OFFICER 

4PRO7903EN SAFETY OFFICER-OPERATIONS 

1DIR3583EN SR DIR OPERATIONS MAINT 

1DIR3582EN SR DIR OPERATIONS TRANSPORT 

5PRO7725EN SR PARATRANSIT SYS DATA SPEC 

5INS7925EN 

SUPT BUS COMMUNICATIONS CENTER 

SUPT BUS TRANSPORTATION 

SUPT CONTROL CENTER 

SUPT PARATRANSIT OPERATIONS 

SUPT RAIL LINE 

SUPT RAIL TRANSPORTATION 

SR INSTRUCTOR RAIL CONTROL CTR 

5MGR7828EN 

5MGR7381EN 

5MGR7786EN 

5MGR7815EN 

5MGR7805EN 

5MGR7845EN 

5MGR3441EN 

5SUP7642SN 

5SUP7872EN 

 SUPT YARD OPERATIONS 

SUPV PARATRANSIT OPERATIONS 

SUPV PARATRANSIT SCHEDULINT 

5SUP7850SN SUPV RAIL SERVICES 

MAINTAIN VEHICLES OR EQUIPMENT CRITICAL TO THE SAFETY OF THE TRAVELLING PUBLIC 

5MNT7044NU AA INSPECTOR 

5MNT3198NU APPRENTICE AUTOMOTIVE TECH 

5MNT7050NU APPRENTICE BODY REPAIR 

5MNT3093NU APPRENTICE ET POWER 

5MNT3126NU APPRENTICE ET-COMPUTERS 

5MNT3130NU APPRENTICE ET-RADIO MAINT 

5MNT3129NU APPRENTICE ET-RAIL CAR MAINT 

APPRENTICE ET-TRAIN CONTROL 

5MNT7051NU APPRENTICE MACHINIST 

APPRENTICE MECHANIC 

APPRENTICE MECHANIC 

5MNT7027NU 

5MNT7024NU 

5ENG3104EN BUS MECH/ELEC. ENGINEER 

4CHF3349EN CHF OPERATNS PERF. ANALYSIS 

8CHF3338EN SR INSTRUCTOR-BUS MAINT TRNG 

8CHF3339EN SR INSTRUCTOR-RAIL MAINT TRNG 

9CON3614SN CONTRACT EMP/SAFETY SENSITIVE 

9CON3615SN CONTRACT MGMT/SAFETY SENSITIVE 

9CON7346NN CONTRACT EMP/TECHNICIAN 

9TMP7792NN CONTRACT FLAGPERSON 

5MNT7048NU DYNAMOMETER OPERATOR 

9ENG3141EN ELECTRICAL ENG. VI-RAIL CAR 

9ENG0410EN ELECTRICAL ENGINEER IV 

9ENG1895EN ELECTRICAL ENGINEER V 

5MNT3131NU 

Revised 7/1/05 

23 
 

 

 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

9ENG0415EN ELECTRICAL ENGINEER VI 

4ENG7891EN ELECTRICAL MAINTENANCE ENG 

6PRO7224SN ELECTRICAL MAINTENANCE INSPECT 

5SUP1935SN FOREMAN BUILDING/SUPPORT EQUP 

5SUP2135SN FOREMAN COMMUNICATIONS 

5SUP2140SN FOREMAN COMPUTER MAINTENANCE 

5SUP2145SN FOREMAN FARE GATE MAINTENANCE 

5SUP1950EN GEN FOREMAN TRACK 

5MGR7809EN GEN SUPT BUS MAINT 

5MGR7800EN GEN SUPT HEAVY MAINT 

5MGR7787EN GEN SUPT RAIL CAR MAINTENANCE 

5MGR7788EN GEN SUPT RAIL CAR REHAB 

5MNT7052NU INSPECTOR 

5INS2190EN INSTRUCTOR AUTO TRAIN CONTROL 

5INS2190SN INSTRUCTOR AUTO TRAIN CONTROL 

5INS7527EN INSTRUCTOR BUS TECH/ENVIRON 

5INS1760EN INSTRUCTOR BUS TECHNICAL 

5INS3005EN INSTRUCTOR ELECTRIC POWER 

5INS3021ENINSTRUCTOR CAR MAINT/ELECTRON 

5INS3022NN INSTRUCTOR RAIL OPERATIONS 

5INS3015EN INSTRUCTOR CAR MAINT/MECH 

5INS3020ENINSTRUCTOR CENTRAL MAINTENANCE 

5INS7334EN INSTRUCTOR TRACK 

5MNT7374NU JOURNEYMAN AUTOMOTIVE TECH 

5MNT7021NU JOURNEYMAN BODY REPAIR 

6MNT7335NU JOURNEYMAN ELEC/POWER ELECTRIC 

6MNT7336NU JOURNEYMAN ELEC/POWER TECHNICI 

5MNT7023NU JOURNEYMAN ELECTRONIC TECH 

5MNT3121NU JOURNEYMAN ET-COMPUTER MAINT 

5MNT3120NU JOURNEYMAN ET-FAREGATE MAINT 

5MNT3134NU JOURNEYMAN ET-LABORATORY 

5MNT3124NU JOURNEYMAN ET-RADIO MAINT 

5MNT3123NU JOURNEYMAN ET-RAIL CAR MAINT 

5MNT3122NU JOURNEYMAN ET-TELEPHONE MAINT 

5MNT3125NU JOURNEYMAN ET-TRAIN CONTROL 

5MNT7025NU JOURNEYMAN MACHINIST 

5MNT7029NU JOURNEYMAN MECHANIC 

5MNT7020NU JOURNEYMAN OVERHAULER 

5MNT7388NU JOURNEYMAN RAIL CAR MECHANIC 

5MNT3049NU JOURNEYMAN TRACK MECHANIC 

5MNT7022NU JOURNEYMAN WELDER 

5CHF7533EN LEAD INSTRUCTOR BUS MAINT 

5INS3027EN LEAD INSTRUCTOR CAR MAINT/ELEC 

5MNT7652NU MECHANIC-PARATRANSIT 

1MGR3309EN MGR SYSTEM SAFETY 

5MGR2220EN MGR TRAIN CONTROL 

5SVC7330NU P/T RAIL CAR CLEANER 

4PRO3335EN QA ENGINEER 

9ENG7234EN QA ENGINEER IV 

4PRO3336EN QA ENGINEER RECEIVEING 

Revised 7/1/05 

24 
 

 

5ADR2070EN TRANSIT POLICE MAJOR 

5EXL2080NN TRANSIT POLICE OFFICER 

5POL2080NN TRANSIT POLICE OFFICER 

5POL3205NN TRANSIT POLICE OFFICER-SENIOR 

5POL3018NN TRANSIT POLICE OFFICER-SPECIAL 

5SUP2090SN TRANSIT POLICE SERGEANT 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

9ENG7247EN QA ENGINEER V 

9ENG3193EN QA ENGINEER V - RECEIVEING 

9ENG3192EN QA ENGINEER V - SYSTEMS 

2ENG0710EN QA ENGINEER VI 

9ENG7246EN QA ENGINEER VI 

9ENG3271EN QA ENGINEER VI - TEST 

4PRO3334EN QA SPECIALIST 

4PRO3353EN OPERATIONS BUDGET COORDINATOR 

4PRO3354EN OPERATIONS PROJECT ANALYST 

5SVC7498NU RAIL CAR CLEANER 

4PRO3401SN RAIL SERVICES CONTROLLER 

4-PRO3608EN 

SUPT BUS MAINTENANCE GARAGE 

SUPV CAR REPAIR/INSPECTION 

TRAIN CONTROL ENGINEER 

TRAIN CONTROL ENGINEER VI 

TRACK MAINTAINER 

TRACK WALKER 

PROOGRAM MANAGER ORG EFFICIENCY 

2ENG3211EN STRUCTURAL ENGINEER III-INSPEC 

2ENG7124EN STRUCTURAL ENGINEER IV 

2ENG0500EN STRUCTURAL ENGINEER V 

5MGR7810EN 

5MGR7811EN SUPT HEAVY MAINTENANCE 

5MGR3195EN SUPT PLANT OPERATIONS 

5MGR7816EN SUPT RAIL CAR MAINT 

5SUP7846SN SUPV BUS MAINTENANCE 

5SUP7860SN 

6TRK7273NU 

6TRK7274NU 

5ENG2270EN 

2ENG7766EN 

1AGM3293EN AGM POLICE SYSTEM SECURITY 

4POL7851EN ASSISTANT CHIEF OF POLICE 

5AMR2065SN 

PROVIDE SECURITY AND CARRY A FIREMAN 

 TRANSIT POLICE LIEUTENANT 

OPERATE MARTA VEHICLES REQUIRING A COMMERCIAL DRIVER’S LICENSE (CDL) 

5MNT3127NU APPRENTICE ET FAREGATE 

5MNT3041NU APPRENTICE ET HVAC 

5MNT3128NU APPRENTICE ET-TELEPHONE MAINT 

5MNT7037NU APPRENTICE PAINTER 

5MNT3066NU APPRENTICE SUPPORT EQUIPMENT 

5SUP1930SN FOREMAN POWER 

5SUP1940SN FOREMAN TRACK & STRCT 

5SUP2160SN FOREMAN TRAIN CONTROL 

5MNT7311NU HOSTLER/JUNIOR APPRENTICE 

5EXL7023NU JOURNEYMAN ELECTRONIC TECH 

Revised 7/1/05 

25 
 

 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

5MNT7524NU JOURNEYMAN ET HVAC 

5MNT7030NU JOURNEYMAN PAINTER 

5MNT7032NU JOURNEYMAN SUPPORT EQUIPMENT 

4STO7035NU MATERIAL CONTROLLER 

4STO7036NU MATERIAL CONTROLLER-LEAD 

5MGR1990EN MGR TRACK & STRCT 

5SVC7651NU SERVICE PERSON-PARATRANSIT 

5SVC7039NU SERVICEPERSON I (A) 

5SVC7526NU SERVICEPERSON I (A) - DRIVER 

5SVC7041NU SERVICEPERSON IV 

5SVC7042NU SERVICEPERSON V 

6SVC7503NU SERVICEPERSON VII-GROUNDSKEEPER 

8CHF3350EN SR INSTRUCTOR BUS TRANSPORTATION 

6CHF7221EN SR INSTRUCTOR RAIL TRANSPORTATION 

6TRK7540NU STRUCTURAL INSPECTOR 

6TRK7275NU TRACK APPRENTICE 

13 NON-SAFETY-SENSITIVE POSITIONS 

SUBJECT TO MARTA TESTING PROVISIONS 

Positions tested under MARTA policy (not by FTA definition safety sensitive positions). 

All non-safety-sensitive positions are subject to the relevant provisions of this policy. 

Revised 7/1/05 

26 
 

Decreased sexual function 

Dependency (up to 10 percent of all people who drink alcohol become physically 

and/or mentally dependent on alcohol and can be termed “alcoholic”) 

Fatal liver disease 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

14 DRUG AND ALCOHOL FACT SHEETS 

14.1 ALCOHOL 

Alcohol is a socially acceptable drug that has been consumed throughout the world for 

centuries. It is considered a recreational beverage when consumed in moderation for the 

enjoyment and relaxation during social gatherings. However, when consumed primarily 

for its physical and mood-altering effects, it is a substance of abuse. As a depressant, it 

slows down physical responses and progressively impairs mental functions. 

SIGNS AND SYMPTOMS OF USE 

• Dulled mental processes 

• Lack of coordination 

• Odor of alcohol on breath 

• Possible constricted pupils 

• Sleepy or stupor like condition 

• Slowed reaction time 

• Slurred speech 

(Note: Except for the odor, these are general signs and symptoms of any depressant 

substance.) 

HEALTH EFFECTS 

The chronic consumption of alcohol (average of three servings per day of beer [12 

ounces/serving], whiskey [1 ounce/serving] or wine [6 ounces/serving]) over time may 

result in the following health hazards: 

•

•

•

• Pancreatitis 

• Spontaneous abortion and neonatal mortality 

• Ulcers 

• Birth defects (up to 54 percent of all birth defects are alcohol related) 

Revised 7/1/05 

27 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

SOCIAL ISSUES 

•	 Two-thirds of all homicides are committed by people who drink prior to the crime. 

•	 Two to three percent of the driving population is legally drunk at any one time. This 

rate is doubled at night and on weekends. 

•	 Two-thirds of all Americans will be involved in an alcohol-related vehicle accident 

during their lifetimes. 

•	 The rate of separation and divorce in families with alcohol dependency problems is 7 

times the average. 

•	 Forty percent of family court cases are alcohol problem related. 

•	 Alcoholics are 15 times more likely to commit suicide than are other segments of the 

population. 

•	 More than 60 percent of burns, 40 percent of falls, 69 percent of boating accidents, 

and 76 percent of private aircraft accidents are alcohol related. 

24,000 people will die on the highway due to the legally impaired driver. 

12,000 more will die on the highway due to the alcohol-affected driver. 

30,000 will die due to alcohol-caused liver disease. 

10,000 will die due to alcohol-induced brain disease or suicide. 

Up to another 125,000 will die due to alcohol-related conditions or accidents 

• It takes one hour for the average person (150 pounds) to process one serving of an 

ANNUAL TOLL 

•

•

• 15,800 will die in non-highway accidents. 

•

•

•

WORKPLACE ISSUES 

•

•

as two drinks in the body. 

sober person is. 

alcoholic beverage from the body. 

Impairment in coordination and judgment can be objectively measured with as little 

A person who is legally intoxicated is 6 times more likely to have an accident than a 

Revised 7/1/05 

28 
 

•

•

•

•

•

•

•

•

•

•

•

•

•

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

14.2 AMPHETAMINES 

Amphetamines are central nervous system stimulants that speed up the mind and body. 

The physical sense of energy at lower doses and the mental exhilaration at higher doses 

are the reasons for their abuse. Although widely prescribed at one time for weight 

reduction and mood elevation, the legal use of amphetamines is now limited to a very 

narrow range of medical conditions. Most amphetamines that are abused are illegally 

manufactured in foreign countries and smuggled into the U.S. or clandestinely 

manufactured in crude laboratories. 

DESCRIPTION 

Methamphetamine is often sold as a creamy white and granular powder or in lumps 

and is packaged in aluminum foil wraps or sealable plastic bags. Methamphetamine 

may be taken orally, injected, or snorted into the nose. 

Trade/street names include Biphetamine, Delcobese, Desotyn, Detedrine, Chetrol, 

Ritalin, Speed, Meth, Crank, Crystal, Monster, Black Beauties, and Rits. 

•	 Amphetamine is sold in counterfeit capsules or as white, flat, doubled-scored "minibennies." It is usually taken by mouth. 

SIGNS AND SYMPTOMS OF USE 

Hyperexcitability, restlessness 

Dilated pupils 

Increased heart rate and blood pressure 

Heart palpitations and irregular beats 

Profuse sweating 

Rapid respiration 

Confusion 

Panic 

Talkativeness 

Inability to concentrate 

Heightened aggressive behavior 

HEALTH EFFECTS 

•	 Regular use produces strong psychological dependence and increasing tolerance to 

drug. 

•	 High doses may cause toxic psychosis resembling schizophrenia. 

•	 Intoxication may induce a heart attack or stroke due to spiking of blood pressure. 

•	 Chronic use may cause heart and brain damage due to severe constriction of capillary 

blood vessels. 

•	 The euphoric stimulation increase impulsive and risk-taking behaviors, including 

bizarre and violent acts. 

Revised 7/1/05 

29 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

WORKPLACE ISSUES 

Since amphetamines alleviate the sensation of fatigue, they may be abused to increase 

alertness because of unusual demands or failure to get rest. 

Low-dose amphetamine use will cause a short-term improvement in mental and physical 

functioning. With greater use or increasing fatigue, the effect reverses and has an 

impairing effect. Hangover effect is characterized by physical fatigue and depression, 

which may make operation of equipment or vehicles dangerous. 

Revised 7/1/05 

30 
 

HEALTH EFFECTS 

emphysema-like conditions. 

Chronic fatigue and lack of motivation 

Irritating cough, chronic sore throat 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

14.3 CANNABINOIDS (MARIJUANA) 

Marijuana is one of the most misunderstood and underestimated drugs of abuse. People 

use marijuana for the mildly tranquilizing and mood/perception altering effects its 

produces. 

DESCRIPTION 

Usually sold in plastic and sandwich bags, leaf marijuana will range in color from green 

to light tan. The leaves are usually dry and broken into small pieces. The seeds are oval 

with one slightly pointed end. Less prevalent, hashish is a compressed, sometimes tar 

like substance ranging in color from pale yellow to black. 

chunks wrapped in aluminum foil. It may also be sold in an oily liquid. Marijuana has a 

distinctly pungent aroma resembling a combination of sweet alfalfa and incense. 

Cigarette papers, roach clip holders, and small pipes made of bone, brass, or glass are 

commonly found. Smoking "bongs" (large bore pipes for inhaling large volume of 

smoke) can easily be made from soft drink cans and toilet paper rolls. Trade/street names 

include Marinol, THC, Pot, Grass, Joint, Reefer, Acapulco Gold, Sinsemilla, Thai Sticks, 

It is usually sold in small 

Hash, and Hash Oil. 

SIGN AND SYMPTOMS OF USE 

•

•

•

•

•

•

Reddened eyes (often masked by eyedrops) 

Slowed speech 

Distinctive odor on clothing 

Lackadaisical "I don't care" attitude 

• When marijuana is smoked, it is irritating to the lungs. Chronic smoking causes 

•	 One joint causes the heart to race and be overworked. People with undiagnosed heart 

conditions are at risk. 

•	 Marijuana is commonly contaminated with the fungus Aspergillus, which can cause 

serious respiratory tract and sinus infections. 

•	 Marijuana smoking lowers the body's immune system response, making users more 

susceptible to infection. The U.S. government is actively researching a possible 

connection between marijuana smoking and the activation of AIDS in positive 

immunodeficiency virus (HIV) carriers. 

Revised 7/1/05 

31 
 

 

Erratic cognitive function 

Distortions in time estimation 

are operating machinery 

Impaired tracking (the ability to follow a moving object with the eyes) and visual 

distance measurements 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

PREGNANCY PROBLEMS AND BIRTH DEFECTS 

The active chemical, tetrahydrocannabinol (THC), and 60 other related chemicals in 

marijuana concentrate in the ovaries and testes. Chronic smoking of marijuana in males 

causes a decrease in sex hormone, testosterone, and an increase in estrogen, the female 

sex hormone. The result is a decrease in sperm count, which can lead to temporary 

sterility. Occasionally, the onset of female sex characteristics including breast 

development occurs in heavy users. Chronic smoking of marijuana in females causes a 

decrease in fertility and an increase in testosterone. Pregnant women who are chronic 

marijuana smokers have a higher than normal incidence of stillborn births, early 

termination of pregnancy, and higher infant mortality rate during the first few days of 

MENTAL FUNCTION 

•

Regular use can cause the following effects: 

• Delayed decision-making 

• Diminished concentration 

• Impaired short-term memory, interfering with learning 

Impaired signals detection (ability to detect a brief flash of light), a risk for users who 

life. In test animals, THC causes birth defects, including malformations of the brain, 

spinal cord, forelimbs, and liver, and water on the brain and spine. Offspring of test 

animals who were exposed to marijuana have fewer chromosomes than normal, causing 

gross birth defects or death of the fetus. Pediatricians and surgeons are concluding that 

the use of marijuana by either or both parents, especially during pregnancy, leads to 

specific birth defects in infant 's feet and hands. One of the most common effects of 

prenatal cannabinoid exposure is underweight newborn babies. Fetal exposure may 

decrease visual functioning and causes other ophthalmic problems. 

•

•

•

•	 Long-term negative effects on mental function as "acute brain syndromes," which is 

characterized by disorders in memory, cognitive function, sleep patterns, and physical 

conditions. 

ACUTE EFFECTS 

•	 Aggressive urges 

•	 Anxiety 

•	 Confusion 

•	 Fearfulness 

•	 Hallucinations 

Revised 7/1/05 

32 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

• Heavy sedation 

• Immobility 

• Mental dependency 

• Panic 

• Paranoid reaction 

• Unpleasant distortions in body image 

WORKPLACE ISSUES 

The active chemical, THC, stores in body fat and slowly releases over time. Marijuana 

smoking has a long-term effect on performance. A 500 to 800 percent increase in THC 

concentration in the past several years makes smoking three to five joints a week today 

equivalent to 15 to 40 joints a week in 1978. Combine alcohol or other depressant drugs 

and marijuana can produce a multiplied effect, increasing the impairing effect of both the 

depressant and marijuana. 

Revised 7/1/05 

33 
 

Unusual defensiveness, anxiety, agitation 

Wide mood swings 

Runny or irritated nose 

Increased physical activity and fatigue 

Isolation and withdrawal from friends and normal activities 

Secretive behaviors, frequent non-business visitors, delivered packages, phone calls 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

14.4 COCAINE 

Cocaine is used medically as a local anesthetic. It is abused as a powerful physical and 

mental stimulant. The entire central nervous system is energized. Muscles are more 

tense, the heart beats faster and stronger, and the body burns more energy. The brain 

experiences exhilaration caused by a large release of neurohormones associated with 

mood elevation. 

DESCRIPTION 

The source of cocaine is the coca bush, grown almost exclusively in the mountainous 

region of northern South America. Cocaine Hydrochloride "Snorting coke, is a white to 

creamy granular or lumpy powder that is chopped into a fine powder before use. It is 

blow. 

• Financial problems 

snorted into the nose, rubbed on the gums, or injected in veins. The effect is felt within 

minutes and lasts 40 to 50 minutes per "line" (about 60 to 90 milligrams). Common 

paraphernalia include a single-edged razor blade and a small mirror or piece of smooth 

metal, a half straw or metal tube, and a small screw cap vial or folded paper packet 

containing the cocaine. Cocaine Base is a small crystalline rock about the size of a small 

pebble. 

It is heated in a glass pipe and the vapor is inhaled. The effect is felt within seven 

seconds. Common paraphernalia includes a "crack pipe" (a small glass smoking device 

for vaporizing the crack crystal) and a lighter, alcohol lamp or small butane torch for 

heating. Trade/street names include coke, rock, crack, free base, flake, snow, smoke, and 

It boils at a low temperature, is not soluble in water, and is up to 90 percent pure. 

•

SIGNS AND SYMPTOMS OF USE 

Frequent and extended absences from meetings or work assignment 

•

•

•

•

•

•

• Difficulty in concentration 

• Dilated pupils and visual impairment 

• Restlessness 

• Formication (sensation of bugs crawling on skin) 

• High blood pressure, heart palpitations, and irregular rhythm 

• Hallucinations 

• Hyperexcitability and overreaction to stimulus 

• Insomnia 

• Paranoia and hallucinations 

• Profuse sweating and dry mouth 

Revised 7/1/05 

34 
 

missed assignments. 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

• Talkativeness 

HEALTH EFFECTS 

Research suggests that regular cocaine use may upset the chemical balance of the brain. 

As a result, it may speed up the aging process by causing irreparable damage to critical 

nerve cells. The onset of system illness such as Parkinson's disease could also occur. 

Cocaine use causes the heart to beat faster and harder and rapidly increased blood 

pressure. In addition, cocaine causes spasms of blood vessels in the brain and heart. 

Both effects lead to ruptured vessels causing strokes or heart attacks. Strong 

psychological dependency can occur with one "hit" of crack. Usually, mental 

dependency occurs within days when using crack or within several month when snorting 

cocaine. Cocaine causes the strongest mental dependency of any known drug. Treatment 

success rates are lower than for other chemical dependencies. Cocaine is extremely 

behavior. 

dangerous when taken with depressant drugs. Death due to overdose is rapid. The fatal 

effects of an overdose are not usually reversible by medical intervention. The number of 

cocaine overdose deaths has tripled since 1996. Cocaine overdose is one of the most 

common drug emergencies. 

WORKPLACE ISSUES 

•

•

Extreme mood and energy swings create instability. Sudden noises can cause a 

•

•

violent reaction. 

Lapses in attention and ignoring warning signals greatly increase the potential for 

accidents. 

The high cost of cocaine frequently leads to workplace theft and/or dealing. 

A developing paranoia and withdrawal create unpredictable and sometimes violent 

• Work performance is characterized by forgetfulness, absenteeism, tardiness, and 

Revised 7/1/05 

35 
 

sensitivity. Narcotics' effects are multiplied when used in combination with other 

depressant drugs and alcohol, causing increased risk for an overdose. 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

14.5 OPIATES (NARCOTICS) 

Opiates (also called narcotics) are drugs that alleviate pain, depress body functions and 

reactions, and when taken in large doses, cause a strong euphoric feeling. 

DESCRIPTION 

Varieties of opiates include natural and natural derivatives - opium, morphine, codeine, 

and heroin as well as synthetics such as meperidine (Demerol), oxymorphone 

(Numorphan), and oxycodone (Percodan). Opiates may be taken in pill form, smoked, or 

injected, depending upon the type of narcotic used. Trade/street names include Smack, 

Horse, Emma, Big D, Dollies, Juice, Syrup, and China White. 

SIGNS AND SYMPTOMS OF USE 

• Mood changes 

•

IV needle users have a high risk for contracting hepatitis and AIDS due to the sharing of 

Impaired mental functioning and alertness 

• Constricted pupils 

• Depression and apathy 

• Impaired coordination 

• Physical fatigue and drowsiness 

• Nausea, vomiting, and constipation 

• Impaired respiration 

HEALTH EFFECTS 

needles. Narcotics increase pain tolerance. As a result, people could more severely 

injure themselves or fail to seek medical attention after an accident due to the lack of pain 

SOCIAL ISSUES 

There are over 500,000 heroin users in the U.S., most of who are IV needle users. An 

even greater number of medical narcotic-dependent persons obtain their narcotics through 

prescriptions. Because of tolerance, there is an ever-increasing need for more of the 

narcotic to produce the same effect resulting in strong mental and physical dependency. 

The combination of tolerance and dependency and the resulting need to acquire greater 

quantities of the drug creates an increasing financial burden for the users. Costs for 

heroin can reach hundreds of dollars a day. 

Revised 7/1/05 

36 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

WORKPLACE ISSUES 

Unwanted side effects such as nausea, vomiting, dizziness, mental clouding, and 

drowsiness place the legitimate user and abuser at higher risk for an accident. Narcotics 

have a legitimate medical use in alleviating pain. Workplace use may cause impairment 

of physical and mental functions. 

Revised 7/1/05 

37 
 

•

•

•

•

Dilated pupils 

Profuse sweating 

Rapid heartbeat 

Dizziness 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

14.6 PHENCYCLIDINE (PCP) 

Phencyclidine (PCP) was originally developed as an anesthetic, but the adverse side 

effects prevented its use except as a large animal tranquilizer. Phencyclidine acts as both 

a depressant and a hallucinogen, and sometimes as a stimulant. It is abused primarily for 

its variety of mood-altering effects. Low doses produce sedation and euphoric mood 

changes. The mood can change rapidly from sedation to excitation and agitation. Larger 

doses may produce a coma-like condition with muscle rigidity and a blank stare with the 

eyelids half closed. Sudden noises or physical shocks may cause a "freak out" in which 

the person has abnormal strength, extremely violent behavior, and an inability to speak or 

comprehend communication. 

DESCRIPTION 

PCP is sold as a creamy, granular powder and is often packaged in one-inch square 

aluminum foil or folded paper "packets". It may be mixed with marijuana or tobacco and 

smoked. 

imitation cocaine. Trade/street names include Angel Dust, Dust, and Hog. 

SIGN AND SYMPTOMS OF USE 

• Impaired coordination 

• Severe confusion and agitation 

• Extreme mood shifts 

• Muscle rigidity 

• Nystagmus (jerky eye movements) 

It is sometimes combined with procaine, a local anesthetic, and sold as 

HEALTH EFFECTS 

The potential for accidents and overdose emergencies is high due to the extreme mental 

effects combined with the anesthetic effect on the body. Other depressant drugs 

potentiate PCP, including alcohol, increasing the likelihood of an overdose reaction. 

Misdiagnosing the hallucinations as LCD induced, and then treating with Thorazine, can 

cause a fatal reaction. Use can cause irreversible memory loss, personality changes, and 

thought disorders. There are four phases of PCP abuse. The first phase is acute toxicity. 

It can last up to three days and can include combativeness, catatonia, convulsions, and 

coma. Distortions of size, shape and perception are common. The second phase, which 

does not always follow the first, is a toxic psychosis. Users may experience visual and 

auditory delusions, paranoia, and agitation. The third phase is PCP-induced depression. 

Suicidal tendencies and mental dysfunction can last for months. 

38 

Revised 7/1/05 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

WORKPLACE ISSUES 

PCP abuse is less common today than in recent years. It is also not generally used in a 

workplace setting because of the severe disorientation that occurs. However, use in the 

workplace can expose the user and others to extreme safety hazards. 

Revised 7/1/05 

39 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

15 MINIMUM THRESHOLDS 

INITIAL TEST INITIAL TEST CUTOFF LEVELS 

Marijuana metabolites 50 ng/ml 

Cocaine metabolites 300 ng/ml 

Opiate metabolites 2,000 ng/ml 

Phencyclidine (PCP) 25 ng/ml 

Amphetamines 1,000 ng/ml 

200 ng/ml 

Phencyclidine (PCP) 

2,000 ng/ml 

25 ng/ml 

Amphetamines: 

Amphetamine 500 ng/ml 

Methamphetamine (3) 500 ng/ml 

(1) Delta-9-tetrahydrocannabinol-9-carboxlic acid 

(2) Benzoylecgonine 

(3) Specimen must also contain amphetamine at a concentration greater than or equal to 

CONFIRMATORY TEST
 

Marijuana metabolites (1)
 

Cocaine metabolites (2)
 

Opiates: 
 

Morphine 
 

Codeine 
 

CONFIRMATORY TEST CUTOFF LEVELS 

15 ng/ml 

150 ng/ml 

2,000 ng/ml 

substances at other concentrations. 

These cutoff levels are subject to change by the Department of Health and Human 

Services as advances in technology or other considerations warrant identification of these 

Revised 7/1/05 

40 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

Revised 7/1/05 

41 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

16 HEMP PRODUCTS 

HEMP WARNING 

Food products containing Hemp may have sufficient THC to cause impairment and 

produce positive marijuana drug test results. 

The Hemp plant, from which marijuana is derived, also produce edible seeds which can 

be legally imported into the United States after they are “sterilized”, a process which is 

intended to render the seed incapable of being sprouted and to remove “all traces of 

THC”. Virtually all hemp food packaging is labeled that it “CONTAINS NO THC”. 

This is apparently inaccurate. One major manufacturer advertises that they have the 

lowest levels of THC at only 33 parts per million. Others say residual THC in their 

products is under 50 parts per million and claim competitive products may contain as 

much as 1,300 parts per million. 

Because of MARTA’s concern for workplace safety, which could be jeopardized by THC 

from any source, employees are encouraged to refrain from using hemp-containing food 

products until the effectiveness of seed sterilization in removing THC can be documented 

through independent testing. 

Job applicants or employees testing positive for marijuana, claiming use of hemp 

containing food products will be considered positive. All employees verified with 

positive drug-test results will be discharged. 

Revised 7/1/05 

42 
 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

Page Intentionally Left Blank 

Revised 7/1/05 

43 
 

 

 

 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

17 MEDICATION APPROVAL FORM 

EMPLOYEE COMPLETES THIS SECTION: 

EMPLOYEE NAME________________________________________________DATE___________________ 

EMPLOYEE ID #____________________JOB TITLE______________________________________________ 

OFFICE____________________________________WORK LOCATION_______________________________ 

WORK PHONE NUMBER___________________________ 

The information provided in this Medication Approval Form is true and correct to the best of my knowledge. I understand and will 

comply with the prescribed use of these medications and their restrictions while working. 

_______________________________________________________________ _____________________________ 

Signed Date 

PHYSICIAN COMPLETES THIS SECTION: 

Please complete this form so that your patient can work in his/her Metropolitan Atlanta Rapid Transit Authority safetysensitive job. By signing below, you are acknowledging that you are aware of this employee’s job duty requirements 

and that the prescribed medication(s) currently being taken will not adversely impair performance or endanger the 

safety of this individual, coworker, MARTA customer, or the public. Please indicate below what, if any, restrictions 

should be placed upon the time between when the medication is taken and the time the individual can safely perform 

his/her job duties. 

Medication Employee is Currently Taking: 

Name of Drug Date Prescribed Date Approval Expires Restrictions/Instructions 

___________________ ___________ ________________ ____________________________ 

___________________ ___________ ________________ ____________________________ 

___________________ ___________ ________________ ____________________________ 

___________________ ___________ ________________ ____________________________ 

_______________________________________________________________ 

Signed 

Please Print Name, Address and Phone Number Below: 

_____________________________ 

Date 

_______________________________________________ 

_______________________________________________ 

_______________________________________________ 

Revised 7/1/05 

44 
 

Antibiotics 

All 

Birth Control Pills 

All 

Dental 

Lidocaine 

Xylocaine 

Immunizations 

All 

Topical Agents 

Lotions, Creams, 

etc. 

Vitamins 

All 

Allergy, Asthma & 

Decongestants 

Alph-pned 

Brethaire 

Entex 

Guaifensin 

Hismanal 

Ipratropium Inhaler 

Anaprox 

Asprin 

Datril 

Fenoprofen 

Ibuprofen 

Indocin 

Medipren 

Motrin 

MANDATORY REPORTABLE DRUGS 

All prescribed drugs not listed above must be reported with or without restrictions. 

METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY 
 

DRUG AND ALCOHOL POLICY/PROGRAM 
 

DRUGS THAT DO NOT NEED TO BE REPORTED 

The following drugs do not need to be reported unless known by the employee to cause problems 

or if restrictions are imposed by the prescribing physician. 

Kenalog 

Nasalide 

Phyenylpropanolami 

ne 

PPA-GG-LA 

Pseudoephedrine 

Seldane 

Sine-Aid 

Sudafed 

Terbutaline Inhaler 

Terbutaline 

Terienadine 

Theo-Dur 

Theopnilline 

Zephrex 

Analgesics 

Acetominophen 

Advil 

Anacin-3 

Nalfon 

Naprosyn 

Nuprin 

Panadol 

Rufin 

Trendar 

Tylenol 

Antihypertensives 

Aldactide 
 

Lisinopril 

Lopressor 

Methyldopa 

Moduretic 

Prinvil 

Procardia 

Vasoretic 

Vasotec 

Miscellaneous 

Ablalon A Opth. 

Drops 

Acyclovir 

Aristocort 

Beconase 

Carafate 

Cimetidine 

Colbenemid 

Cortosone 

Digoxin 

Donnagel 

Ergotec 

Lanoxin 

Meclomen 

Prednisone 

Prilosec 

Synthroid 

Synthroid 

Tagamet 

Vancenase 

Viagra 

Zantac 

Revised 7/1/05 

Aldactone 
 

Aldomet 
 

Calan 
 

Capoten 
 

Captopril 
 

Catapres TTS 
 

Catapress 
 

Chlorothiazide 
 

HCTZ 

Hydrodiuril 

Hydrochlorothiazide 

Diuril 

Enalapril 

Lasix 

45 

Rural Paratransit Contractor–Drug Free Workplace 
 

Lift, Incorporated 
 

LIFT, INCORPORATED
 


PUBLIC TRANSIT 
 

DRUG AND ALCOHOL TESTING POLICY
 


Summary: Lift’s drug and alcohol policy was adopted on August 21, 2003 and 

provides public transit and paratransit services for the residents of Calhoun, 

Chickasaw, Itawamba, Lafayette, Monroe, and Lee Counties of Mississippi. Their 

mission is to ensure that this service is delivered safely, efficiently, and effectively by 

establishing a drug and alcohol-free work environment, and to ensure that the 

workplace remains free from the effects of drugs and alcohol in order to promote the 

health and safety of employees and the general public. The purpose of this policy is 

to establish guidelines to maintain a drug and alcohol-free workplace in compliance 

with the Drug-Free Workplace Act of 1988, and the Omnibus Transportation 

Employee Testing Act of 1991. 

LIFT, INCORPORATED 
 

PUBLIC TRANSIT 
 

DRUG AND ALCOHOL TESTING POLICY
 


DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


TABLE OF CONTENTS 

A. PURPOSE (page 3) 

B. APPLICABILITY (page 3) 

C. DEFINITIONS (page 4) 

D. EDUCATION AND TRAINING (page 7) 

E. PROHIBITED SUBSTANCES (page 7) 

F. PROHIBITED CONDUCT (page 8) 

G. DRUG STATUTE CONVICTION (page 9) 

H. TESTING REQUIREMENTS (page 9) 

I. DRUG TESTING PROCEDURES (page 10) 

J. ALCOHOL TESTING PROCEDURES (page 12) 

K. PRE-EMPLOYMENT TESTING (page 13) 

L. REASONABLE SUSPICION TESTING (page 13) 

M. POST-ACCIDENT TESTING (page 14) 

N. RANDOM TESTING (page 15) 

O. RETURN-TO-DUTY TESTING (page 16) 

P. FOLLOW-UP TESTING (page 17) 

Q. RESULT OF DRUG/ALCOHOL TEST (page 17) 

R. GRIEVANCE AND APPEAL (page 19) 

S. PROPER APPLICATION OF THE POLICY (page 19) 

T. INFORMATION DISCLOSURE (page 20) 

U. SYSTEM CONTACTS (page 20) 

Attachment 1 - Safety-Sensitive Positions 

Attachment 2 - Alcohol Fact Sheet 

Attachment 3 - Minimum Thresholds 

Page 3 of 26 
DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


Regular text = FTA requirements 

Underlined = Lift, Incorporated requirements 

A. PURPOSE 

The Lift, Incorporated Public Transit Program provides public transit and paratransit 

services for the residents of Calhoun, Chickasaw, Itawamba, Lafayette, Monroe, and 

Lee Counties of Mississippi. Part of our mission is to ensure that this service is 

delivered safely, efficiently, and effectively by establishing a drug and alcohol-free 

work environment, and to ensure that the workplace remains free from the effects of 

drugs and alcohol in order to promote the health and safety of employees and the 

general public. In keeping with this mission, Lift, Incorporated declares that the 

unlawful manufacture, distribution, dispense, possession, or use of controlled 

substances or misuse of alcohol is prohibited for all employees. With the exception 

of a single incident of self-referral to management (see L. Reasonable Suspicion 

Testing), Lift, Incorporated declares a policy of zero tolerance for drug/alcohol abuse 

as defined in this policy. 

Additionally, the purpose of this policy is to establish guidelines to maintain a drug 

and alcohol-free workplace in compliance with the Drug-Free Workplace Act of 1988, 

and the Omnibus Transportation Employee Testing Act of 1991. This policy is 

intended to comply with all applicable Federal regulations governing workplace antidrug and alcohol programs in the transit industry. Specifically, the Federal Transit 

Administration (FTA) of the U.S. Department of Transportation has published 49 CFR 

Part 655, as amended, that mandates urine drug testing and breath alcohol testing 

for safety-sensitive positions, and prohibits performance of safety-sensitive functions 

when there is a positive test result. The U.S. Department of Transportation (USDOT) 

has also published 49 CFR Part 40, as amended, that sets standards for the 

collection and testing of urine and breath specimens. 

Any provisions set forth in this policy that are included under the sole authority of Lift, 

Incorporated and are not provided under the authority of the above named Federal 

regulations are underlined. 

B. APPLICABILITY 

This Drug and Alcohol Testing Policy applies to all safety-sensitive employees (fullor part-time) when performing any transit-related business. A safety-sensitive 

function is any duty related to the safe operation of mass transit service including the 

operation of a revenue service vehicle (whether or not the vehicle is in revenue 

service), maintenance of a revenue service vehicle or equipment used in revenue 

service, security personnel who carry firearms, dispatchers or person controlling the 

movement of revenue service vehicles and any other transit employee who is 

required to hold a Commercial Drivers License. Maintenance functions include the 

repair, overhaul, and rebuild of engines, vehicles and/or equipment used in revenue 

service. A list of safety-sensitive positions including one or more of the above 

Page 4 of 26 
DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


mentioned duties is provided in Attachment I. Supervisors are safety-sensitive only if 

they perform one of the above functions. 

C. DEFINITIONS 

Accident - an occurrence associated with the operation of a revenue service vehicle 

even when not in revenue service or which requires a Commercial Drivers License to 

operate, if as a result: 

(1) A person dies 

(2) An individual suffers a bodily injury and immediately receives medical 

treatment away from the scene of the accident; or, 

(3) One or more vehicles incurs disabling damage as the result of the 

occurrence and is transported away from the scene by a tow truck or other 

vehicle. For purposes of this definition, disabling damage means damage 

which precludes departure of any vehicle from the scene of the occurrence 

in its usual manner in daylight after simple repairs. Disabling damage 

includes damage to vehicles that could have been operated but would 

have been further damaged if so operated, but does not include damage 

which can be remedied temporarily at the scene of the occurrence without 

special tools or parts, tire disablement without other damage even if no 

spare tire is available, or damage to headlights, taillights, turn signals, 

horn, mirrors or windshield wipers that makes them inoperative. 

Administrative leave – personal, medical, or unpaid leave an employee is required 

to take following a drug or alcohol test or any other procedure as set forth in this 

policy. 

Adulterated specimen – a specimen that contains a substance that is not expected 

to be present in human urine, or contains a substance expected to be present but is 

at a concentration so high that it is not consistent with human urine. 

Alcohol – the intoxicating agent in beverage alcohol, grain alcohol, ethyl alcohol, or 

other low molecular weight alcohol contained in any beverage, mixture, mouthwash, 

candy, food, preparation or medication. 

Alcohol Concentration - a measurement of the quantity of alcohol in a person’s 

body expressed in terms of grams of alcohol per 210 liters of breath as measured by 

an evidential breath testing device. 

Canceled Test – a drug test that has been declared invalid by a Medical Review 

Officer. A cancelled test is neither positive nor negative. 

Covered Employee – an employee who performs a safety-sensitive function 

including and applicant or transferee who is being considered for hire into a safetysensitive function. (See Attachment I for a list of covered employee positions), and 

other employees, applicants, or transferees who will not perform a safety-sensitive 

function but falls under the policy of the company’s own authority. 

Page 5 of 26 
DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


Department of Transportation (DOT) – the department of the federal government 

which includes the U.S. Coast Guard, Federal Transit Administration, Federal 

Railroad Administration, Federal Aviation Administration, Federal Highway 

Administration, Federal Motor Carrier Safety Administration, Research and Special 

Programs, and the Office of the Secretary of Transportation. 

Drug and Alcohol Program Manager (DAPM) – an employee authorized by the 

employer to take immediate action to remove employees from safety-sensitive duties 

and to make required decisions in testing. The DAPM also receives test results and 

other communications for the employer, consistent with the requirements of 49 CFR 

Parts 40 and 655. 

Dilute Specimen – a specimen with creatinine and specific gravity values that are 

lower than expected for human urine. 

Disabling Damage – damage which precludes departure of any vehicle from the 

scene of the occurrence in its usual manner in daylight after simple repairs. 

Disabling damage includes damage to vehicles that could have been operated but 

would have been further damaged if so operated, but does not include damage which 

can be remedied temporarily at the scene of the occurrence without special tools or 

parts, tire disablement without other damage even if no spare tire is available, or 

damage to headlights, taillights, turn signals, horn, mirrors or windshield wipers that 

makes them inoperative. 

Evidentiary Breath Testing Device (EBT) – an instrument approved by the National 

Highway Traffic Safety Administration (NHTSA) for the evidential testing of breath at 

the 0.02 and the 0.04 alcohol concentrations. Approved devices are listed on the 

NHTSA conforming products list. 

Medical Review Officer (MRO) – a licensed physician (medical doctor or doctor of 

osteopathy) responsible for receiving laboratory results generated by the drug testing 

program who has knowledge of substance abuse disorders, and has appropriate 

medical training to interpret and evaluate an individual’s confirmed positive test 

result, together with his/her medical history, and any other relevant bio-medical 

information. 

Negative Dilute – a drug test result which is negative for the five drug/drugmetabolites but has a specific gravity value lower than expected for human urine. 

Negative Test Result – a verified measure below the minimum level of concentration 

of an identified drug or its metabolite specified in 49 CFR Part 40, as amended. An 

alcohol concentration of less than 0.02 BAC is a negative test result. 

Non-negative Test Result – a test result found to be adulterated, substituted, 

invalid, or positive for drug/drug-metabolites. 

Page 6 of 26 
DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


Performing (a Safety-Sensitive Function) – any period during which a covered 

employee is considered to be performing a safety-sensitive function, including being 

ready to perform, being on-call to perform, actually performing, or directing others to 

perform such functions. 

Positive Test Result – a verified presence of an identified drug or its metabolite at or 

above the minimum levels specified in 49 CFR Part 40, as amended. A positive 

alcohol test result means a confirmed alcohol concentration of 0.04 BAC or greater. 

Prohibited Drug – Marijuana, cocaine, opiates, amphetamines, or phencyclidine at 

levels above the minimum thresholds specified in 49 CFR Part 40, as amended. 

Revenue Service Vehicle – all transit vehicles used for passenger transportation 

service or that require a Commercial Drivers License (CDL) to operate, including all 

ancillary vehicles used in support of the transit system. 

Safety-Sensitive Functions – (a) the operation of a transit revenue service vehicle 

even when the vehicle is not in revenue service; (b) the operation of a non-revenue 

service vehicle by an employee when the operation of such a vehicle requires the 

driver to hold a CDL; (c) maintaining a revenue service vehicle or equipment used in 

revenue service; (d) controlling the movement of a revenue service vehicle; and (e) 

carrying a firearm for security purposes. 

Substance Abuse Professional (SAP) – a licensed physician (medical doctor or 

doctor of osteopathy) or licensed or certified psychologist, social worker, employee 

assistance professional, or addiction counselor (certified by the National Association 

of Alcoholism and Drug Abuse Counselors Certification Commission or by the 

International Certification Reciprocity Consortium/Alcohol and other Drug Abuse) with 

knowledge of and clinical experience in the diagnosis and treatment of drug and 

alcohol related disorders. 

Substituted Specimen – a specimen with creatinine and specific gravity values that 

are not consistent with normal human urine. 

Test Refusal – the following are considered a refusal to test if the employee: 

•	 Fails to appear for any test (excluding pre-employment) within a 

reasonable time, as determined by the employer, after being directed to do 

so by the employer; 

•	 Fails to remain at the testing site until the testing process is complete; 

•	 Fails to provide a urine or breath specimen for any drug or alcohol test 

required by Part 40 or DOT agency regulations; 

•	 In the case of a directly observed or monitored collection in a drug test, 

fails to permit observation or monitoring of the provision of a specimen; 

•	 Fails to provide a sufficient amount of urine or breath when directed, and it 

has been determined, through a required medical evaluation, that there 

was no adequate medical explanation for the failure; 

Page 7 of 26 
DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


•	 Fails or declines to take a second test the employer or collector has 

directed the employee to take; 

•	 Fails to undergo a medical examination or evaluation, as directed by the 

MRO as part of the verification process, or as directed by the DAPM as 

part of the “shy bladder” or “shy lung” procedures; 

•	 Fails to cooperate with any part of the testing process (e.g., refuse to 

empty pockets when so directed by the collector, behave in a 

confrontational way that disrupts the collection process.) 

•	 A report by the MRO that there is a verified adulterated or substituted test 

result; 

•	 Failure or refusal to sign Step 2 of the alcohol testing form. 

Verified Negative Test – a drug test result reviewed by an MRO and determined to 

have no evidence of prohibited drug or alcohol use above the minimum levels 

specified in 49 CFR Part 40, as amended. 

Verified Positive Test – a drug test reviewed by an MRO and determined to have 

evidence of prohibited drug or alcohol use above the minimum levels specified in 49 

CFR Part 40, as amended. 

Validity Testing – the evaluation of the collected specimen to determine if it is 

consistent with normal human urine to determine whether certain adulterants or 

foreign substances were added to the urine, if the urine was diluted, or if the 

specimen was substituted. 

D. EDUCATION AND TRAINING 

Every covered employee will receive a copy of this policy and will have ready access 

to the corresponding federal regulations including 49 CFR Parts 655 and 40, as 

amended. In addition, all covered employees will undergo a minimum of 60 minutes 

of training on the signs and symptoms of drug use including the effects and 

consequences of drug use on personal health, safety, and the work environment. 

The training also includes manifestations and behavioral cues that may indicate 

prohibited drug use. 

All supervisory personnel or company officials, who are in a position to determine 

employee fitness for duty, will receive 60 minutes of reasonable suspicion training on 

the physical, behavioral, and performance indicators of probable drug use and 60 

minutes of additional reasonable suspicion training on the physical, behavioral, 

speech, and performance indicators of probable alcohol misuse. Information on the 

signs, symptoms, health effects, and consequences of alcohol misuse is presented in 

Attachment II of this policy. 

E. PROHIBITED SUBSTANCES 

Prohibited substances addressed by this policy include the following: 

Page 8 of 26 
DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


(1) Illegally Used Controlled Substance or Drugs Under the Drug-Free Workplace Act 

of 1988 – any drug or substance identified in Schedule I through V of Section 202 

of the Controlled Substance Act (21 U.S.C. 812), and as further defined by 21 

CFR 1300.11 through 1300.15 is prohibited at all times in the workplace unless a 

legal prescription has been written for the substance. This includes, but is not 

limited to, marijuana, amphetamines, opiates, phencyclidine (PCP), and cocaine, 

as well as any drug not approved for medical use by the U.S. Drug Enforcement 

Administration or the U.S. Food and Drug Administration. Illegal use includes use 

of any illegal substance, misuse of legally prescribed drugs, and use of illegally 

obtained prescription drugs. Also the medical use of marijuana or the use of 

hemp related products which cause drug or drug metabolites to be present in the 

body above the levels is a violation of this policy. 

(2) Federal Transit Administration drug testing regulations (49 CFR Part 655) require 

that all covered employees be tested for marijuana, cocaine, amphetamines, 

opiates, and phencyclidine as described in Section H of this policy. Illegal use of 

these five drugs is prohibited at all times, and thus covered employees may be 

tested for these drugs anytime that they are on duty. 

(3) Legal Drugs: The appropriate use of legally prescribed drugs and nonprescription medications is not prohibited. However, the use of any substance 

which carries a warning label that indicates that mental functioning, motor skills, 

or judgment may be adversely affected or a warning from a physician or nurse 

practitioner to that effect must be reported to a supervisor and the employee is 

required to provide a written release from his/her doctor or pharmacist indicating 

that the employee can perform his/her safety-sensitive functions. 

(4) Alcohol: The use of beverages containing alcohol (including any mouthwash, 

medication, food, candy) or any other substances such that alcohol is present in 

the body while performing safety-sensitive job functions is prohibited. An alcohol 

test can be performed on a covered employee under 49 CFR Part 655 just 

before, during, or just after the performance of safety-sensitive job functions. 

Under Lift, Incorporated authority, an alcohol test can be performed any time a 

covered employee is on duty. See “PERFORMING” above. 

F. PROHIBITED CONDUCT 

(1) All covered employees are prohibited from reporting for duty or remaining on duty 

any time there is a quantifiable presence of a prohibited drug in the body above 

the minimum thresholds defined in 49 DFR Part 40, as amended. 

(2) Each covered employee is prohibited from consuming alcohol while performing 

safety-sensitive job functions or while on-call to perform safety-sensitive job 

functions. If an on-call employee has consumed alcohol, they must acknowledge 

the use of alcohol at the time that they are called to report for duty. The covered 

employee will subsequently be relieved of his/her on-call responsibilities and 

subject to discipline. 

Page 9 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


(3) The Transit Department shall not permit any covered employee to perform or 

continue to perform safety-sensitive functions if it has actual knowledge that the 

employee is using alcohol. 

(4) Each covered employee is prohibited from reporting to work or remaining on duty 

requiring the performance of safety-sensitive functions while having an alcohol 

concentration of 0.04 or greater regardless of when the alcohol was consumed. 

(5) No covered employee shall consume alcohol for eight (8) hours following 

involvement in an accident or until he/she submits to the post-accident 

drug/alcohol test, whichever occurs first. 

(6) No covered employee shall consume alcohol within four (4) hours prior to the 

performance of safety-sensitive job functions. 

(7) Lift, Incorporated under its own authority also prohibits the consumption of 

alcohol all times employee is on duty, or anytime the employee is in uniform. 

(8) Consistent with the Drug-Free Workplace Act of 1988, all Lift, Incorporated 

employees are prohibited from engaging in the unlawful manufacture, distribution, 

dispensing, possession, or use of prohibited substance in the work place 

including Transit Department premises, transit vehicles, while in uniform or while 

on company business. 

G. DRUG STATUTE CONVICTION 

Consistent with the Drug free Workplace Act of 1998, all employees are required to 

notify Lift management of any criminal drug statute conviction for a violation occurring 

in the workplace within five days after such conviction. Failure to comply with this 

provision shall result in disciplinary action as defined in Section Q.9 of this policy. 

H. TESTING REQUIREMENTS 

Analytical urine drug testing and breath testing for alcohol will be conducted as 

required by 49 CFR part 40 as amended. All covered employees shall be subject to 

testing prior to employment, for reasonable suspicion, following an accident, and 

random as defined in Section K, L, M. and N of this policy. Lift, Incorporated is a 

zero-tolerance company. All covered employees who have tested positive for drugs 

or alcohol on a random, reasonable suspicion, or post-accident will be terminated 

from employment of Lift, Incorporated. 

Covered employees who self-referred to management will be tested prior to returning 

to duty after completion of the Substance Abuse Professional’s recommended 

treatment program and subsequent release to duty. Follow-up testing will also be 

conducted following return-to-duty for a period of one to five years, with at least six 

tests performed during the first year. The duration and frequency of the follow-up 

testing above the minimum requirements will be at the discretion of the Substance 

Abuse Professional. 

A drug test can be performed any time a covered employee is on duty. An alcohol 

test can be performed just before, during, or after the performance of a safetyPage 10 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


sensitive job function. Under Lift, Incorporated authority, an alcohol test can be 

performed any time a covered employee is on duty. 

All covered employees will be subject to urine drug testing and breath alcohol testing 

as a condition of ongoing employment with Lift, Incorporated. Any safety-sensitive 

employee who refuses to comply with a request for testing shall be removed from 

duty and subject to discipline as defined in Section Q.3 of this policy. Any covered 

employee who is suspected of providing false information in connection with a drug 

test, or who is suspected of falsifying test results through tampering, contamination, 

adulteration, or substitution will be required to undergo an observed collection. 

Verification of the above listed actions will be considered a test refusal and will result 

in the employees removal from duty and disciplined as defined in Section Q.3 of this 

policy. Refer to Section C for behavior that constitutes a refusal to test. 

I. DRUG TESTING PROCEDURES 

Testing shall be conducted in a manner to assure a high degree of accuracy and 

reliability and using techniques, equipment and laboratory facilities which have been 

approved by the U.S. Department of Health and Human Service (HHS). All testing 

will be conducted consistent with the procedures set forth in 49 CFR Part 40, as 

amended. The procedures will be performed in a private, confidential manner and 

every effort will be made to protect the employee, the integrity of the drug testing 

procedure, and the validity of the test result. 

The drugs that will be tested for include marijuana, cocaine, opiates, amphetamines, 

and phencyclidine. After the identity of the donor is checked using picture 

identification, a urine specimen will be collected using the split specimen collection 

method described in 49 CFR Part 40, as amended. Each specimen will be 

accompanied by a DOT Chain of Custody and Control Form and identified using a 

unique identification number that attributes the specimen to the correct individual. 

The specimen analysis will be conducted at a HHS certified laboratory. An initial 

drug screen and validity test will be conducted on the primary urine specimen. For 

those specimens that are not negative, a confirmatory Gas Chromatography/Mass 

Spectrometry (GC/MS) test will be performed. The test will be considered positive if 

the amounts of the drug(s) and/or its metabolites identified by the GC/MS test are 

above the minimum thresholds established in 49 CFR Part 40, as amended. 

The test results from the HHS certified laboratory will be reported to a Medical 

Review Officer (MRO). An MRO is a licensed physician with detailed knowledge of 

substance abuse disorders and drug testing. The MRO will review the test results to 

ensure the scientific validity of the test and to determine whether there is a legitimate 

medical explanation for a confirmed positive, substitute, or adulterated test result. 

The MRO will attempt to contact the employee to notify the employee of the nonnegative laboratory result, and provide the employee with an opportunity to explain 

the confirmed laboratory test result. The MRO will subsequently review the 

employee’s medical history/medical records as appropriate to determine whether 

there is a legitimate medical explanation for a non-negative laboratory result. If no 

Page 11 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


legitimate medical explanation is found, the test will be verified positive or refusal to 

test and reported to the Lift DAPM. If a legitimate explanation is found, the MRO will 

report the test result as negative to the Lift DAPM and no further action will be taken. 

If the test is invalid with out a medical explanation, a retest will be conducted under 

direct observation. 

Any covered employee who questions the results of a required drug test under 

paragraphs L through P of this policy may request that the split sample be tested. 

The split sample test must be conducted at a second HHS-certified laboratory with no 

affiliation with the laboratory that analyzed the primary specimen. The test must be 

conducted on the split sample that was provided by the employee at the same time 

as the primary sample. The method of collecting, storing, and testing the split sample 

will be consistent with the procedures set forth in 49 CFR Part 40, as amended. The 

employee’s request for a split sample test must be made to the Medical Review 

Officer within 72 hours of notice of the original sample verified test result. Requests 

after 72 hours will only be accepted at the discretion of the MRO if the delay was due 

to verifiable facts that were beyond the control of the employee. The Lift DAPM will 

ensure that the cost for the split specimen is covered in order for a timely analysis of 

the sample, however Lift will seek reimbursement for the split sample test from the 

employee. 

If the analysis of the split specimen fails to confirm the presence of the drug(s) 

detected in the primary specimen, if the split specimen is not able to be analyzed, or 

if the results of the split specimen are not scientifically adequate, the MRO will 

declare the original test to be canceled and will direct the Lift DAPM and the 

collection site to retest the employee under direct observation. 

The split specimen will be stored at the initial laboratory until the analysis of the 

primary specimen is completed. If the primary specimen is negative, the split will be 

discarded. If the primary is positive, the split will be retained for testing if so 

requested by the employee through the Medical Review Officer. If the primary 

specimen is positive, it will be retained in frozen storage for one year and the split 

specimen will also be retained for one year. 

Observed collections: 

Consistent with 49 CFR part 40, as amended, collection under direct observation (by 

a person of the same gender) with no advance notice will occur if: 

(1) The laboratory reports to the MRO that a specimen is invalid, and the 

MRO reports to the Lift DAPM that there was not an adequate medical 

explanation for the result; or 

(2) The MRO reports to the Lift DAPM that the original positive, adulterated, or 

substituted test result had to be cancelled because the test of the split 

specimen could not be performed. 

(3) The collector observes materials brought to the collection site or the 

employee’s conduct clearly indicates an attempt to tamper with a 

specimen or 

Page 12 of 26 
 

 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


(4) The temperature on the original specimen was out of range. 

In addition, the Lift DAPM may direct a collection under direct observation of an 

employee if the drug test is a return-to-duty test or a follow-up test. 

J. ALCOHOL TESTING PROCEDURE 

Tests for breath alcohol concentration will be conducted utilizing a National Highway 

Traffic Safety Administration (NHTSA)-approved Evidential Breath Testing device 

(EBT) operated by a trained Breath Alcohol Technician (BAT). Alcohol screening 

tests may be performed using a non-evidential testing device which is also approved 

by NHSTA. If the initial test indicates an alcohol concentration of 0.02 or greater, a 

second test will be performed to confirm the results of the initial test. The 

confirmatory test must occur on an EBT. The confirmatory test will be conducted at 

least fifteen minutes after the completion of the initial test. The confirmatory test will 

be performed using a NHSTA-approved EBT operated by a trained Bat. The EBT will 

identify each test by a unique sequential identification number. This number, time 

and unit identifier will be provided on each EBT printout. The EBT printout, along 

with an approved alcohol testing form, will be used to document the test, the 

subsequent results, and to attribute the test to the correct employee. The test will be 

performed in a private, confidential manner as required by 49 CFR Part 40, as 

amended. The procedure will be followed as prescribed to protect the employee and 

to maintain the integrity of the alcohol testing procedures and validity of the test 

result. 

An employee who has a confirmed alcohol concentration of 0.04 or greater will be 

considered a positive alcohol test and in violation of this policy. The consequences 

of a positive alcohol test are described in Sections Q.4-5 of this policy. Even though 

an employee who has a confirmed alcohol concentration of 0.02 to 0.039 is not 

considered positive, the employee shall still be removed from duty for at least eight 

hours or for the duration of the work day whichever is longer, and will be subject to 

the consequences described in Section Q.6 of this policy. An alcohol concentration 

of less than 0.02 will be considered a negative test. 

The Transit Department affirms the need to protect individual dignity, privacy, and 

confidentiality throughout the testing process. If at any time the integrity of the testing 

procedures or the validity of the test results is compromised, the test will be 

cancelled. Minor inconsistencies or procedural flaws that do not impact the test 

result will no result in a cancelled test. 

The alcohol testing form (ATF) required by 49 CFR Part 40, as amended, shall be 

used for all FTA required testing. Failure of an employee to sign step 2 of the ATF 

will be considered a refusal to submit to testing. 

Page 13 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


K. PRE-EMPLOYMENT TESTING 

All applicants for covered transit positions shall undergo urine drug testing and breath 

alcohol testing prior to performance of a safety-sensitive function. 

(1) All offers of employment for covered positions shall be extended 

conditional upon the applicant passing a drug and alcohol test. An 

applicant shall not be hired into a covered position unless the applicant 

takes a drug test with verified negative results, and an alcohol 

concentration below 0.02. 

(2) A non-covered employee shall not be placed, transferred or promoted into 

a covered position until the employee takes a drug test with verified 

negative results and an alcohol concentration below 0.02. 

(3) If an applicant fails a pre-employment drug or alcohol test, the conditional 

offer of employment shall be rescinded. Failure of a pre-employment drug 

and/or alcohol test will disqualify an applicant for employment for a period 

of at least one year. Evidence of the absence of drug dependency from a 

Substance Abuse Professional that meets with 49 CFR part 40 as 

amended and a negative pre-employment drug test and an alcohol 

concentration below 0.02 will be required prior to further consideration for 

employment. The cost for the assessment and any subsequent treatment 

will be the sole responsibility of the applicant. 

(4) When an employee being placed, transferred, or promoted from a noncovered position to a covered position submits a drug test with a verified 

positive result, and an alcohol concentration below 0.02 the employee 

shall be subject to disciplinary action in accordance with Sections Q.4-6 

and 8-9 herein. 

(5) If a pre-employment/pre-transfer test is canceled, Lift, Incorporated will 

require the applicant to take and pass another pre-employment drug test. 

(6) In instances where a covered employee is on extended leave for a period 

of 90 days or more regardless of reason, the employee will be required to 

take a drug and alcohol test under 49 CFR Part 655 and have negative 

test results prior to the conduct of safety-sensitive job functions. 

(7) An applicant with a dilute negative test result will be required to retest. 

(8) Applicants are required to report previous DOT covered employer drug 

and alcohol test results. Failure to do so will result in the employment offer 

being rescinded. 

L. REASONABLE SUSPICION TESTING 

All Lift, Incorporated covered employees will be subject to a reasonable suspicion 

drug and/or alcohol test when there are reasons to believe that drug or alcohol use is 

impacting job performance and safety. Reasonable suspicion shall mean that there 

is objective evidence, based upon specific, contemporaneous, articulable 

observations of the employee’s appearance, behavior, speech or body odor that are 

consistent with possible drug use and/or alcohol misuse. Reasonable suspicion 

referrals must be made by one supervisor who is trained to detect the signs and 

Page 14 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


symptoms of drug and alcohol use, and who reasonably concludes that an employee 

may be adversely affected or impaired in his/her work performance due to possible 

prohibited substance abuse or alcohol misuse. A reasonable suspicion alcohol test 

can only be conducted just before, during, or just after the performance of a safetysensitive job function. However, under Lift, Incorporated’s authority, a reasonable 

suspicion alcohol test may be performed any time the covered employee is on duty. 

A reasonable suspicion drug test can be performed any time the covered employee is 

on duty. 

The Lift DAPM, Transportation Director or their designee shall be responsible for 

transporting the employee to the testing site. Supervisors should avoid placing 

themselves and/or others into a situation which might endanger the physical safety of 

those present. The employee shall be placed on administrative leave pending 

disciplinary action described in Sections Q.4-6 and 8-9 of this policy. An employee 

who refuses an instruction to submit to a drug/alcohol test shall not be permitted to 

finish his or her shift and shall immediately be placed on administrative leave pending 

disciplinary action as specified in Section Q.3 of this policy. 

A written record of the observations which led to a drug/alcohol test based on 

reasonable suspicion shall be prepared and signed by the supervisor making the 

observation prior to the release of the test results. This written record shall be 

submitted to the DAPM and shall be attached to the forms reporting the test results. 

When there are no specific, contemporaneous, articulable objective facts that 

indicate current drug or alcohol use, but the employee (who is not already a 

participant in a treatment program) admits the abuse of alcohol or other substances 

to a supervisor in his/her chain of command, the employee shall be referred to the 

SAP for an assessment. The Personnel Director shall place the employee on 

administrative leave in accordance with the provisions set forth under Section Q.8 of 

this policy. Testing in this circumstance would be performed under the direct 

authority of Lift, Incorporated. Since the employee self-referred to management, 

testing under this circumstance would not be considered a violation of this policy or a 

positive test result under Federal authority. However, self-referral does not exempt 

the covered employee from testing under Federal authority as specified in Sections L 

through N of this policy or the associated consequences as specified in Sections Q.4-

6 and 9. 

M. POST-ACCIDENT TESTING 

All covered employees will be required to undergo urine and breath testing if they are 

involved in an accident with a transit revenue service vehicle that results in a fatality, 

regardless of whether or not the vehicle is in revenue service. This includes all 

surviving covered employees that are operating the vehicle at the time of the accident 

and any other whose performance cannot be completely discounted as a contributing 

factor to the accident. 

Page 15 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


In addition, a post-accident test will be conducted if an accident results in injuries 

requiring immediate transportation to a medical treatment facility; or one or more 

vehicles incurs disabling damage, unless the operator’s performance can be 

completely discounted as a contributing factor to the accident. 

(1) As soon as practicable following an accident, as defined in this policy, the 

transit supervisor investigating the accident will notify the transit employee 

operating the transit vehicle and all other covered employees whose 

performance could have contributed to the accident of the need for the 

test. The supervisor will make the determination using the best 

information available at the time of the decision. 

(2) The appropriate transit supervisor shall ensure that an employee, required 

to be tested under this section, is tested as soon as practicable, but no 

longer than eight (8) hours of the accident for alcohol, and within 32 hours 

for drugs. If an alcohol test is not performed within two hours of the 

accident, the Supervisor will document the reason(s) for the delay. If the 

alcohol test is not conducted within (8) eight hours, or the drug test within 

32 hours, attempts to conduct the test must cease and the reasons for the 

failure to test documented. 

(3) Any covered employee involved in an accident must refrain from alcohol 

use for eight (8) hours following the accident, or until he/she undergoes a 

post-accident alcohol test. 

(4) An employee who is subject to post-accident testing who fails to remain 

readily available for such testing, including notifying a supervisor of his or 

her location if he or she leaves the scene of the accident prior to 

submission to such test, may be deemed to have refused to submit to 

testing. 

(5) Nothing in this section shall be construed to require the delay of necessary 

medical attention for the injured following an accident, or to prohibit an 

employee from leaving the scene of an accident for the period necessary 

to obtain assistance in responding to the accident, or to obtain necessary 

emergency medical care. 

(6) In the rare event that Lift, Incorporated is unable to perform a FTA drug 

and alcohol test (i.e., employee is unconscious, employee is detained by 

law enforcement agency), Lift, Incorporated may use drug and alcohol 

post-accident test results administered by local law enforcement officials in 

lieu of the FTA test. The local law enforcement officials must have 

independent authority for the test and the employer must obtain the results 

in conformance with local law. 

N. RANDOM TESTING 

All covered employees will be subjected to random, unannounced testing. The 

selection of employees shall be made by a scientifically valid method of randomly 

generating an employee identifier from the appropriate pool of safety-sensitive 

employees. 

Page 16 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


(1) The dates for administering unannounced testing of randomly selected 

employees shall be spread reasonably throughout the calendar year. 

(2) The number of employees randomly selected for drug/alcohol testing 

during the calendar year shall be not less than the percentage rates 

established by Federal regulations for those safety-sensitive employees 

subject to random testing by Federal regulations. The current random 

testing rate for drugs established by FTA equals fifty percent of the number 

of covered employees in the pool and the random testing rate for alcohol 

established by FTA equals ten percent of the number of covered 

employees in the pool. 

(3) Each covered employee shall be in a pool from which the random 

selection is made. Each covered employee in the pool shall have an equal 

chance of selection each time the selections are made. Employees will 

remain in the pool and subject to selection, whether or not the employee 

has been previously tested. There is no discretion on the part of 

management in the selection and notification of the individuals who are to 

be tested. 

(4) Covered transit employees that fall under the Federal Transit 

Administration regulations will be included in one random pool maintained 

separately from the testing pool of employees that are included solely 

under Lift, Incorporated authority. 

(5) Random tests can be conducted at any time during an employee’s shift for 

drug testing. Alcohol random tests can be performed just before, during, 

or just after the performance of a safety sensitive duty. However, under 

Lift, Incorporated authority, a random alcohol test may be performed any 

time the covered employee is on duty. Testing can occur during the 

beginning, middle, or end of an employee’s shift. 

(6) Employees are required to proceed immediately to the collection site 

upon notification of their random selection. Failure to report to the 

collection site within 2 hours of notification will be deemed a test refusal. 

O. RETURN-TO-DUTY TESTING 

With the exception of a single incident of self-referral to management (see L. 

Reasonable Suspicion Testing), Lift, Incorporated declares a policy of zero tolerance 

for drug/alcohol abuse as defined in this policy. 

All covered employees who self-referred to management, must test negative for 

drugs, alcohol (below 0.02 for alcohol), or both and be evaluated and released by the 

Substance Abuse Professional before returning to work. For an initial positive drug 

test a Return-to-Duty drug test is required and an alcohol test is allowed. For an 

initial positive alcohol test a Return-to-Duty alcohol test is required and a drug test is 

allowed. Following the initial assessment, the SAP will recommend a course of 

rehabilitation unique to the individual. The SAP will recommend the return-to-duty 

test only when the employee has successfully completed the treatment requirement 

and is known to be drug and alcohol-free and there is no undo concerns for public 

safety. 

Page 17 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


P. FOLLOW-UP TESTING 

Covered employees will be required to undergo frequent, unannounced drug and 

alcohol testing following their return-to-duty. The follow-up testing will be performed 

for a period of one to five years with a minimum of six tests to be performed the first 

year. The frequency and duration of the follow-up test (beyond the minimums) will be 

determined by the SAP reflecting the SAP’s assessment of the employee’s unique 

situation and recovery progress. Follow-up testing should be frequent enough to 

deter and/or detect a relapse. Follow-up testing is separate and in addition to the 

random, post-accident, reasonable suspicion and return-to-duty testing. 

Q. RESULT OF DRUG/ALCOHOL TEST OR PROHIBITED ACTIVITY 

Any covered employee that has a verified positive drug or alcohol test will be 

removed from his/her safety-sensitive position, informed of educational and 

rehabilitation programs available, and referred to a Substance Abuse Professional 

(SAP) for assessment. No employee will be allowed to return to duty requiring the 

performance of safety-sensitive job functions without the approval of the SAP. 

A positive drug and /or alcohol test or other prohibited acts as described herein will 

also result in disciplinary action as specified herein. 

(1) As soon as practicable after receiving notice of a verified positive drug test result, 

a confirmed alcohol test; or a test refusal, the Lift Drug and Alcohol Program 

Manager will contact the employee’s supervisor to have the employee cease 

performing any safety-sensitive function. 

(2) The employee shall be referred to a Substance Abuse Professional for an 

assessment. The SAP will evaluate each employee to determine what 

assistance, if any, the employee needs in resolving problems associated with 

prohibited drug use or alcohol misuse. 

(3) Refusal to submit to a drug/alcohol test shall be considered a positive test result 

and a direct act of insubordination and shall result in termination. A test refusal 

includes the following circumstances. 

(a) A covered employee who consumes alcohol within eight (8) hours 

following involvement in an accident without first having submitted to postaccident drug/alcohol tests. 

(b) A covered employee who leaves the scene of an accident without a 

legitimate explanation prior to submission to drug/alcohol tests. 

(c) A covered employee who is suspected of providing false information in 

connection with a drug test. 

(d) A covered employee who provides an insufficient volume of urine 

specimen or breath sample without a valid medical explanation. The 

medical evaluation shall take place within 5 days of the initial test attempt. 

(e) A verbal or written declaration, obstructive behavior, or physical absence 

resulting in the inability to conduct the test within the specified time frame. 

Page 18 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


(f) 	 A covered employee whose urine sample has been verified by the MRO 

as substitute or adulterated. 

(g) A covered employee fails to appear for any test within a reasonable time, 

as determined by the employer, after being directed to do so by the 

employer. 

(h) A covered employee fails to remain at the testing site until the testing 

process is complete. 

(i) 	 A covered employee fails to provide a urine specimen for any drug test 

required by Part 40 or DOT agency regulations; 

(j) 	 A covered employee fails to permit the observation or monitoring of a 

specimen collection. 

(k) A covered employee fails or declines to take a second test the employer 

or collector has directed you to take; 

(l) 	 A covered employee fails to undergo a medical examination or evaluation, 

as directed by the MRO as part of the verification process, or as directed 

by the DAPM as part of the “shy bladder” or “shy lung” procedures. 

(m) A covered fails to cooperate with any part of the testing process (e.g., 

refuse to empty pockets when so directed by the collector, behave in a 

confrontational way that disrupts the collection process). 

(n) Failure to sign Step 2 of the Alcohol Testing form. 

(4) For a covered employee who self-referred to management and has successfully 

completed the treatment requirement recommend by the SAP and has been 

approved for return-to-duty by the SAP, a periodic unannounced follow-up 

drug/alcohol test which results in a verified positive shall result in termination from 

Lift, Incorporated employment. 

(5) A verified positive post-accident, random, or reasonable suspicion drug and/or 

alcohol test greater than 0.04 BAC shall result in termination from Lift, 

Incorporated employment. 

(6) An alcohol test result of less than 0.04 (<0.04) BAC shall result in the removal of 

the employee from duty for eight hours or the remainder or the work day 

whichever is longer. The employee will not be allowed to return to safetysensitive duty for his/her next shift until he/she submits to an alcohol test with a 

result of less than 0.02 BAC. If the employee has an alcohol test result of 0.02 to 

0.039 BAC two or more times within a six month period, the employee will be 

terminated from Lift, Incorporated employment. 

(7) The cost of any treatment or rehabilitation services will be paid directly by the 

employee or their insurance provider. The employee will be permitted to take 

accrued sick leave or administrative leave to participate in the SAP prescribed 

treatment program. If the employee has insufficient accrued leave, the employee 

shall be placed on leave without pay, until the SAP has determined that the 

employee has successfully completed the required treatment program and 

releases him/her to return-to-duty. Any leave taken, either paid or unpaid, shall 

be considered leave taken under the Family and Medical Leave Act. 

(8) In the instance of a self-referral or a management referral, disciplinary action 

against the employee shall include: 

Page 19 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


(a) Mandatory referral to a Substance Abuse Professional for assessment, 

formulation of a treatment plan, and execution of a return to work 

agreement. 

(b) Failure to execute, or remain compliant with the return-to-work 

agreement shall result in termination from Lift, Incorporated 

employment. 

•	 Compliance with the return-to-work agreement means that the 

employee has submitted to a drug/alcohol test immediately prior to 

returning to work; the result of that test is negative; in the judgment 

of the SAP the employee is cooperating with his/her SAP 

recommended treatment program; and the employee has agreed to 

periodic unannounced follow-up testing as defined in Section P of 

this policy; 

(c) Refusal to submit to a periodic unannounced follow-up drug/alcohol 

test shall be considered a direct act of insubordination and shall result 

in termination. 

(d) A self-referral or management referral to the SAP that was not 

precipitated by a positive test result does not constitute a violation of 

the Federal regulations and will not be considered as a positive test 

result in relation to the progressive discipline defined in Section Q.5 of 

this policy. 

(e) Periodic unannounced follow-up drug/alcohol test conducted as a 

result of a self-referral or management referral which results in a 

verified positive shall be considered a positive test result in relation to 

the progressive discipline defined in Section Q.4-6 and 8 of this policy. 

(f) A Voluntary Referral does not shield an employee from disciplinary 

action or guarantee employment with Lift, Incorporated. 

(g) A Voluntary Referral does not shield an employee from the requirement 

to comply with drug and alcohol testing. 

(9) Failure of an employee to report within five days any criminal drug statute 

conviction shall result in termination. 

R. GRIEVANCE AND APPEAL 

The consequences specified by 49 CFR Part 655 for a positive test or test refusal are 

not subject to arbitration. 

S. PROPER APPLICATION OF THE POLICY 

Lift, Incorporated is dedicated to assuring fair and equitable application of this 

substance abuse policy. Therefore, supervisors/managers are required to use and 

apply all aspects of this policy in an unbiased and impartial manner. Any 

supervisor/manager who knowingly disregards the requirements of this policy, or who 

is found to deliberately misuse the policy in regard to subordinates, shall be subject 

to disciplinary action, up to and including termination. 

Page 20 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


T. INFORMATION DISCLOSURE 

Drug/alcohol testing records shall be maintained by the Lift Drug and Alcohol 

Program Manager and, except as provided below or by law, the results of any 

drug/alcohol test shall not be disclosed without express written consent of the tested 

employee. 

(1) The employee, upon written request, is entitled to obtain copies of any 

records pertaining to their use of prohibited drugs or misuse of alcohol 

including any drug or alcohol testing records. Covered employees have 

the right to gain access to any pertinent records such as equipment 

calibration records, and records of laboratory certifications. Employees 

may not have access to SAP referrals and follow-up testing plans. 

(2) Records of a verified positive drug/alcohol test result shall be released to 

the Drug and Alcohol Program Manager, Department Supervisor and 

Personnel Manager on a need to know basis. 

(3) Records will be released to a subsequent employer only upon a receipt of 

a written request from the employee. 

(4) Records of an employee’s drug/alcohol tests shall be released to the 

adjudicator in a grievance, lawsuit, or other proceeding initiated by or on 

behalf of the tested individual arising from the results of the drug/alcohol 

test. The records will be released to the decision maker in the proceeding. 

The information will only be released with binding stipulation from the 

decision maker will make it available only to parties in the proceeding. 

(5) Records will be released to the National Transportation Safety Board 

during an accident investigation. 

(6) Records will be released to the DOT or any DOT agency with regulatory 

authority over the employer or any of its employees. 

(7) Records will be released if requested by a Federal, state or local safety 

agency with regulatory authority over Lift, Incorporated or the employee. 

(8) If a party seeks a court order to release a specimen or part of a specimen 

contrary to any provision of Part 40 as amended necessary legal steps to 

contest the issuance of the order will be taken. 

(9) In cases of a contractor or sub-recipient of a state department of 

transportation, records will be released when requested by such agencies 

that must certify compliance with the regulation to the FTA. 

U. SYSTEM CONTACTS 

Any questions regarding this policy or any other aspect of the substance abuse policy 

should be directed to the following individual(s): 

Lift, Incorporated Drug and Alcohol Program Manager: 

Name: Paul Thomas 

Title: Transportation Director 

Address: P.O. Box 28, Tupelo, MS 38802-0028 

Telephone Number: 662-842-9511 

Page 21 of 26 
 

 

 

 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


Medical Review Officer:
 


Name: Dr. Jock Sneddon, MD 
 

Title: Advantage Care 
 

Address: 7121 Grand National Blvd. 
 

Orlando, FL 32819 

Telephone Number: 407-345-8875 

Substance Abuse Professional: 

Name: Region III Chemical Dependency Program 

Address: 920 Boone Street 

 Tupelo, MS 38804 

Telephone Number: 662-844-3531 

HHS Certified Laboratory Primary Specimen 

Name: Quest Diagnostics Incorporated 

Address: 3175 Presidential Drive 

Atlanta, GA 30340 

Telephone Number: 1-800-729-6432 

HHS Certified Laboratory Split Specimen 

Name: Quest Diagnostics Incorporated 

Address: 4770 Regent Blvd. 

 Irving, TX 75063 

Telephone Number: 1-800-824-6152 

This Policy was adopted by the Board of Directors of Lift, Incorporated 

on November 20, 2003. 

Page 22 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


Attachment I 
 

Safety-Sensitive Positions 
 

Supervisory and Administration Covered Classifications 

Title Testing Authority 

Transportation Director FTA/Lift 

Transportation Specialist FTA/Lift 

Transportation Clerk FTA/Lift 

Driver and Maintenance Job Classifications 

Title Testing Authority 

Transit Driver FTA/Lift 

Standby Driver FTA/Lift 

Part-Time Driver FTA/Lift 

SIL Driver FTA/Lift 

SIL Advocate FTA/Lift 

Page 23 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


Attachment II 

Alcohol Fact Sheet 

Alcohol is a socially acceptable drug that has been consumed throughout the world 

for centuries. It is considered a recreational beverage when consumed in moderation 

for enjoyment and relaxation during social gatherings. However, when consumed 

primarily for its physical and mood-altering effects, it is a substance of abuse. As a 

depressant, it slows down physical responses and progressively impairs mental 

functions. 

Signs and symptoms of Use: 

Dulled Mental Processes Sleepy or stupor us condition 

Lack of coordination Slowed reaction rate 

Odor of alcohol on breath Slurred speech 

Possible constricted pupils 

(Note: Except for the odor, these are general signs and symptoms of any depressant 

substance.) 

• Health Effects 

The chronic consumption of alcohol (average or three servings per day of beer {12 

ounces}, whiskey {1 ounce}, or wine {6 ounce glass} over time may result in the 

following health hazards: 

Decreased sexual functioning Malignant melanoma 

Dependency (up to 10 percent Kidney disease 

of all people who drink alcohol Pancreatitis 

become physically Spontaneous abortion and neonatal 

And/or mentally dependent on mortality 

alcohol and can be termed Ulcers 

“alcoholic”) Birth defects (up to 54 percent of all 

Fatal liver diseases birth defects are alcohol related). 

Increased cancers of the mouth, 

tongue, pharynx, esophagus, 

rectum breast 

• Social Issues 

Two-thirds of all homicides are committed by people who drink prior to the 
 

crime. 
 

Two to three percent of the driving population is legally drunk at any one time. 
 

This rate is doubled at night and on weekends. 
 

Two thirds of all Americans will be involved in an alcohol-related vehicle 
 

accident during their lifetimes. 
 

Page 24 of 26 
 

DRUG AND ALCOHOL TESTING POLICY 
 

LIFT, INCORPORATED PUBLIC TRANSIT 
 

Adopted August 21, 2003
 


The rate of separation and divorce in families with alcohol dependency 
 

problems is 7 times the average. 
 

Forty percent of family court cases are alcohol problem related. 
 

Alcoholics are 15 times more likely to commit suicide than are other segments 
 

of the population. 
 

More than 60 percent of burns, 40 percent of falls, 69 percent of boating 
 

accidents, and 76 percent of private aircraft accidents are alcohol related. 
 

• The Annual Toll 

24,000 people will die on the highway due to the legally impaired driver. 
 

12,000 more will die on the highway due to the alcohol-affected driver. 
 

15,800 will die in non-highway accidents. 
 

30,000 will die due to alcohol-caused liver disease. 
 

10,000 will die due to alcohol-induced brain disease or suicide. 
 

Up to another 125,000 will die due to alcohol-related conditions or accidents. 
 

• Workplace issues 

It takes one hour for the average person (160 pounds) to process one serving 
 

of an alcoholic beverage from the body. 
 

Impairment in coordination and judgement can be objectively measured with 
 

as little as two drinks in the body. 
 

A person who is legally intoxicated is 6 times more likely to have an accident 
 

than a sober person. 
 

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DRUG AND ALCOHOL TESTING POLICY 
 

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Adopted August 21, 2003
 


Attachment III 
 

Minimum Thresholds 
 

INITIAL TEST CUT-OFF LEVELS 

 (ng/ml) 

Marijuana metabolites 50 

Cocaine metabolites 300 

Opiate metabolites 2,000 

Phencyclidine 25 

Amphetamines 1,000 

 CONFIRMATORY TEST CUT-OFF 

 LEVELS (ng/ml) 

Marijuana metabolites 15 

Cocaine metabolites 150 

Opiates: 

Morphine 2,000 

Codeine 2,000 

Phencyclidine 25 

Amphetamines: 

Amphetamines 500 

Methamphetamine 500 

Page 26 of 26 
Medium Transit System 
 

Knoxville Area Transit 
 

Knoxville Area Transit (KAT) Substance Abuse Policy 

Summary: KAT’s policy covers a medium-sized transit system. The goal of 

KAT’s substance abuse policy is to (1) assure that employees are not impaired in 

their ability to perform assigned duties in a safe, productive, and healthy manner; 

(2) create a workplace environment free from the adverse effects of drug and 

alcohol substance abuse or misuse; (3) prohibit the unlawful manufacture, 

distribution, dispensing, possession, or use of controlled substances; and (4) 

encourage employees to seek professional assistance any time personal 

problems, including alcohol or drug dependency, adversely affect their ability to 

perform their assigned duties. 

KAT’S SUBSTANCE ABUSE POLICY 
 

UPDATED JULY 2003 
 

TABLE OF CONTENTS 
 

1.0 OVERVIEW 
 

2.0 EMPLOYEE CATEGORIES SUBJECT TO TESTING 
 

3.0 PARTICIPATION AS A REQUIREMENT OF EMPLOYMENT 
 

4.0 REQUIRED HOURS OF COMPLIANCE 
 

5.0 PROHIBITED BEHAVIOR 
 

6.0 CIRCUMSTANCES FOR TESTING 
 

7.0 END OF SHIFT TESTING 
 

8.0 BEHAVIOR THAT CONSTITUTES A REFUSAL TO SUBMIT TO A TEST 
 

9.0 TESTING PROCEDURES 
 

10.0 OBSERVED TESTING 
 

11.0 CONSEQUENCES OF USE OF DRUGS AND MISUSE OF ALCOHOL 
 

12.0 IDENTITY OF CONTACT PERSON 
 

13.0 EFFECTS OF ALCOHOL 
 

14.0 ADDITIONAL PROVISIONS 
 

15.0 APPROVAL BY GOVERNING BOARD 
 

ADDITIONAL MATERIAL: 

List of Safety-Sensitive Functions at KAT 
 

Substance Abuse Services Referral Listing 
 

Educational Materials 
 

Program Notification Letter 
 

Confirmation of Receipt 
 

 

 

 

 KAT’s Substance Abuse Policy 

1.0 OVERVIEW 

KAT is dedicated to providing safe, dependable, and economical transportation services to our 

transit system passengers. KAT employees are our most valuable resource and it is our goal to 

provide a healthy, satisfying working environment which promotes personal opportunities for growth. 

In meeting these goals, it is our policy to (1) assure that employees are not impaired in their ability to 

perform assigned duties in a safe, productive, and healthy manner; (2) create a workplace 

environment free from the adverse effects of drug and alcohol substance abuse or misuse; (3) 

prohibit the unlawful manufacture, distribution, dispensing, possession, or use of controlled 

substances; and (4) to encourage employees to seek professional assistance any time personal 

problems, including alcohol or drug dependency, adversely affect their ability to perform their 

assigned duties. 

The purpose of this policy is to assure worker fitness for duty and to protect our employees, 

passengers, and the public from the risks posed by the use of alcohol and prohibited drugs. This 

policy is also intended to comply with all applicable Federal regulations governing workplace antidrug programs in the transit industry. The Federal Transit Administration (FTA) of the U. S. 

Department of Transportation (DOT) has enacted 49 CFR Part 655 that mandate urine drug testing 

and evidential breath alcohol testing for safety-sensitive positions and prevents performance of safetysensitive functions when there is a positive test result. The U. S. Department of Transportation 

(DOT) has also enacted 49 CFR Part 40 that sets standards for the collection and testing of urine and 

breath specimens. In addition, the DOT has enacted 49 CFR Part 29, "The Drug-Free Workplace 

Act of 1988", which requires the establishment of drug-free workplace policies and the reporting of 

certain drug-related offenses to the FTA. This policy incorporates those requirements for employees 

at KAT, which became effective on January 1, 1995 and August 1, 2001. All drug and alcohol testing 

will be conducted in accordance with 49 CFR Part 40, as amended. Copies of Part 40 are available in 

the office of the Director of Human Resources or at http://www.dot.gov/ost/dapc/index.html. 

2.0 EMPLOYEE CATEGORIES SUBJECT TO TESTING 

Employees who perform safety-sensitive functions must be included in the substance abuse 

management program (Part 655). The FTA has determined that "safety-sensitive" functions are 

performed by those who (Part 655): 

-Operate revenue service vehicles including when not in revenue service 

-Operate non-revenue service vehicles that require drivers to hold CDLs 

-Dispatch or control revenue service vehicles 

-Maintain revenue service vehicles or equipment used in revenue service 
-Provide security and carry a firearm 

These categories include supervisors who perform these functions. Supervisors of employees in 

these categories who do not themselves perform these functions are excluded. 

A list of safety-sensitive positions at KAT is attached. 

3.0 PARTICIPATION AS A REQUIREMENT OF EMPLOYMENT 

Participation in KAT's prohibited substance testing program is a requirement of each safetysensitive employee and, therefore, is a condition of employment. Pursuant to the Drug-Free 

Workplace Act of 1988, an employee must notify the employer in writing of his or her conviction 

for a violation of any criminal drug statute no later than five calendar days after such conviction. 

4.0 REQUIRED HOURS OF COMPLIANCE 

Use and ingestion of prohibited drugs are prohibited at all times. KAT employees may be tested 

for drugs at any time they are on duty. 

An employee must not consume alcohol while performing a safety-sensitive function (Part 655, 

four hours prior to performing a safety-sensitive function (Part 655), and up to eight hours 

following an accident or until the employee undergoes a post-accident test, whichever occurs first 

(Part 655). 

5.0 PROHIBITED BEHAVIOR 

Any employee is prohibited from engaging in unlawfully manufacturing, distributing, dispensing, 

possessing, or using controlled substances in the workplace consistent with the Drug-Free 

Workplace Act of 1988. Any safety-sensitive employee who is reasonably suspected of being 

intoxicated, impaired, under the influence of a prohibited substance, or not fit for duty shall be 

suspended from job duties pending an investigation and verification of condition. Employees 

found to be under the influence of prohibited substances or who fail to pass a drug or alcohol test 

shall be removed from duty and subject to disciplinary action. A drug or alcohol test is 

considered positive if the individual is found to have a quantifiable presence of a prohibited 

substance in the body above the minimum thresholds defined in 49 CFR Part 40. 

No safety-sensitive employee should report for duty or remain on duty when his/her ability to 

perform assigned functions is adversely affected by alcohol or when his/her blood alcohol 

concentration is 0.02 or greater. No employee shall use alcohol while on duty or while 

performing safety-sensitive functions. No employee shall have used alcohol within four hours of 

reporting for duty or immediately following the performance of such functions. No employee 

shall use alcohol during the hours that they are on call. 
All safety-sensitive employees will be subject to urine drug testing and breath alcohol testing. Any 

employee who refuses to comply with a request for testing, who provides false information in 

connection with a test, or who attempts to falsify test results through tampering, contamination, 

adulteration or substitution shall be removed from duty immediately and will be subject to 

disciplinary action. Refusal can include an inability to provide a specimen or breath sample 

without a valid medical explanation, as well as a verbal declaration, obstructive behavior, or 

physical absence resulting in the inability to conduct the test. 

6.0 CIRCUMSTANCES FOR TESTING 

The FTA requires that drug and alcohol tests be given to safety-sensitive employees in specific 

circumstances: pre-employment, reasonable suspicion, post-accident, random, return to duty and 

follow-up. 

-Pre-Employment Testing: Receipt by KAT of satisfactory test results is required prior to 

employment in a safety-sensitive position. Any covered employee or applicant who has 

previously failed or refused a pre-employment drug test administered under Section 655.41(a)(2), 

the employee must provide proof of successful completion of a treatment plan as outlined in 

Section 655.62. A negative test is required before an employee performs safety-sensitive duties. 

A drug test with dilute negative result will be recollected. When a covered employee is on 

extended leave for a period of ninety days or more regardless of reason, and is not in the random 

testing pool, the employee will be required to take a drug test and have a negative test result prior 

to the conduct of safety-sensitive job functions. 

-Reasonable Suspicion Testing: All safety-sensitive employees may be subject to a fitness 

for duty evaluation, to include appropriate urine and/or breath testing when there are reasons to 

believe that the covered employee has used a prohibited drug and/or engaged in alcohol misuse. 

Reasonable suspicion will mean that there is objective evidence, based upon specific, 

contemporaneous, articulable observations of the employee’s appearance, behavior, speech, or 

body odor that are consistent with possible drug use and/or alcohol misuse. A reasonable 

suspicion referral for testing will be made on the basis of documented objective facts and 

circumstances which are consistent with the long- or short-term effects of substance abuse. 

Reasonable suspicion determinations will be made by one or more supervisors trained to detect 

the signs and symptoms of drug and alcohol use and who reasonably conclude that an employee 

has used a prohibited drug and/or engaged in alcohol misuse. A drug test result of negative dilute 

will be retested. Alcohol testing will be conducted just before an employee performs safetysensitive duties, during that performance or just after an employee has performed covered duties. 

-Post-Accident Testing: All surviving employees will be required to undergo urine and 

breath testing if they are involved in an accident that results in a fatality. In addition, safetysensitive employees will be required to undergo urine and breath testing if they are involved in an 

accident while on duty for KAT unless the KAT official in charge at the time determines, using 

the best information available at the time of the decision, that the covered employee’s 

performance can be completely discounted as a contributing factor to the accident. This includes 

all employees that are on-duty in vehicles and any other whose performance could have 

contributed to the accident. The FTA defines an accident as an occurrence associated with the 

operation of a vehicle, if as a result: 
 

1) An individual dies; or 

2) An individual suffers bodily injury and immediately receives medical treatment away 

from the scene of the accident; or 

3) With respect to an occurrence in which the mass transit vehicle involved is a bus, 

electric bus, van or automobile, one or more vehicles (including non-FTA funded 

vehicles) incurs disabling damage as the result of the occurrence and such vehicle or 

vehicles are transported away from the scene by a tow truck or other vehicle; or 

4) With respect to an occurrence in which the mass transit vehicle involved is a rail car, 

trolley car, trolley bus, or vessel, the mass transit vehicle is removed from operations. 

Following an accident, the employee will be tested as soon as possible, but not to exceed 

eight hours for alcohol testing and 32 hours for drug testing. Any employee involved in an 

accident must refrain from alcohol use for eight hours following the accident and be readily 

available for testing until he/she undergoes a post-accident alcohol test. Post-accident alcohol 

testing is stayed while an employee assists in the resolution of the accident or receives medical 

attention following the accident. In reference to an alcohol test, if the employee is not tested 

within two hours, documentation must be submitted as to why the test was delayed, including 

documentation continued attempts to obtain specimen. Attempts to obtain specimen must cease 

after eight hours. Any employee who leaves the scene of the accident without appropriate 

authorization prior to submission to drug and alcohol testing will be considered to have refused 

the test and their employment will be terminated. Employees tested under this provision will 

include not only the operations personnel, but any other covered employees whose performance 

could have contributed to the accident. A drug test result of negative dilute may result in 

retesting. 

In the event of a fatality, surviving operators of the mass transit vehicle involved in the 

accident will be drug and alcohol tested as soon as practicable following the accident. Any other 

covered employee whose performance could have contributed to the accident, as determined by 

the employer using the best available information available at the time of the decision, will also be 

drug and alcohol tested. 

-Random Testing: Employees in safety-sensitive positions will be subject to random, 

unannounced testing. Random selections will be made by a scientifically valid method. Random 

tests will be reasonably spread throughout all days and hours of operation. Random alcohol tests 

will be conducted just prior to an employee performing a safety-sensitive function, during that 

performance, or just after an employee has performed these covered duties. Random tests will 

be unannounced and must be performed immediately upon notification of the employee. A 

random drug test result of negative dilute may result in retesting. 

-Return-to-Duty: For those employers who have a re-entry program for employees who test 

positive on drug and/or alcohol tests, the FTA requires that in addition to remaining in the 

regular random pool for testing, those employees undergo return-to-duty and follow-up testing as 

directed by the Substance Abuse Professional (SAP). This section does not apply to KAT; see 

Section 12.0 11.0 for KAT's company policy on positive tests. 
 

-Employee Requested Testing: Any employee who questions the results of a required 

drug test under this policy may request that an additional test be conducted. This test must be 

conducted at a different testing DHHS-certified laboratory. The test must be conducted on the 

split sample that was provided at the same time as the original sample. The method of collecting, 

storing, and testing the split sample will be consistent with the procedures set forth in 49 CFR Part 

40. The employee's request for a re-test must be made to the Medical Review Officer (MRO) 

within 72 hours of notice of the initial test result. Requests after 72 hours will only be accepted if 

the delay was due to documented facts that were beyond the control of the employee. 

7.0 END OF SHIFT TESTING 

Random testing may occur anytime an employee is on duty so long as the employee is notified 

prior to the end of the shift. Employees who provide advance, verifiable notice of scheduled 

medical or child care commitments will be random drug tested no later than three hours before 

the end of their shift and random alcohol tested no later than 30 minutes before the end of their 

shift. Verifiable documentation of a previously scheduled medical or childcare commitments, for 

the period immediately following an employee’s shift, must be provided at least eight hours 

before the end of the employee’s shift. 

8.0 BEHAVIOR THAT CONSTITUTES A REFUSAL TO SUBMIT TO A TEST 

Any employee who refuses to take a test, is unable to provide sufficient quantities of breath or 

urine to be tested without a valid medical explanation, fails to undergo a medical exam when 

required, engages in conduct that obstructs the testing process, does not report to the collection 

site in the time allotted by employer( excluding pre-employment), provides a substituted or 

adulterated specimen, leaves the collection facility prior to test completion, fails to permit an 

observed or monitored collection when required, fails to take a second test when required, leaves 

the scene of an accident without a valid reason before the tests have been conducted or fails to 

cooperate with any part of the testing process, will be considered to have a positive test result and 

will be subject to disciplinary procedures. Failure to sign the certification at Step 2 of the Alcohol 

Testing Form will also constitute a refusal to submit. 

9.0 TESTING PROCEDURES 

Testing shall be conducted in a manner to assure a high degree of accuracy and reliability and 

using techniques, equipment, and laboratory facilities that have been approved by the U. S. 

Department of Health and Human Services (DHHS). All testing will be conducted consistent 

with the procedures put forth in 49 CFR Part 40. 

The drugs that will be tested for include marijuana, cocaine, opiates, amphetamines, and 

phencyclidine. Employees should know that the assertion of consumption or other use of a 

hemp or other non-prescription marijuana related product as a defense of a positive marijuana 

test will not be accepted by the Medical Review Officer in accordance with Part 40-151(f). An 

initial drug screen will be conducted on each specimen. For those specimens that are not 

negative, a confirmatory Gas Chromatography/Mass Spectrometry (GC/MS) test will be 
performed. The test will be considered positive if the amounts present are above the minimum 

thresholds established in 49 CFR Part 40. 

Tests for alcohol concentration will be conducted utilizing a National Highway Traffic Safety 

Administration (NHTSA)-approved evidential breath-testing device (EBT) operated by a trained 

breath alcohol technician (BAT). If the initial test indicates an alcohol concentration of 0.02 or 

greater, a second test will be performed to confirm the results of the initial test. 

An employee who has a confirmed alcohol concentration of greater that 0.02 but less than 0.04 

will be removed from his/her position for eight hours unless a retest results in a concentration 

measure of less than 0.02, and will be subject to disciplinary action. An alcohol concentration of 

0.04 or greater will be considered a positive alcohol test and in violation of this policy. An 

employee that has a confirmed positive drug or alcohol test will be removed from his/her 

position, and referred to a Substance Abuse Professional (SAP). A positive drug and/or alcohol 

test will also result in disciplinary action. 

Confidentiality of records of substance abuse testing will be maintained in accordance with 49 

CFR 655. Test results may be released only under the following circumstances: 

*Upon written request, an employee may obtain copies of records pertaining to his 

or her use of prohibited drugs, including any records pertaining to his or her drug tests. 

*KAT shall disclose data for its substance abuse program when requested by the 

Secretary of Transportation or any DOT agency with regulatory authority over KAT or 

any of its employees. 

*KAT is required to permit access to all facilities utilized in complying with the 

requirements of its DOT mandated substance abuse program to the Secretary of 

Transportation or any DOT agency with regulatory authority over KAT or any of its 

employees. 

*When requested by the National Transportation Safety Board as part of an accident 

investigation, KAT shall disclose information related to its administration of a drug test 

following the accident under investigation. 

*Records relating to substance abuse testing of an employee shall be made available to a 

subsequent employer upon receipt of a written request from the employee. Subsequent 

disclosure by KAT is permitted only as expressly authorized by the terms of the 

employee’s request. 

*KAT may disclose information required to be maintained as part of its substance abuse 

policy which pertains to an employee either to the employee or to the decision maker in a 

lawsuit, grievance, or other proceeding initiated by or on behalf of the individual, and 

arising from the results of a drug/alcohol test administered under the DOT’s required 

drug and alcohol testing program. 

*KAT shall release information regarding an employee’s record as directed by the 

specific, written consent of the employee authorizing release of the information to an 

identified person. 

10.0 OBSERVED TESTING 

Employees will be required to submit to an observed collection under the following conditions: 
 

*Specimen temperature is out of range 

*Collection personnel observe an attempt to adulterate 

*Specimen is invalid with no medical explanation 

*Split specimen is unavailable to confirm following a positive, adulterated, or 

substituted result 

*Specimen resulted in a dilute negative result as defined in Section 40.197(b) 

11.0 CONSEQUENCES OF USE OF DRUGS AND MISUSE OF ALCOHOL 

FTA rules mandate that a safety-sensitive employee who refuses to submit to a test, has a verified 

positive drug test result, has an alcohol concentration of 0.04 or greater or has an alcohol 

concentration of 0.02 or greater but less than 0.04, must be removed immediately from his or her 

safety-sensitive function. The rules further mandate referral to a SAP for evaluation for any 

safety-sensitive employee who has a verified positive drug test result, an alcohol concentration of 

0.04 or greater, or refuses to submit to a test. Any employee with a confirmed positive drug or 

alcohol test or any employee refusing drug or alcohol testing will be terminated from employment 

with KAT. 

12.0 IDENTITY OF CONTACT PERSON 

Questions about KAT’s Substance Abuse Program should be addressed to: 

Beverly Campbell 

Director of Human Resources 

KAT 

1135 Magnolia Avenue 

Knoxville, Tennessee 37917 

Telephone Number: 865-215-7815 

13.0 EFFECTS OF ALCOHOL MISUSE 

Alcohol consumption causes a number of marked changes in behavior. 

Even low doses significantly impair the judgment and coordination required to operate a vehicle 

safely, increasing the likelihood that the driver will be involved in an accident. Low to moderate 

doses of alcohol also increases the incidence of a variety of aggressive acts, including spouse and 

child abuse. Moderate to high doses of alcohol cause marked impairments in higher mental 

functions, severely altering a person's ability to learn and 

remember information. Very high doses cause respiratory depression and death. If combined 

with other depressants of the central nervous system, much lower doses of alcohol will produce 

the effects just described. 

Repeated use of alcohol can lead to dependence. Sudden cessation of alcohol intake is likely to 

produce withdrawal symptoms, including severe anxiety, tremors, hallucinations, and convulsions. 

Alcohol withdrawal can be life-threatening. Long-term consumption of large quantities of 
alcohol, particularly when combined with poor nutrition, can also lead to permanent damage to 

vital organs such as the brain and the liver. 

Mothers who drink alcohol during pregnancy may give birth to infants with fetal alcohol 

syndrome. These infants have irreversible physical abnormalities and mental retardation. In 

addition, research indicates that children of alcoholic parents are at greater risk than other 

youngsters of becoming alcoholics. (foregoing three paragraphs drawn from information 

contained in "U.S. Dept. of Labor: What Works: Workplaces without Alcohol and Other 

Drugs") 

Enclosed is a list of options available locally for obtaining assistance for alcohol misuse problems. 

14.0 ADDITIONAL PROVISIONS 

While not required by FTA rules, KAT recognizes a commitment to any employees who may 

seek assistance with a substance abuse problem outside the scope of the testing program. 

Accordingly, any employee who suspects that he or she may have a substance abuse problem is 

encouraged to use available resources before the problem impacts his/her employment status. It 

is KAT’s policy to allow employees who voluntarily seek assistance outside the scope of the 

testing program to use any and all earned benefits, including any available health insurance 

benefits, sick leave, short-term disability (not to exceed the term of available insurance) and 

unpaid leave of absence if necessary while obtaining help for a substance abuse problem. This 

provision will not apply to any employee who tests positive through the testing program. Any 

problems discovered through the testing program will be subject to the disciplinary procedures 

outlined below, as well as all other provisions of KAT’s substance abuse prevention program. 

Identification of the Substance Abuse Professional available locally is attached. This list is to be 

used as a resource and is not to be considered inclusive. Those individuals wishing to obtain 

services under benefits provided by health insurance should use only those services covered 

under their health provider benefits. 

The consumption of illegal drugs is prohibited at all times. Prohibited substances for the purpose 

of this policy include the following: marijuana (includes all hemp products) cocaine; 

amphetamines; opiates; phencyclidine; and alcohol. KAT reserves the right to test for other 

substances and will drug and alcohol test after all accidents/incidents, including 

accidents/incidents not covered under the FTA post-accident testing guidelines 

KAT’s agency disciplinary policy regarding this testing program will be as follows: 

-Any safety-sensitive or non-safety-sensitive employee who has an alcohol concentration of 0.02 or 

greater but less than 0.04 will receive a "miss-out" and be subject to all employee "miss-out" rules; 

-Any safety-sensitive or non-safety-sensitive employee who has a verified positive drug test result, 

an alcohol concentration of 0.04 or greater, or who refuses to submit to a test will be referred to a 

Substance Abuse Professional for evaluation and his/her employment with KAT will be 

terminated. 
_____________________________________ 

It will be policy at KAT for all safety-sensitive employees to be subject to the following testing 

categories: Pre-employment, post-accident, random, reasonable suspicion testing as required by 

FTA rules. It will be policy at KAT for all non-safety-sensitive employees to be subject to the 

following testing categories: Pre-employment, post-accident, and reasonable suspicion. 

15.0 APPROVAL BY GOVERNING BOARD 

This policy was adopted by the Knoxville Transportation Authority at its meeting held on 

October 27, 1994, amended and updated at its meeting held on November 25, 1997, amended 

and updated at its meeting held on October 25, 2001, and amended and updated at its meeting 

held on July 24, 2003. 

Chair: Ms. Essie Johnson 
 

 

SAFETY-SENSITIVE FUNCTIONS AT KAT 

Director of Operations 

Dispatcher 

Road Supervisor 

Bus Operator 

Trolley Operator 

Neighborhood Service Operator 

“T” Operator 

Chief Operating Officer 

LIFT Operator 

Director of Safety and Training 

Director of Maintenance 

Assistant Director of Maintenance 

Maintenance Supervisor 

Mechanic 

Serviceperson 

Training Coordinator 
SUBSTANCE ABUSE PROFESSIONALS REFERRAL 

WESTSIDE PSYCHOLOGY....................................................690-0962 
________________________ ________________________________________ 

 

CONFIRMATION OF RECEIPT 

ACKNOWLEDGEMENT 

I hereby acknowledge that I have received a copy of the anti-drug and alcohol misuse program 

policy mandated by the U.S. Department of Transportation, Federal Transit Administration for 

all covered employees who perform a safety-sensitive function. I understand this policy is 

required by 49 CFR Part 655, as amended, and has been duly adopted by the governing board of 

the employer. Any provisions contained herein which are not required by 49 CFR Part 655, as 

amended, that have been imposed solely on the authority of the employer are in the policy 

document. 

I further understand that receipt of this policy constitutes a legal notification of the contents, and 

that it is my responsibility to become familiar with and adhere to all provisions contained herein. 

I will seek and get clarifications for any questions from the employer contact person listed in the 

policy. I also understand that compliance with all provisions contained in the policy is a 

condition of my employment. 

I further understand that the information contained in the policy approved July 24, 2003, is 

subject to change, and that any such changes, or addendum, shall be disseminated to me in a 

manner consistent with the provision of 49 CFR Part 655, as amended. 

Date Employee's Signature

 __________________________________ 

Employee's Name (Printed) 
July 24, 2003 

Dear KAT Employee: 

The Federal Transit Administration (FTA) has issued regulations 49 CFR Part 655 mandating 

 urine drug and breathalyzer alcohol testing for all safety sensitive positions and 49 CFR Part 

 40 that sets standards for the collection and testing of urine and breath specimens. KAT was 

required to comply with these regulations effective August 1, 2001. Under these regulations, 

 we have issued a policy prohibiting illegal drug use at all times by our safety-sensitive 

employees. In addition, alcohol consumption by our safety-sensitive employees is prohibited 

while performing, and for four (4) hours prior to performing safety-sensitive functions. Alcohol 

use after an accident is also prohibited. We must also conduct tests to determine in specific 

situations whether employees have used alcohol or drugs. 

The regulations are very specific regarding what KAT must do to comply. We have developed 

and followed a policy and the procedures that apply to persons who perform safety-sensitive job 

functions at KAT. All KAT employees have received the company’s Substance Abuse Policy 

which was originally adopted by the Knoxville Transportation Authority on October 27, 1994, 

updated on November 25, 1997, updated on October 25, 2001, and now again updated on July 

24, 2003. 

Thank you for your cooperation in implementing these important safety regulations. 

Sincerely, 
 

Mark Hairr 
 

General Manager 
 

Large Transit System–Zero Tolerance 
 

Houston Metro 
 

Houston Metropolitan Transit Authority 

ZERO TOLERANCE 

DRUG AND ALCOHOL POLICY 
 

FOR EMPLOYEES IN 
 

SAFETY-SENSITIVE JOB FUNCTIONS 
 

Summary: This is a zero tolerance policy covering a large transit system and is 

applicable to all METRO employees who are incumbents in safety-sensitive positions, to 

all applicants or employees who may apply for or who may transfer to a safety-sensitive 

position and to contractors who perform safety-sensitive job functions. 

ZERO TOLERANCE 

DRUG AND ALCOHOL POLICY 
 

FOR EMPLOYEES IN 
 

SAFETY-SENSITIVE JOB FUNCTIONS 
 

Written: 9/1997 

Revision #1: 7/1/1999 

Revision #2: 12/18/2004 

Revision #3: 5/11/2006 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Metropolitan Transit Authority
 

ZERO TOLERANCE
 

DRUG AND ALCOHOL POLICY FOR EMPLOYEES 
 

IN SAFETY-SENSITIVE JOB FUNCTIONS 
 

TABLE OF CONTENTS 	 Page 

I Purpose 3 
 

II Scope 3 
 

III Policy 3 
 

IV References 3 
 

V Definitions 4-5 
 

VI Circumstances which Warrant Testing 5-6 
 

VII Specific Testing Requirements 6 
 

VIII Types of Testing Required 7-11 
 

Employment Testing 7 
 

Random Testing 7 
 

Reasonable Suspicion Testing 9 
 

Post Accident Testing 9 
 

Return to Duty & Follow-up Testing 10-11
 

IX Testing Protocols 11-13
 

Alcohol testing 11 
 

Drug testing 12 
 

Medical Review Officer 12 
 

Observed Collection Procedure 13 
 

Dilute Specimen Procedure 13 
 

X Disciplinary Consequences of Drug Use & Misuse of Alcohol 14-16
 

Positive Alcohol 14 
 

Prohibited Drugs 14 
 

Prescription Drugs 15 
 

CDL License Suspension Due to DUI Conviction 15 
 

Other Disciplinary Consequences 
 

Drug Free Workplace Act 15 
 

Behaviors that Constitute a test refusal 15-16
 

XI 	 Action to Be Taken for Positive Test Results or Refusal to 16 
 

Test 
 

XII 	 Confidentiality and Release of Information 16 
 

XIII 	 Records Management 17-18
 

Addendum A Safety-Sensitive Job Classifications 	 19 
 

Addendum B Service Vendors & Program Staff 23 

Addendum C Annual Random Testing Rates 24 

Addendum D Laboratory Testing Cutoff Levels 
 25 

Addendum E Drug Testing Procedures 26 
 

Shy Bladder Procedure 27 
 

Addendum- F Alcohol Testing Procedures 28 
 

Shy Lung Procedure 29 
 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 3
 
 

Metropolitan Transit Authority
 


ZERO TOLERANCE
 


DRUG AND ALCOHOL POLICY FOR EMPLOYEES 
 

IN SAFETY-SENSITIVE JOB FUNCTIONS 
 

I. PURPOSE
 


To provide the safest possible transportation for the public and a safe work environment for 

METRO employees through the requirement of a work place free of prohibited drugs and 

alcohol. 

II. SCOPE 

This policy applies to all METRO employees who are incumbents in safety-sensitive positions, 

to all applicants or employees who may apply for or who may transfer to a safety-sensitive 

position and to contractors who perform safety-sensitive job functions. 

The job classifications that have been determined to be safety-sensitive are noted in Appendix 

A and are maintained by the Human Resources Department. 

III. POLICY 

This policy establishes procedures and processes for the administration of METRO’s Drug and 

Alcohol Program in accordance with the Department of Transportation (DOT) and the Federal 

Transit Administration (FTA) requirements. Based on these requirements, METRO requires all 

employees performing safety-sensitive job functions to submit to testing for the presence of 

specifically designated drugs and alcohol. 

METRO’s Board of Directors has adopted a Zero Tolerance policy regarding drug use and 

alcohol misuse. All employees must be free of the designated drugs and alcohol when 

performing a safety-sensitive function. 

IV. REFERENCES 

This policy is written in conjunction with the following rules and regulations: 

•	 DOT regulations in 49 CFR Part 40; “Procedures for Transportation Workplace Drug and 

Alcohol Testing Programs” 

•	 FTA regulations in 49 CFR Part 655; “Prevention of Alcohol Misuse and Prohibited Drug 

Use in Transit Operations” 

•	 49 CFR Part 29, Drug-Free Workplace Act of 1988. 

•	 FTA Drug and Alcohol Regulation Updates. 

•	 METRO’s Guideline “DWI/DUI & Other Criminal Offenses”. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 4 
V. DEFINITIONS 

“Accident” means an occurrence associated with the operation of a vehicle, if as a result: 

•	 An individual dies; or 

•	 One or more individuals suffers bodily injury and immediately receives medical 

treatment away from the scene of the accident; or 

•	 An occurrence in which the mass transit vehicle involved is a bus, electric bus, 

van or automobile, one or more vehicles (including non-FTA funded vehicles) 

incurs disabling damage as the result of the occurrence and such vehicle or 

vehicles are transported away from the scene by a tow truck or other vehicle; or 

•	 An occurrence in which the mass transit vehicle involved is a rail car and is 

removed from service. 

“Adulterated Specimen” means a specimen that contains a substance that is not expected to 

be present in human urine, or contains a substance expected to be present but is at a 

concentration so high that it is not consistent with human urine. 

A “Cancelled Test” is a drug or alcohol test that has an identified problem that cannot be or has 

not been corrected. A cancelled test is neither positive nor negative. 

“Contractor” means a person or organization that provides a safety-sensitive service for a 

recipient, sub-recipient, employer, or operator consistent with a specific understanding or 

arrangement. The understanding can be a written contract or an informal arrangement that 

reflects an ongoing relationship between the parties. 

A “Covered Employee” means a person, including an applicant or transferee, who is applying 

for a position to perform safety-sensitive functions. A volunteer is considered a covered 

employee if required to hold a commercial driver’s license to operate a vehicle, or performs a 

safety-sensitive function and receives remuneration in excess of his or her actual expenses 

incurred while engaged in the volunteer activity. 

A “Dilute Specimen” has creatinine and specific gravity values that are lower than expected for 

human urine. 

“Disabling Damage” is defined as “damage, which precludes the departure of any vehicle from 

the scene of an accident in its usual manner in daylight after simple repair”. This includes 

damage to vehicles that could be driven but would sustain further damage if driven. This does 

not include damage readily fixed on the scene, such as tire disablement, headlight/tail light 

damage or damage to the turn signals, windshield wipers or horn. 

An “Evidential Breath Testing (EBT) device” is a device approved by NHTSA for the 

evidential testing of breath at the .02 and .04 alcohol concentrations, placed on NHTSA’s 

Conforming Products List (CPL) for “Evidential Breath Measurement Devices” and identified on 

the CPL as conforming with the model specifications available from NHTSA's Traffic Safety 

Program. 

An “Invalid Drug Test” refers to the result of a drug test from a urine specimen that contains 

an unidentified adulterant or an unidentified interfering substance; has abnormal physical 

characteristics; or has an endogenous substance at an abnormal concentration that prevents 

the laboratory from completing or obtaining a valid drug test result. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 5 
“Medical Review Officer” (MRO) is a licensed physician responsible for receiving laboratory 

results generated by an employer’s drug testing laboratory and who has knowledge of 

substance abuse disorders and appropriate medical training to interpret and evaluate an 

individual’s confirmed positive tests result together with his or her medical history and any other 

relevant biomedical information. (See Addendum B) 

“On-Call” duty is defined as being scheduled for specific after duty hours for which the 

employee must report to duty when called. 

A “Safety-Sensitive Function” means any of the following duties when performed by 

employees of recipients, sub-recipients, operators or contractors based on specific job criteria: 

•	 Operating a revenue service vehicle, including when not in revenue service; 

•	 Operating a non-revenue service vehicle, when required to be operated by a holder 

of a Commercial Drivers License; 

•	 Controlling dispatch or movement of a revenue service vehicle; 

•	 Maintaining (including repairs, overhaul and rebuilding) a revenue service vehicle or 

equipment used in revenue service; 

•	 Carrying a firearm for security purposes. 

The “Substance Abuse Professional (SAP)” is a licensed physician (MD or DO), a licensed or 

certified psychologist and a licensed or certified employee assistance professional, or certified 

alcohol and drug abuse counselor certified by the National Association of Alcoholism and Drug 

Abuse Counselors Certification Commission (NAADAC) or by the International Certification 

Reciprocity Consortium/Alcohol and Other Drug Abuse (ICRC), or by the National Board of 

Certified Counselors, Inc. and Affiliates/Master Additions Counselor (NBCC) that has knowledge 

of and clinical experience in the diagnosis and treatment of substance abuse-related disorders. 

The role of the SAP is to evaluate whether an employee with a verified positive test or who has 

refused a test is in need of assistance in resolving problems associated with prohibited drug use 

or alcohol misuse. The SAP also evaluates if an employee has complied with treatment 

recommendations, and recommends when the employee is ready for return to duty testing and 

for follow up testing. The SAP recommends the required number of follow up drug/alcohol tests 

after the employee returns to duty. 

A “Substituted Specimen” has a creatinine and specific gravity value that is so diminished or 

so divergent that it is not consistent with normal human urine. 

“Vehicle” means a bus, electric bus, van, automobile, rail car, trolley car, trolley bus or vessel. 

A mass transit vehicle is a vehicle used for mass transport or for ancillary services. 

A “Verified Test” is a drug test result or a validity testing result from a Department of Health 

and Human Services (HHS) certified laboratory that has undergone review and final 

determination by the MRO. 

VI. CIRCUMSTANCES WHICH WARRANT TESTING 

According to the FTA regulations, all employees performing safety-sensitive functions are 

required as a condition of employment to submit to drug testing (urine specimen required) and 

alcohol testing (breath testing required) under the following circumstances: 

1. Employment drug testing after the offer of employment; prior to the transfer of any 

employee from a non-safety sensitive position to a safety-sensitive position; or 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 6 
following an absence of 90 days or more where the employee was also removed 

from the random testing pool; 

2. 	 When there is a “reasonable suspicion” of an employee’s drug/alcohol use; 

3. 	 When an employee is involved in a fatal or non-fatal accident as defined by FTA 

criteria; 

4. 	 When an employee is selected for random testing; 

5. 	 Following the successful completion of a SAP determined rehabilitation program for 

return-to-duty testing; 

6. 	 When an employee is subject to follow-up testing as specified by a SAP. 

Pre-duty use of alcohol: All covered employees are prohibited from using alcohol within 4 hours 

prior to performing safety-sensitive functions. No supervisor having actual knowledge that a 

covered employee has used alcohol within 4 hours of performing a safety-sensitive function 

shall permit the employee to perform or continue to perform safety-sensitive functions. A trained 

supervisor in making reasonable suspicion testing determinations will evaluate the employee to 

determine if evidence exists to conduct reasonable suspicion alcohol testing. The supervisor(s) 

will document the reasons for testing, which are outlined in Section VIII of this policy. 

An unscheduled and an on-call employee who is called to report back to duty may acknowledge 

the use of alcohol and the inability to perform safety-sensitive functions without disciplinary 

repercussion. 

If the employee acknowledges the use of alcohol, but claims ability to perform a safety-sensitive 

function, an alcohol test must be performed with a breath alcohol test result of less than 0.02 

before the employee is permitted to begin work. 

On-call employees: The consumption of alcohol is prohibited for covered employees during his 

or her specified on-call hours. See definition for “on-call” in this policy. 

On-duty use of alcohol: All covered employees are prohibited from consuming alcohol, including 

medications with alcoholic content, while performing safety-sensitive functions. No supervisor 

with actual knowledge that a covered employee is using alcohol will permit the employee to 

perform or continue to perform safety sensitive functions. 

Covered employees with an alcohol concentration 0.02 or greater are prohibited from reporting 

for duty to perform a safety-sensitive function or remaining on duty while performing a safetysensitive function. 

Drug Consumption: The consumption of marijuana, cocaine, amphetamines, opiates and 

phencyclidine is prohibited at all times and employees may be tested for these substances any 

time during the performance of their duty. 

VII. SPECIFIC TESTING REQUIREMENTS 

Each employee tested under Federal requirements will be notified of the purpose for the testing 

and under whose authority the test is being conducted. 

Federal drug and alcohol testing must be conducted completely separately from non-federal 

testing. Further, Federal testing will take priority over the non-federal collection process. 

DOT Federal Drug Testing Custody and Control forms and DOT Alcohol Testing forms will be 

used for FTA mandated testing as described in this policy. Any testing conducted solely under 

METRO’s authority will be conducted using non-DOT drug and alcohol testing forms. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 7 
No other tests conducted under the FTA drug and alcohol testing requirements in 49 CFR Part 

655 will be performed on urine or breath specimens except those specified by DOT regulations 

in 49 CFR Part 40. 

A verified positive DOT drug test result cannot be negated by an employee presenting negative 

results collected under other circumstances. 

VIII. TYPES OF TESTING REQUIRED 

Employment or Pre-Placement Testing: The purpose of employment and pre-placement 

testing is to identify current drug use problems of applicants or employees who may seek to 

apply and/or transfer from a non-safety sensitive position to a safety sensitive position. As part 

of the employment process, Human Resources will follow the investigative process as outlined 

in 49 CFR 40.25. 

Human Resources will investigate drug and alcohol testing records of all applicants for safety 

sensitive positions and employees intending to transfer to safety sensitive positions from an 

applicant’s previous DOT employers over the past two years per departmental procedures in 

accordance with 49 CFR Part 40.25. 

When a transferee or applicant has previously failed or refused a DOT drug and/or alcohol test, 

the individual must present to METRO proof of having successfully completed a referral, 

evaluation and treatment plan under a substance abuse professional in accordance with the 

requirements in 49 CFR Part 40, Subpart O. 

Each applicant/transferee must undergo drug testing after a contingent offer of employment or 

transfer. Transferees and applicants may not perform safety sensitive functions until 

employment drug testing is administered with verified negative results. An employee may not 

transfer to a safety sensitive position from a non-safety sensitive position until employment drug 

testing is administered with verified negative results. 

In the event a drug test is considered a “cancelled test” or results are “invalid”, the transferee or 

applicant must retake the drug test with verified negative results before being permitted to start 

a safety sensitive position. 

Applicants who have not been placed in a safety sensitive position within 90 consecutive 

calendar days of their initial employment drug test will be required to re-take the drug test and 

have verified negative results before starting a safety sensitive position. 

Employment testing will also be performed whenever a covered employee has not performed a 

safety-sensitive function for 90 consecutive calendar days, regardless of the reason, and has 

not been in the random selection pool during that time period. The employee may resume 

safety-sensitive duties after METRO receives verified negative drug test results. 

Random Testing: The purpose of random testing is to serve as a strong deterrent to prevent 

employees from beginning or continuing drug use or alcohol misuse and to assist in protecting 

the safety of the public, co-workers and the employee. 

All covered employees are required to participate in the random testing program for drugs and 

alcohol. METRO will test employees performing safety sensitive functions in accordance with 

FTA required minimum testing percentages. (See Addendum C of this Policy.) 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 8 
Random testing is required by FTA to be conducted during all time periods when safetysensitive functions are performed and shall be unannounced and unpredictable. Since METRO 

operates 24 hours a day, seven (7) days a week, 365 days a year, random testing will be 

conducted around the clock, including weekends and holidays. 

A covered employee shall only be randomly tested for alcohol misuse while the employee is 

performing safety-sensitive functions; just before the employee is to perform safety-sensitive 

functions; or just after the employee has ceased performing such functions. A covered 

employee may be randomly tested for prohibited drug use any time while on duty. 

METRO utilizes a drug and alcohol software program from Compliance Information Systems 

called “eVeriTest”. This software programs maintains all drug and alcohol test records and 

performs the weekly random selection. 

Random selection is performed weekly. Prior to the selection process, employees who are 

classified as “active” (working with pay) are imported into the eVeriTest program from the 

Banner HRIS software program. All employees who are on Workers’ Compensation, Short & 

Long Term Disability, Leave of Absence or extended time off of more than 30 days are removed 

from the selection process. The eVeriTest program performs an automated selection from the 

“active” pool for the selection period of seven (7) days starting Sunday at 12:01 a.m. through 

Saturday at 11:59 p.m. The process used for the random selection is the Simple Random 

Sampling method which means that each individual in the pool has an equal chance of being 

selected each selection period. 

Supervisor notification of employees selected for random testing during the selection period is 

automatically transferred to the website on a daily basis after 2:00 p.m. Only the next day’s 

selection is available. Employees selected for random testing are identified by employee name, 

company identification number and responsibility center code. 

To assure that the random program is protected from unofficial entry, only identified key 

supervisor personnel at each facility have access to the eVeriTest program to view only 

selected employees for that specific facility. The integrity and confidentiality of the program is 

maintained through double password protection and limited program access. All passwords for 

the drug and alcohol program are assigned and maintained solely by the Wellness Program 

staff. Access to any drug and alcohol record can only be viewed by the Wellness Program staff. 

As required by FTA regulation, the random testing process occurs throughout the workday and 

throughout the selection period. Authorized supervisory personnel (i.e., not the selected 

employee) will be notified no later than 2:00 p.m. of the preceding day of the employee(s) that 

have been selected for random testing for the next day. 

If the employee is available for testing during their work shift, the safety sensitive employee will 

be informed that s/he has been selected for random testing with minimal notice given prior to 

testing. The employee will be informed of what type of testing is to be performed, will 

immediately cease performing the safety-sensitive function and will be immediately transported 

for testing. It is METRO’s policy for a supervisor to transport and accompany the employee to 

the collection site. 

Every effort will be made to test all individuals that have been selected within each random 

selection period. Logistical difficulties, operational requirements, or complicating personnel 

issues that make the testing process more difficult are not acceptable reasons to prevent 

testing. When an employee is not available for random testing during the selection period, the 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 9 
supervisor will provide written documentation to the Wellness Program staff with the reason 

testing was not performed. 

Reasonable Suspicion Testing: The purpose of reasonable suspicion testing is to provide a 

method to identify drug and/or alcohol affected employees who may pose a danger to 

themselves and others in their performance of safety sensitive functions. 

Reasonable suspicion testing will be performed when a supervisor(s), or other company 

official(s), who has been trained in detecting the signs and symptoms of drug use or alcohol 

misuse, believes that the covered employee has used a prohibited drug and/or engaged in 

alcohol misuse. FTA regulations require that all supervisors undergo a minimum of 60 minutes 

of training on the signs and symptoms of drug use and an additional 60 minutes of training on 

the signs and symptoms of alcohol misuse before being qualified to make reasonable suspicion 

determinations. 

The determination that reasonable suspicion exists shall be based on specific, 

contemporaneous, articulable observations concerning the appearance, behavior, speech, or 

body odors of the covered employee. 

The covered employee will be informed of the reason for testing and transported for testing 

immediately after the supervisor completes valid documentation. 

Alcohol testing must be based on observations and documented as noted above and testing 

shall be performed only if the observations were made while the covered employee was 

performing safety sensitive functions, just before the employee was to perform safety sensitive 

functions or just after the employee had ceased performing such functions. 

If alcohol testing is not performed within 2 hours following the determination to test, a written 

statement will be made on the reasonable suspicion document explaining why the testing could 

not be performed. This documentation will be sent to and maintained by the Wellness Program 

staff. If a test is not administered within 8 hours following the determination to test, the 

supervisor will cease attempts to administer the test. A statement will be added to the 

reasonable suspicion document explaining why testing could not be conducted within 8 hours. 

Post Accident Testing: The FTA regulations require drug and alcohol testing in the case of 

certain mass transit accidents. Post accident testing is mandatory where there is a loss of life 

and for some non-fatal accidents. In the event of a non-fatal accident, according to the FTA, the 

burden rests with METRO to prove that an employee did not contribute to the accident and 

therefore can be dismissed from testing. 

In the event of a fatality, all surviving covered employees operating or on duty in the mass 

transit vehicle at the time of the incident will be subject to FTA drug and alcohol testing. 

In addition, all other covered employees whose performance may have contributed to the 

accident, as determined by METRO using the best information available at the time of the 

decision, are subject to FTA drug and alcohol testing. 

In the event of a non-fatal accident, FTA drug and alcohol testing is required when: 

• one or more individuals suffer bodily injury and immediately receives medical treatment 

away from the scene of the accident; 

• when a bus, paratransit vehicle or any vehicle involved receives “disabling damage”; or 

• a rail car is removed from service due to a collision, derailment or major damage. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 10 
All covered employees operating or on-duty in the mass transit vehicle will be subject to FTA 

drug and alcohol testing unless their performance can be completely discounted by METRO 

as a contributing factor based on the best information available at the time of the decision. 

In addition, all other covered employees whose performance may have contributed to the 

accident, as determined by METRO using the best information available at the time of the 

decision, are subject to FTA drug and alcohol testing. 

The decision to not administer a post-accident drug and alcohol test under FTA requirements 

shall be based on the investigating person’s determination, using the best available information 

at the time of the determination that the employee’s performance could not have contributed to 

the accident. Such a decision must be documented in detail, including the decision-making 

process used to reach the decision not to test. 

The FTA specifically requires that post accident testing be administered as soon as practicable 

following an accident. Every attempt should be made to complete alcohol testing within two (2) 

hours of the accident. When it is not possible to perform testing within the two (2) hour limit, the 

supervisor is required to document the reasons. Every effort should be made to continue to 

attempt to perform alcohol testing. When it is not possible to obtain a breath specimen within 

eight (8) hours, the supervisor will cease attempting and update the two (2) hour report. Alcohol 

use is prohibited by any covered employee required to take a post accident alcohol test for 8 

hours or until alcohol testing is performed, whichever occurs first after the accident. 

The drug testing time limit is a maximum of 32 hours post accident. The supervisor will provide 

written documentation whenever testing cannot be performed within the specified time limit and 

cease further attempts at testing. 

A covered employee who is subject to post accident testing shall remain readily available for 

testing. If he or she leaves the scene of the accident without notifying the investigator in charge 

or is not readily available for testing, it will be considered that the employee has refused to 

submit to testing. 

The requirements to perform drug and alcohol testing should in no way require the delay of 

necessary medical attention or interfere with a law enforcement investigation. 

METRO may use the post accident test results of a blood, urine, or breath test for the use of 

prohibited drugs or alcohol misuse, conducted by Federal, State, or local officials having 

independent authority for the test, provided that the test conforms to the applicable Federal, 

State, or local testing requirements, and that the test results are obtained by METRO. Such test 

results may be used only when METRO is unable to perform a post-accident test within the 

required period noted in 49 CFR Part 655.44(a) and (b). 

Return to Duty and Follow up Testing: METRO has a zero tolerance policy resulting in the 

termination of employment for any employee who has had a verified positive drug test result, 

has had a breath alcohol concentration (BAC) of 0.04 or greater or has been involved in any 

other activity that violates DOT/FTA regulations including refusal to submit to testing. 

A. Voluntary Rehabilitation 

However, METRO will allow an employee one voluntary rehabilitation opportunity without being 

subject to disciplinary action under the following circumstances: 

•	 The employee has not been selected for or notified of mandatory drug and/or alcohol 

testing and has voluntarily admitted current drug and/or alcohol use. 

•	 The employee has not failed or refused to take a drug or alcohol test. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 11 
•	 The employee will utilize the current Substance Abuse Professional (SAP) through 

METRO’s Employee Assistance Program for evaluation and referral. 

•	 The employee is compliant with the treatment recommendations. 

•	 The employee agrees to the conditions as required in the Labor Agreement between 

METRO and the Transport Workers Union of America Local 260. 

•	 The employee agrees to submit to follow-up testing as required by the SAP. 

Prior to the employee’s return to work after voluntary rehabilitation, a drug and/or alcohol test 

will be required by METRO. All testing for voluntary treatment will be done under METRO’s 

auspices and only non-DOT drug/alcohol testing forms will be utilized. 

B. New Hire “Following the Employee” Testing 

According to 49 CFR Part 40 Subpart O, new hires that have had positive drug and/or alcohol 

tests at a previous DOT regulated employer and have successfully completed the return-to-work 

process as required will continue the follow-up testing plan as prescribed by the Substance 

Abuse Professional. This will assure that the requirements of the SAP’s follow-up plan “follows 

the employee” to subsequent employers or through breaks in service as noted in §40.307(e). 

The previous employer’s SAP must present METRO’s Wellness Program staff with any 

pertinent information regarding the employee’s rehabilitation compliance and release to return to 

duty, including a follow-up testing plan outlining the number and frequency of unannounced 

testing. Federal regulations mandate at least six (6) follow-up tests in the first twelve (12) 

months following the employee’s return to safety sensitive duties. However, more testing may 

be required based on the SAP’s assessment. Follow-up testing can be continued for up to 60 

months after return to work. The SAP, following the employee’s successful completion of the 

mandatory testing requirements the first year, may terminate follow-up testing. Follow-up testing 

is in addition to the other required drug and alcohol testing as described in this policy. 

C. Follow-up Testing Requirements 

Follow-up testing must be performed as recommended in the SAP’s testing plan. If testing is not 

performed as outlined, the subjected employee will not be permitted to perform safety-sensitive 

functions. 

A follow-up test that has been determined by the Medical Review Officer as “cancelled” is not 

considered a completed follow-up test and must be recollected. Under METRO’s Zero 

Tolerance policy, any employee in the follow-up testing program who subsequently tests 

positive for either drug or alcohol will be subject to immediate discharge. 

IX. TESTING PROTOCOLS 

Alcohol Testing: Breath alcohol testing will be conducted on safety sensitive employees per 

the procedure outlined in 49 CFR Part 40. In order to protect the integrity of the breath testing 

process, METRO will utilize collection sites that have Evidential Breath Testing Devices (EBT’s) 

that meet National Highway Traffic Safety Administration (NHTSA) approval. The testing 

equipment must provide triplicate printed results, assign unique and sequential test numbers, 

and print the manufacturer’s name for the device, the device’s serial number and the time of the 

test. 

METRO will only utilize certified Breath Alcohol Technicians (BAT) to perform alcohol testing. 

The BAT will be trained to proficiency in the operation of the EBT and in the alcohol testing 

procedures in 49 CFR Part 40, Subpart J. To protect the security of the testing site and 

process, the breath alcohol testing location must afford privacy, not permit unauthorized 

persons access, and EBT must be stored in a secure location. The BAT will protect the testing 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 12 
process by testing only one employee at a time, complete the entire alcohol test procedure 

before starting another process on another employee and not leave the testing site until the 

procedure is completed as described in 49 CFR Part 40, Subpart K. 

FTA requirements provide authorization for testing for alcohol and taking action on the findings, 

regardless of whether the alcohol ingested was from beverage alcohol or in a medicinal or other 

preparation. 

The alcohol testing procedure is outlined in Addendum F. 

Drug Testing: Following FTA regulations, urine drug testing will consist of testing for 

marijuana, cocaine, opiates, phencyclidine and amphetamines. Testing procedures will consist 

of specimen collection, laboratory testing, Medical Review Officer review and SAP referral, if 

needed. 

METRO is committed to insuring both the accuracy of testing procedures and the confidentiality 

of test results. Accordingly, METRO will employ only laboratories certified by the Department of 

Health and Human Services (DHHS) that utilize state-of-the-art technology, follow accepted 

chain of custody procedures, and strictly preserve confidentiality of all test results. METRO has 

contracted with a certified laboratory to perform drug testing and a secondary laboratory to 

perform split sample testing. (See Addendum B) The contracted laboratory testing service will 

meet all the requirements as noted in 49 CFR Part 40, Subpart F. 

Under separate contract, specific collection sites are available throughout the Greater Houston 

area that meet DOT 49 CFR Part 40 specimen collection requirements, are convenient for use 

and the results are automatically sent to METRO’s Medical Review Officer. Collection site 

personnel will meet the training and qualification standards for drug specimen collection as 

specified in 49 CFR Part 40 Subpart C. 

Collections will be performed in accordance with 49 CFR Part 40 Subpart D and E. (See 

Addendum E.) In order to protect the security and integrity of the urine collection, each site will 

provide a privacy enclosure for urination, a toilet, a suitable clean writing surface and a water 

source outside the private enclosure for hand washing. Access to each collection area will be 

restricted during specimen collection and either secured or visually inspected before specimen 

collection. A blue dye will be used in each toilet and all other water sources will be inoperable or 

secured. These procedures will be monitored by Wellness Program personnel on a routine 

basis to assure integrity of the testing process. 

The drug collection process is outlined in Addendum E. Laboratory cutoff values are noted in 

Addendum D. 

Medical Review Officer: In accordance with FTA regulations, when a drug test results in a 

confirmed positive, adulterated, substituted, or invalid drug test, the employee will be contacted 

by the Medical Review Officer (MRO). The Medical Review Officer will interpret the employee’s 

confirmed positive test by the following method: 

•	 Review the individual’s medical history; 

•	 Afford the employee an opportunity to discuss the test result; 

•	 Decide whether there is legitimate medical explanation for the result; 

•	 Inform the employee that s/he has 72 hours in which to request a test of the split sample; 

(This time period is inclusive of all weekends and holidays.) 

•	 Inform the employee how to contact the MRO by providing telephone numbers or other 

information that will allow this request; 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 13 
•	 Inform the employee that if the request is made within this 72 hour timeframe METRO 

will ensure that the testing will occur; 

•	 Inform the employee that the cost of the testing is not required to be paid by the 
 

employee but METRO may request and expect reimbursement; 
 

•	 Inform the employee that additional testing of the specimen (e.g. DNA testing) is not 

authorized; 

•	 If split sample testing has been requested, inform the employee to contact Wellness 

Program staff at (713) 739-4058 to complete the necessary paperwork for split sample 

testing to be performed. 

Medical Review Officer services are provided by contract with a certified physician who meets 

the qualifications and follows the protocols as defined by 49 CFR Part 40 Subpart G, and H. 

(See Addendum B.) 

Observed Collection Procedure: Direct observed collection will be performed immediately with 

no advanced warning under DOT requirements when: 

1. 	 The collector identifies a donor’s attempt to alter or tamper with their specimen; 

2. 	 A specimen test result is reported as invalid because there is no adequate medical 

explanation for the result; 

3. 	 When a positive, adulterated or substituted test result is reported as a cancelled test 

because testing on the split specimen could not be performed; 

4. 	 The temperature of the specimen falls out of the range of 90 - 100° F. 

The collection site will immediately notify METRO of the occurrence and perform a second 

collection by direct observation. Every observed collection will be conducted by a collector of 

the same sex as the donor. An observed collection will be performed immediately upon 

detection, and all specimens collected will be sent for analysis. The reason to perform direct 

observation collection will be provided to the employee by either the collector or Wellness 

Program personnel. 

Dilute Specimen Procedure: The following procedure will be followed regarding specimens that 

are reported as “dilute”: 

•	 When METRO is notified by the MRO that a positive drug test is dilute, the test will be 

treated as a verified positive test. The employee will not be directed to provide another 

test. 

•	 If a METRO employee receives a negative, dilute test result with a creatinine 

concentration greater than or equal to 2 mg/dL but less than or equal to 5 mg/dL, the 

MRO will direct METRO to do a second collection immediately by OBSERVED 

collection. The employee will be directed to report for re-testing immediately. The result 

of the second collection will be the test result of record. If the second collection is also 

negative and dilute, unless directed by the MRO to perform another observed collection, 

the test result will stand as negative, dilute. 

•	 If a METRO employee receives a negative, dilute test result with a creatinine 

concentration greater than 5 mg/ml, and the MRO has not directed METRO to perform 

an observed collection, the result will be treated as a verified negative test. The 

employee will not be directed to provide another test. 

•	 If a METRO employee declines to take a second test as requested, the 
 

employee has refused testing. 
 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 14 
X. 	 DISCIPLINARY CONSEQUENCES OF PROHIBITED DRUG USE AND MISUSE OF 

ALCOHOL 

Under FTA regulations, unless otherwise stated, discipline for policy violations shall be 

determined by the employer. 

METRO requires all employees to be free of prohibited drugs and alcohol when performing a 

safety sensitive function. FTA requires that any safety-sensitive employee that receives a 

verified positive drug test; has a breath alcohol concentration of 0.02 or greater; or refuses to 

submit to testing must be immediately removed from performing all safety sensitive functions. 

Any safety-sensitive employee that receives a verified positive drug test result; has a breath 

alcohol concentration of 0.04 or greater; or refuses to submit to testing must be provided a 

listing of a locally available Substance Abuse Professional (SAP) trained and qualified in 

accordance with the requirements in 49 CFR Part 40. 

Disciplinary Consequences For Positive Alcohol Test Results: When an employee 

receives confirmatory alcohol test results within the prohibited time frames, the following 

disciplinary action will occur: 

A confirmed Breath Alcohol Content (BAC) 
 

of 0.04 or greater: Immediate Termination 
 

A confirmed Breath Alcohol Content (BAC) 
 

of 0.02 or greater but less than 0.04 

The employee will be immediately removed 

from his/her safety-sensitive duties. The 

employee will remain off duty until their next 

scheduled duty period, but not less than 8 

hours following the administration of the 

test. Under METRO authority, prior to 

returning to duty, the employee will be 

retested for alcohol. The breath alcohol 

concentration must be less than 0.02 before 

the employee may return to duty. 

Should the employee test 0.02 or more on 

the return to work test, the employee will be 

terminated. 

Any second offense by an employee will 

result in immediate removal from safetysensitive duties and immediate termination 

of employment. 

Disciplinary Consequences for a Positive Test for Prohibited Drugs: Prohibited drugs are 

marijuana, cocaine, opiates, phencyclidine and amphetamines. Based on METRO’s Zero 

Tolerance Policy, the following disciplinary action applies: 

Job Applicants Not Hired 

Employee: Immediate Termination. 

Disciplinary Consequences For Prescription Drugs: Per FTA regulation, amphetamines 

and opiates are prohibited at all times. A valid prescription for these medications will not 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 15 
exempt the employee from the disciplinary consequences as noted below. Employees are 

reminded that if medications with opiates or amphetamines are prescribed by their physician, 

they should not perform safety sensitive duties until the medication is no longer detectable in 

their systems. Therefore, when an employee tests positive for these specific drugs, the 

following disciplinary action applies: 

Job Applicants: Not hired 

Employees: Immediate Termination 

Although FTA regulations do not mandate employees that perform safety-sensitive functions to 

report prescription medication use, it is imperative that employees recognize that prescription 

medications and certain over-the-counter medications may affect their ability to perform their job 

duties. It is the responsibility of each covered employee to inform their physician about the type 

of job duties that they perform and to be aware of the effect drugs may have on the performance 

of their job. 

Disciplinary Consequences For A Commercial Driver’s Licenses Suspension Due To A 

DUI Conviction: Per METRO’s DWI/DUI and other Criminal Offenses Guideline, any safetysensitive employee who has been arrested for DWI/DUI will be suspended or re-assigned to a 

non-safety sensitive position for a maximum period of 90 days and will not be permitted to 

operate any METRO vehicle, under any circumstances, until there is a disposition by the courts. 

If the employee has not settled the charge by the end of 90 days, he/she will be suspended 

without pay until a final disposition is made by the courts. 

In the event an employee is convicted of a DWI/DUI, whether such a conviction stems from the 

operation of a METRO vehicle or a privately owned vehicle, the consequence will be termination 

of employment. 

Other Disciplinary Consequences: The Drug Free Workplace Act, Federal Regulation 49 

CFR Part 29 requires that unlawful manufacture, distribution, dispensation, possession or use of 

a controlled substance is prohibited on the Metropolitan Transit Authority property. Furthermore, 

it is a violation of company rules as well as State and local laws. Any employee violating 

provisions of the Drug Free Workplace Act will be subject to immediate discharge and criminal 

prosecution. 

Pursuant to the Drug Free Workplace Act, any employee convicted of a drug violation occurring 

in the METRO workplace is required to report the conviction in writing to his/her supervisor no 

later than five (5) calendar days following his/her conviction. METRO will notify the FTA within 

ten days of receiving notification from the employee. Failure by the employee to report any such 

conviction will result in termination of employment with METRO. Compliance to the Drug Free 

Workplace Act of 1988 is required of all recipients of Federal funding and is a condition of 

employment for all METRO employees to abide by its terms. 

Behaviors that constitute a test refusal: As noted in 49 CFR Part 40 Subpart I, any of the 

following behaviors constitute a refusal to submit to drug and/or alcohol testing: 

• 	 Verbal or written refusal by any employee to submit to urine and/or breath test 

• 	 Refusal to sign the certification in Step 2 of the DOT Alcohol Testing Form (ATF); 

• 	 Refuses to submit to a directly observed collection; 

• 	 Refusal by an employee to submit to a second test when requested by METRO, the 

MRO, or the collector; 

• 	 Failure of the employee to remain at the testing site until collection is complete; 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 16 
• 	 Any employee who has an MRO-verified adulterated or substituted drug test result; 

• 	 Failure to undergo a medical examination or evaluation for either shy bladder and/or shy 

lung, as directed by the MRO or METRO; 

• 	 Any employee who fails to provide sufficient quantities of breath or urine without valid 

medical explanation by an Authority designated physician acceptable to the MRO; 

• 	 Refusal to provide urine specimen by an employee who normally voids by utilization of 

self-catheterization, but declines to do so; 

• 	 Any employee whose conduct prevents the completion of required drug and/or alcohol 

test; 

• 	 Failure of any employee to comply with the directions of the collector (e.g., refusing to 

empty pockets, refusing to leave outer garments, purses, briefcases in a secured 

location prior to obtaining a specimen); 

• 	 Any employee who does not report to the collection site in the allotted time; 

• 	 Any employee subject to post-accident testing who fails to remain readily available for 

such testing, including notifying the employer or the employer representative of his or 

her location if he or she leaves the scene of the accident prior to submission to such 

test. 

All of these actions constitutes a refusal and have the same consequences as a positive test. 

The employee will be immediately terminated under METRO’s policy. 

It is METRO’s policy that any employee who attempts to tamper with or alter a specimen or 

obstruct the collection procedure will be immediately terminated. 

XI. 	 ACTION TO BE TAKEN UPON RECEIPT OF POSITIVE TEST RESULTS OR 

REFUSAL TO TEST 

Specific action will be required when a covered employee has a verified positive drug test 

and/or a confirmed alcohol test result of 0.02 or greater. 

When positive drug results are received from the MRO, Wellness Program personnel will 

immediately notify the appropriate authorized supervisor. The covered employee will be 

immediately removed from the safety sensitive position. The appropriate disciplinary action will 

be implemented as outlined by this policy. 

When a positive alcohol result of 0.02 or greater has been confirmed using an EBT, the covered 

employee will not be permitted to return to service. The appropriate disciplinary action will be 

implemented as outlined in policy Section X. The covered employee will not be permitted to 

drive their own vehicle and an alternate means of transportation will be utilized. 

If a covered employee refuses to submit to drug or alcohol testing, the employee will be 

immediately removed from their safety sensitive position and appropriate disciplinary action will 

be implemented as outlined in policy Section X. 

XII. CONFIDENTIALITY AND RELEASE OF INFORMATION 

According to §40.321, §40.323 and §655.73, the release of individual test results or medical 
 

information is to be limited to those persons who are on a need-to-know basis. 
 

Wellness Program personnel are prohibited from releasing test results or medical information 
 

about an employee to third parties without the employee’s specific written consent. 
 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 17 
A “third party” is any person or organization to whom other subparts of this regulation do not 

explicitly authorize or require the transmission of information in the course of the drug or alcohol 

testing process. 

“Specific written consent” means a statement signed by the employee that he/she agrees to the 

release of information to a particular, explicitly identified person or organization at a particular 

time. “Blanket releases” in which an employee agrees to release a category of information (e.g., 

all test results to all news media) are prohibited under this part. 

All positive results will be reported to the Wellness Program staff. The Wellness staff, upon 

notification of positive results for drug and/or alcohol or refusals to test, will notify the authorized 

facility supervisor only. The authorized supervisor will proceed with the necessary disciplinary 

action as described in this policy according to current practices. 

Drug and alcohol test information will be released without the employee’s consent in certain 

legal proceedings as follows: 

•	 A lawsuit such as a wrongful discharge, grievance or arbitration concerning disciplinary 

action taken by the employer or an administrative proceeding such as an unemployment 

compensation hearing brought by, or on behalf of, an employee and resulting from a 

positive DOT drug or alcohol test or a refusal to test. 

•	 Criminal or civil action resulting from an employee’s performance of safety-sensitive 

duties when a court determines that drug and/or alcohol test information is relevant to 

the case. The employee will be notified immediately by METRO of the information 

released. 

Drug and alcohol information will be released to the employee only by written consent. The 

employee will send all written requests to the any Wellness Program staff member as noted in 

Addendum B. 

Drug and alcohol information will be released without written request from the employee when 

information is requested by any DOT agency representatives, the National Transportation 

Safety Board and any Federal, state or local safety agency with regulatory authority over 

METRO. 

XIII. RECORDS MANAGEMENT 

According to §40.333 and §655.71 the following minimum record retention schedule shall be 

maintained by METRO’s Wellness Program staff. 

All records associated with the Drug and Alcohol Program will be secured in a locked cabinet 

within a locked file room in the Human Resources Department. Access to these documents will 

be limited to the Wellness Program staff. Information will be provided to specific persons within 

METRO, such as Internal Audit personnel, Legal personnel, Labor Relations personnel and 

Worker’s Compensation personnel, for proceedings requiring release of record information. 

Request for records from an outside source such as news media or outside legal counsel will 

require adherence to the confidentiality of records portion of this policy. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 18 
 

RECORDS RETENTION SCHEDULE 
 

RECORD RETENTION PERIOD 

• Alcohol test results of 0.02 or greater 

• Verified Positive drug test results 

• Documentation of refusals to take drug or 

alcohol test 

• SAP reports of employee evaluation & referrals 

• Follow-up tests & schedules 

• Documentation of employee disputes 

• Evidential Breath Device Calibration 

documentation 

• Annual MIS reports 

5 year retention 

RECORD RETENTION PERIOD 

• Information obtained from previous employers 

under §40.25 concerning drug and alcohol test 

results of employees 

3 year retention 

• Collection log books 

• Random selection records 

• Documentation supporting reasonable suspicion 

testing 

• Documentation generated for decisions on post 

accident testing 

• MRO documents verifying a medical 

explanation for shy lung or shy bladder 

• Employee training materials on drug & alcohol 

including a copy of the policy 

• Training logs with names, dates & times 

• Supervisor training for reasonable suspicion 

• Credentialing documentation from service 

agents 

2 year retention 

• Records of negative drug & alcohol tests One year retention 

ATTACHMENTS 

Addendum A Safety Sensitive job classifications 

Addendum B MRO, SAP, Laboratory, Collection sites and Program staff 

Addendum C Annual Random Testing Rates 

Addendum D Laboratory Testing Limits 

Addendum E Drug Testing Procedure 

Addendum F Alcohol Testing Procedure 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 19 
 

 

 

ADDENDUM A 

SAFETY SENSITIVE JOB CLASSIFICATIONS 

The following job classifications have been reviewed by Compensation and Wellness personnel 

within the Human Resources Department. Personnel performing the job functions within these 

identified job classifications have been determined to meet the FTA criteria and are classified as 

safety-sensitive. 

The numeric code for each type of safety-sensitive function has been assigned as follows: 

•	 Operates a revenue service vehicle whether in or out of service 001 

•	 Maintains a revenue service vehicle or maintains equipment used 002 
 

in revenue service 
 

•	 Controls dispatch or movement of a revenue service vehicle 003 

•	 Operates a non-revenue vehicle requiring a CDL 004 

•	 Carries a firearm for security purposes 005 

Position 	 Title SS code 

714065 AC & Heat A 004 

715008 Apprentice Transit Mechanic 002 

714001 Body Repair & Refinisher A 002 

714002 Body Repair & Refinisher B 002 

714093 Bus Electrical Repair A 002 

816008 Bus Operator 001 

816001 Bus Operator Trainee 001 

714018 Bus Repair A 002 

714019 Bus Repair B 002 

714033 Bus Repair Brake Repair A 002 

714026 Bus Repair C 002 

205032 Captain Professional Standards 005 

205033 Captain Transtar 005 

714141 Certified Structural Welder Fabricator 002 

101161 Chief Field Supervisor 001 

101162 Chief Rail Operations Controller 003 

101157 Chief Signals Communications 002 

101158 Chief Track Maintenance 002 

101159 Chief Traction Power 002 

817007 Cleaner 002 

308032 Digital Bench Specialist 002 

100142 Dir Maintenance of Way 002 

100143 Dir Operations Control Center 003 

100144 Dir Rail Transportation 001 

100140 Dir Rail Vehicle Maintenance 002 

613002 Dispatcher 003 

308086 Elec Communications Spec BB 002 

308087 Elec Communications Spec EM 002 

308085 Elec Communications Spec F 002 

308088 Elec Communications Spec FSC 002 

308084 Elec Communications Spec HC 002 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 20 
308081 Elec Communications Spec K 002 

308082 Elec Communications Spec P 002 

308133 Elec Communications Spec Rail 002 

308083 Elec Communications Spec W 002 

308026 Emissions Systems Tech 002 

714064 Engine Dynometer Diag Lab Tech 002 

102042 Facility Foreman 004 

204108 Field Safety Supervisor 004 

102048 Foreman Vault Attendants 004 

817017 General Maintenance Mech A Crane Opr 004 

714109 General Maintenance Journey 004 

817008 General Maintenance Mechanic A 004 

816033 HOVL Operator 004 

101097 HOVL Superintendent 004 

102010 HOVL Supervisor 004 

714140 Journey Mechanic Paint Body Repair 002 

714104 Journey Mechanic 002 

714143 Journey Technician Rail Automotive 002 

714108 Journey Technician 004 

613003 Lead Dispatcher 003 

102150 Lead Maintenance of Way 002 

818008 Lead Storeroom Attendant 004 

714105 Licensed Journey Electrician 004 

714107 Licensed Journey Mechanical 004 

714106 Licensed Journey Plumber 004 

714110 Licensed Maintenance Mechanic 004 

816044 LRT Operator 001 

816045 LRT Operator Trainee 001 

714142 LRV Body Mechanic 002 

308126 LRV Electronic Specialist 002 

714145 LRV Machinist 002 

102135 LRV Maintenance Supv 002 

714144 LRV Technician 002 

714146 LRV Technician Trainee 002 

714095 Machinist 002 

714096 Machinist Tool & Die Maker 002 

715001 Maintenance Apprentice 002 

308119 Materials Coordinator FSC 004 

308118 Materials Coordinator K 004 

102118 Mechanical Fmn Body Shop 002 

102120 Mechanical Fmn Brake Shop 002 

102125 Mechanical Fmn F 002 

102126 Mechanical Fmn FSC 002 

102124 Mechanical Fmn HC 002 

102117 Mechanical Fmn Heavy Repair 002 

102121 Mechanical Fmn K 002 

102122 Mechanical Fmn P 002 

102119 Mechanical Fmn Unit Overhaul 002 

102123 Mechanical Fmn W 002 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 21 
102043 Mechanical Foreman 002 

613005 METROLift Dispatcher 003 

102039 METROLift Operations Supv 002 

102037 METROLift Service Supv 003 

101104 Mgr Dispatch 003 

101001 Mgr Metrolift Services 003 

101088 Mgr Safety & Training 004 

714088 Off Road Technician 004 

409026 Officer CBD TMC Bike Day 005 

409011 Officer Hot Spots 005 

409008 Officer Patrol Evening 005 

409021 Officer Prob Patrol 005 

409001 Police Cadet 005 

205001 Police Captain 005 

613004 Police Dispatcher 003 

205002 Police Lieutenant 005 

409003 Police Officer 005 

409002 Police Officer Probationary 005 

308060 Police Sergeant 005 

800002 PSA Service Maintenance 002 

816043 Pt Bus Operator 001 

816009 Pt Bus Operator Trainee 001 

600007 Pt METROLift Dispatcher 003 

400001 Pt Police Officer 005 

400003 Pt Police Officer Probationary 005 

308030 Quality Assurance Inspector 002 

204104 Rail Maint Safety Trng Specialist 002 

102136 Rail Operations Controller 003 

204105 Rail Transp Safety Trng Specialist 001 

600010 Relief Dispatcher 003 

200007 Relief Field Safety Supv 004 

200003 Relief Safety Trng Instructor 004 

200004 Relief Service Safety Supv 004 

204114 Safety Coordinator 004 

204051 Safety Training Instructor 004 

204053 Service Safety Supervisor 004 

714017 Sheet Metal Body Repair A 002 

308128 Signals Communications Maintainer 002 

714089 Small Engine Technician 004 

100118 Sr Dir Rail Operations 001 

714147 Sr Machinist 002 

613012 Starter 001 

101163 Station Master 001 

102137 Station Supervisor 001 

818007 Storeroom Attendant 004 

204087 Street Supv METROLift 004 

204086 Street Supv Special Events 004 

714087 Support Vehicle Technician 004 

102139 Supv Bus Dispatch 003 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 22 
102088 Supv METROLift Operations 002 

308124 SV Emissions State Insp Tech 004 

714090 T Truck Wrecker Operator 004 

308090 Tech Services Specialist FSC 002 

308089 Tech Services Specialist K 002 

714103 Tool Room Attendant 004 

714124 Tool Room Attendant Technician 004 

308129 Track Maintainer 002 

308127 Traction Power Maintainer 002 

714048 Unit Rebuild A 002 

714049 Unit Rebuild B 002 

612041 Vault Attendant 004 

100103 VP Chief of Police 005 

510058 Yard Supervisor I F 002 

510057 Yard Supervisor I HC 002 

510054 Yard Supervisor I K 002 

510055 Yard Supervisor I P 002 

510056 Yard Supervisor I W 002 

510063 Yard Supervisor II F 002 

510062 Yard Supervisor II HC 002 

510059 Yard Supervisor II K 002 

510060 Yard Supervisor II P 002 

510061 Yard Supervisor II W 002 

510069 Yard Supervisor III BB 002 

510068 Yard Supervisor III F 002 

510067 Yard Supervisor III HC 002 

510064 Yard Supervisor III K 002 

510065 Yard Supervisor III P 002 

510066 Yard Supervisor III W 002 

Total Number of safety-sensitive functions 158 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 23 
 

 

ADDENDUM B 

SERVICE VENDORS & PROGRAM STAFF 

Medical Review Officer (MRO) 

Dr. J.D. Britton 

Texas Occupational Medicine Institute 

117578 Katy Freeway Suite 1540 

Houston, TX 77079 

281-496-2992 

Substance Abuse Professional (SAP) 

CIGNA Behavioral Health 

Judy Kaplan, ACSW, MSW Ron Covey, LPC, MS 

3701 Kirby Drive, Suite 945 1001 E. Southmore, Suite 1000 

Houston, TX 77098 Pasadena, TX 77502 

713-521-0540 713-268-6786 

Laboratory Drug Testing 

MedTox Laboratories, Inc. 

402 West County Road D 

St. Paul, MN 55112 

Collection Site 

Houston Medical Testing Services 

2646 South Loop West, Suite 550 

Houston, TX 77054 

713-665-4687 

METRO Drug & Alcohol Program Administration 

Linda K. Tancek 

Manager, Wellness Programs 

1900 Main Street 

Houston, TX. 77002 

713-739-4058 

Patricia Johnson-Dickson 

Drug & Alcohol Program Coordinator 

1900 Main Street 

Houston, TX 77002 

713-739-4994 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 24 
ADDENDUM C 

ANNUAL RANDOM TESTING RATES 

The annual random testing rates are posted in the Federal Register each year (usually 

December) the testing rates effective for all DOT regulated entities for the next year. The 

rates listed below are the current random drug and alcohol testing rates and will be 

updated when the rates are changed. 

• At least 50% of the total number of safety sensitive employees will be drug tested. 

• At least 10% of the total number of safety sensitive employees will be alcohol tested. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 25 
 

 

ADDENDUM D 

LABORATORY TESTING CUTOFF LEVELS 

Laboratory Testing Cut-off Limits for the Minimum Quantity of Drug Detected 

The following laboratory testing cut-off limits are federally mandated for the minimum 

quantity of drug detected in the initial test and the confirmation test: 

Type of Drug or Metabolite Initial Test Level 

(Immunoassay Testing method) 

Confirmation Test Level 

(Gas Chromatography/Mass 

Spectrometry –GC/MS Testing 

method)) 

1. Marijuana Metabolites 

a. THC 50 ng/ml 15 ng/ml 

2. Cocaine Metabolites 

(Benzoylecgonine) 

300 ng/ml 150 ng/ml 

3. Phencyclidine (PCP) 25 ng/ml 25 ng/ml 

4. Amphetamines 

a. Amphetamine 

b. Methamphetamine 

1000 ng/ml 500 ng/ml 

500 ng/ml (Specimen must also contain 

amphetamine at a concentration ≥ 200 

ng/ml) 

5. Opiate Metabolites 

a. Codeine 

b. Morphine 

c. 6 acetylmorphine 

2000 ng/ml 2000 ng/ml 

2000 ng/ml 

10 ng/ml (Test for 6-AM conducted only 

when specimen contains morphine at a 

concentration ≥ 2000 ng/ml) 

Reference: 49 CFR Part 40.87 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 26 
ADDENDUM E 
 

DRUG TESTING PROCEDURES 
 

Urine Specimen Collection Process 

Urine specimen collection will adhere strictly with 49 CFR part 40 Subparts C, D, and E. 

Outlined below is the collection procedure however; any technical interpretation will be 

based on the actual regulation. 

1. 	 The testing process will begin upon entry to the collection site without 

undue delay. For pre-employment testing, the testing process is not 

considered to have begun until the individual has been provided with a 

specimen collection cup by the collector. 

2. 	 If an alcohol test is also required in conjunction with the drug test, alcohol 

testing will be performed prior to the drug screen collection. 

3. 	 Employee identification will be verified by a photo ID using either a valid 

Driver’s license or METRO Identification card. If the employee does not 

have identification, the collection site will contact the DER to verify the 

identity of the employee. It is METRO’s policy that the collection site takes 

a photo for identification purposes. If the employee’s identity cannot be 

verified, a specimen collection cannot be conducted. 

4. 	 The collection process will be explained to the employee. 

5. 	 The employee will be requested to remove outer clothing such as coat, 

sweater, jacket, hat or coveralls. All clothing and personal items such as a 

briefcase, cell phone, purse or other items will be placed in a secure 

location. Although the employee will not be required to remove all clothing, 

he/she will be directed to display the contents of pockets to ensure that no 

items are present which could be used to adulterate or tamper with their 

specimen. 

6. 	 Prior to collection of the specimen, Step 1 of the custody and control form 

will be completed by the collector. 

7. 	 The employee will then be instructed to wash and dry his or her hands. 

8. 	 The employee will be provided a specimen container and directed to a 

secured restroom to provide a specimen. 

9. 	 The minimum specimen amount is 45 ml. If there is insufficient volume, the 

specimen collected must be discarded. At no time is it permitted to combine 

urine collected from separate voids to create a sufficient specimen. The 

employee has up to three (3) hours to provide a single specimen of at least 

45 ml and may drink up to 40 ounces of water throughout the waiting period 

in order to provide a specimen. The employee will be notified when the 

three (3) hour period begins and when it will end. The three (3) hour period 

begins with the first unsuccessful attempt to provide a specimen. It is not 

considered a refusal if the employees chooses not to drink the 40 ounces of 

water. Failure to provide a specimen within the allotted time period will 

result in evaluation under the “shy bladder” procedure. The employee will 

be immediately placed on administrative leave until the shy bladder 

evaluation is complete. 

10. 	 The temperature of the specimen will be obtained within 4 minutes after the 

specimen collection and the acceptable temperature range must be 

between 90° to 100° F. 

11. 	 The collector will pour the sample into two collection bottles, one bottle will 

contain at least 30 ml and the second bottle (the split) will contain at least15 

ml. This process will be performed in front of the employee. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 27 
12. 	 In the presence of the employee, the collector will seal each bottle and then 

affix tamper-evident labels over each bottle. The collector will date each 

tamper-evident label and the employee will initial the bottle labels. With the 

sealed bottles in view of the employee, the employee will be instructed to 

wash and dry their hands. 

13. 	 The Custody and Control Form will be completed with the appropriate 

signatures, employee printed name, signature, birth date and current date. 

14. 	 The appropriate portion of the custody and control form along with the 

primary sample and the split sample will be placed in a single shipping 

container and placed in secure storage until laboratory pick up. 

“Shy Bladder” evaluation will be performed when an employee is unable to provide at least 

45 ml of urine within three (3) hours and being provided no more than 40 ounces of water. 

The procedure that will be utilized will strictly adhere to the requirements as defined in 49 

CFR Part 40 Subpart I, specifically §40.193 and §40.195. Outlined below is the process 

that will be utilized however, any technical interpretation will be based on the actual 

regulation. 

1. 	 All specimens of insufficient quantity that have been collected will be 

discarded unless the specimen was out of temperature range or it showed 

evidence of adulteration or tampering. 

2. 	 The collection procedure will be discontinued after 3 hours and documented 

on the custody and control form. The collector must notify Wellness 

Program staff and the MRO within 24 hours however, it is expected that 

each collection site will notify Wellness Program staff immediately and will 

send the custody and control form with the documentation within the 24 

hour period. 

3. 	 Wellness Program staff will consult with the MRO, and a licensed physician 

acceptable to the MRO will be selected. The employee must be referred to 

the selected physician and evaluated by the physician within five (5) days of 

the occurrence. Wellness Program staff will contact the employee with the 

selected physician’s name, location and date of the evaluation. 

4. 	 The employee will be placed on administrative leave pending medical 

results. 

5. 	 The MRO shall confer with the evaluating physician and will provide 

Wellness Program personnel with a written determination as soon as it is 

made. 

6. 	 If it has been determined that a medical condition exists, the test will be 

considered “cancelled” and the employee resumes working. 

7. 	 If it has been determined that no medical condition exists, the test will be 

considered a “refusal to test”. The employee will be terminated and referred 

to the SAP. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 28 
ADDENDUM F 

ALCOHOL TESTING PROCEDURES 

Breath Alcohol Collection Process 

Breath alcohol testing will adhere strictly with 49 CFR Part 40 Subparts J, K, L, M and N. Outlined 

below is the testing procedure, however, any technical interpretation will be based on the actual 

regulation. 

1. 	 The testing process will begin upon entry to the collection site without undue delay. 

2. 	 Alcohol testing takes precedence over drug testing and will be performed before 

the drug screen collection. 

3. 	 Employee identification will be verified by a photo ID using either a valid Texas 

Driver’s license or METRO Identification card. If the employee does not have 

identification, the collection site will contact the DER to verify the identity of the 

employee. It is METRO policy that the collection site takes a photo for 

identification purposes. If the employee’s identity cannot be verified, a specimen 

collection cannot be conducted. 

4. 	 After testing procedures are explained to the employee, the BAT (Breath Alcohol 

Technician) will complete Step 1 of the Alcohol Testing Form (ATF) and the 

employee will complete Step 2 and sign the certification. A refusal by the 

employee to sign Step 2 of the ATF is a refusal to test. 

5. 	 The employee will select or the BAT will select a individually wrapped disposable 

mouthpiece. The BAT will insert the mouthpiece into the testing device. 

6. 	 The employee will be instructed to blow steadily and forcefully into the mouthpiece 

for at least six seconds or until the device indicates that an adequate amount of 

breath has been obtained. 

7. 	 If the employee does not provide a sufficient amount of breath, the employee will 

be instructed to attempt again to provide a sufficient amount of breath. If the 

employee fails after this attempt, the BAT may provide a third opportunity and may 

use manual testing if the BAT believes that results can be obtained. Failure after 

the third attempt will result in the employee being directed to undergo a medical 

evaluation for “Shy Lung”. The employee will be immediately placed on 

administrative leave until the shy lung evaluation is complete. 

8. 	 After successful completion of the testing, the employee will be shown the results. 

9. 	 When the results of the test are a breath alcohol concentration of less than 0.02, 

the test will be considered negative. The BAT will sign and date Step 3 on the 

Alcohol Testing Form and transmit the information to Wellness Program staff in a 

confidential manner. 

10. 	 When the results of the test are a breath alcohol concentration 0.02 or greater, a 

confirmation test must be performed. The confirmation test must be conducted 

after a waiting period of at least 15 minutes, but not more than 30 minutes, after 

the completion of the initial test. 

11. 	 During the waiting period for confirmation testing, the employee will be instructed 

by the BAT not to eat, drink, smoke or place anything in his or her mouth or belch. 

The BAT will inform the employee that the test will be conducted at the end of the 

waiting period even if the employee disregards instructions. The BAT will observe 

the employee at all times and will document any disregard of instructions in the 

“remarks” area of the Alcohol Testing Form. 

12. 	 Before confirmation testing, the BAT shall conduct an air blank test on the EBT. 

The reading should not be greater than 0.00. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 29 
13. 	 The employee shall be shown the results of the confirmation test and the BAT will 

inform the transporting supervisor of the results. Based on the results, the 

supervisor will take appropriate action based on the criteria outlined in this policy. 

14. 	 The BAT will immediately notify the Wellness Program staff of results greater or 

equal to 0.02 BAC and send hard copy confidentially by U.S. Mail or courier. 

15. 	 In order to confirm that telephoned results are valid when received from the 

collection site, Medical Services personnel will call the collection site after receiving 

concentration results over 0.02 to confirm the results and verify the identification of 

the person reporting the results. 

“Shy lung” evaluation will occur when an employee attempts and is unable to provide an adequate 

amount of breath after following the procedure outlined above. The evaluation procedure will 

strictly adhere to the requirements as defined in 49 CFR Part 40 Subpart N specifically §40.265. 

Outlined below is the process that will be utilized however, any technical interpretation will be 

based on the actual regulation. 

1. 	 If the employee fails after two attempts, the BAT may provide a third opportunity 

and may use manual testing if the BAT believes that results can be obtained. 

Failure after the third attempt will result in medical evaluation for “Shy Lung”. When 

the employee has failed to provide adequate breath, the BAT will discontinue the 

test and note the fact on the “Remarks” line of the Alcohol Testing Form and 

immediately notify Wellness Program personnel. 

2. 	 If the employee refuses to make the attempt, the BAT will discontinue the test, note 

the fact on the “remarks” line of the ATF and immediately notify the Wellness 

Program staff. This is a refusal to test. 

3. 	 After notification from the BAT, Wellness Program personnel will direct the 

employee to obtain, within 5 five days, an evaluation from a METRO-authorized 

physician to determine if there is a medical reason for not being able to provide an 

adequate amount of breath. 

4. 	 If the examining physician determines that a medical condition exists, the 

employee will resume working. 

5. 	 If the examining physician determines that no medical condition exists, it will be 

considered a “refusal to test”. The employee will be terminated and referred to the 

SAP. 

Revised 12/7/2004; Approved 12/18/2004 

Revised 3/1/2006; Approved 5/11/2006 30 
Small Transit System 
 

Clermont County 
 

Board of Clermont County Commissioners 
 

Revenue Transit Drug and Alcohol Testing Policy 
 

Board of Clermont County Commissioners 

 

 

 

 

Section 3.08 REVENUE TRANSIT DRUG AND ALCOHOL TESTING POLICY 

A. PURPOSE 

1. 	 The Board of Clermont County Commissioners (the Board) provides public transit 

and para-transit services for the residents of Clermont County through the 

Clermont Transportation Connection (CTC). Part of our mission is to ensure that 

these services are provided safely, efficiently, and effectively by establishing a 

drug and alcohol-free work environment, and to ensure that the workplace 

remains free from the effects of drug and alcohol abuse or misuse in order to 

promote the health and safety of employees and the general public. In keeping 

with this mission, the Board declares that unlawful manufacturing, distributing, 

dispensing, possessing, or using controlled substances or the misuse of alcohol is 

prohibited for all employees. 

2. 	 Additionally, the purpose of this policy is to establish guidelines to maintain a 

drug and alcohol-free workplace in compliance with the Drug-Free Workplace Act 

of 1988 and the Omnibus Transportation Employee Testing Act of 1991. This 

policy complies with all applicable Federal regulations governing workplace anti 

drug and alcohol programs in the transit industry. 

3.	 Specifically, the Federal Transit Administration (FTA) of the U.S. Department of 

Transportation has published 49 CFR Part 655 (Part 655), as amended, that 

mandates urine drug testing and breath alcohol testing for positions defined as 

safety-sensitive in 49 CFR 40.3 and prohibits the performance of any safetysensitive functions when there is a positive test result. The U.S. Department of 

Transportation (US DOT) has also published 49 CFR Part (Part 40), as amended, 

that sets standards for the collection and testing of urine and breath specimens. 

4.	 Any provisions set forth in this policy that are included under the sole authority of 

the Board and are not provided under the authority of the above named Federal 

regulations are underlined. 

B. APPLICABILITY 

1.	 This Drug and Alcohol Testing Policy applies to all safety-sensitive employees 

(full- or part-time) as defined in Part 655, as amended, when performing safetysensitive functions. 

2. 	 Safety-Sensitive Function means: 

a. 	 The operation of a mass transit service including the operation of a revenue 

service vehicle (whether or not the vehicle is in revenue service); or 

b.	 The maintenance of a revenue service vehicle or equipment used in revenue 

service; or 

c.	 Dispatching or controlling the movement of revenue service vehicles. 

3. 	 A maintenance function includes: 

a. Repairing; or 

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b. 	 Overhauling; or 

c. 	 Rebuilding engines, vehicles, or equipment used in revenue service. 

4. 	 A list of safety-sensitive positions who perform one or more of the abovementioned duties is provided in Appendix 3.25. 

5. 	 Supervisors are only safety-sensitive if they perform one of the above functions. 

Volunteers are considered safety-sensitive and subject to testing if they are 

required to hold a CDL to perform their duties, or if they receive remuneration for 

service in excess of actual expenses. 

C. DEFINITIONS 

Words or phrases used in this part are defined in 49 CFR 655.4 and 49 CFR 40.3, as 

amended, except as provided in this section: 

1. 	 Accident means an occurrence associated with the operation of a vehicle even 

when not in revenue service, if as a result: 

a. 	 An individual dies; 

b. 	 An individual suffers a bodily injury and immediately receives medical 

treatment away from the scene of the accident; or, 

c. 	 One or more vehicles incur disabling damage as the result of the occurrence 

and are removed from the scene by a tow truck or other vehicle. For 

purposes of this definition, disabling damage means damage, which 

precludes the departure of any vehicle from the scene of the occurrence in 

its usual manner in daylight after simple repairs. Disabling damage includes 

damage to vehicles that could have been operated but would have been 

further damaged if so operated, but does not include damage which can be 

remedied temporarily at the scene of the occurrence without special tools or 

parts, tire disablement without other damage even if no spare tire is 

available, or damage to headlights, taillights, turn signals, horn, mirrors or 

windshield wipers that make them inoperative. 

2. 	 Adulterated specimen means a specimen that contains a substance that is not 

expected to be present in human urine, or contains a substance expected to be 

present but is at a concentration so high that it is not consistent with human 

urine. 

3. 	 Alcohol means the intoxicating agent in beverage alcohol, ethyl alcohol, or other 

low molecular weight alcohols contained in any beverage, mixture, mouthwash, 

candy, food, preparation or medication. 

4. 	 Alcohol Concentration is expressed in terms of grams of alcohol per 210 liters of 

breath as measured by an evidential breath testing device. 

5. 	 Cancelled Test means a drug test that a Medical Review Officer has declared 

invalid. A cancelled test is neither positive nor negative. 

6. 	 Covered Employee means an employee who performs a safety-sensitive function 

including an applicant or transferee who is being considered for hire into a safetyBoard of Clermont County Commissioners 

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sensitive function (See Appendix 3.25 for a list of covered employees), and other 

employees, applicants, or transferee that will not perform a safety-sensitive 

function but who fall under the policy of the Board’s own authority. 

7. 	 Designated Employer Representative (DAPM/DER) means an employee 

authorized by the Board to take immediate action to remove employees from 

safety-sensitive duties and to make required decisions in testing. The DAPM/DER 

also receives test results and other communications for the Board, consistent 

with the requirements of Part 40 and Part 655, as amended. 

8. 	 Department of Transportation (DOT) means a department of the federal 

government which includes the Federal Transit Administration (FTA), Federal 

Railroad Administration (FRA), Federal Highway Administration (FHA), Federal 

Motor Carriers’ Safety Administration (FMCSA), Research and Special Programs 

(RSP), and the Office of the Secretary of Transportation. 

9. 	 Dilute specimen means a specimen with creatinine and specific gravity values 

that are lower than expected for human urine. 

10. 	 Disabling damage means damage to a vehicle which precludes the departure of a 

vehicle from the scene of the occurrence in its usual manner in daylight after 

simple repairs. Disabling damage includes damage to vehicles that could have 

been operated but would have been further damaged if so operated, but does not 

include damage which can be remedied temporarily at the scene of the 

occurrence without special tools or parts, tire disablement without other damage 

even if no spare tire is available, or damage to headlights, taillights, turn signals, 

horn, mirrors or windshield wipers that make them inoperative. 

11. 	 Evidentiary Breath Testing (EBT) Device means a device approved by the 

National Highway Traffic Safety Administration (NHTSA) for the evidential testing 

of breath at the 0.02 and the 0.04 alcohol concentrations. Approved devices are 

listed on the NHTSA website on the conforming products list. 

12. 	 Medical Review Officer (MRO) means a licensed physician (medical doctor or 

doctor of osteopathy) responsible for receiving laboratory results generated by 

the drug testing program who has knowledge of substance abuse disorders, and 

has appropriate medical training to interpret and evaluate an individual's 

confirmed positive test result, together with his/her medical history, and any 

other relevant bio-medical information. 

13. 	 Negative Dilute means a drug test result which is negative for the five drug/drug 

metabolites but has a specific gravity value lower than expected for human urine. 

Negative dilute test results will cause an immediate retest. 

14. 	 Negative test result for a drug test means the absence of any drug/drug 

metabolite identified in Part 40 as amended, or the verified presence of the 

prohibited drug/drug metabolite below the minimum levels specified in Part 40, 

as amended. 

15. 	 Negative test result for an alcohol test means a test with a result of less than 

0.02 BAC. 

16. 	 Non-negative test result means a test result found to be adulterated, substitute, 

invalid, or positive for drug/drug metabolites. 

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17. 	 Performing a safety-sensitive function means a covered employee is considered 

to be performing a safety-sensitive function and includes any period in which he 

or she is actually performing, ready to perform, or immediately available to 

perform such functions. 

18. 	 Positive test result for a drug test means a verified presence of the identified 

drug/drug metabolite at or above the minimum levels specified in Part 40, as 

amended. 

19. 	 Positive alcohol test result means a confirmed alcohol concentration of 0.04 BAC 

or greater. 

20. 	 Prohibited drug means marijuana, cocaine, opiates, amphetamines, or 

phencyclidine at levels equal to or above the minimum thresholds specified in 

Part 40, as amended. 

21. 	 Revenue Service Vehicle means all transit vehicles that are used for passenger 

transportation service or that require a CDL to operate. It also includes all 

ancillary vehicles used in support of the transit system. 

22. 	 Safety-sensitive functions include: 

a. 	 The operation of a transit revenue service vehicle even when the vehicle is 

not in revenue service; and/or 

b.	 The operation of a non-revenue service vehicle by an employee when the 

operation of such a vehicle requires the driver to hold a Commercial Drivers 

License (CDL); and/or 

c. 	 Maintaining a revenue service vehicle or equipment used in revenue service; 

and/or 

d. 	 Controlling the movement of a revenue service vehicle. 

23. 	 Substance Abuse Professional (SAP) means a licensed physician (medical doctor 

or doctor of osteopathy) or licensed or certified psychologist, social worker, 

employee assistance professional, or addiction counselor (certified by the 

National Association of Alcoholism and Drug Abuse Counselors Certification 

Commission or by the International Certification Reciprocity Consortium/Alcohol 

and other Drug Abuse) with knowledge of and clinical experience in the diagnosis 

and treatment of drug and alcohol related disorders. 

24. 	 Substituted specimen means a specimen with creatinine and specific gravity 

values that are so diminished that they are not consistent with normal human 

urine. 

25. 	 Test Refusal means the MRO has reported that there is a verified adulterated or 

substituted test result; or any of the following if the employee: 

a.	 Fails to appear for any test (excluding pre-employment) within a reasonable 

time, as determined by the employer, after being directed to do so by the 

employer; 

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b. 	 Fails to remain at the testing site until the testing process is complete; 

c. 	 Fails to provide a urine or breath specimen for any drug or alcohol test 

required by Part 40 or DOT agency regulations; 

d. 	 Fails to permit the observation or monitoring of the specimen collection, in 

the case of a directly observed or monitored collection in a drug test; 

e.	 Fails to provide a sufficient amount of urine or breath when directed, and it 

has been determined, through a required medical evaluation, that there was 

no adequate medical explanation for the failure; 

f.	 Fails or declines to take a second test that the employer or collector has 

directed him or her to take; 

g. 	 Fails to undergo a medical examination or evaluation, as directed by the 

MRO as part of the verification process, or as directed by the DAPM/DER as 

part of the “shy bladder” or “shy lung” procedures; 

h. 	 Fails to cooperate with any part of the testing process (e.g., refuses to 

empty his or her pockets when so directed by the collector, behave in a 

confrontational way that disrupts the collection process, etc); or 

i. 	 Fails or refuses to sign Step 2 of the alcohol testing form. 

26. 	 Verified negative test means a drug test result reviewed by a MRO and 

determined to have no evidence of prohibited drug use above the minimum cutoff 

levels established by Part 40, as amended. 

27. 	 Verified positive test means a drug test result reviewed by a MRO and 

determined to have evidence of prohibited drug use above the minimum cutoff 

levels specified in Part 40, as amended. 

28. 	 Validity testing means the evaluation of the specimen to determine if it is 

consistent with normal human urine. The purpose of validity testing is to 

determine whether certain adulterants or foreign substances were added to the 

urine, if the urine was diluted, or if the specimen was substituted. 

D. 	 EDUCATION AND TRAINING 

1. 	 Every safety-sensitive employee will receive a copy of this policy and will have 

ready access to the corresponding federal regulations including Part 40 and Part 

655, as amended. 

2. 	 All covered employees will undergo a minimum of 60 minutes of training on the 

signs and symptoms of drug use including the effects and consequences of drug 

use on personal health, safety, and the work environment. The training also 

includes manifestations and behavioral cues that may indicate prohibited drug 

use. Upon completion of the training, employees will sign and date Appendix 

3.23 Substance Abuse Training Acknowledgment Form to document receiving the 

training. Training forms will be forwarded to the County DAPM/DER for retention. 

3. All supervisory personnel and management personnel who are in a position to 

determine employee fitness for duty will receive 60 minutes of reasonable 

Board of Clermont County Commissioners 

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suspicion training on the physical, behavioral, and performance indicators of 

probable drug use and 60 minutes of additional reasonable suspicion training on 

the physical, behavioral, speech, and performance indicators of probable alcohol 

misuse. Supervisors will forward documentation of the training to the County 

DAPM/DER for retention. 

4. 	 Information on the signs, symptoms, health effects, and consequences of 

substance abuse is presented in Appendix 3.26 of policy. 

E. PROHIBITED SUBSTANCES 

1.	 Prohibited substances addressed by this policy include the following. 

a.	 Illegally used controlled substance or drugs under the Drug-Free Workplace 

Act of 1988, any drug or any substance identified in Schedule I through V of 

Section 202 of the Controlled Substance Act (21 U.S.C. 812), and as further 

defined by 21 CFR 1300.11 through 1300.15 is prohibited at all times in the 

workplace unless a legal prescription has been written for the substance. 

This includes, but is not limited to: marijuana, amphetamines, opiates, 

phencyclidine (PCP), and cocaine, as well as any drug not approved for 

medical use by the U.S. Drug Enforcement Administration or the U.S. Food 

and Drug Administration. Illegal use includes the use of any illegal drug, 

misuse of legally prescribed drugs, and the use of illegally obtained 

prescription drugs. Also, the medical use of marijuana, or the use of hemp 

related products, which would cause drug or drug metabolites to be present 

in the body above the minimum thresholds is a violation of this policy. 

b. 	 Part 655, as amended requires that the Board test all covered employees 

for marijuana, cocaine, amphetamines, opiates, and phencyclidine as 

described in this policy. Illegal use of these five drugs is prohibited at all 

times and thus, covered employees may be tested for these drugs anytime 

they are on duty. 

2. 	 Legal Drugs: The appropriate use of legally prescribed drugs and non-prescription 

medications is not prohibited. However, the use of any substance which carries a 

warning label that indicates that mental functioning, motor skills, or judgment 

may be adversely affected must be reported to the employee’s supervisor. The 

employee is further required to provide a written release from his or her doctor 

or pharmacist indicating that the employee can perform his or her safetysensitive functions. 

3. 	 Alcohol: The use of beverages containing alcohol (including any mouthwash, 

medication, food, candy) or any other substances such that alcohol is present in 

the body while performing safety-sensitive functions is prohibited. An alcohol 

test can be performed on a covered employee under Part 655, as amended, just 

before, during, or just after the performance of safety-sensitive job functions. 

F. PROHIBITED CONDUCT 

1. 	 A covered employee is prohibited from reporting for duty or remaining on duty 

any time there is a quantifiable presence of a prohibited drug in the body above 

the minimum thresholds defined in Part 655, as amended. 

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2.	 A covered employee is prohibited from consuming alcohol within four (4) hours 

prior to the performance of safety-sensitive job functions, while performing 

safety-sensitive job functions, or while on-call to perform safety-sensitive job 

functions. The Board, under its own authority, prohibits the consumption of 

alcohol at all times while a safety-sensitive employee is on duty, or anytime the 

employee is in uniform. 

3. 	 If an on-call employee has consumed alcohol, he or she must report the use of 

alcohol at the time that he or she is called to report for duty. The Board, under 

its own authority, will relieve the covered employee of his or her on-call 

responsibilities and will subject the covered employee to discipline. 

4. 	 A County supervisor will not permit any employee to perform his or her safetysensitive duties if the supervisor has actual knowledge that the employee is using 

alcohol or abusing any drugs. 

5. 	 Each covered employee is prohibited from reporting to work or remaining on duty 

requiring the performance of safety-sensitive functions while having an alcohol 

concentration of 0.02 BAC or greater regardless of when the alcohol was 

consumed. 

6. 	 No covered employee will consume alcohol for eight (8) hours following 

involvement in an accident or until he or she submits to the post-accident alcohol 

test, whichever occurs first. 

7. 	 Consistent with the Drug-free Workplace Act of 1988, all County employees are 

prohibited from engaging in unlawful manufacturing, distributing, dispensing, 

possessing, or using prohibited substances in the work place including County 

premises and vehicles. 

G. 	 DRUG STATUTE CONVICTION 

1. 	 Consistent with the Drug Free Workplace Act of 1988, all County employees are 

required to notify the DAPM/DER (see Appendix 3.13) of any criminal drug 

statute conviction for a violation occurring in the workplace within five (5) days 

after such conviction. 

2.	 The Board, under its own authority, will remove from County employment any 

employee who fails to comply with this requirement. 

H. TESTING REQUIREMENTS 

1.	 Analytical urine drug testing and breath testing for alcohol will be conducted as 

required by Part 40, as amended. 

a.	 All applicants for safety-sensitive positions including current Clermont 

County employees who are not safety-sensitive will be subject to preemployment drug and/or alcohol testing as defined in Section K of this 

policy. 

b.	 All covered safety-sensitive employees will be subject to testing prior to 

performing a safety-sensitive duty, for reasonable suspicion, following an 

accident, and randomly as defined in Sections L through N of this policy. 

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2.	 The Board, under its own authority, will remove from employment any covered 

employee who has a verified positive drug/alcohol test and will refer him or her 

to the SAP. 

3. 	 A drug test can be performed any time a covered employee is on duty. 

4.	 An alcohol test will be performed just before, during, or just after the 
 

performance of a safety-sensitive job function. 
 

5. 	 The employee notified to respond to a collection site for a drug or alcohol test will 

be given an Order for Drug - Alcohol Testing form (see Appendix 3.10) from his 

or her supervisor or designee, or the form may be faxed to the collection site for 

test documentation. This form will be forwarded to the DAPM/DER when 

completed. 

6. 	 The supervisor or designee directing the employee to respond to a collection site 

for testing, will establish a reasonable time for the employee to arrive at the 

collection site specified, based on travel distance to the collection site when 

notified, traffic, time of day, local road construction, etc., and will notify the 

employee of the allotted travel time. An employee who fails to arrive at the 

collection site by the time specified will be subject to discipline unless he or she 

provides documented circumstances beyond his or her control to explain the 

delay. 

7. 	 All covered employees will be subject to urine drug testing and breath alcohol 

testing as a condition of continuing employment with Clermont County. Any 

safety-sensitive employee who refuses to comply with any testing requirements 

will be removed from employment with Clermont County and will be referred to 

the SAP. 

a.	 A covered employee who is suspected of providing false information in 

connection with a drug test, or who is suspected of falsifying test results 

through tampering, contamination, adulteration, or substitution will be 

required to undergo an observed collection. 

b. 	 Verification of the above listed actions will be considered a test refusal and 

will result in the employee being removed from employment with Clermont 

County and being referred to the SAP. Refer to Section C DEFINITIONS for 

behavior that constitutes a refusal to test. 

8. 	 Clermont County affirms the need to protect individual dignity, privacy, and 

confidentiality throughout the testing process. If at any time the integrity of the 

testing procedures or the validity of the test results is compromised, the test will 

be cancelled. Minor inconsistencies or procedural flaws that do not impact the 

test result will not result in a cancelled test. 

I. 	 DRUG TESTING PROCEDURES 

1. 	 Testing will be conducted in a manner to assure a high degree of accuracy and 

reliability using techniques, equipment, and laboratory facilities which have been 

approved by the U.S. Department of Health and Human Services (HHS). All 

testing will be conducted consistent with the procedures set forth in Part 40, as 

amended. The procedures will be performed in a private, confidential manner 

and every effort will be made to protect the employee, the integrity of the drug 

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testing procedure, and the validity of the test result. 

2.	 The drugs that will be tested for include marijuana, cocaine, amphetamines, 

opiates, and phencyclidine. After the identity of the donor is checked using photo 

identification, a urine specimen will be collected using the split specimen 

collection method described in Part 40, as amended. 

3.	 Each specimen will be accompanied by a DOT Chain of Custody and Control Form 

and identified using a unique identification number that attributes the specimen 

to the correct individual. 

4.	 Each specimen from a non-DOT test will be accompanied by a non-regulated 

Custody and Control Form and identified using a unique identification number 

that attributes the specimen to the correct individual. 

5.	 Only HHS certified laboratories will conduct specimen analysis. The certified lab 

will conduct an initial drug screen and validity test on the primary urine 

specimen. The lab will conduct a confirmatory Gas Chromatography/Mass 

Spectrometry (GC/MS) on all specimens with a non-negative test result. The test 

will be reported positive if the amount of the drug/drug metabolites identified by 

the GC/MS test are above the minimum thresholds established in Part 40, as 

amended. 

6.	 The certified laboratory will report the test results to the MRO. The MRO will 

review the test results to ensure the scientific validity of the test and to 

determine whether there is a legitimate medical explanation for a confirmed 

positive, substitute, or adulterated test result. The MRO will attempt to contact 

the employee to notify the employee of the non-negative test result, and provide 

the employee with an opportunity to explain the test result. The MRO will 

subsequently review the employee’s medical history/medical records as 

appropriate to determine whether there is a legitimate medical explanation for 

the test result. If no legitimate medical explanation is found, the test will be 

verified either as positive or as a refusal to test and will notify the Clermont 

County DAPM/DER. If there is a legitimate explanation the MRO will report the 

test result as negative to the DAPM/DER and no further action will be taken. 

7.	 If the test is invalid without a medical explanation, a retest will be conducted 

under direct observation consistent with Part 40, as amended. Collection under 

direct observation (by a person of the same gender), with no advance notice will 

occur if: 

a.	 The laboratory reports to the MRO that a specimen is invalid, and the MRO 

reports to the DAPM/DER that there was not an adequate medical 

explanation for the result; or 

b.	 The MRO reports to the DAPM/DER that the original positive, adulterated, or 

substituted test result had to be cancelled because the test of the split 

specimen could not be performed; or 

c. 	 The collector observes materials brought to the collection site or the 

employee's conduct clearly indicates an attempt to tamper with a specimen; 

or 

d. 	 The temperature on the original specimen was out of range. 

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8. 	 Any employee who questions the results of a required drug test under this policy 

may request that the split sample be tested. The split sample test will be 

conducted at a second HHS certified lab having no affiliation with the laboratory 

that analyzed the primary specimen. The test will be conducted on the split 

sample that was provided by the employee at the original collection. The method 

of collecting, storing, and testing the split sample will be consistent with the 

procedures set forth in Part 40, as amended. The employees must request a split 

sample test through the MRO within 72 hours of being notified of the original 

sample verified test result. The MRO may honor a request for split specimen 

testing after 72 hours if the delay was due to documented facts that were beyond 

the control of the employee. Clermont County will guarantee that the cost for 

the split specimen test is covered in order for a timely analysis of the sample 

however, the employee is required to pay for the split sample test. 

9.	 The MRO will declare the original test to be cancelled and will direct the 

DAPM/DER to have the employee retested under direct observation if the analysis 

of the split specimen fails to confirm the presence of the drug/drug metabolites 

detected in the primary specimen, or if the split specimen is not able to be 

analyzed, or if the results of the split specimen are not scientifically adequate. 

10.	 The split specimen will be stored at the initial laboratory until the analysis of the 

primary specimen is completed. If the primary specimen is negative, the split 

will be discarded. If the primary specimen is positive, the split specimen will be 

retained for testing if so requested by the employee through the MRO. If the 

primary specimen is positive, both it and the split specimen will be retained in 

frozen storage for one year. 

J. ALCOHOL TESTING PROCEDURES 

1.	 Tests for breath alcohol concentration will be conducted utilizing an NHTSAapproved testing device operated by a trained Breath Alcohol Technician (BAT). 

If the initial test indicates an alcohol concentration of 0.02 BAC or greater, a 

second test will be performed to confirm the results of the initial test. The 

second test will be conducted at least fifteen minutes after the completion of the 

initial test using a NHTSA-approved EBT operated by a trained BAT. The EBT will 

identify each test by a unique sequential identification number. This number, 

test time, and unit identifier will be provided on each EBT printout. The EBT 

printout, along with an approved alcohol testing form, will be used to document 

the test, the subsequent results, and to attribute the test to the correct 

employee. The test will be performed in a private, confidential manner as 

required by Part 40, as amended. The procedure will be followed as prescribed to 

protect the employee and to maintain the integrity of the alcohol testing 

procedures and validity of the test result. 

2. 	 An employee who has a verified positive alcohol test result (a concentration of 

0.04 BAC or greater) will be considered in violation of this policy. The 

consequences of a positive alcohol test are described in Section Q. of this policy. 

3. 	 Even though an alcohol test with a confirmed alcohol concentration between 0.02 

BAC and 0.039 BAC is not considered positive, the employee will be removed 

from duty for at least eight (8) hours or for the duration of the work day 

whichever is longer and will be subject to the consequences described in Section 

Q. of this policy. 

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4.	 An alcohol concentration of less than 0.02 will be considered a negative test. 

5.	 The alcohol testing form (ATF) required by Part 40, as amended, will be used for 

all FTA required testing. Failure of an employee to sign step 2 of the ATF will be 

considered a refusal to submit to testing. 

K. PRE-EMPLOYMENT TESTING 

1.	 All applicants for safety-sensitive positions covered under this policy, whether 

internal or external, will undergo urine drug testing prior to performing a safetysensitive function. 

2. 	 All offers of employment for covered positions will be extended conditioned upon 

the applicant passing a drug test. An applicant will not be placed into a safety -

sensitive position unless the applicant takes a drug test with verified negative 

result, and an alcohol concentration below 0.02, if administered. 

3.	 The Board, under its own authority, will rescind the conditional offer of 

employment to any candidate who fails a pre-employment drug or alcohol test. 

Failure of a pre-employment drug/alcohol test will disqualify an applicant for 

future employment with Clermont County. 

4. 	 If an internal candidate being placed, transferred, or promoted from a non 

safety-sensitive position to a safety-sensitive position has a verified positive 

drug/alcohol test result, the employee will be removed from employment and will 

be referred to the SAP. 

5. 	 In instances where a covered employee is on extended leave for a period of 90 

days or more regardless of any reason, and is not in the random testing pool he 

or she will be required to take a pre-employment drug test and have a negative 

test result prior to performing any safety-sensitive functions. 

6.	 A covered employee who is laid off and subsequently recalled to the same or a 

substantially similar position covered by a DOT regulated drug/alcohol testing 

program will undergo pre-employment testing prior to performing any safetysensitive functions regardless of the length of time he or she was laid off. 

7. 	 All applicants for covered positions are required to report previous DOT-covered 

employer drug/alcohol test results. Failure to do so will result in the employment 

offer being rescinded. If the applicant has tested positive or refused to test on a 

pre-employment test for a DOT covered employer the applicant will not be 

eligible for employment with Clermont County. 

L. 	 REASONABLE SUSPICION TESTING 

1.	 All covered employees will be subject to reasonable suspicion drug/alcohol testing 

when there is reasonable suspicion to believe that the employee has used a 

prohibited drug or engaged in alcohol misuse. Reasonable suspicion means that 

there is objective evidence, based upon specific, contemporaneous, articulable 

observations of the employee's appearance, behavior, speech or body odor that 

are consistent with possible drug use and/or alcohol misuse. Reasonable 

suspicion referrals will be made by one or more supervisors or management 

employees trained to detect the signs and symptoms of drug/alcohol use, and 

Board of Clermont County Commissioners 

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who reasonably conclude that an employee may be adversely affected or 

impaired in his or her work performance due to possible drug/alcohol misuse. A 

reasonable suspicion alcohol test will only be conducted just before, during, or 

just after the performance of a safety-sensitive job function. 

2. 	 A County supervisor or a management employee will be responsible for 

transporting the employee to the testing site. The transporting employee should 

avoid placing him- or herself or others into a situation which might endanger the 

physical safety of those present. The employee will be placed on administrative 

leave pending further action. An employee who refuses to submit to a 

drug/alcohol test will not be permitted to finish his or her shift and will 

immediately be removed from employment with Clermont County and will be 

referred to the SAP. 

3. 	 A written record of the observations which led to a drug/alcohol test based on 

reasonable suspicion will be prepared and signed and dated by the employee 

making the determination. This written record will be submitted to the 

DAPM/DER and will be attached to the test results. 

4. 	 When there are no specific, contemporaneous, articulable objective facts that 

indicate current drug or alcohol use, but the employee (who is not already a 

participant in a treatment program) admits the abuse of alcohol or other 

substances to his or her supervisor or to HR the employee will be referred to the 

EAP for an assessment. 

5.	 The Board, under its own authority, will place the employee on administrative 

leave in accordance with the provisions set forth under Section Q. of this policy. 

a. 	 Since the employee self-referred to management, testing under this 

circumstance would not be considered a violation of this policy or a positive 

test result under Federal authority. 

b. 	 Self-referral does not exempt the covered employee from testing under Part 

655, as amended and as specified in Sections L through N of this policy or 

the associated consequences as specified in Section Q. 

6. 	 Self-referrals are not valid once an employee has been notified to report for 

testing. 

M. POST-ACCIDENT TESTING 

1. DOT Accidents 

a. Fatal accidents 

(1) 	 As soon as practicable following an accident involving the loss of 

human life, the County employee investigating the accident will have 

each surviving covered employee operating the revenue transit vehicle 

at the time of the accident tested for drugs and alcohol, whether or 

not the vehicle was in revenue transit service at the time of the 

accident. 

(2) 	 The investigating employee will also have any other covered employee 

(mechanic, dispatcher, etc.) tested for drugs and alcohol, whose 

Board of Clermont County Commissioners 

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performance could have contributed to the accident as determined by 

the investigating employee using the best information available at the 

time of the decision. 

(a) 	 Form #3.10 Order for Drug - Alcohol Testing will be completed 

for indicating a DOT mandated post accident test. 

(b) 	 The federal Chain of Custody and Control Form (CCF) will be used 

by collection site staff. 

(c) 	 The investigating employee will clearly instruct the employee 

being tested that the testing is being conducted under the 

authority of the DOT. 

b. Non-fatal accidents 

(1)	 As soon as practicable following a non-fatal accident the County 

employee investigating the accident will have each surviving covered 

employee operating the revenue transit vehicle at the time of the 

accident tested for drugs and alcohol, whether or not the vehicle 

was in revenue transit service at the time of the accident. This 

includes incidents where: 

(a) 	 An individual suffers bodily injury and immediately receives 

medical treatment away from the scene of the accident; or 

(b)	 One or more vehicles (including non-FTA funded vehicles) incurs 

disabling damage as a result of the occurrence and such vehicle 

or vehicles are transported away from the scene by a tow truck 

or other vehicle. 

(2) 	 The investigating employee will also have any other covered employee 

(mechanic, dispatcher, etc.) tested for drugs and alcohol, whose 

performance could have contributed to the accident as determined by 

the investigating employee using the best information available at the 

time of the decision. 

(a) 	 Form #3.10 Order for Drug - Alcohol Testing will be completed 

for all post-accident testing indicating a DOT mandated test. 

(b) 	 The federal Chain of Custody and Control Form (CCF) will be used 

by collection site staff. 

(c) 	 The investigating employee will clearly instruct the employee 

being tested that the testing is being conducted under the 

authority of the DOT. 

2. Non-DOT Accidents 

a.	 The Board, under its own authority, will conduct Non-DOT Post Accident 

Testing for all incidents which do not meet the criteria established above, 

which involves a revenue transit vehicle (whether or not the vehicle was in 

revenue transit service at the time of the accident), except where two 

vehicles strike mirrors in passing and no person involved receives any injury 

Board of Clermont County Commissioners 

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related to the incident. 

b. 	 Form #3.10 Order for Drug - Alcohol Testing will be completed for all postaccident testing indicating a Non-DOT mandated test. 

c.	 The non-DOT regulated Chain of Custody and Control Form (CCF) will be 

used by collection site staff. 

d. 	 The investigating employee will clearly instruct the employee being tested 

that the testing is being conducted under the authority of the Board and not 

the DOT. 

3.	 If an alcohol test required by this section is not administered within two (2) hours 

following the accident, the investigating employee will document the reason(s) 

the alcohol test was not promptly administered. 

a.	 If an alcohol test required by this section is not administered within eight 

(8) hours following the accident, the investigating employee will cease any 

attempts to administer an alcohol test and will document the reason(s) that 

the test was not administered. 

b. 	 The report will be forwarded to the County DAPM/DER along with a copy of 

the accident report. 

c. 	 The DAPM/DER will retain the report according to the regulations and will 

submit records to the FTA upon request of the Administrator. 

4. 	 The Board will ensure that a covered employee required to be drug tested under 

this section is tested as soon as practicable but within 32 hours of the accident. 

5.	 A covered employee who is subject to post-accident testing who fails to remain 

readily available for such testing, including notifying the CTC Supervisor or 

designee of his or her location if he or she leaves the scene of the accident prior 

to submission to such test, may be deemed by the Board to have refused to 

submit to testing. A covered employee who fails to remain available for testing 

will be subject to discipline for a refusal to test as outlined in Section Q of this 

policy. 

6.	 Nothing in this section will be construed to require the delay of necessary medical 

attention for the injured following an accident, to prohibit a covered employee 

from leaving the scene of an accident for the period necessary to obtain 

assistance in responding to the accident, or to obtain necessary emergency 

medical care. 

7. 	 The results of a blood, urine, or breath test for the use of prohibited drugs or 

alcohol misuse, conducted by Federal, State, or local officials having independent 

authority for the test, will be considered to meet the requirements of this section 

provided such test conforms to the applicable Federal, State, or local testing 

requirements, and that the test results are legally obtained by the Board. Such 

test results may be used only when the Board is unable to perform a postaccident test within the required period noted above. 

N. RANDOM TESTING 

Board of Clermont County Commissioners 

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1. 	 All covered employees will be subject to random, unannounced testing. The 

selection of employees will be made by a scientifically valid method of randomly 

generating an employee identifier from the appropriate pool of safety-sensitive 

employees. 

2. 	 The dates for administering unannounced testing of randomly selected employees 

will be spread reasonably throughout the hours of operation for the department. 

3.	 All covered employees will be in a pool from which the random selection is made. 

Each covered employee in the pool has an equal chance of selection each time 

the selections are made. Each covered employee that falls under FTA regulations 

will be included in one random pool. Each employee will remain in the pool and 

be subject to selection, whether or not the employee has been previously tested. 

a.	 The Board has no input into the selection of any employee in the selection 

pool; and 

b. 	 The number of employees randomly selected for drug and alcohol testing 

during the calendar year will be not less than the percentage rates 

established in Part 655, as amended, for those safety-sensitive employees 

subject to random testing. 

4. 	 A random drug test can be conducted at any time during an employee’s shift. A 

random alcohol test can be conducted just before, during, or just after the 

employee performs a safety-sensitive duty. Testing can occur during the 

beginning, middle, or end of an employee’s shift. 

5. 	 An employee is required to proceed immediately to the collection site upon 

notification of his or her random selection. 

O.	 RETURN-TO-DUTY TESTING FOR SELF-REFERRALS 

1. 	 A covered employee who self-refers for treatment of a substance abuse problem 

must have a negative drug and/or alcohol test and be evaluated and released by 

the SAP before returning to work. 

2.	 Following the initial assessment, the SAP will recommend a course of 
 

rehabilitation unique to the individual. 
 

3. 	 The SAP will recommend the return-to-duty test only when the employee has 

successfully completed the treatment requirement and is known to be drug and 

alcohol free and there is no undo concern for public safety. 

P.	 EMPLOYEE SELF-REFERRED FOLLOW-UP TESTING 

1. 	 Covered employees who have self-referred for a substance abuse problem will be 

required to undergo frequent, unannounced drug and/or alcohol testing following 

their return-to-duty. The follow-up testing will be performed for a period of one 

to five years with a minimum of six tests to be performed the first year. 

2. 	 In the instance of a self-referral the covered employee will be required to meet 

with the SAP for assessment, formulation of a treatment plan, and execution of a 

return to work agreement. 

Board of Clermont County Commissioners 

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3. 	 The SAP will determine the frequency and duration of the follow-up tests (beyond 

the minimums) reflecting the SAP’s assessment of the employee’s unique 

situation and recovery progress. 

4.	 Follow-up testing should be frequent enough to deter and/or detect a relapse. 

Follow-up testing is separate from and in addition to testing required under DOT 

guidelines. 

5. 	 The cost of any treatment or rehabilitation services will be paid directly by the 

employee or his or her insurance provider. The employee will be permitted to 

take accrued sick leave or administrative leave to participate in the SAP 

prescribed treatment program. If the employee has insufficient accrued leave, 

the employee will be placed on leave without pay until the SAP has determined 

that the employee has successfully completed the required treatment program 

and releases him or her to return-to-duty. Any leave taken, either paid or 

unpaid, will be considered leave taken under the Family and Medical Leave Act. 

6. 	 Failure to execute a return-to-work agreement or to remain compliant1

 with the 

treatment plan will result in removal from County employment. 

7.	 Refusal to submit to a periodic unannounced follow-up drug/alcohol test will be 

considered a direct act of insubordination and will result in removal from County 

employment and referral to the SAP. 

8. 	 A self-referral to the SAP that was not precipitated by a positive test result does 

not constitute a violation of the Federal regulations and will not be considered as 

a positive test result in relation to the discipline defined in Section Q. of this 

policy. 

9. 	 Periodic, unannounced, follow-up, drug/alcohol tests conducted as a result of a 

self-referral or management referral which results in a verified positive will be 

considered a positive test result. The employee will be removed from County 

employment and will be referred to the SAP. 

10.	 A voluntary referral does not shield an employee from disciplinary action or 

guarantee employment with Clermont County. Neither does it shield an 

employee from the requirement to comply with drug and alcohol testing. 

11. 	 Self-referrals are not accepted once a covered employee has been notified to 

report to the collection site for random, post-accident, or reasonable suspicion 

testing required under Part 40, as amended. 

Q. 	 RESULT OF DRUG/ALCOHOL TEST 

The Board, under its own authority, will remove from County employment any covered 

employee that has a verified positive drug or alcohol test result from a random, postaccident, reasonable suspicion, or self-referred follow-up drug or alcohol test. The 

1

NOTE*: Remaining compliant with the return-to-work agreement means that the employee has 

submitted to a drug/alcohol test immediately prior to returning to work, the result of that test is 

negative, in the judgment of the SAP the employee is cooperating with his or her treatment plan, and 

the employee has agreed to periodic unannounced follow-up testing as defined in Section P of this 

policy. 

Board of Clermont County Commissioners 

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employee will be referred to the SAP. A drug test with the result of negative dilute will 

result in the employee being retested. 

1. 	 As soon as practicable after receiving notice of a verified positive drug test result, 

a confirmed alcohol test result, or a test refusal, the DAPM/DER will contact the 

employee’s supervisor to have the employee cease performing any safetysensitive functions. 

2. 	 The employee will be referred to the SAP and will be removed from his or her 

employment with Clermont County. 

3. 	 Refusal to submit to a drug or alcohol test will have the same consequences as a 

positive test result and a will be considered a direct act of insubordination and 

will result in removal from County employment. A test refusal includes the 

following circumstances. 

a. 	 A covered employee who consumes alcohol within eight (8) hours following 

involvement in an accident without first having submitted to a post-accident 

alcohol test; or 

b. 	 A covered employee who leaves the scene of an accident without a 

legitimate explanation prior to submitting to a drug/alcohol test; or 

c. 	 A covered employee who provides false information in connection with a 

drug/alcohol test; or 

d. 	 A covered employee who provides an insufficient volume of urine or breath 

without a valid medical explanation. The medical evaluation for “shy 

bladder” or “shy lung” will take place within five (5) days of the initial test 

attempt; or 

e. 	 A verbal or written declaration, obstructive behavior, or physical absence 

resulting in the inability to conduct the test within the specified time frame; 

or 

f. 	 A covered employee whose urine sample has been verified by the MRO as 

substitute or adulterated; or 

g. 	 A covered employee who fails to appear for any test within a reasonable 

time after being directed to do so by his or her supervisor; or 

h. 	 A covered employee fails to remain at the testing site until the testing 

process is complete; or 

i. 	 A covered employee fails to provide a urine specimen for any drug test 

required by Part 40, as amended, or DOT agency regulations; or 

j. 	 A covered employee fails to permit the observation or monitoring of a 

specimen collection; or 

k.	 A covered employee fails or declines to take a second test when ordered by 

the DAPM/DER or collector; or 

l. 	 A covered employee fails to undergo a medical examination or evaluation, 

Board of Clermont County Commissioners 

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as directed by the MRO as part of the verification process, or as directed by 

the DAPM/DER as part of the “shy bladder” or “shy lung” procedures; or 

m. 	 A covered employee fails to cooperate with any part of the testing process 

(e.g., refuse to empty pockets when so directed by the collector, behaves in 

a confrontational way that disrupts the collection process, etc.); or 

n. 	 A covered employee fails to sign Step 2 of the Alcohol Testing form. 

4. 	 An alcohol test result of 0.02 BAC to 0.039 BAC will result in the removal of the 

employee from duty for eight (8) hours or the remainder or the work day 

whichever is longer. The employee will not be allowed to return to safetysensitive duty for his or her next shift until he or she submits to an alcohol test 

with a result of less than 0.02 BAC. If the employee has an alcohol test result of 

less than or equal to 0.02 BAC to .039 BAC two or more times within a six month 

period, the employee will be removed from County employment and will be 

referred to the SAP. 

R. 	 GRIEVANCE AND APPEAL 

The consequences specified by Part 40, as amended for a positive test or a test refusal 

are not subject to arbitration. 

S. 	 PROPER APPLICATION OF THE POLICY 

The Board is dedicated to assuring fair and equitable application of this substance 

abuse policy. Therefore, supervisors and managers are required to use and apply all 

aspects of this policy in an unbiased and impartial manner. Any supervisor or 

manager who knowingly disregards the requirements of this policy, or who is found to 

deliberately misuse the policy in regard to subordinates, will be subject to disciplinary 

action, up to and including termination. 

T. INFORMATION DISCLOSURE 

1.	 Drug and alcohol testing records will be maintained by the Clermont County 

DAPM/DER and, except as provided below or by law, the results of any drug or 

alcohol test will not be disclosed without express written consent of the tested 

employee. 

2. 	 The employee, upon written request, is entitled to obtain copies of any records 

pertaining to his or her use of prohibited drugs or misuse of alcohol including any 

drug or alcohol testing records. A covered employee has the right to gain access 

to any pertinent records such as equipment calibration records, and records of 

laboratory certifications. A covered employee may not have access to SAP 

referrals and follow-up testing plans. 

3. 	 Records of a verified positive drug/alcohol test result will be released to the 

DAPM/DER by the MRO and by the DAPM/DER to the employee’s Department 

Head on a need to know basis. 

4.	 Records will be released to a subsequent employer only upon receipt of a written 

request signed by the employee. 

5. Records of an employee's drug/alcohol tests will be released to the adjudicator in 

Board of Clermont County Commissioners 

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a grievance, lawsuit, or other proceeding initiated by or on behalf of the tested 

individual arising from the results of the drug/alcohol test. 

a.	 The records will be released to the decision maker in the preceding. 

b. 	 The information will only be released with binding stipulation from the 

decision maker that he or she will make it available only to parties in the 

preceding. 

c. 	 Records will be released to the National Transportation Safety Board during 

an accident investigation. 

6.	 Records will be released to the DOT or any DOT agency with regulatory authority 

over the employer or any of its employees. 

a.	 Records will be released if requested by a Federal, State or local safety 

agency with regulatory authority over CTC or its employees. 

b. 	 If a party seeks a court order to release a specimen or part of a specimen 

contrary to any provision of Part 40 as amended the Clermont County 

Prosecuting Attorney, Civil Division will take necessary legal steps to contest 

the issuance of the order. 

c. 	 In cases of a contractor or sub-recipient of a state department of 

transportation, records will be released when requested by such agencies 

that must certify compliance with the regulation to the FTA. 

U. SYSTEM CONTACTS 

Any questions regarding this policy or any other aspect of the substance abuse policy 

should be directed to the appropriate individual identified in Appendix 3.13. 

Board of Clermont County Commissioners 

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Appendix 3.25 Board of Clermont County Commissioners 

Safety Sensitive Positions and Testing Authority 

Testing Authority Test Types Safety Sensitive Functions Board Cla

DOT Post-Accident Drug and/or 

Alcohol, Pre-Employment Drug, Random Drug and/or Alcohol, Reasonable Suspicion Drug and/or Alcohol 

Revenue Operation (whether or not in revenue service) 

Vehicle Operator 

DOT Post-Accident Drug and/or 

Alcohol, Pre-Employment Drug, Random Drug and/or Alcohol, Reasonable Suspicion Drug and/or Alcohol 

Revenue Vehicle Control and Dispatch 

Vehicle DispatcheAdministrative Su

DOT Post-Accident Drug and/or 

Alcohol, Pre-Employment Drug, Random Drug and/or Alcohol, Reasonable Suspicion Drug and/or Alcohol 

Revenue Vehicle Equipment Maintenance and Repair 

Auto Mechanic 1 Auto Mechanic 2 Auto Mechanic 3 Fleet Intern 

FMCSA Post-Accident Drug and/or 

Alcohol, Pre-Employment Drug, Random Drug and/or Alcohol, Reasonable Suspicion Drug and/or Alcohol 

CDL Licensed Operators (not covered by Part 655) 

WSD MaintenancWSD MaintenancWSD MaintenancHighway Worker 

Board Reasonable Suspicion Drug 

and/or Alcohol 

All other positionabove 
City Government–FTA and FMCSA 
 

City of Charlottesville 
 

City of Charlottesville 
 

Department of Public Works 
 

Department of Parks & Recreation
 


Anti-Drug Program/Alcohol Misuse Program 
 

Summary: This policy covers city government and it contains language on FTA and 

FMCSA anti-drug and alcohol misuse policies and establishes an anti-drug and alcohol 

misuse program for Public Utilities Division Employees, Commercial Vehicle Operators, 

and Transit Division Employees that complies with the Department of Transportation's 

(DOT) 49 CFR parts 199, 382, 655, and 40. 

 

 

 

 

City of Charlottesville 
 

Department of Public Works 
 

Department of Parks & Recreation
 


ANTI-DRUG PROGRAM/ALCOHOL MISUSE PROGRAM 

As required by the Department of Transportation 

Implementation Dates: 

RSPA - Anti-Drug Program = August, 1990, Alcohol Misuse =January 1, 1995 

FMCSA - Anti-Drug/Alcohol Misuse = January 1, 1995 

FTA - Anti-Drug/Alcohol Misuse = January 1, 1996 

I. INTRODUCTION 

The City of Charlottesville has written and implements its Anti-Drug/Alcohol Misuse 

Program to ensure compliance with Federal Regulations of the Department of Transportation. 

This Program is implemented in addition to the City’s Drug-Free Workplace Program. In the 

event that Federal Regulations conflict with the City’s Drug-Free Workplace Program, the 

Federal Regulations shall prevail. In the event that Federal Regulations fail to provide language 

for a particular situation, the employee shall be subject to the City’s Drug-Free Workplace 

Program or other applicable City Policies. 

The Public Works Department is comprised of multiple divisions that provide a wide 

variety of services. This diversity has resulted in the Department being regulated by three 

different operating authorities of the Department of Transportation. This has made writing a 

policy for the Department challenging because the operating authorities’ rules differ in some 

places. This Program will inform the reader in the places where the rules differ by having 

different categories or another clear method of separating the rules. DOT allows the City's 

program to be stricter than their regulations as long as language specific to the City's 

program is identified. Therefore, where this Program goes beyond the requirements of 

DOT, the text below is highlighted in bold print. 

A. Policy Statement 

1. The purpose of this policy is to establish an Anti-Drug Program/Alcohol 

Misuse Program for Public Utilities Division Employees, Commercial Vehicle 

Operators, and Transit Division Employees that complies with the Department of 

Transportation's (DOT) 49 CFR Parts 199, 382, 655, and 40. Part 199 requires 

operators of gas systems to have an Anti-Drug Program/Alcohol Misuse Program 

for persons who perform operating, maintenance, or emergency-response 

functions covered by the DOT pipeline safety standards in 49 CFR Part 192, 193, 

or 195. The Public Utilities Division-Gas Unit has had an Anti-Drug Program in 

place since August of 1990. The additional alcohol testing requirements were 

effective on January 1, 1995. Part 382 requires employers to test drivers who are 

required to obtain a commercial driver’s license (CDL) for the illegal use of 

alcohol and controlled substances and was effective on January 1, 1995. Part 

655 requires that Transit Employees who maintain, operate, or control the 

movement of transit vehicles be tested for controlled substances and alcohol. 

Effective August 1, 2001, Part 655 replaces Parts 653 and 654 which went into 

effect on January 1, 1996. DOT has also published 49 CFR Part 40, as 

Adopted November 21, 1994: Revised January 21, 2005 1 
 

 

amended, that sets standards for the collection and testing of urine and breath 

specimens. This policy incorporates the DOT requirements for DOT covered 

safety-sensitive employees. 

Participation in this program is a requirement of all safety sensitive employees, 

and therefore, is a condition of employment. 

2. It is the policy of the City of Charlottesville to attract and maintain a 

work force that is free of alcohol or drugs which may impair judgment and 

job performance and may result in accident or injury to self, other 

employees, or the general public. For the purpose of this Program an 

employee who tests positive on a drug test, as defined by DOT, shall be 

considered impaired. 

3. Any questions in relation to this program should be directed to the DOT 

Program Manager/Public Utilities Program Coordinator, Mary Kay Kotelec, 

telephone number: 434-970-3814. (E-mail kotelec@charlottesville.org). 

Additional information regarding DOT regulations can also be found at 

www.dot.gov/ost/dapc/oamanagers. 

II. PROHIBITED BEHAVIOR 

A. Controlled Substances: Covered employees are prohibited by the Department of 

Transportation from using marijuana (includes all hemp products), cocaine, opiates, 

phencyclidine (PCP), and amphetamines at any time. The City prohibits the use of 

any controlled substance or other performance-altering drug that cannot be 

substantiated by medical evidence of legitimate drug use. The City also prohibits 

any employee from engaging in unlawfully manufacturing, distributing, 

dispensing, possessing, or using controlled substances in the workplace. 

Additionally, it is the employee's obligation to notify his/her supervisor of any 

therapeutic drug use that may alter their ability to perform safety sensitive 

functions. It is imperative that an employee informs his/her supervisor if the 

prescription indicates that one should not drive, operate machinery, or engage in 

hazardous activities. In the event that an employee’s drug screen comes back positive 

due to a prescription drug it shall be the employee’s responsibility to provide the Medical 

Review Officer with proof of a valid prescription in order for test results to be ruled 

negative. An employee who is convicted of a drug or alcohol violation occurring in 

the work place must notify his/her supervisor within 5 days. 

B. Alcohol: An employee will be removed from performing safety-sensitive functions: (1) 

When test results indicate an alcohol concentration of 0.04 or greater; (2) Within four 

hours after using alcohol; (3) While using alcohol on the job; (4) During the 8 hours 

following an accident if their involvement has not been discounted as a contributing 

factor in the accident or until they are tested; (5) if they refuse to submit to required 

alcohol tests; and (6) if they are in possession of alcohol while driving. 

If an employee is found to have an alcohol concentration of 0.02 or greater but less than 

0.04, or if the employee is under the influence of or impaired by alcohol, as indicated by 

behavior, speech and performance indicators of alcohol misuse, and a reasonable 

suspicion alcohol test cannot be obtained, the employee will have to be removed from 

safety-sensitive duties for 24 hours under FMCSA regulations or 8 hours under RSPA 

Adopted November 21, 1994: Revised January 21, 2005 2 
 

 

and FTA regulations. An employee with a positive drug test shall be removed from 

covered functions until an evaluation is held, recommendations of evaluation carried out, 

and the employee has passed a return-to-duty test. 

C. The City of Charlottesville prohibits the use of controlled substances and 

alcohol while on the job or subject to duty. Use of controlled substances and/or 

alcohol while on the job or subject to duty, even if the alcohol concentration is 

0.02 or greater but less than 0.04 may result in disciplinary action up to and 

including termination. 

III. DRUG AND ALCOHOL TESTING REQUIREMENTS 

A. Employee Categories 

The following employee positions are subject to FMCSA, FTA or RSPA drug and alcohol 

testing as outlined in this policy. 

Employee positions that require a CDL to perform job tasks and are covered by FMCSA: 

General Maintenance Supervisor, Motor Equipment Operator (I & II), Snow Plow Operator, 

Maintenance Crew Supervisor, Maintenance Worker III, Maintenance Worker II, Crew Leader, 

Gardener, Playground Equipment Mechanic, Sanitation Worker, Signal Supervisor, Inspector 

(Public Service), Auto Mechanic (II & III), Equipment Maintenance Supervisor, Signal 

Electrician, Traffic Supervisor, Crew Supervisor II, Refuse Supervisor, Auto Aide, Water Quality 

Inspector, Water Service Technician, Meter Repairer, Parks Service Manager, Systems Quality 

Inspector, School Bus Operator Supervisor, School Bus Operator, and School Bus Trainer. 

Employee positions that are covered by FTA: 

The following positions perform dispatch duties: Transit Operator Supervisor, Assistant Transit 

Operator Supervisor, Transit Secretary, Transit Account Clerk, Transit Manager, and Assistant 

Transit Manager. 

The following positions perform revenue vehicle operation duties: Transit Bus Operators. 

The following positions perform maintenance duties: Transit Maintenance Worker, Transit 

Mechanics, and Transit Maintenance Supervisor. 

Employee positions that are covered by RSPA: 

Public Utilities Manager, Assistant Superintendent/Chief Eng., Marketing Supervisor, Operations 

Supervisor, Administrative Secretary, Training Supervisor, Engineering Tech.(Gas), Gas 

Mechanic Supervisor, Service Supervisor, Dispatcher, Regulatory Compliance Supervisor, 

Gasline Welder*, Regulator Mechanic*, General Maintenance Supervisor*, Gas Mechanic, Leak 

Survey Tech, Chief Dispatcher, Maintenance Crew Supervisor*, Gasline Inspector, Motor 

Equipment Operator (Gas)*, Pipeline Locator, Gas Maintenance Worker *, Back-up Welder from 

outside Contractor (if applicable) and Collection Agent for the Department of Finance. 

*Positions hold CDL and are randomly tested for alcohol under FMCSA rules. Fifty percent or more of 

their job function is covered by RSPA and so all other applicable tests are conducted under RSPA policy. 

Any employee who performs the functions of a covered employee as described in the policy statement or 

the definition of a covered employee shall be tested even if their job title is not specifically listed above. 

Adopted November 21, 1994: Revised January 21, 2005 3 
 

B. Types of Drug Testing : Employees subject to this drug testing program are required 

to be tested under the following five types of tests: 

1.	 Pre-Employment Testing 

a) A pre-employment drug test will be conducted when an individual is 

selected to be hired for a position listed in this policy. Said individual will 

not perform covered safety-sensitive functions until he/she passes the 

pre-employment drug test. 

b) A pre-employment drug test will be conducted when a current 

employee transfers from a position not covered by this policy into a 

position listed in this policy. An employee who previously is separated 

from a Part 199, 382, or 655 anti-drug program position will be preemployment tested prior to performing safety-sensitive duties. 

c) If a pre-employment test is canceled, the applicant is required to 

submit to and pass another test. Pre-employment drug tests for disabled 

individuals unable to provide sufficient volume can be reported as 

negative if medical examination shows no evidence of illegal drug use. 

d) Applicants who are offered a position covered by this policy will be 

tested before being employed. If applicant's drug test is positive, then the 

matter will be referred to the MRO for review (see Section 7 - Medical 

Review Officer). Pre-employment job applicants or employees seeking a 

transfer into a position covered by this policy who test positive will not be 

hired unless and until the City receives an opinion from the MRO 

explaining that the positive test result should not be a bar to employment 

or transfer. Applicants and employees transferring into a covered position 

have the option to have their sample retested if their request is made to 

the MRO within 72 hours of the receipt of the final test result from the 

MRO. 

e) Employees working in a position covered by this policy on the 

effective date and who continue to work in a covered position do not 

require a pre-employment test. 

f) In the event that the MRO was not able to contact the applicant to 

discuss the results of their drug test, the City shall notify an applicant of 

the results of a pre-employment drug test, if the applicant requests such 

results within 60 calendar days of being notified of the disposition of the 

employment application. The applicant will be referred to a qualified SAP. 

2.	 Random Testing 

a) All employees working in a position covered by this policy are subject 

to unannounced testing based on random selection. This includes 

temporary employees performing work in a covered position. A covered 

employee may be randomly tested for prohibited drug use anytime while 

on duty. 

b) The City will test at least fifty percent (50%) of the covered employees 

in a calendar year for controlled substances, divided on the basis set forth 

in paragraph e below. All persons will be subject to be randomly picked 

for drug testing at each unannounced random testing date. A person may 

be randomly picked more than once or not picked at all during the annual 

period. 

c) To assure that the selection process is random, all employees 

covered by this policy will be placed in a common pool. All full time and 

Adopted November 21, 1994: Revised January 21, 2005 4 
 

temporary employees will be in this pool. Employees remain in the 

random selection pool at all times, regardless of whether or not they have 

been previously selected for testing. 

d) The random selection procedure will be a computer-based number 

generator. 

e) Random testing will be done on a monthly basis. Testing will be 

conducted on different days of the week throughout the annual cycle to 

prevent employees from matching their drug use patterns to the schedule 

for collection. Collection for monthly random testing will be spread out 

over the month. Selected employees will not be notified until immediately 

prior to the time that they are due at the collection site. Typically ten (10) 

to thirteen (13) numbers are selected each month. 

f) If an employee is unavailable during a draw period due to vacation or 

other long-term absence, a replacement number can be drawn using the 

computerized random number generator to select additional numbers. If 

an employee is temporarily unavailable, or it is their day off, the number 

should be held until their next shift within the same testing period. No 

employee shall be excused because of operational difficulties. 

g) Random alcohol testing will be performed at a rate of at least 10% of 

the average number of covered positions. This rate is subject to 

adjustment by DOT as based on the industry's violation rate. Random 

alcohol testing will be done on a monthly basis with the number of draws 

based on the size of the random pool. 

h) An employee shall only be tested for alcohol while the employee is 

performing, just before the employee is to perform, or just after the 

employee has performed safety-sensitive functions. It is the City's 

position that employees that are hired to drive a commercial motor 

vehicle are expected to be available to drive that vehicle, or perform 

safety sensitive functions, anytime that they are at work; unless they 

have a medical excuse that advises that they do not drive. 

i) Random notifications should be conducted as discreetly as possible in 

order to ensure the confidentiality and integrity of the process. 

3. Post-Accident Testing: Employees working in positions covered by this policy 

whose performance either contributed to an accident or cannot be completely 

discounted as a contributing factor to the accident will be tested. 

a) FMCSA- Definition of a Qualifying Accident 

As soon as practicable following an accident involving a commercial motor 

vehicle, the City shall test for alcohol and controlled substances each 

surviving driver: 

Adopted November 21, 1994: Revised January 21, 2005 5 
 

b) 

c) 

(1) Who was performing safety-sensitive functions with respect to 

the vehicle, if the accident involved the loss of human life; or 

(2) Who receives a citation under State or local law for a moving 

traffic violation arising from the accident, if the accident involved: 

(a) Bodily injury to any person who, as a result of the 

injury, immediately receives medical treatment away from 

the scene of the accident; or 

(b) One or more motor vehicles incurring disabling 

damage as a result of the accident, requiring the motor 

vehicle to be transported away from the scene by a tow 

truck or other motor vehicle. 

FTA- Definition of a Qualifying Accident 

(1) Whenever there is loss of human life each surviving safetysensitive employee on duty in the mass transit vehicle and safetysensitive employees not on the vehicle whose performance could 

have contributed to the accident shall be tested for drug use and 

alcohol abuse. 

(2) A non-fatal accident is defined as an occurrence associated 

with the operation of a revenue service vehicle in which an 

individual suffers a bodily injury and immediately receives medical 

treatment away from the scene of the accident. Each employee 

whose performance could have contributed to the accident shall 

be tested for drug use and alcohol misuse. An accident does not 

necessarily mean that a collision occurred. An individual falling on 

the bus and needs to be taken to the hospital would be defined as 

an accident. The driver, and other safety-sensitive employees 

involved, would need to be tested unless they can be completely 

discounted as a contributing factor to the accident. 

(3) With respect to an occurrence in which the mass transit 

vehicle involved is a bus, electric bus, van, or automobile, or any 

non-revenue service vehicle, and one or more vehicles incurs 

disabling damage as the result of the occurrence and is 

transported away from the scene by a tow truck or other vehicle. 

For purposes of this definition, "disabling damage" means damage 

that precludes departure of any vehicle from the scene of the 

occurrence in its usual manner in daylight after simple repairs. 

Disabling damage includes damage to vehicles that could have 

been operated but would have been further damaged if so 

operated, but does not include damage that can be remedied 

temporarily at the scene of the occurrence without special tools or 

parts; tire disablement without other damage even if no spare is 

available; or damage to headlights, taillights, turn signals, horn, or 

windshield wipers that makes them inoperative; 

(4) With respect to an occurrence in which the mass transit 

vehicle involved is a railcar, trolley car, trolley bus, or vessel, if the 

mass transit vehicle is removed from revenue service then testing 

is warranted. 

RSPA Definition of a Qualifying Accident. 

(1) Employees working in positions covered by this policy whose 

performance either contributed to an accident or cannot be 

completely discounted as a contributing factor to the accident will 

be tested. 

Adopted November 21, 1994: Revised January 21, 2005 6 
Adopted November 21, 1994: 

(2) Pipeline Accident: An "accident" on a gas pipeline or 

LNG facility is defined as an "incident" in Pipeline Safety 

Regulations Part 191.3 as any one of the three types of events 

listed below: 

(a) An event that involves a release of gas from a pipeline 

or of liquefied natural gas or gas from an LNG facility and 

(i) A death, or personal injury necessitating 

inpatient hospitalization; or 

(ii) An event that involves a release of gas from a 

pipeline or of liquefied natural gas or gas from an 

LNG facility and 

(a) A death, or personal injury necessitating 

inpatient hospitalization; or 

(b) Estimated property damage, including cost 

of gas lost, of the operator or others, or both, of 

$50,000 or more. 

(b) An event that results in an emergency shutdown of an 

LNG facility. 

(c) An event that is significant, in the judgment of the 

operator, even though it did not meet the criteria of 

paragraphs (a) or (b). 

d) Time Frame for Testing Employees 

(1) The employee will be tested for controlled substances as soon 

as possible, but no later than 32 hours after the accident. 

Because certain drugs or drug metabolites do not remain in the 

body for extended periods of time, testing should be as soon as 

possible. Alcohol tests should be conducted within 2 hours and 

must be performed within 8 hours. 

(2) As soon as practicable following an accident, the City shall test 

each surviving covered employee for alcohol if that employee's 

performance of a covered function either contributed to the 

accident or cannot be completely discounted as a contributing 

factor to the accident. If an alcohol test is required, but is not 

administered within two (2) hours following the accident, the City 

shall prepare and maintain on file a record stating the reasons the 

test was not promptly administered. If a required test is not 

administered within eight (8) hours following the accident, the City 

shall cease attempts to administer an alcohol test and shall state 

in the record the reasons for not administering the test. These 

records shall be made available to FMCSA, RSPA, or FTA upon 

request. 

(3) The decision not to administer a test shall be based on the 

City's determination, using the best available information at the 

time of the determination, that the covered employee's 

performance could not have contributed to the accident. 

(4) A covered employee who is subject to post-accident testing 

who fails to remain readily available for such testing, including 

notifying the operator or operator representative of his/her location 

if he/she leaves the scene of the accident prior to submission to 

such test, may be deemed by the operator to have refused to 

Revised January 21, 2005 7 
 

submit to testing. Nothing in this section shall be construed to 

require the delay of necessary medical attention for injured people 

following an accident or to prohibit a covered employee from 

leaving the scene of an accident for the period necessary to obtain 

assistance in responding to the accident or to obtain necessary 

emergency medical care. 

(5) All reasonable steps will be taken to obtain a urine sample for 

the testing of controlled substances from an employee after an 

accident. In case of a conscious but hospitalized employee, the 

hospital or medical facility will be requested to obtain a sample 

and if necessary, reference will be made to the DOT drug testing 

requirements. 

(a) If an employee who is subject to post-accident testing 

is conscious, able to urinate normally (in the opinion of a 

medical professional) and refuses to be tested, that is a 

test refusal. 

e) Process for Obtaining Specimen Collection/Documentation 

(1) Supervisor shall discreetly inform the employee that there is 

reason to believe that their performance contributed to the 

accident or cannot be completely discounted as contributing factor 

to the accident. Remind the employee that a request for a test is 

not an accusation; it is only a request for additional objective data. 

(2) The potentially affected employee will not be allowed to 

proceed alone to or from the collection site. A supervisor or other 

appropriate personnel shall accompany him/her to and from the 

collection site. 

(3) After returning from the collection site, the employee should 

not be allowed to perform covered functions pending the results of 

the drug test/alcohol test. 

(4) Record the activity performed that support the determination to 

conduct a post-accident test. This documentation should be 

prepared and signed by the supervisor within 24 hours of the 

accident or before the results of the tests are released, whichever 

is earlier, if possible (Post-Accident Record of Decision form is 

located at the end of this section). 

(5) Drivers shall be provided with necessary post-accident 
 

information, procedures, and instructions prior to the driver 
 

operating a CMV so that drivers will be able to comply with the 
 

requirements of Part 382. 
 

(a) FMCSA regulations stipulate that the results of breath 

or blood test for the use of alcohol or a urine test for the 

use of controlled substances, conducted by Federal, State 

or local officials having independent authority for the test, 

shall be considered to meet the requirements of Part 382, 

provided such tests conform to applicable Federal, State, 

or local requirements, and that the results of the tests are 

obtained by the employer. In the event that the City is 

unable to conduct a FTA post-accident alcohol and/or drug 

test due to circumstances beyond its control (i.e. employee 

is unconscious, incarcerated, etc.), results from local or 

state law enforcement officers may be used in lieu of FTA 

tests if provided results are consistent with state and local 

Adopted November 21, 1994: Revised January 21, 2005 8 
 

 

 

 

law. 

(6) After-hour and holiday post-accident tests shall be 

collected at the UVA Emergency Room by the UVA WorkMed 

on-call personnel. Supervisor/employee should report to the 

ER Security Desk in order to contact the UVA WorkMed oncall staff. 

4.	 Reasonable Cause Testing 

a. 	 When there is reasonable cause/suspicion to believe that an employee 

covered by this policy is using a prohibited drug or using alcohol while on 

duty, the employee will be required to take a test for controlled substances 

and/or alcohol. The required observations for alcohol and/or controlled 

substances reasonable suspicion testing shall be made by a supervisor or 

company official who is trained by the Employee Assistance Program, or an 

equivalent program, in drug use symptoms. The supervisor who requires the 

test may not administer the test. 

b. 	 A decision to test must be based on specific contemporaneous articulable 

observations concerning the appearance, behavior, speech, or body odors of 

the employee. The observations may include indications of the chronic and 

withdrawal effects of controlled substances. Alcohol testing is authorized 

only if the observations are made during, just preceding, or just after the 

period of the work day that the employee is performing a covered function. 

c. 	 If an alcohol test is required, but is not administered within two (2) hours 

following the request for the test, the City shall prepare and maintain on file a 

record stating the reasons the test was not promptly administered. If a 

required test is not administered within eight (8) hours following the request, 

the operator shall cease attempts to administer an alcohol test and shall state 

in the record the reasons for not administering the test. These records shall 

be completed by the employee’s supervisor and forwarded to the Program 

Manager for inclusion in the drug and alcohol files. These records shall also 

be made available to FMCSA, RSPA, and FTA upon request. 

d. If a drug test is being requested, either on its own or in addition to the 

alcohol test, it should be conducted within two hours. 

e. Process for Obtaining Specimen Collection/Documentation 

a) Supervisor shall discreetly inform the employee that there is reason 

to believe that some substance is affecting their performance. Ask the 

employee to explain the suspected behavior and to describe the events 

that took place from their perspective. If there is still a reasonable belief 

that drugs or alcohol are a factor in the situation, a request for testing 

should be made; if no reasonable belief is determined, then no request for 

testing should be made. If a decision is made to test, inform the employee 

that they are being requested to accompany the appropriate official to the 

specimen collection site to provide a urine/breath specimen. Inform the 

employee that the consequences of refusal to submit to testing is 

equivalent to having a positive test result. The supervisor who requests 

the test cannot perform the test on the employee. 

b) The potentially affected employee should not be allowed to 

proceed alone to or from the collection site. A supervisor or other 

appropriate personnel shall accompany him/her to and from the 

collection site. 

c) After returning from the collection site, the employee shall not 

be allowed to perform covered functions pending the results of the 

Adopted November 21, 1994: Revised January 21, 2005 9 
 

 

 

drug/alcohol test. The employee should not be allowed to operate 

any motor vehicle due to the reasonable cause belief that they may 

be under the influence of alcohol or a drug(s). 

d) Record the activity performed that supports the determination to 

conduct a reasonable cause. This documentation should be 

prepared and signed by the supervisor within 24 hours of the 

request for test or before the results of the tests are released, 

whichever is earlier, if possible. A copy should be forwarded to the 

Program Manager for filing in the Drug and Alcohol Program Files. 

e) Notwithstanding the absence of a reasonable suspicion alcohol 

and/or drug test under this section, no employee shall report for duty or 

remain on duty requiring the performance of safety-sensitive functions 

while the employee is under the influence of or impaired by alcohol or 

drugs, as shown by the behavioral, speech, and performance indicators 

of alcohol misuse or drug use, nor shall the City permit the employee to 

perform or continue to performs safety sensitive functions until: 1) 

Negative drug test results are reported; 2) An alcohol test is administered 

and the driver's alcohol concentrations measures less than 0.02; or 

twenty four hours have elapsed following the determination that there was 

reasonable suspicion to believe that the employee had violated the 

alcohol prohibitions of this program (8 hours for FTA) . Test results 

greater than 0.02 or positive drug tests may result in disciplinary 

actions up to and including termination. 

5.	 Return To Duty Testing 

a) Return to Duty Testing and Follow-up Testing assumes that the 

City has elected to retain the employee and has not exercised its 

authority to terminate the employee. 

b) Controlled Substances: Before a covered employee returns to duty 

requiring the performance of a safety sensitive function after engaging in 

prohibited conduct, the employee shall undergo a return to duty controlled 

substance test that results in a verified negative test result. 

An employee may not return to duty until they: 

(1) Have been recommended by the SAP for return to duty, 

(2) Pass a DOT drug test, and 

(3) Not failed a drug test required by Part 199, 382, or 655 after 

returning to duty. 

c) Alcohol: The City shall ensure that before a covered employee 

returns to duty requiring the performance of a covered function after 

engaging in conduct prohibited by this Program, the employee shall 

undergo a return-to-duty alcohol test with a result indicating an alcohol 

concentration of less than 0.02 and have been recommended by the SAP 

for return to duty. 

6. Follow-up Testing 

a) Following the determination that a covered employee is in need of 

assistance in resolving problems associated with alcohol misuse or drug 

use, the City shall ensure that the employee is subject to unannounced 

follow-up alcohol and/or drug testing as directed by a substance abuse 

professional (SAP). The SAP will recommend education, treatment or 

both. 

Adopted November 21, 1994: Revised January 21, 2005 10 
 

 

b) Follow-up testing for alcohol shall be conducted when the covered 

employee is performing covered functions; just before the employee is to 

perform covered functions; or just after the employee has ceased 

performing such functions. Follow-up testing for drugs shall be conducted 

anytime the covered employee is on duty. 

c) A minimum of 6 unannounced, follow-up tests must be administered 

within the first 12 months after the employee has returned to duty. The 

SAP can direct additional testing during this period or for an additional 

period up to a maximum of 60 months from the date that the employee 

returned to duty. The SAP can terminate the requirement for the followup testing in excess of the minimum at any time, if the SAP determines 

that the testing is no longer necessary. 

d) The City may direct the employee to undergo return-to-duty and 

follow-up testing for both alcohol and controlled substances, if the SAP 

determines that it is necessary for that particular employee. 

e) An employee who is undergoing follow-up testing shall remain in the 

random pool and be tested if his/her number is selected. 

7. Blind Performance Testing 

a) As an employer with fewer than 2,000 DOT-covered employees, the 

City is not required to provide blind specimens for performance testing. 

8.	 Notice to Employees: 

a) The City shall notify an employee of the results of any tests for 

controlled substances if the test results are verified as positive. The City 

shall also inform the employee which controlled substance or substances 

were verified as positive. 

Adopted November 21, 1994: Revised January 21, 2005 11 
 

 

 

 

 

 

 

 

CITY OF CHARLOTTESVILLE 

POST-ACCIDENT DRUG AND ALCOHOL TEST RECORD OF DECISION 

Manager/Supervisor: This form is to be used to document action taken following an accident involving a cityowned vehicle that may meet DOT post-accident drug/alcohol testing requirements. DOT policy requires the testing 

of the vehicle operator and other employees whose performance could have contributed to the accident. Additional 

guidance concerning DOT testing thresholds is found on the reverse side. 

Employee Name _______________ Employee Number ____________________ Job Title __________ 

Day _________ Date ___________ Time __________ Location ______________________ 

Vehicle Number ___________ Route ____________ Run ____________ 

TEST DETERMINATION 

Use this table to indicate the results of the accident and the type of test that is required. Check one that specifies the 

results of the accident. Do not check more than one type of accident. 

TYPE OF TEST: 

VEHICLE ACCIDENT RESULTS DOT (FTA/FMCSA) 

CITY (non-DOT) 

Revenue vehicle with fatality FTA 

Revenue vehicle with injury requiring medical treatment away 

from the scene 

FTA 

Revenue vehicle with any vehicle towed OR disabling damage** FTA 

Non-revenue vehicle operated by SSP* with fatality FTA 

Non-revenue vehicle operated by SSP* holder requiring medical 

treatment away from the scene 

FTA 

Non-revenue vehicle operated by SSP* with any vehicle towed 

OR disabling damage** 

FTA 

Fatality FMCSA 

Citation issued to SSP* with injury requiring medical treatment 

away from the scene 

FMCSA 

Citation issued to SSP* with one or more vehicles incurring 

disabling damage** 

FMCSA

 Post-accident requirements NOT met. 

Refer to CTS division policy for non-DOT testing determination. 

FINAL DETERMINATION (circle one) DOT--FTA/FMCSA 

 CITY—NON-DOT 

NONE REQUIRED 

STATUS OF THIS EMPLOYEE (circle one) 
 

Operating the Vehicle Other covered Employee 
 

ACCIDENT INFORMATION 

Are any other employees to be tested as a result of this accident (circle one)?
 


Yes No Unknown, investigation indicates possible involvement by others 
 

Adopted November 21, 1994: Revised January 21, 2005 12 
 

_____________________________________________________________________________________________ 

_____________________________________________________________________________________________ 

_____________________________________________________________________________________________ 

_____________________________________________________________________________________________ 

 

_____________________________________________________________________________________________ 

_____________________________________________________________________________________________ 

_____________________________________________________________________________________________ 

 

_____________________________________________________________________________________________ 

_____________________________________________________________________________________________ 

_____________________________________________________________________________________________ 

 

 

How was this employee involved in the accident? 

Time of Accident: ____________ Time of Test (Alcohol): ___________
 


Time of Test (Drug): ______________ Elapsed Time (between accident and testing): _________________ 
 

Alcohol Test given within 2 hours? (attempt to test must cease after 8 hours) Yes No
 


If no, state reason below: 
 

Drug Test given within 32 hours? (attempt to test must cease after 32 hours) Yes No 

If no, state reason below: 

Supervisor’s Signature: __________________________________________________
 


Supervisor’s Name (Print): _______________________________________________
 


Date: ____________________ Time: _______________________
 


NOTE: this document must be retained on file as a record of decision 
 

FTA Post-Accident Testing Guidelines 
 

Type of Accident 

Test is Mandatory 

Human Fatality YES 

Bodily injury with immediate medical treatment away 

from scene 

YES 

Disabling damage** to any motor vehicle YES 

FMCSA Post-Accident Testing Guidelines 

Type of Accident Citation issued to CMV operator? Test is Mandatory 

Human Fatality YES YES 

Human Fatality NO YES 

Bodily injury with immediate 

medical treatment away from scene 

YES YES 

Bodily injury with immediate 

medical treatment away from scene 

NO NO *** 

Disabling damage** to any motor 

vehicle 

YES YES 

Disabling damage** to any motor 

vehicle 

NO NO *** 

* SSP—Safety Sensitive Personnel 
 

** Disabling Damage--damage that precludes the departure of any vehicle from the scene of the occurrence in its usual manner in
 


daylight after simple repairs. Disabling damage includes damage to vehicles that could have been operated but would have been 
 

further damaged if so operated, but does not include damage which can be remedied temporarily at the scene of the occurrence
 


without special tools or parts, tire disablement without other damage even if no spare is available, or damage to headlights, 
 

taillights, turn signal, horn, mirrors, or windshield wipers that makes them inoperative. 
 

*** In the case of school bus accidents, if bodily injury requiring treatment away from scene occurs or disabling damage occurs, 
 

but no citation is issued, DOT test is not mandatory. HOWEVER - non-DOT post-accident test is required based on CTS policy.
 


Adopted November 21, 1994: Revised January 21, 2005 13 
 

____________________________________________________________ 

 

 

 

 

 

 

 

 

 

CITY OF CHARLOTTESVILLE 

REASONABLE SUSPICION SHORT-TERM INDICATORS 

Manager/Supervisor: This form is to be used to substantiate and document the objective facts 

and circumstances leading to a reasonable suspicion determination. After careful observation 

of the employee’s behavior, please check all of the short-term indicators that denote a possible 

link to the employee’s use of prohibited alcohol or drugs. 

Employee Name _________ Employee Number __________ Job Title ___________ 

Day ____________ Date ____________ Time Observed (from/to) __________________ 

Location of employee when reasonable suspicion evaluation was made (be specific) 

Evaluating Supervisor _____________________________________ 

Other Supervisors present 

I. OBSERVATIONS OF THE EMPLOYEE’S PHYSICAL CONDITION 

Check below any/all applicable behaviors and describe: 

 Slurred Speech 

Confusion/Disorientation 

Odor of Alcohol on Breath/Person 

Odor of Marijuana on 
 

Breath/Person 
 

Unsteady Gait or Lack of Balance 
 

Glassy Eyes
 


Rapid/Continuous Eye Movement 
 

or Inability to Focus 
 

Drowsiness 
 

Inattentiveness 
 

Apparent Intoxicated behavior 
 

(without the odor of alcohol) 
 

Apparent Intoxicated behavior 
 

(without the odor of marijuana) 
 

Physical Injury (Indicate Location) 
 

Tremors or bodily shaking 

 Poor Concentration 
 

Adopted November 21, 1994: Revised January 21, 2005 14 
 

_______________________________ 

________________________________ 

_____________________________________ 

Runny nose or sores around 

nostrils 

Very large of very small eye pupils 

Slow or inappropriate reactions 

II. OBSERVATIONS OF EMPLOYEE’S BEHAVIOR 

Inability to respond to questions or 

to respond correctly 

Complaints of racing or irregular 

heart beat 

 Marked Irritability 

Aggressiveness (attempts at 

physical contact) 

Inappropriate laughter, crying, etc. 

Sleeping on the job 

Fainting or Repeated loss of 

Consciousness 

Inappropriate job performance 

and/or violation of operational 

rules 

III. DETERMINATION OF REASONABLE SUSPICION 

Based on the above documented information, I have determined that there IS or IS NOT 

(supervisor circle only one) reasonable suspicion for sending -

_____________________________ for a DOT drug and alcohol screening test. 

The drug and alcohol screening tests have been ordered by: 

To be conducted at: 
 

UVA WorkMed – 545 Ray C Hunt Drive, Suite 3200, Third Floor, Medical Office Building 
 

After-hours: UVA WorkMed On-Call Test Technician – 924-0000 Pager #9016 
 

Signature of supervisor/official conducting the evaluation: 
 

Printed Name of Supervisor conducting the Evaluation: 

Date: ____________________ (month, day, year) 

Adopted November 21, 1994: Revised January 21, 2005 15 
 

IV. TESTING PROCEDURES 

Analytical urine drug testing and breath testing for alcohol may be conducted when 

circumstances warrant or as required by Federal regulations. Drug tests can be 

performed any time an employee is on duty. An alcohol test can be performed when the 

employee is actually performing a safety-sensitive duty, just before, or just after the 

performance of a safety-sensitive duty. 

Testing shall be conducted in a manner to assure a high degree of accuracy and 

reliability and using techniques, equipment, and laboratory facilities which have been 

approved by the U.S. Department of Health and Human Services (DHHS). All testing 

will be conducted with the procedures put forth in 49 CFR Part 40, as amended. The 

procedures will be performed in a private, confidential manner and every effort will be 

made to protect the employee, the integrity of the testing procedure, and the validity of 

the test result. 

Drug Tests: The drugs that will be tested for include marijuana, cocaine, opiates, 

amphetamines, and phencyclidine. Urine specimens will be collected using the split 

specimen collection method described in 49 CFR Part 40. Each specimen will be 

accompanied by a DOT Chain of Custody and Control Form and identified using a 

unique identification number that attributes the specimen to the correct individual. An 

initial drug screen will be conducted on the primary specimen. For those specimens that 

are not negative, a confirmatory Gas Chromatography/Mass Spectrometry (GC/MS) test 

will be performed. The test will be considered positive if the amounts present are above 

the minimum thresholds established in 49 CFR Part 40, as amended. The test results 

from the laboratory will be reported to a Medical Review Officer (MRO). The MRO will 

review the test results to ensure the scientific validity of the test and to determine 

whether there is a legitimate medical explanation for a confirmed positive test result. 

The MRO will contact the employee, notify the employee of the positive laboratory result, 

and provide the employee with an opportunity to explain the confirmed test result. The 

MRO will subsequently review the employee’s medical history/medical records to 

determine whether there is a legitimate medical explanation for a positive laboratory 

result. If no legitimate medical explanation is found, the test will be verified positive and 

reported to the program manager. If a legitimate explanation is found, the MRO will 

report the test result as negative. 

The split specimen will be stored at the initial laboratory until the analysis of the primary 

specimen is completed. If the primary specimen is negative, the split will be discarded. 

If the primary is positive, the split will be retained for testing if so requested by the 

employee through the Medical Review Officer. 

In instances where the employee produces a dilute specimen, he or she must 

undergo a second test. 

An applicant who is offered a position covered by this policy will be required to 

report to the drug testing collection site within 24 hours of notification, or at a 

specific predesignated date and time, and provide a specimen of his/her urine. 

Adopted November 21, 1994: Revised January 21, 2005 16 
 

Upon notification that a drug test is required, an employee will report immediately 

after notification to the drug collection site and provide a specimen of his/her 

urine. The employee is required to report to the collection site within 30 minutes 

of receiving notification. Failure to report within the specified time frame is 

considered a refusal to test. 

The City may choose to test for other substances under its own substance abuse 

policy; however, it may not do so under DOT pretenses or using the same 

specimen that is being collected for DOT requirements. 

Alcohol Tests: Tests for breath alcohol concentration will be conducted utilizing a 

National Highway Traffic Safety Administration (NHTSA)-approved testing device 

operated by a trained technician. If the initial test indicates an alcohol concentration of 

0.02 or greater, a second test will be performed to confirm the results of the initial test. 

The confirmatory test will be performed using a NHTSA-approved evidential breath 

testing device (EBT) operated by a trained breath alcohol technician (BAT). The EBT 

will identify each test by a unique sequential identification number. This number, time, 

and unit identifier will be provided on each EBT printout. The EBT printout along with an 

approved alcohol testing form will be used to document the test, the subsequent results, 

and to attribute the test to the correct employee. The test will be performed in a private, 

confidential manner as required by 49 CFR Part 40 as amended. The procedure will be 

followed as prescribed to protect the employee and to maintain the integrity of the 

alcohol testing procedures and validity of the test result. 

An employee who has a confirmed alcohol concentration of greater than 0.02 but less 

than 0.04 will be removed from his/her position for eight hours (FTA) or 24 hours 

(FMCSA) unless a retest results in a concentration measure of less than 0.02. 

Adopted November 21, 1994: Revised January 21, 2005 17 
 

V. REFUSALS TO TEST AND UNCOMPLETED TESTS 

A. Controlled Substances 

1. Compliance with this drug/alcohol testing plan is a condition of employment. 

Refusal to take a required drug/alcohol test or failure of a drug/alcohol test shall 

result in removal from performing covered functions. Refusing to test may lead 

to disciplinary action up to and including termination from the City. 

Refusal includes the following and applies to both drug and alcohol testing: 

 An inability to provide a specimen or breath sample without a valid 

medical reason (confirmed by a physician); 

 Tampering, adulterating, or substituting specimen; 

 Delaying arrival at a designated collection site; 

 Leaving the collection site prior to test completion; 

 Failure to permit an observed or monitored collection when required; 

 Failure to undergo a medical evaluation when required; 

 Failure to cooperate with any part of the testing process; 

 Once test is underway, failing to remain at site and provide a specimen; 

 Failure to sign Step 2 of alcohol test form; and 

 Leaving the scene of an accident without just cause prior to submitting to 

a test. (An employee may leave the scene of an accident in order to 

obtain medical assistance for those injured in the accident. Failure to 

return to the scene will be regarded as a refusal to test.) 

Adopted November 21, 1994: Revised January 21, 2005 18 
 

 

 

2. Prohibitions on use: The City shall not use an employee in a function 

covered by Part 199, 382, or 655 who: 

a) Fails a drug test as verified by the MRO, or 

b) Refuses to take a drug test required by this Program. 

3.	 Shy Bladder 

a) Shy Bladder: If an employee is unable to provide at least 45 milliliters of urine 

collection site personnel shall direct the individual to drink not more than 40 

ounces of fluids and, after a period up to three (3) hours time, attempt to provide 

a complete sample. If employee is still not able to give an adequate sample the 

MRO shall refer the individual for a medical evaluation to determine if individuals 

inability to provide a sample is a genuine medical condition or constitutes a 

refusal to test. An employee’s refusal to be examined by a physician shall be 

regarded as a refusal to test. 

4. Options for Return-To-Duty. An employee may be given an opportunity to 

retain his or her employment, provided they first: 

a) Have been evaluated by the SAP and successfully completes the SAP’s 

recommended program. 

b) Have been recommended by the SAP for return to duty, 

c) Pass a DOT drug test or alcohol test, and have 

d) Not failed a drug test required by Part 199, 382, or 655 after returning to 

duty. 

B. Alcohol: 

1. Compliance with this drug/alcohol testing plan is a condition of employment. 

Refusal (see Section V. A. 1) to take a required alcohol test or failure of an 

alcohol test shall result in removal from performing covered functions. Refusing 

to test, failing a test, attempting to adulterate a sample, not reporting to the 

collection site in the time allotted, or leaving the scene of an accident 

before the tests have been conducted will result in removal from a covered 

function and may lead to disciplinary action up to and including 

termination from the City. An employee may leave the scene of an accident in 

order to obtain medical assistance for those injured in the accident. Failure to 

return to the scene will be regarded as a refusal to test. 

2. Prohibitions on use: The City shall not use an employee in a function covered 

by Part 199, 382, or 655 who: 

a) Has a breath alcohol concentration of 0.04 or greater. 

b) Has used alcohol within four hours prior to performing a covered function, or, 

if an employee is called to respond to an emergency, within the time period after 

the employee has been notified to report to duty. Employees on "stand by" for 

emergency call out as per Public Works policy are considered "ready to 

perform safety-sensitive functions"; therefore, failure to be available for an 

emergency due to alcohol misuse while on scheduled call will result in 

disciplinary action up to and including termination. 

c) Is using alcohol on the job.
 


d) Uses alcohol eight hours following an accident if employee's involvement 
 

cannot be discounted as a contributing factor to the accident, unless they have 
 

been tested. 
 

e) Refuses to be tested. 
 

(1) Insufficient Breath on alcohol screens: Three attempts and failures to 

Adopted November 21, 1994: Revised January 21, 2005 19 
 

provide a breath sample on a screening shall be considered a refusal. 

The BAT may use their discretion if an employee is just having difficulty 

understanding directions on how to provide the breath sample. Two 

attempts and failures on a confirmation sample is a refusal to test. 

f) Employees having a BAC of 0.02 or greater but less than 0.04 will be 

removed from a covered function for at least 24 hours under FMCSA rules and 8 

hours for FTA and RSPA rules. Employees with a BAC of 0.04 or greater will be 

removed from a covered function and referred to the SAP for evaluation. 

3. The City reserves the right to discipline employees who test greater 

than 0.02 up to and including termination. 

Adopted November 21, 1994: Revised January 21, 2005 20 
 

 

 

 

 

 

VI. MEDICAL REVIEW OFFICER (MRO) 

A. The MRO must be a licensed physician or doctor of osteopathy who is responsible 

for receiving laboratory results generated by the Commercial Motor Vehicle and the 

Transit Division drug testing program, and who has knowledge of substance abuse 

disorders and has approved medical training to interpret and evaluate an individual's 

confirmed positive test result together with his/her medical history and any other relevant 

biomedical information. 

B. The MRO will perform responsibilities, perform notifications, and retain confidential 

records as required by 49 CFR Part 40 as amended. 

VII. TESTING LABORATORY 

The City shall use a drug testing laboratory certified under DHHS Mandatory Guidelines 

for Federal Workplace Drug Testing Programs; 53 FR 11970, April 11, 1988 and 

subsequent amendments. 

The testing laboratory will comply with all methods and procedures of 49 CFR Parts 40, 

199, 382, and 655, as amended. The laboratory shall have a qualified individual to 

assume professional, organizational, educational, and administrative responsibility for 

the laboratory's urine drug testing facility. 

VIII. EMPLOYEE AND SUPERVISOR TRAINING 

A. Every employee covered by this policy will receive the following drug use/alcohol 

misuse education: 

1. Drug/alcohol information will be periodically distributed and displayed in the 

work areas. 

2. Copies of this policy will be displayed in the work area. This information will 

be discussed at the time that it is handed out so that the employees understand 

its content. Every new employee receives a copy of the entire Program. 

3. The hot line telephone number for employee assistance is 1-800-932-0034, 

24 hours per day, seven days a week. 

B. The following supervisory management positions shall receive EAP training for 

detecting symptoms of drug use/alcohol misuse: 

Public Service Division Manager Water/Wastewater Superintendent
 


General Maintenance Supervisor Refuse Supervisor
 


Parks Manager Gas Training Supervisor
 


School Bus Operators Supervisor Assistant Public Service Chief 
 

Equipment Maintenance Supervisor Transit Manager
 


Parks Crew Supervisor Parks Crew Leader 
 

Adopted November 21, 1994: Revised January 21, 2005 21 
 

 

 

 

 

 

 

 

 

Traffic Shop Supervisor Traffic Signal Supervisor 

Assistant Transit Manager Transit Maintenance Supervisor 

Transit Operations Supervisor Assistant Transit Operations Supervisor 

Public Utilities Manager Assistant Gas Superintendent/Chief Gas Engineer 

Gas Operations Supervisor Gas Regulatory Compliance Supervisor 

Gas Service Supervisor Director of Public Works 

General Maintenance Supervisor Utility Billing & Collections Manager 

Gas Mechanic Supervisor Public Utilities Program Coordinator 

Supervisors will receive 60 minutes of reasonable suspicion training on the physical, behavioral, 

and performance indicators of probable drug use and 60 minutes of additional reasonable 

suspicion training on the physical, behavioral, speech, and performance indicators of probable 

alcohol misuse. 

IX. EVALUATION/REHABILITATION 

The Substance Abuse Professional (SAP) must be a licensed physician (medical doctor 

or doctor of osteopathy), licensed or certified psychologist, social worker, employee 

assistance professional; or an addiction counselor certified by the National Association 

of alcoholism and Drug Abuse Counselors Certification Commission or the International 

Certification Reciprocity Consortium/Alcohol and other Drug Abuse. 

The SAP will perform responsibilities and retain confidential records as required by 49 

CFR Part 40, as amended. 

An employee who fails a drug test, alcohol test (0.04 or greater), or refuses to be tested 

will be referred to a substance abuse professional who shall determine what assistance 

the employee needs in resolving problems associated with alcohol misuse or drug use. 

Applicants not hired or employees who are to be terminated as a result of a violation of 

this policy shall also be referred to the SAP. Each employee identified as needing 

assistance in resolving problems associated with alcohol misuse or controlled 

substances use shall be evaluated by a substance abuse professional to determine that 

the employee has properly followed any rehabilitation program and shall be subject to 

unannounced follow-up alcohol and controlled substances tests. 

Participation in rehabilitation through the EAP will not result in disciplinary action. 

However, successful completion of the prescribed program, if it is determined that 

participation in such a program is needed, will be required for the employee to 

continue in the employment of the City of Charlottesville. The employee shall be 

placed on sick leave, vacation leave, or leave without pay if sick or vacation leave 

is not available, in order to enter into an approved rehabilitation program. 

Participation in rehabilitation through the EAP will not waive disciplinary action 

where warranted for violations of rules and regulations. 

Reinstatement will be conditioned upon consent for substance/alcohol retesting as 

scheduled by the SAP for a time period not to exceed 60 months. Positive results on a 

follow-up test or other evidence of relapse within two years will be grounds for 

Adopted November 21, 1994: Revised January 21, 2005 22 
 

 

immediate dismissal. 

The SAP's determination that an employee is medically qualified to be returned to 

duty does not waive the City's authority to impose disciplinary action. 

Employees who have been determined to need treatment to resolve an alcohol 

misuse or drug use problem shall be referred to the City's Employee Assistance 

Program. This referral does not waive the City's authority to impose disciplinary 

actions, that may include termination, upon the employee. 

Adopted November 21, 1994: Revised January 21, 2005 23 
 

Example of a Consent Letter to the Employee Assistance Program 

Date 

IQ Health 

Charlottesville, VA 22902 

To Whom It May Concern: 

I, _________________________, hereby grant IQ Health permission to release the following 

information to the City's DOT Drug and Alcohol Program Manager: 

1. Information on whether I have attended the evaluation meeting that was scheduled for 

me as the result of a positive DOT controlled substance or alcohol test; 

2. The recommended treatment, if any, as a result of the evaluation meeting; 

3. If applicable; information relating to a post rehabilitation evaluation (was the 

prescribed rehabilitation program followed, is the person named above medically 

qualified to return to work); 

4. A recommended schedule of follow-up testing, and: 

5. The date at which I am medically qualified to return to safety-sensitive duties. 

Written results of the evaluation may be sent to Mary Kay Kotelec, DOT Program 

Manager/Public Utilities Program Coordinator, 305 4th St. NW, Charlottesville, Virginia, 22903 

(please mark the outside of the envelope "Confidential"). 

Sincerely, 

Employee’s signature 

Adopted November 21, 1994: Revised January 21, 2005 24 
 

 

 

 

X. Recordkeeping 

A. The City of Charlottesville will keep the following records for the periods specified. 

These records will be maintained in the Office and under the supervision of the Program 

Manager. 

1. Five years. The following records shall be maintained for a minimum of five 

years: 

a) Records of employee alcohol test results that indicate an alcohol 

concentration of 0.02 or greater, 

b) Records of employee verified positive controlled substances test results, 

c) Documentation of refusals to take required alcohol and/or controlled 

substances tests. 

d) Calibration documentation, 

e) Employee evaluation and referrals shall be maintained for a minimum of five 

years, and 

f) A copy of each annual calendar year MIS summary. 

2. Two years. Records related to the alcohol and controlled substances 

collection process (except calibration of EBT devices) and training shall be 

maintained for a minimum of two years. 

3. One year. Records of negative and canceled controlled substances test 

results and alcohol test results with a concentration of less than 0.02 shall be 

maintained for a minimum of one year. 

B. Types of Records. The following specific records shall be maintained: 

1. Records related to the collection process: 

a) Collection log books if used. 

b) Calibration documentation for evidential breath testing devices. 

c) Documentation of breath alcohol technician training. 

d) Documents generated in connection with decisions to administer reasonable 

suspicion alcohol tests. 

e) Documents generated in connection with decisions on post-accident tests. 

f) Documents verifying existence of a medical explanation of the inability of a 

covered employee to provide adequate breath for testing. 

g) Consolidated annual calendar year (MIS) summaries. 

2.	 Records related to test results: 

a) The employer's copy of the alcohol test form, including the results of the test. 

b) The employer's copy of the chain of custody and control form. 

c) Documents sent by the MRO to the employer, including those required by § 

382.407(a). 

d) Documents related to the refusal of any covered employee to submit to a 

required alcohol test. 

e) Documents presented by a covered employee to dispute the result of an 

alcohol or controlled substances test. 

f) Documentation of SAP referrals for all positive tests. 

3. Records related to other violations of Part 199. 

Adopted November 21, 1994: Revised January 21, 2005 25 
 

 

 

4.	 Records related to evaluations: 

a) Records pertaining to a determination by a substance abuse professional 

concerning a covered employee's need for assistance. 

b) Records concerning a covered employee's compliance with the 

recommendations of the substance abuse professional. 

5. Record(s) related to the employer's MIS annual testing data. 

6. Records related to education and training: 

a) Materials on alcohol misuse awareness, including a copy of the operator's 

policy on alcohol misuse. 

b) Documentation of compliance with the requirements of § 382.601 Employer 

obligation to promulgate a policy on the misuse of alcohol and use of controlled 

substances, including the driver's signed receipt of education materials. 

c) Documentation of training provided to supervisors for the purpose of 

qualifying the supervisors to make a determination concerning the need for 

alcohol and/or controlled substances testing based on reasonable suspicion. 

d) Certification that any training conducted complies with DOT's requirements 

for such training. 

7.	 Records related to drug testing: 

a) Agreements with collection site facilities, laboratories, medical review 

officers, and consortia; 

b) Names and positions of officials and their role in the employer's alcohol and 

controlled substances testing programs; 

c) Quarterly laboratory statistical summaries of urinalysis required by § 40.111; 

d) The employer's drug testing policy and procedures. 

C. Location of Records. All records required shall be made available for inspection at 

the City within two business days after a request has been made by an authorized 

representative of the Research and Special Programs Administration, Federal Highway 

Administration or the Federal Transit Administration. 

D. Access to Facilities and Records 

1. Except as required by law or expressly authorized or required by DOT, the 

City shall not release covered employee information that is contained in the 

records required to be maintained in § 382.401. 

2. A covered employee is entitled, upon written request, to obtain copies of any 

records pertaining to the employee's use of drugs or misuse of alcohol, including 

any records pertaining to his or her drug or alcohol tests. The City shall promptly 

provide the records requested by the employee. Access to employee's records 

shall not be contingent upon payment for records other than those specifically 

requested. 

3. The City is required to obtain pursuant to an employee's consent, information 

on the employee's alcohol tests with a concentration result of 0.04 or greater, 

positive controlled substances test results, and refusals to be tested within the 

preceding two years, which are maintained by the driver's previous DOT covered 

employers. 

a) This information shall be maintained and reviewed by the City no later than 

Adopted November 21, 1994: Revised January 21, 2005 26 
 

 

14 calendar days after the first time a driver performs safety-sensitive functions 

for an employer, if it is not feasible to obtain the information prior to the driver 

performing safety-sensitive functions. 

b) If the driver stops performing safety-sensitive functions for the employer 

before expiration of the 14 day period or before the employer has obtained the 

required information, the City must still obtain the information. 

c) The City must provide to each of the driver's DOT-covered employers within 

the two preceding years the driver's specific, written authorization for release of 

the information. 

d) The release of any information may take the form of personal interviews, 

telephone interviews, letters, or any other method of obtaining information that 

ensures confidentiality. The City shall maintain a written, confidential record with 

respect to each past employer contacted. 

e) The City may not use a driver to perform safety-sensitive functions if the 

employer obtains information on the driver's alcohol test with a BAC of 0.04 or 

greater, verified positive controlled substances test result, or refusal to be tested, 

by the driver, without obtaining information on a subsequent substance abuse 

professional evaluation and/or determination under § 40.25. 

XI. REPORTING OF ANTI-DRUG/ALCOHOL TESTING RESULTS 

A. The City shall prepare and maintain an annual calendar year summary of the results 

of its alcohol and controlled substances testing programs. By March 15 of each year, 

the City shall complete the annual summary covering the previous calendar year. 

B. If the City is notified, during the month of January, of a request by the FMCSA and/or 

FTA to report the employer's annual calendar year summary information, the City shall 

prepare and submit the report to FMCSA and/or FTA by March 15 of that year. The 

report shall be in the form and manner prescribed by FMCSA and/or FTA in its request. 

When the report is submitted to FMCSA and/or FTA by mail or electronic transmission, 

the information requested shall be typed, except for the signature of the certifying official. 

The City is required by RSPA to complete and send to RSPA the City's annual calendar 

year summary information in the form and manner prescribed by RSPA. The report shall 

be completed and sent to RSPA by the 15th of March and will contain the summary 

information for the prior calendar year. 

C. Each annual calendar year summary containing information on controlled 

substances and alcohol screening test results shall include the following informational 

elements: 

1. Number of covered employees subject to parts 199, 382, & 655; 

2. Number of covered employees subject to testing under the anti-drug rules or 

alcohol misuse rules of more than one DOT agency, identified by each agency; 

3. Number of urine specimens collected by type of test; 

4. Number of positive test results, verified by a MRO, by type of test and type of 

drug; 

5. Number of negative controlled substance tests verified by a MRO by type of 

test; 

Adopted November 21, 1994: Revised January 21, 2005 27 
 

 

 

6. Number of persons denied a position as a employee following a preemployment verified positive controlled substances test and/or a pre-employment 

alcohol test that indicates an alcohol concentration of 0.04 or greater; 

7. Number of employees with tests verified positive by a medical review officer 

for multiple controlled substances; 

8. Number of employees who refused to submit to an alcohol or drug test 

required by this program; 

9. (a) Number of screening alcohol tests by type of test; and (b) Number of 

confirmation alcohol tests, by type of test; 

10. Number of confirmation alcohol tests indicating an alcohol concentration of 

0.02 or greater but less than 0.04 by type of test; 

11. Number of confirmation alcohol tests indicating an alcohol concentration of 

0.04 or greater, by type of test; 

12. Number of employees who were returned to duty (having complied with the 

recommendations of a MRO/SAP), in the reporting period, who previously: (a) 

had a verified positive controlled substance test result, or (b) Engaged in 

prohibited alcohol misuse under the provisions of this program; 

13. Number of employees who were administered alcohol and drug tests at the 

same time, with both a verified positive drug test result and an alcohol test result 

indicating an alcohol concentration of 0.04 or greater; and 

14. Number of employees who were found to have violated any non-testing 

prohibitions and any action taken in response to the violation. 

XII. CONTRACTORS HIRED BY PUBLIC WORKS 

A. Contractors hired by Public Works that fall under Sections 49 CFR Part 199 or 655 

shall be required to submit a copy of their Anti-Drug/Alcohol Misuse Program and may 

Adopted November 21, 1994: Revised January 21, 2005 28 
 

 

 

also be required to submit quarterly reports that state: number of employees tested, 

type of test, number of positive drug tests and resulting action for those that tested 

positive, number of alcohol tests that indicated a BAC of 0.04 or greater and resulting 

action, number of alcohol tests that indicated a BAC of 0.02 or greater, but less than 

0.039 and resulting action, for that period. The contractor shall make clear the job titles 

of employees who will perform any work or functions covered by Part 199 or 655 under 

said contract. Names may also be included if clarification is necessary. Failure to submit 

an Anti-Drug/Alcohol Misuse Program that complies with DOT Part 199 or 655 and Part 

40 may result in the rejection of offerer's bid. Failure to submit quarterly reports or 

annual MIS reports may result in a default of contract as stated in the project's 

specifications and contract documents. Although not required by FMCSA, the City may 

require contractors to show evidence of compliance with Part 382. 

B. The contractor shall allow access to property and records by a City representative, 

RSPA, FMCSA, FTA or any DOT agency with regulatory authority over the operator for 

the purpose of monitoring the operator's compliance with the requirements of Parts 199, 

382, 655, and 40, as amended. 

XIII. CONFIDENTIALITY 

A. Each individual's record of testing and results under this policy will be maintained 

private and confidential. Except as provided by law or expressly authorized by DOT 

regulations, the results of individual drug/alcohol tests will not be released to anyone 

without the specific, written consent of a safety-sensitive employee authorizing release 

of the information to an identified person. Prior to testing, the individual will be informed 

about who will receive test data (e.g., testing laboratory, MRO, Program Manager, 

Supervisor if removal from a safety-sensitive function is necessary). 

B. All written records will be stored in locked containers or in a secure location with 

access available only by the Program Manager and DOT upon request. 

C. Drug and alcohol testing and/or rehabilitation records shall only be released to 

subsequent DOT covered employers upon written consent from the covered employee. 

Then only the specific information requested by the employee shall be released. 

Adopted November 21, 1994: Revised January 21, 2005 29 
 

 

_____________________________ 

CITY OF CHARLOTTESVILLE
 


EMPLOYEE NOTIFICATION LETTER 
 

Name: ____________________________ Date: _______________________ 

Social Security #:____________________ Job Title: ____________________ 

Address: __________________________ 

City/State/Zip: _____________________ 

In accordance with the City's Department of Transportation's Anti-Drug/Alcohol Misuse 

Program, please be advised that you have been placed in the pool of employees 

subject to the drug/alcohol testing procedures as mandated by the Federal Department 

of Transportation. 

Attached is a copy of the Anti-Drug /Alcohol Misuse Program, version dated _____. 

Your signature below certifies that you have received the Program. Please sign and 

return this form to the DOT Program Manager/Public Utilities Program Coordinator. 

Contact the Program Manager at 434-970-3814 if you have any questions. 

Mary Kay Kotelec 

Public Utilities Program Coordinator 

 Signature of Employee 

Adopted November 21, 1994: Revised January 21, 2005 30 
 

 Glossary of Acronyms 

BAC - Breath alcohol concentration 

BAT - Breath Alcohol Technician 

CFR - Code of Federal Regulations 

COC - Chain of Custody form 

CMV- Commercial Motor Vehicle 

CPL - Conforming products list 

DHHS - Department of Health and Human Services 

DOT - Department of Transportation 

EAP - Employee Assistance Program 

EBT- Evidential breath testing (device) 

FMCSA- Federal Motor Carrier Safety Administration 

FTA - Federal Transit Administration 

GC/MS - Gas chromatography/mass spectrometry 

MIS - Management Information System 

MRO - Medical Review Officer 

NHTSA- National Highway Traffic Safety Association 

NTSB - National Transportation Safety Board 

PCP - Phencyclidine 

QAP - Quality assurance plans (for EBT's) 

RSPA- Research and Special Programs Administration 

SAP - Substance Abuse Professional 

Adopted November 21, 1994: Revised January 21, 2005 31 
 

XIV. TERMS AND DEFINITIONS 

Accident - The definition of an accident can be found under Post-Accident Testing. 

Air Blank - A reading by an EBT of ambient air containing no alcohol. 

Alcohol - The intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular 

weight alcohol including methyl and isopropyl alcohol. 

Alcohol Concentration- The alcohol in a volume of breath expressed in terms of grams of 

alcohol per 210 liters of breath as indicated by an evidential breath testing device. 

Alcohol use - The consumption of any beverage, mixture, or preparation, including any 

medication, containing alcohol. 

Blind Sample or Blind Performance Test - A urine specimen submitted to a laboratory for quality 

control testing purposes, with a fictitious identifier, so that the laboratory cannot distinguish it 

from employee specimens, and which is spiked with known quantities of specific drugs or which 

is blank, containing no drugs. 

Breath Alcohol Technician - An individual who instructs and assists individuals in the alcohol 

testing process and operates an EBT. 

Canceled or Invalid Test- In drug testing, a drug test that has been declared invalid by a Medical 

Review Officer . A canceled test is neither a positive nor a negative test. A sample that has been 

rejected for testing by a laboratory is treated the same as a canceled test. In alcohol testing, a test 

that is deemed to be invalid under § 40 Subpart N – Problems in Alcohol Testing. 

Certification - A recipient's (of federal funds) written statement, authorized by the organization's 

governing board or other authorizing official, that the recipient has complied with the provisions 

of this part. (FTA) 

Chain of Custody - Procedures to account for the integrity of each urine specimen by tracking its 

handling and storage from point of specimen collection to final disposition of the specimen. 

These procedures shall require that an appropriate drug testing custody form from a Department 

of Health & Human Services (DHHS) certified laboratory be used from time of collection to 

receipt by the laboratory. 

Collection Site - A place designated by the employer where individuals present themselves for 

the purpose of providing a specimen of their urine to be analyzed for the presence of drugs. 

Collection Site Person - A person who instructs and assists individuals at a collection site and 

who receives and makes a screening examination of the urine specimen provided by those 

individuals. 

Adopted November 21, 1994: Revised January 21, 2005 32 
 

Commercial Motor Vehicle (CMV)- means a motor vehicle or combination of motor vehicles 

used in commerce to transport passengers or property if the motor vehicle 1) Has a gross 

combination weight rating of 26,001 or more pounds inclusive of a towed unit with a gross 

vehicle weight of more than 10,000 pounds; or 2) Has a gross vehicle weight rating of 26,001 

pounds; or 3) Is designed to transport 16 or more passengers, including the driver; or 4) Is of any 

size and is used in the transportation of materials found to be hazardous for the purposes of the 

Hazardous Materials Transportation Act and which require the motor vehicle to be placarded 

under the Hazardous Materials Regulations (49 CFR Part 172, subpart F). 

Confirmation Test- For alcohol testing means a second test, following a screening test with a 

result of 0.02 or greater, that provides quantitative data of alcohol concentration. For controlled 

substances testing it means a second analytical procedure to identify the presence of a specific 

drug or metabolite which is independent of the screen test and which uses a different technique 

and chemical principle from that of the screen test in order to ensure reliability and accuracy. 

Contractor - A person or organization that provides a service for a recipient, subrecipient, 

employer, or operator consistent with a specific understanding or arrangement. 

Covered Position (Safety-sensitive position) - A duty position or job category that requires the 

performance of safety-sensitive (covered) function(s) as described below. 

Covered Function (safety-sensitive function) means 1) FMCSA: operation of a commercial 

motor vehicle. 2) FTA: (a) Operating a revenue service vehicle, including when not in service; 

(b) Operating a non-revenue service vehicle, when required to be operated by a holder of a 

Commercial Driver's License; (c) Controlling dispatch or movement of a revenue service 

vehicle; (d) Maintaining a revenue service vehicle or equipment used in revenue service, unless 

the recipient receives sections 18 funding and contracts out such services; (e) Carrying a firearm 

for security purposes; (f) A volunteer who operates a vehicle designed to transport sixteen or 

more passengers, including the driver. 3) RSPA: performing maintenance, operations, or 

emergency response on the pipeline. 

Dilute Specimen – A specimen with creatinine and specific gravity values that are lower than 

expected for human urine. 

DOT Agency - An agency of the United States Department of Transportation administering 

regulations related to drug or alcohol testing. The Federal Motor Carrier Safety Administration 

and Federal Transit Administration are DOT agencies. 

Drug Metabolite - The specific substance produced when the human body metabolizes a given 

drug as it passes through the body and is excreted in the urine. 

Drug Test - The laboratory analysis of urine specimen collected in accordance with 49 CFR Part 

40 and analyzed in a DHHS-approved laboratory. 

Education - Efforts that include the display and distribution of informational materials, a 

community service hot-line telephone number for employee assistance, and the City's policy(ies) 

regarding drug use in the workplace. 

Adopted November 21, 1994: Revised January 21, 2005 33 
 

Employee Assistance Program (EAP) - A program provided to assist employees in dealing with 

drug or alcohol dependency and other personal problems. Rehabilitation and reentry to the work 

force are usually arranged through an EAP. 

Employer or operator - 1) FMCSA: means any person who owns or leases a commercial motor 

vehicle or assigns persons to operate such a vehicle. 2) FTA: A recipient or other entity that 

provides mass transportation service or which performs a safety-sensitive function for such 

recipient or other entity. This term includes subrecipients, operators, and contractors. 3) RSPA: 

the owner or operator of a pipeline or LNG facility subject to part 192, 193 or 195 of 49 CFR. 

Evidential breath testing device (EBT) - An EBT approved by the National Highway Traffic 

Safety Administration (NHTSA) for evidential testing of breath and placed on NHTSA's 

conforming products list of evidential breath measurement devices (CPL), and identified on the 

CPL as confirming with the model specifications available from the National Highway Traffic 

Safety Administration, office of Alcohol and State Programs. 

Federal Motor Carrier Safety Administration (FMCSA) - The DOT operating authority that 

regulates commercial motor vehicles. 

Large Operator - 1) FMCSA & RSPA: an employer who has more than 50 covered employees. 

2) FTA: A recipient or subrecipient primarily operating in an area of 200,000 or more in 

population. 

Medical Review Officer (MRO) - A licensed physician (medical doctor or doctor of osteopathy) 

responsible for receiving laboratory results generated by an employer's drug testing program who 

has knowledge of substance abuse disorders and has appropriate medical training to interpret and 

evaluate an individual's confirmed positive test result together with his or her medical history 

and any other relevant biomedical information. 

Performing a covered function: An employee is considered to be performing a covered functions 

during any period in which he or she is actually performing, ready to perform, or immediately 

available to perform such covered functions. 

Permanent Employee - An employee hired for a period of more than 120 days (FTA). 

Post-Accident Test - A drug test administered to an employee when an accident has occurred and 

the employee performed a safety-sensitive function that either contributed to the accident, or 

cannot be completely discounted as a contributing factor in the accident. 

Pre-Employment Test - A drug test given to an applicant or employee who is being considered 

for a safety-sensitive position. The applicant or employee must be informed of the purpose for 

the urine collection prior to actual collection. 

Prohibited Drug - Marijuana (including all hemp products), cocaine, opiates, phencyclidine 

(PCP), and amphetamines. 

Adopted November 21, 1994: Revised January 21, 2005 34 
 

Random Test - A drug test of safety-sensitive employees who are selected on a scientifically 

defensible random and unannounced basis. The number of tests performed is based on a 

percentage of safety-sensitive employees as directed by DOT. 

Reason to Believe - Objective information indicating that a particular individual may alter or 

substitute a urine specimen. 

Recipient - FTA: An entity receiving Federal financial assistance under Section 3, 9, or 18, of 

the FT Act, or under Section 103(e)(4) of Title 23 of the United States Code. 

Refuse to submit or test- means that a covered employee (1) Fails to provide adequate breath for 

testing without a valid medical explanation after he/she has received notice of the requirement 

for breath testing; (2) fails to provide adequate urine for controlled substances testing without a 

valid medical explanation after he/she has received notice of the requirement for urine testing; or 

(3) engages in conduct that clearly obstructs the testing process. 

Return to Duty Test - An initial drug or alcohol test prior to return to duty and additional 

unannounced drug tests (Follow-up Tests) given to employees performing in safety-sensitive 

functions who previously tested positive, or refused, a drug/or alcohol test and are returning to 

safety-sensitive positions. 

Revenue Service Vehicle - A vehicle used to transport passengers, including a bus, van, car, 

railcar, locomotive, trolley car, trolley bus, ferry boat, or a vehicle used on a fixed guideway or 

inclined plane. 

RSPA - Research and Special Programs Administration. DOT operating authority that oversees 

the natural gas pipeline. 

Screening test (initial test). In alcohol testing, it means an analytical procedure to determine 

whether a covered employee may have a prohibited concentration of alcohol in his/her system. 

In controlled substances testing, it means an immunoassay screen to eliminate "negative" urine 

specimens from further consideration. 

Small Operator - 1) MCSA & RSPA: an employer who has less than 50 covered employees. 

2) FTA: A recipient or subrecipient primarily operating in an area of less than 200,000 in 

population 

Specimen Bottle - The bottle that, after being labeled and sealed, is used to transmit a urine 

sample to the laboratory. 

Split Specimen - An additional specimen collected with the original specimen, to be tested in the 

event the original specimen tests positive. 

Substance Abuse Professional (SAP) - The Substance Abuse Professional for this program must 

be a 1) licensed physician (medical doctor or doctor of osteopathy), licensed or certified 

psychologist, social worker, employee assistance professional; or 2) an addiction counselor 

certified by the National Association of alcoholism and Drug Abuse Counselors Certification 

Adopted November 21, 1994: Revised January 21, 2005 35 
 

Commission or the International Certification Reciprocity Consortium/Alcohol and other Drug 

Abuse. 

Training - Providing information about the effects and consequences of drug use on personal 

health, safety, and the work environment; and about manifestations and behavioral clues that 

may indicate drug use and abuse. 

Verified Positive (drug test result) - A drug test result reviewed by a Medical Review Officer and 

determined to have evidence of prohibited drug use. 

Volunteer - A permanent, temporary, or part-time worker who is not compensated for his/her 

service. Volunteers are included in the requirements of FTA drug and alcohol regulations if a 

CDL is required to operate the vehicle. 

Adopted November 21, 1994: Revised January 21, 2005 36 
 

XV. EMPLOYEE INFORMATION ON THE EFFECTS OF ALCOHOL 

MISUSE/CONTROLLED SUBSTANCE USE 

A. Effects of alcohol and controlled substances on a person's health, work, and 

personal life include: Disruption of sleep; changes in eating patterns, commonly not 

eating as much and therefore, weight loss; mood swings; depression; increased physical 

ailments (i.e., headaches, colds, stomach problems); decreased motivation; withdrawal 

from family and friends; quicker to anger; neglects obligations and is not as attentive; 

does not handle stress; changes friends; excuses use of alcohol. 

B. Signs and symptoms of controlled substance use or alcohol misuse which could 

effect work performance include: Reporting to work late; calling in sick often; 

unauthorized absences; smell of alcohol on a person; taking long or frequent breaks; 

change in personality - more angry or less friendly; decreased motivation: an "I don't 

care" attitude; thinking and concentration not as sharp; more prone to accidents; 

forgetfulness; less attentive to appearance; appearing tired; sleeping on the job. 

For additional information, see attached fact sheets. 

Adopted November 21, 1994: Revised January 21, 2005 37 
 

 

Alcohol Fact Sheet 

Alcohol is a socially acceptable drug that has been consumed throughout the world for centuries. It is 

considered a recreational beverage when consumed in moderation for employment and relaxation during 

social gatherings. However, when consumed primarily for its physical and mood-altering effects, it is a 

substance of abuse. As a depressant, it slows down physical responses and progressively impairs mental 

functions. 

Signs and Symptoms of Use 

•	 Dulled mental processes 

•	 Lack of coordination 

•	 Odor of alcohol on breath 

•	 Possible constricted pupils 

•	 Sleepy or stuporous condition 

•	 Slowed reaction rate 

• Slurred speech 
 

(Note: Except for the odor, these are general signs and symptoms of any depressant substance.) 
 

Health Effects 

The chronic consumption of alcohol (average of three servings per day of beer 112 ounces], whiskey 

[1 ounce], or wine [6 ounce glass]) over time may result in the following health hazards: 

•	 Decreased sexual functioning 

•	 Dependency (up to 10 percent of all people who drink alcohol become physically and/or mentally 

dependent on alcohol and can be termed "alcoholic") 

•	 Fatal liver diseases 

•	 Increased cancers of the mouth, tongue, pharynx, esophagus, rectum, breast, and malignant 

 melanoma 

•	 Kidney disease 

•	 Pancreatitis 

•	 Spontaneous abortion and neonatal mortality 

•	 Ulcers 

•	 Birth defects (up to 54 percent of all birth defects are alcohol related). 

 Social Issues 

•	 Two-thirds of all homicides are committed by people who drink prior to the crime. 

Adopted November 21, 1994: Revised January 21, 2005 38 
 

•	 Two to three percent of the driving population is legally drunk at any one time. This rate is doubled at 

night and on weekends. 

•	 Two-thirds of all Americans will be involved in an alcohol-related vehicle accident during their 

lifetimes. 

•	 The rate of separation and divorce in families with alcohol dependency problems is 7 times the 

average. 

•	 Forty percent of family court cases are alcohol problem related. 

•	 Alcoholics are 15 times more likely to commit suicide that are other segments of the population. 

•	 More than 60 percent of burns, 40 percent of falls, 69 percent of boating accidents, and 76 percent of 

private aircraft accidents are alcohol related. 

The Annual Toll 

• 24,000 people will die on the highway due to the legally impaired driver. 

• 12,000 more will die on the highway due to the alcohol-affected driver. 

• 15,800 will die in non-highway accidents. 

• 30,000 will die due to alcohol-caused liver disease. 

•	 10,000 will die due to alcohol-induced brain disease or suicide. 

•	 Up to another 125,000 will die due to alcohol-related conditions or accidents. 

Workplace Issues 

•	 It takes one hour for the average person (150 pounds) to process one serving of an alcoholic beverage 

from the body. 

•	 Impairment in coordination and judgment can be objectively measured with as little as two drinks in 

the body. 

•	 A person who is legally intoxicated is 6 times more likely to have an accident than a sober person. 

Adopted November 21, 1994: Revised January 21, 2005 39 
 

 

Amphetamine Fact Sheet 

Amphetamines are central nervous system stimulants that speed up the mind and body. The physical 

sense of energy at lower doses and the mental exhilaration at higher doses are the reasons for their abuse. 

Although widely prescribed at one time for weight reduction and mood elevation, the legal use of 

amphetamines is now limited to a very narrow range of medical conditions. Most amphetamines that are 

abused are illegally manufactured in foreign countries and smuggled into the U.S. or clandestinely 

manufactured in crude laboratories. 

Description 

•	 Amphetamine is sold in counterfeit capsules or as white, flat, double-scored "minibennies." It is 

usually taken by mouth. 

•	 Methamphetamine is often sold as a creamy white and granular powder or in lumps and is packaged 

in aluminum foil wraps or sealable plastic bags. Methamphetamine may be taken orally, injected, or 

snorted into the nose. 

• Trade/street names include Biphetamine, Delcobese, Desotyn, Detedrine, Chetrol, Ritalin, Speed, 

Meth, Crank, Crystal, Monster, Black Beauties, and Rits. 

Signs and Symptoms of Use 

•	 Hyperexcitability, restlessness 

•	 Dilated pupils 

•	 Increased heart rate and blood pressure 

•	 Heart palpitations and irregular beats 

•	 Profuse sweating 

•	 Rapid respiration 

•	 Confusion 

•	 Panic 

•	 Talkativeness 

•	 Inability to concentrate 

•	 Heightened aggressive behavior 

Health Effects 

•	 Regular use produces strong psychological dependence and increasing tolerance to drug. 

•	 High doses may cause toxic psychosis resembling schizophrenia. 

•	 Intoxication may induce a heart attack or stroke due to spiking of blood pressure. 

•	 Chronic use may cause heart and brain damage due to severe constriction of capillary blood vessels. 

•	 The euphoric stimulation increases impulsive and risk-taking behaviors, including bizarre and violent 

acts. 

•	 Withdrawal from the drug may result in severe physical and mental depression. 

Workplace Issues 

•	 Since amphetamines alleviate the sensation of fatigue, they may be abused to increase alertness 

because of unusual overtime demands or failure tO get rest. 

•	 Low-dose amphetamine use will cause a short-term improvement in mental and physical functioning. 

With greater use or increasing fatigue, the effect reverses and has an impairing effect. Hangover 

effect is characterized by physical fatigue and depression, which may make operation of equipment or 

vehicles dangerous. 

Adopted November 21, 1994: Revised January 21, 2005 40 
 

Cocaine Fact Sheet 

Cocaine is used medically as a local anesthetic. It is abused as a powerful physical and 

mental stimulant. The entire central nervous system is energized. Muscles are more tense, the 

heart beats faster and stronger, and the body burns more energy. - The brain experiences an 

exhilaration caused by a large release of neurohormones associated with mood elevation. 

Description 

•	 The source of cocaine is the coca bush, grown almost exclusively in the mountainous regions of 

northern South America. 

•	 Cocaine Hydrochloride—"snorting coke" is a white to creamy granular or lumpy powder that is 

chopped into a fine powder before use. It is snorted into the nose, rubbed on the gums, or injected in 

veins. The effect is felt within minutes and lasts 40 to 50 minutes per "line" (about 60 to 90 

milligrams). Common paraphernalia include a single-edged razor blade and a small mirror or piece of 

smooth metal, a half straw or metal tube, and a small screw cap vial or folded paper packet containing 

the cocaine. 

•	 Cocaine Base—a small crystalline rock about the size of a small pebble. It boils at a low temperature, 

is not soluble in water, and is up to 90 percent pure. It is heated in a glass pipe and the vapor is 

inhaled. The effect is felt within seven seconds. Common paraphernalia includes a "crack pipe" (a 

small glass smoking device for vaporizing the crack crystal) and a lighter, alcohol lamp, or small 

butane torch for heating. 

•	 Trade/street names include Coke, Rock, Crack, Free Base, Flake, Snow, Smoke, and Blow. 

Signs and Symptoms of Use 

• Financial problems 

• Frequent and extended absences from meetings or work assignment 

• Increased physical activity and fatigue 

• Isolation and withdrawal from friends and normal activities 

• Secretive behaviors, frequent nonbusiness visitors, delivered packages, phone calls 

• Unusual defensiveness, anxiety, agitation 

• Wide mood swings 

• Runny or irritated nose 

• Difficulty in concentration 

• Dilated pupils and visual impairment 

• Restlessness 

• Formication (sensation of bugs crawling on skin) 

• High blood pressure, heart palpitations, and irregular rhythm 

• Hallucinations 

• Hyperexcitability and overreaction to stimulus 

• Insomnia 

• Paranoia and hallucinations 

• Profuse sweating and dry mouth 

• Talkativeness. 

Adopted November 21, 1994: Revised January 21, 2005 41 
 

 

Health Effects 

•	 Research suggests that regular cocaine use may upset the chemical balance of the brain. As a result, it 

may speed up the aging process by causing irreparable damage to critical nerve cells. The onset of 

nervous system illnesses such as Parkinson's disease could also occur. 

•	 Cocaine use causes the heart to beat faster and harder and rapidly increases blood pressure. In 

addition, cocaine causes spasms of blood vessels in the brain and heart. Both effects lead to ruptured 

vessels causing strokes or heart attacks. 

•	 Strong psychological dependency can occur with one "hit" of crack. Usually, mental dependency 

occurs within days (crack) or within several months (snorting coke). Cocaine causes the strongest 

mental dependency of any known drug. 

•	 Treatment success rates are lower than for other chemical dependencies. 

•	 Cocaine is extremely dangerous when taken with depressant drugs. Death due to overdose is rapid. 

The fatal effects of an overdose are not usually reversible by medical intervention. The number of 

cocaine overdose deaths has tripled in the last four years. 

•	 Cocaine overdose was the second most common drug emergency in 1986—up from 11th place in 

1980. 

Workplace Issues 

•	 Extreme mood and energy swings create instability. Sudden noises can cause a violent reaction. 

•	 Lapses in attention and ignoring warning signals greatly increase the potential for accidents. 

•	 The high cost of cocaine frequently leads to workplace theft and/or dealing. 

•	 A developing paranoia and withdrawal create unpredictable and sometimes violent behavior. 

•	 Work performance is characterized by forgetfulness, absenteeism, tardiness, and missed assignments. 

Adopted November 21, 1994: Revised January 21, 2005 42 
 

Cannabinoids (Marijuana) Fact Sheet 

Marijuana is one of the most misunderstood and underestimated drugs of abuse. People use 

marijuana for the mildly tranquilizing and mood- and perception-altering effects it produces. 

Description 

•	 Usually sold in plastic sandwich bags, leaf marijuana will range in color from green to light tan. The 

leaves are usually dry and broken into small pieces. The seeds are oval with one slightly pointed end. 

Less prevalent, hashish is a compressed, sometimes tarlike substance ranging in color from pale 

yellow to black. It is usually sold in small chunks wrapped in aluminum foil. It may also be sold in an 

oily liquid. 

•	 Marijuana has a distinctly pungent aroma resembling a combination of sweet alfalfa and incense. 

•	 Cigarette papers, roach clip holders, and small pipes made of bone, brass, or glass are commonly 

found. Smoking "bongs" (large bore pipes for inhaling large volumes of smoke) can easily be made 

from soft drink cans and toilet paper rolls. 

•	 Trade/street names include Marinol, THC, Pot, Grass, Joint, Reefer, Acapulco Gold, Sinsemilla, Thai 

Sticks, Hash, and Hash Oil. 

Signs and Symptoms of Use 

Reddened eyes (often masked by eyedrops) 
 

Slowed speech 
 

Distinctive odor on clothing 
 

Lackadaisical "I don't care" attitude 
 

Chronic fatigue and lack of motivation 
 

Irritating cough, chronic sore throat. 
 

Health Effects 

•	 When marijuana is smoked, it is irritating to the lungs. Chronic smoking causes emphysema-like 

conditions. 

•	 One joint causes the heart to race and be overworked. People with undiagnosed heart conditions are at 

risk. 

•	 Marijuana is commonly contaminated with the fungus Aspergillus, which can cause serious 

respiratory tract and sinus infections. 

•	 Marijuana smoking lowers the body's immune system response, making users more susceptible to 

infection. The U.S. government is actively researching a possible connection between marijuana 

smoking and the activation of AIDS in positive human immunodeficiency virus (HIV) carriers. 

Pregnancy Problems and Birth Defects 

•	 The active chemical, tetrahydrocannabinol (THC), and 60 other related chemicals in marijuana 

concentrate in the ovaries and testes. 

•	 Chronic smoking of marijuana in males causes a decrease in sex hormone, testosterone, and an 

increase in estrogen, the female sex hormone. The result is a decrease in sperm count, which can lead 

to temporary sterility. Occasionally, the onset of female sex characteristics including breast 

development occurs in heavy users. 

•	 Chronic smoking of marijuana in females causes a decrease in fertility and an increase in testosterone. 

•	 Pregnant women who are chronic marijuana smokers have a higher than normal incidence of stillborn 

births, early termination of pregnancy, and higher infant mortality rate during the first few days of 

life. 

Adopted November 21, 1994: Revised January 21, 2005 43 
 

 

 

•	 In test animals, THC causes birth defects, including malformations of the brain, spinal cord, 

forelimbs, and liver and water on the brain and spine. 

•	 Offspring of test animals who were exposed to marijuana have fewer chromosomes than normal, 

causing gross birth defects or death of the fetus. Pediatricians and surgeons are concluding that the 

use of marijuana by either or both parents, especially during pregnancy, leads to specific birth defects 

of the infant's feet and hands. 

•	 One of the most common effects of prenatal cannabinoid exposure is underweight newborn babies. 

•	 Fetal exposure may decrease visual functioning and causes other ophthalmic problems. 

Mental Function 

Regular use can cause the following effects: 

•	 Delayed decision-making 

•	 Diminished concentration 

•	 Impaired short-term memory, interfering with learning 

•	 Impaired signal detection (ability to detect a brief flash of light), a risk for users who are operating 

machinery 

•	 Impaired tracking (the ability to follow a moving object with the eyes) and visual distance 

measurements 

•	 Erratic cognitive function 

•	 Distortions in time estimation 

•	 Long-term negative effects on mental function known as "acute brain syndrome," which is 

characterized by disorders in memory, cognitive function, sleep patterns, and physical condition. 

Acute Effects 

•	 Aggressive urges 

•	 Anxiety 

•	 Confusion 

•	 Fearfulness 

•	 Hallucinations 

•	 Heavy sedation 

•	 Immobility 

•	 Mental dependency 

•	 Panic Paranoid reaction 

•	 Unpleasant distortions in body image. 

Workplace Issues 

•	 The active chemical, THC, stores in body fat and slowly releases over time. Marijuana smoking has a 

long-term effect on performance. 

•	 A 500 to 800 percent increase in THC concentration in the past several years makes smoking three to 

five joints a week today equivalent to 15 to 40 joints a week in 1978. 

•	 Combining alcohol or other depressant drugs and marijuana can produce a multiplied effect, 

increasing the impairing effect of both the depressant and marijuana. 

Adopted November 21, 1994: Revised January 21, 2005 44 
 

 

Opiates (Narcotics) Fact Sheet 

Opiates (also called narcotics) are drugs that alleviate pain, depress body functions and reactions, 

and, when taken in large doses, cause a strong euphoric feeling. 

Description 

•	 Natural and natural derivatives—opium, morphine, codeine, and heroin 

•	 Synthetics—meperidine (Demerol), oxymorphone (Numorphan), and oxycodone (Percodan) 

•	 May be taken in pill form, smoked, or injected, depending upon the type of narcotic used. 

•	 Trade/street names include Smack, Horse, Emma, Big D, Dollies, Juice, Syrup, and China White. 

Signs and Symptoms of Use 

•	 Mood changes 

•	 Impaired mental functioning and alertness 

•	 Constricted pupils 

•	 Depression and apathy 

•	 Impaired coordination 

•	 Physical fatigue and drowsiness 

•	 Nausea, vomiting, and constipation 

•	 Impaired respiration. 

Health Effects 

•	 IV needle users have a high risk for contracting hepatitis and AIDS due to the sharing of needles. 

•	 Narcotics increase pain tolerance. As a result, people could more severely injure themselves or fail to 

seek medical attention after an accident due to the lack of pain sensitivity. 

•	 Narcotics' effects are multiplied when used in combination with other depressant drugs and alcohol, 

causing increased risk for an overdose. 

Social Issues 

•	 There are over 500,000 heroin addicts in the U.S., most of whom are IV needle users. 

•	 An even greater number of medicinal narcotic-dependent persons obtain their narcotics through 

prescriptions. 

•	 Because of tolerance, there is an ever-increasing need for more narcotic to produce the same effect. 

•	 Strong mental and physical dependency occurs. 

•	 The combination of tolerance and dependency creates an increasing financial burden for the user. 

Costs for heroin can reach hundreds of dollars a day. 

Workplace Issues 

•	 Unwanted side effects such as nausea, vomiting, dizziness, mental clouding, and drowsiness place the 

legitimate user and abuser at higher risk for an accident. 

•	 Narcotics have a legitimate medical use in alleviating pain. Workplace use may cause impairment of 

physical and mental functions. 

Adopted November 21, 1994: Revised January 21, 2005 45 
 

 

Phencyclidine (PCP) Fact Sheet 

Phencyclidine (PCP) was originally developed as an anesthetic, but the adverse side effects prevented 

its use except as a large animal tranquilizer. Phencyclidine acts as both a depressant and a hallucinogen, 

and sometimes as a stimulant. It is abused primarily for its variety of mood-altering effects. Low doses 

produce sedation and euphoric mood changes. The mood can change rapidly from sedation to excitation 

and agitation. Larger doses may produce a coma-like condition with muscle rigidity and a blank stare 

with the eyelids half closed. Sudden noises or physical shocks may cause a "freak out" in which the 

person has abnormal strength, extremely violent behavior, and an inability to speak or comprehend 

communication. 

Description 

•	 PCP is sold as a creamy, granular powder and is often packaged in one-inch square aluminum foil or 

folded paper "packets." 

•	 It may be mixed with marijuana or tobacco and smoked. It is sometimes combined with procaine, a 

local anesthetic, and sold as imitation cocaine. 

•	 Trade/street names include Angel Dust, Dust, and Hog. 

Signs and Symptoms of Use 

Impaired coordination 

Severe confusion and agitation 

Extreme mood shifts 

Muscle rigidity 

Nystagmus (jerky eye movements) 

Dilated pupils 

Profuse sweating 

 Rapid heartbeat 

Dizziness. 

Health Effects 

•	 The potential for accidents and overdose emergencies is high due to the extreme mental effects 

combined with the anesthetic effect on the body. 

•	 PCP is potentiated by other depressant drugs, including alcohol, increasing the likelihood of an 

overdose reaction. 

•	 Misdiagnosing the hallucinations as LSD induced, and then treating with Thorazine, can cause a fatal 

reaction. 

•	 Use can cause irreversible memory loss, personality changes, and thought disorders. 

There are four phases to PCP abuse. The first phase is acute toxicity. It can last up to three days and can 

include combativeness, catatonia, convulsions, and coma. Distortions of size, shape, and distance 

perception are common. The second phase, which does not always follow the first, is a toxic psychosis. 

Users may experience visual and auditory delusions, paranoia, and agitation. The third phase is a 

drug-induced schizophrenia that may last a month or longer. The fourth phase is PCP-induced depression. 

Suicidal tendencies and mental dysfunction can last for months. 

Workplace Issues 

•	 PCP abuse is less common today than in recent years. It is also not generally used in a workplace 

setting because of the severe disorientation that occurs. 

Adopted November 21, 1994: Revised January 21, 2005 46 
 

 

 

 

Table of Contents 

Introduction 1
 

Policy Statement 1 
 

Program Manager 2 
 

Prohibited Behavior 2
 

Testing Requirements 3
 

Employee Categories 3 
 

Types of Drug Testing 4 
 

Pre-Employment 4 
 

Random 4 

Post-Accident 5 

Reasonable Cause 9 

Return to Duty 10 

Follow-up 10 

Blind Performance 11 
 

Post-Accident Test Record 12 
 

Reasonable Suspicion Form 14 

Testing Procedures 16 

Refusals to Test and Uncompleted Tests 18 

Medical Review Officer 21 

Testing Laboratory 21 

Employee and Supervisor Training 21 

Evaluation/Rehabilitation 22 

Sample Consent Letter to EAP 24 
 

Recordkeeping 25 
 

Adopted November 21, 1994: Revised January 21, 2005 47 
 
 

Annual Reports to DOT 27 

Contractors Hired By Public Works 28 

Confidentiality 29 

Employee Notification Letter 30 

Glossary of Acronyms 31 

Terms and Definitions 32 

Employee Information On The Effects of Alcohol Misuse and Drug Abuse 37 

Adopted November 21, 1994: Revised January 21, 2005 48 
Small Transit System 
 

Athens–Clarke Transit 
 

ATHENS-CLARKE COUNTY TRANSIT SYSTEM 
 

SUBSTANCE ABUSE POLICY 
 

Revised August 2005 
 

 

 

Operates ATHENS-CLARKE COUNTY TRANSIT SYSTEM
 


SUBSTANCE ABUSE POLICY1 
 

1.0 POLICY
 


The Athens-Clarke County Transit System (hereinafter referred as the “Athens Transit System”) 

is dedicated to providing safe, dependable, and economical transportation services to our transit 

system passengers. This company via its Board of Directors has adopted this policy as the 

official policy of the Athens Transit System. Athens Transit System employees are a most 

valuable resource and it is our goal to provide a healthy, satisfying work environment which 

promotes personal opportunities for growth. In meeting these goals, it is our policy to (1) assure 

that employees are not impaired in their ability to perform assigned duties in a safe, productive, 

and healthy manner; (2) create a workplace environment free from the adverse effects of drug 

abuse and alcohol misuse; (3) prohibit the unlawful manufacture, distribution, dispensing, 

possession or use of controlled substances; and (4) to encourage employees to seek 

professional assistance anytime personal problems, including alcohol or drug dependency, 

adversely affect their ability to perform their assigned duties. 

2.0 PURPOSE 

The purpose of this policy is to assure worker fitness for duty and to protect our employees, 

passengers, and the public from the risk posed by the misuse of alcohol and use of prohibited 

drugs. This policy is also intended to comply with all applicable Federal regulations governing 

workplace anti-drug and alcohol programs in the transit industry. The Federal Transit 

Administration (FTA) of the U.S. Department of Transportation has published 49 CFR Part 655, 

as amended, that mandate urine drug testing and breath alcohol testing for safety-sensitive 

positions and prohibits performance of safety-sensitive functions when there is a positive test 

result. The U. S. Department of Transportation (DOT) has also published 49 CFR Part 40, as 

amended, that set standards for the collection and testing of urine and breath specimens. In 

addition, the Federal government published 49CFR Part 29, “The Drug-Free Workplace Act of 

1988,” which requires the establishment of drug-free workplace policies and the reporting of 

certain drug-related offenses to the FTA. This policy incorporates those requirements for 

safety-sensitive employees and others when so noted. 

A copy of these procedures may be obtained from the Assistant Personnel Director. Part 40 is 

also available on-line at http://www.dot.gov/ost/dapc/index.html. 

3.0 APPLICABILITY 

This policy applies to all safety-sensitive and non-safety-sensitive transit system 

employees, paid part-time employees, contract employees, volunteers and contractors 

when they are on transit property or when performing any transit-related safety-sensitive or 

non-safety-sensitive business. This policy applies to off-site lunch periods or breaks when an 

employee is scheduled to return to work. 

Visitors, vendors, volunteers and contractor employees conducting safety-sensitive functions 

are governed by this policy while on transit premises and will not be permitted to conduct transit 

business if found to be in violation of this policy. 

Revised 08/05 Page 1 of 16 

1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

A safety-sensitive function is any duty related to the safe operation of mass transit service 

including the operation of a revenue service vehicle (whether or not the vehicle is in 

revenue service), dispatch, maintenance of a revenue service vehicle or equipment used

in revenue service, security personnel who carry firearms, and any other employee who 

operates a nonrevenue service vehicle, when required to be operated by a holder of a 

Commercial Driver’s License. A list of safety-sensitive positions is attached. 

4.0 PROHIBITED SUBSTANCES 

“Prohibited substances” addressed by this policy include the following: 

4.1 Illegally Used Controlled Substances or Drugs 

The use of any illegal drug or any substance identified in Schedules I through V of Section 202 

of the Controlled Substance Act (21 U.S.C. 812), as further defined by 21 CFR 1300.11 through 

1300.15 is prohibited at all times unless a legal prescription has been written for the substance. 

This includes, but is not limited to: marijuana, amphetamines, opiates, phencyclidine (PCP), 

and cocaine, as well as any drug not approved for medical use by the U.S. Drug Enforcement 

Administration or the U.S. Food and Drug Administration. Illegal use includes use of any illegal 

drug, misuse of legally prescribed drugs, and use of illegally obtained prescription drugs. 

4.2 Legal Drugs 

The appropriate use of legally prescribed drugs and non-prescription medications is not 

prohibited. However, the use of any substance, which carries a warning label that indicates that 

mental functioning, motor skills or judgement may be adversely affected, must be reported to a 

transit system supervisor. In addition, the employee must obtain a written release from the 

attending physician releasing the person to perform their job duties any time they obtain a 

performance-altering prescription. 

A legally prescribed drug means that the individual has a prescription or other written approval 

from a physician for the use of a drug in the course of medical treatment. It must include the 

patient’s name, the name of the substance, quantity/amount to be taken, and the period of 

authorization. The misuse or abuse of legal drugs while performing transit business is 

prohibited. 

4.3 Alcohol 

The use of beverages containing alcohol or substances including any medication mouthwash, 

food, candy or any other substance such that alcohol is present in the body while performing 

transit business is prohibited. The concentration of alcohol is expressed in terms of grams 

of alcohol per 210 liters of breath as measured by an evidential breath-testing device. 

5.0 PROHIBITED CONDUCT 

5.1 Manufacture, Trafficking, Possession and Use 

Transit system employees are prohibited from engaging in the unlawful manufacture, 

distribution, dispensing, possession or use of prohibited substances on transit authority 

premises, in transit vehicles, in uniform or while on transit authority business. Employees who 

violate this provision will be discharged. Law enforcement shall be notified, as appropriate, 

where criminal activity is suspected. 

Revised 08/05 Page 2 of 16 

1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

 

5.2 Intoxication/Under the Influence 

Any safety-sensitive or non-safety-sensitive employee who is reasonably suspected of being 

intoxicated, impaired, under the influence of a prohibited substance, or not fit for duty shall be 

immediately suspended from job duties with pay pending an investigation and verification of 

condition. The determination that reasonable suspicion exists shall be based on specific, 

contemporaneous, articulable observations concerning the appearance, behavior, 

speech, or body odors of the covered employee. A supervisor(s), or other company 

official(s) who is trained in detecting the signs and symptoms of drug use and alcohol 

misuse must make the required observations. 

Employees found to be under the influence of a prohibited substance or who fail to pass a 

drug or alcohol test shall be immediately removed from duty and subject to termination. A 

drug or alcohol test is considered positive if the individual is found to have a quantifiable 

presence of a prohibited substance above the minimum thresholds defined in 49 CFR 

Part 40, as amended. 

5.3 Alcohol Use 

No safety-sensitive or non-safety-sensitive employee should report for duty or remain on 

duty when his/her ability to perform assigned safety-sensitive functions is adversely 

affected by alcohol or when his/her breath alcohol concentration is 0.02 or greater. No 

safety-sensitive or non-safety sensitive employee shall use alcohol while on duty, in uniform, 

while performing safety-sensitive functions, or just before or just after performing a 

safety-sensitive function. No safety-sensitive or non-safety-sensitive employee shall use 

alcohol within four hours of reporting for duty, or during the hours that they are on call. 

Violation of these provisions is prohibited and punishable by termination. 

5.4 Compliance with Testing Requirements 

All safety sensitive or non-safety-sensitive employees will be subject to urine drug testing 

and breath alcohol testing as a condition of employment. Any safety-sensitive or nonsafety-sensitive employee who refuses to comply with a request for testing shall be 

immediately removed from duty, referred to a SAP, and their employment terminated. Any 

safety-sensitive or non-safety-sensitive employee shall not use alcohol while on duty, in 

uniform, while performing safety-sensitive functions, or just before or immediately after 

performing a safety-sensitive function. Violation of these provisions is prohibited and 

punishable by termination. Any safety-sensitive or non-safety-sensitive employee who is 

suspected by the collector during the specimen collection process of falsifying test 

results through tampering, contamination, adulteration, or substitution will be required to 

undergo an immediate observed second collection. Verification of these actions will result 

in the employee’s immediate removal from duty and their employment terminated. Refusal can 

include an inability to provide sufficient urine specimen or breath sample without a valid 

medical explanation, as well as a verbal declaration, obstructive behavior, or physical 

absence resulting in the inability to conduct the test, failure to permit the observation or 

monitoring of provision of sample when required, or failure to take a second test when 

directed. Any person who has been given a conditional job offer subject to preemployment drug testing and leaves the testing site once testing has commenced, shall 

be deemed to have refused the test. Failure to undergo a medical examination or 

evaluation directed by the MRO shall constitute a refusal of a pre-employment test only if 

Revised 08/05 Page 3 of 16 

1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

the pre-employment test is conducted after a contingent offer of employment. 

Additionally, the following shall constitute a test refusal: 

•	 Failure to appear for any test within a reasonable time, as determined by the 

employer, after being directed to do so by the employer, except a preemployment test; 

•	 Failure to remain at the testing site until the testing process is complete; 

•	 Failure to provide a urine and/or breath specimen for any DOT required drug 

and/or alcohol test; 

•	 Failure to provide a urine and/or breath specimen for any non-DOT required drug 

and/or alcohol test; 

•	 Failure or declining to take a second test the employer or collector has 

directed you to take; 

•	 Failure to cooperate with any part of the testing process (e.g., refuse to empty 

pockets when so directed by the collector, behave in a confrontational way 

that disrupts the collection process). 

•	 If the MRO reports that there is verified adulterated or substituted test result, 

•	 Failure to sign the certification at Step 2 of the Alcohol Test Form(ATF). 

Drug tests can be performed any time a safety sensitive employee is on duty. An alcohol 

test can be performed when the safety sensitive employee is actually performing a safety 

sensitive duty, just before, or immediately after the performance of a safety sensitive 

duty. 

5.5 Treatment Requirements 

All employees are encouraged voluntarily to make use of the available resources for treatment 

for alcohol misuse and illegal drug use problems. Under certain circumstances, employees may 

be required to undergo treatment for substance abuse or alcohol misuse. Any employee who 

refuses or fails to comply with transit system requirements for treatment, after care, or return to 

duty shall be subject to termination. The cost of any treatment or rehabilitation services will be 

paid for directly by the employee or their insurance provider. Employees will be allowed to take 

accumulated sick leave and vacation leave to participate in the prescribed rehabilitation 

program. The provisions of this paragraph 5.5 apply to employees who voluntarily seek 

treatment prior to notification for a drug or alcohol test. Any employee with a positive test result 

will be subject to termination. 

5.6 Notifying the Transit System of Criminal Drug Conviction 

All employees are required to notify the transit system of any criminal drug statute conviction or 

arrest for a violation occurring in the workplace within five days after such conviction. Failure to 

comply with this provision shall result in disciplinary action, up to and including termination. 

5.7 Proper Application of the Policy 

Revised 08/05 Page 4 of 16 

1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
The transit system is dedicated to assuring fair and equitable application of this substance 

abuse policy. Therefore, supervisors/managers are required to use and apply all aspects of this 

policy in an unbiased and impartial manner. Any supervisor/manager who knowingly disregards 

the requirements of this policy, or who is found to deliberately misuse the policy in regard to 

subordinates, shall be subject to disciplinary action, up to and including termination. 

6.0 TESTING PROCEDURES 

All safety-sensitive and non-safety-sensitive employees shall be subject to testing for preemployment, for reasonable suspicion, and following a post accident as defined in 

Section 6.2, 6.3 and 6.4 of this policy. 

All safety sensitive and non safety sensitive employees who voluntarily submit to a rehabilitation 

program prior to testing positive on a drug or alcohol test will be tested prior to returning to duty 

following completion of the Substance Abuse Professional’s recommended treatment program. 

Follow-up testing will also be conducted following return to duty for a period of one to five years 

with at least six tests performed during the first year. 

Those employees who perform safety-sensitive functions as defined in the attachment to 

this policy shall also be subject to testing on a random, unannounced basis. 

Testing shall be conducted in a manner to assure a high degree of accuracy and 

reliability and using techniques, equipment and laboratory facilities, which have been 

approved by the U.S. Department of Health and Human Service (DHHS). All testing will 

be conducted consistent with the procedures put forth in 49 CFR Part 40, as amended. 

The drugs that will be tested for include marijuana, cocaine, opiates, amphetamines and 

phencyclidine. An initial drug screen will be conducted on each urine specimen. For 

those specimens that are not negative, a confirmatory Gas Chromatography/Mass 

Spectrometry (GC/MS) test will be performed by a HHS-certified laboratory. The test will 

be considered positive if the amounts present are above the minimum thresholds 

established in 49 CFR Part 40, as amended. In instances where there is a reason to believe 

an employee is abusing a substance other than the five drugs listed above, the transit system 

reserves the right to test for additional drugs under the transit system’s own authority using 

standard laboratory testing protocols. This additional testing will not be conducted on any 

specimen collected using DOT/FTA testing authority. 

Tests for breath alcohol concentration will be conducted utilizing a National Highway 

Traffic Safety Administration (NHTSA)-approved testing device operated by a trained 

technician. If the initial test indicates an alcohol concentration of 0.02 or greater, a 

second test will be performed by the BAT. The confirmatory test will be performed using 

an NHTSA-approved evidential breath testing device (EBT) operated by a trained breath 

alcohol technician (BAT). A safety-sensitive or non-safety-sensitive employee who has 

confirmed alcohol concentration of 0.02 or greater but less than 0.04 will be immediately 

removed from his/her position for eight hours unless a retest results in a concentration 

measure of less than 0.02. The inability to perform safety-sensitive duties due to an alcohol 

test result of 0.02 or greater but less than 0.04 will be considered an unexcused miss out 

subject to transit system disciplinary procedures. An alcohol concentration of 0.04 or greater 

will be considered a positive alcohol test in violation of this policy and a violation of the 

requirements set forth in 49 CFR Part 655 for safety-sensitive employees. 

Revised 08/05 Page 5 of 16 

1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
Any safety-sensitive or non-safety-sensitive employee that has a positive drug or alcohol 

test will be immediately removed from his/her position, informed of educational and 

rehabilitation programs available and referred to a Substance Abuse Professional (SAP) 

for assessment. A positive drug and/or alcohol test will also result in termination. The cost of 

any treatment or rehabilitation services will be paid directly by the employee. 

The transit system affirms the need to protect individual dignity, privacy and confidentiality 

throughout the testing process. 

Consistent with 49 CFR part 40 collection under direct observation (by a person of the 

same gender) with no advance notice will occur if: 

(1) 	 The laboratory reports to the MRO that a specimen is invalid, and the MRO 

reports to Designated Employer Representative (DER) that there was not an 

adequate medical explanation for the result; or 

(2) 	 The MRO reports to the DER that the original positive, adulterated, or 

substituted test result had to be canceled because the test of the split 

specimen could not be performed. 

•	 As an employer, ACC may direct a collection under direct 

observation of an employee if the drug test is a return-to-duty test or a 

follow-test. 

•	 The collector, must immediately conduct a collection under direct 

observation if: 

The employee is directed by the DER to do so; or the employee’s conduct 

clearly indicates an attempt to tamper with a specimen or 

(3) 	 The collector observes materials brought to the collection site or the 

employee’s conduct clearly indicates an attempt to tamper with a specimen 

or 

(4) 	 The temperature on the original specimen was out of range 

(5) 	 The original specimen appeared to have been tampered with. 

6.1 Employee Requested Testing 

Any safety-sensitive or non-safety-sensitive employee who questions the results of a 

verified positive required drug test or refusal to test because of adulteration or 

substitution under paragraphs 6.2 – 6.8 of this policy may request that the split sample 

be tested. This test must be conducted on a split sample that was provided by the 

employee at the same time as the original sample. Athens-Clarke County and Athens Transit 

System will seek to reimburse from the employee for all costs of such testing unless the result of 

the split sample test invalidates the result of the original test. The method of collecting, 

storing and testing the split sample will be consistent with the procedures set forth in 49 

CFR Part 40, as amended. The employee’s request for a split sample test must be made 

Revised 08/05 Page 6 of 16 

1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

 

to the Medical Review Officer within 72 hours of notice of the original sample verified test 

result. Requests after 72 hours will only be accepted if the delay was due to 

documentable facts that were beyond the control of the employee. 

6.2 Pre-Employment Testing 

All safety-sensitive and non-safety-sensitive position applicants shall undergo urine drug 

testing immediately following the offer of employment or transfer into a safety-sensitive 

position. If any employee returns to a safety-sensitive position after having been 

removed from the transit system’s random selection pool for 90 consecutive calendar 

days or more regardless of reason, he/she must be pre-employment drug tested. A 

verified negative result must be obtained by the transit system prior to safety-sensitive 

work. 

Failure of a pre-employment drug test will disqualify an applicant for employment for a period of 

6 months. Evidence of the absence of drug dependency from a Substance Abuse 

Professional that meets with the approval of the company and a negative preemployment drug test will be required prior to further consideration for employment. The 

cost for the assessment and any subsequent treatment will be the sole responsibility of the 

individual. 

When a covered employee or applicant has previously failed or refused a preemployment drug test administered under this part, the employee must provide the 

employer proof of having successfully completed a referral, evaluation and treatment 

plan as described in Section 655.62. 

6.3 Reasonable Suspicion Testing 

All safety-sensitive and non-safety-sensitive employees may be subject to a fitness for duty 

evaluation and urine and/or breath testing when there are reasons to believe that drug or 

alcohol use is adversely affecting job performance. A reasonable suspicion referral for 

testing will be made on the bases of documented objective facts and circumstances, 

which are consistent with the short-term effects of substance abuse or alcohol misuse. 

Examples of reasonable suspicion include, but are not limited to, the following: 

1. 	 Physical signs and symptoms consistent with prohibited substance use or alcohol 

misuse which includes specific, contemporaneous, articulable observations 

concerning the appearance, behavior, speech, or body odors of an employee. 

2. 	 Evidence of the manufacture, distribution, dispensing, possession or use of 

controlled substances, drugs, alcohol or other prohibited substance. 

3. 	 Fights (to mean physical contact), assaults and flagrant disregard or violations of 

established safety, security or other operation procedures. 

Reasonable suspicion referrals must be made by one or more supervisors who are 

trained to detect the signs and symptoms of drug and alcohol misuse and conclude that 

an employee may be adversely affected or impaired in his/her work performance due to 

possible prohibited substance abuse or alcohol misuse. 

6.4 Post-Accident Testing 

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1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
All safety-sensitive employees will be required to undergo urine and breath testing if they 

are involved in an accident with an Athens Transit vehicle (regardless of whether or not 

the vehicle is in revenue service) that results in a fatality. This includes any surviving 

safety-sensitive employee that was operating the vehicle and any other employee whose 

performance could have contributed to the accident. In addition, a post-accident test will 

be conducted if an individual suffers bodily injury and immediately receives medical 

treatment away from the scene of the accident; or one or more vehicles incurs disabling 

damage. 

In an non-fatal accident, the following safety sensitive employees will be tested: All 

covered employees operating the mass transit vehicle unless their performance can be 

completely discounted as a contributing factor based on the best information available at 

the time of the decision and all other covered employees whose performance could have 

contributed to the accident. 

Following an accident, the safety-sensitive employees will be tested as soon as possible, 

but not to exceed eight hours for alcohol testing and 32 hours for drug testing. Any 

safety sensitive employee involved in an accident must refrain from alcohol use for eight 

hours following the accident or until he/she undergoes a post-accident alcohol test. Any 

safety-sensitive employee who leaves the scene of the accident without justifiable 

explanation prior to submission to drug and alcohol testing will be considered to have 

refused the test and their employment terminated. Employees tested under this provision 

will include not only the operations personnel, but also any other covered employee 

whose performance could have contributed to the accident. 

Accident testing is stayed while employee assists in resolution of the accident or 

receives medical attention following the accident. 

Athens Transit will attempt to complete the test within 2 hours of the accident; and if not 

able to obtain a specimen within 2 hours, file a report why not able and continue 

attempts to obtain specimen; and if not able to obtain a specimen in 8 hours, cease 

attempts to obtain a specimen and update the two-hour written report. 

Whenever any employee of Athens-Clarke County has been involved in an accident, or receives 

an injury, alcohol and drug testing shall be conducted within eight (8) hours of the accident or 

incident when: 

(a) 	 There is vehicle/equipment damage or bodily injury occurring on public roadways; or 

(b) 	 There is a fatality; or 

(c) 	 Driver is cited with a traffic violation; or 

(d) 	 There is reasonable suspicion to believe that the employee’s behavior or appearance 

may indicate alcohol or drug use; or 

(e) 	 When an employee sustains a work-related injury requiring medical treatment. 

Testing for Athens-Clarke County employees will be completed on non-DOT forms. 

6.5 Random Testing 

Employees in safety-sensitive positions will be subject to random, unannounced drug 

and alcohol testing. The selection of safety-sensitive employees for random drug and 

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1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
alcohol testing will be made using a scientifically valid method that ensures that each 

covered employee will have equal chance of being selected. The random test will be 

unannounced and conducted at all times of the day when safety-sensitive functions are 

performed. Once an employee is notified of selection of a random drug or random 

alcohol test, he/she should proceed to the testing site immediately. 

6.6 Return-to-Duty Testing 

All safety-sensitive and non-safety-sensitive employees who previously voluntarily entered into 

a Rehabilitation Program as set forth in Paragraph 5.5 must test negative on a drug or alcohol 

test (below 0.02 for alcohol) on a return-to-duty test and be evaluated and released to duty by 

the Substance Abuse Professional before returning to work. Testing in this section is conducted 

by Athens-Clarke County Transit authority using non-DOT testing forms. 

6.7 Follow-Up Testing 

Safety-sensitive and non-safety-sensitive employees who previously voluntarily entered into a 

prescribed rehabilitation program will be required to undergo frequent, unannounced urine 

and/or breath testing following their return to duty. The follow-up-testing will be performed for a 

period of one to five years with a minimum of six tests to be performed the first year. Testing in 

this section is conducted by Athens-Clarke County Transit authority using non-DOT testing 

forms. 

6.8 Dilute Negative Policy 

A dilute specimen is a specimen with creatinine and specific gravity values that are lower 

than expected for human urine. If a specimen test result is dilute negative Athens Transit 

will not perform a retest, unless directed by the MRO. If the employee declines to take 

the retest, it is considered a test refusal. 

6.9 Information Disclosure 

1. 	 The Athens Transit System shall release information regarding a covered 

employee’s record as directed by specific, written consent from the 

employee authorizing release of the information to an identified person. 

2. 	 A covered employee is entitled, upon written request, to obtain copies of 

any records pertaining to his/her use of prohibited substances, including 

any records pertaining to test results. 

3. 	 The Athens Transit System may disclose information that is required to be 

maintained to the decision maker in a lawsuit, grievance or other 

proceeding initiated by or on behalf of the employee tested. 

4. 	 When requested by the National Transportation Safety Board as part of an 

accident investigation, the Athens Transit System shall disclose 

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All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

 

 

information related to its administration of drug and alcohol tests following 

the accident investigation. 

5. 	 Records shall be made available to subsequent employers upon receipt of 

written request from the covered employee. 

6. 	 The Athens Transit System shall disclose data for its drug and alcohol 

testing program and any other information pertaining to its anti-drug 

program, when requested by the Secretary of Transportation or any DOT 

agency with regulatory authority over the Athens Transit System. 

7. 	 To be considered for employment, all applicants will be asked to give 

consent to Athens-Clarke County Transit for a background check of the 

applicant’s previous DOT covered employer over the past two years. The 

information requested will include: 

(1) 	 Alcohol test results of 0.04 or higher alcohol concentration. 

(2) 	 Verified positive drug tests. 

(3) 	 Refusals to be tested (including verified adulterated or substituted 

drug test results). 

(4) 	 Other violations of DOT agency drug and alcohol testing 

regulations. 

(5) 	 With respect to any employee who violated a DOT drug and alcohol 

regulation, documentation of the employee’s successful completion 

of DOT return-to-duty requirements (including follow-tests). 

7.0 	 EMPLOYMENT ASSESSMENT 

Any safety-sensitive or non-safety-sensitive employee who tests positive for the presence 

of illegal drugs or alcohol above the minimum thresholds set forth in 49 CFR Part 40, as 

amended, will be referred for evaluation by a Substance Abuse Professional (SAP). A 

SAP is a licensed or certified physician, psychologist, social worker, employee 

assistance professional or addiction counselor with knowledge of and clinical 

experience in the diagnosis and treatment of alcohol-related disorders. The SAP will 

evaluate each employee to determine what assistance the employee needs in resolving 

problems associated with prohibited drug use or alcohol misuse. Any cost of treatment 

will be paid solely by the employee. 

All employees who test positive for the presence of illegal drugs or alcohol above the minimum 

thresholds set forth above will be terminated. 

Employees who voluntarily submit to rehabilitation program prior to testing positive on a drug or 

alcohol test will be allowed to take accumulated sick leave and vacation leave to participate in 

the prescribed rehabilitation program. Voluntary requests for treatment must be made prior to 

any pending drug/alcohol test or disciplinary action. The cost of any treatment or rehabilitation 

services will be paid directly by the employee or their insurance provider. 

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All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

 

 

 

 

8.0 	 RE-ENTRY CONTRACTS 

Employees who re-enter the workforce after voluntarily submitting to a rehabilitation program 

prior to testing positive on a drug or alcohol test must agree to a re-entry contract. That contract 

may include (but is not limited to); 

1. 	 A release to work statement from the Substance Abuse Professional. 

2. 	 A negative test for drugs and/or alcohol. 

3. 	 An agreement to unannounced frequent follow-up testing for a period of one to 

five years with at least six tests performed the first year. 

4. 	 A statement of work-related behaviors. 

5. 	 An agreement to follow specified after care requirements with the understanding 

that violation of the re-entry contract is grounds for termination. 

9.0 	 EMPLOYEE AND SUPERVISOR TRAINING 

All safety sensitive employees will undergo a minimum of 60 minutes of training on the 

signs and symptoms of drug use including the effects and consequences of drug use in 

personal health, safety, and the work environment. The training must also include 

manifestations and behavioral cues that may indicate prohibited drug use. 

Supervisors will also receive 60 minutes of reasonable suspicion training on the 

physical, behavioral, and performance indicators of probable drug use and 60 minutes of 

additional reasonable suspicion training on the physical, behavioral, speech, and 

performance indicators of probable alcohol misuse. 

Information on the signs, symptoms, health affects and consequences of alcohol misuse is 

presented in Attachment 2 of this policy. 

10.0 	 SYSTEM CONTACT 

Any questions regarding this policy or any other aspect of the drug free and alcohol free transit 

program should contact the following transit system representative: 

Program Manager: 

Name: Jan Hansford 

Title: Assistant Personnel Director 

Address: 375 Satula Avenue 

 Athens, GA 30601 

Phone: (706) 613-3090 ext 1104 

Fax: (706) 613-3118 

Medical Review Officer: 

Name: Dr. Gilbert D. Harris, M.D. 

Athens Associates in Family Practice 

Address: 300 Hawthorne Lane 

 Athens, GA 30606 

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All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

 

 

Phone (706) 543-8510 
 

Fax: (706) 353-7788 
 

Employee Assistance Program: 

Name: Northeast Georgia Employee Assistant Program 

Address: 1435 Oglethorpe Avenue 

 Athens GA 30606 
 

Phone: (706) 549-6658 
 

Fax: (706) 549-0428 
 

Substance Abuse Professional: 

Name: James Randy Flanigan 
 

Address: Flanigan’s Counseling and Evaluation Service 
 

Phone: (706) 548-8846 
 

(706) 207-9436
 

Revised 08/05 Page 12 of 16
 

1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

ATHENS TRANSIT 

Safety-Sensitive Functions 

TRANSIT DIRECTOR 

TRANSIT ROUTE SUPERVISORS 

SUPERINTENDENT OF OPERATIONS 

SUPERINTENDENT OF MAINTENANCE 

REVENUE VEHICLE OPERATOR 

REVENUE VEHICLE AND EQUIPMENT MAINTENANCE 

REVENUE VEHICLE CONTROL/DISPATCH 

Revised 08/05 Page 13 of 16 

1

All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

Alcohol Fact Sheet 

Alcohol is a socially acceptable drug that has been consumed throughout the 

world for centuries. It is considered a recreational beverage when consumed in 

moderation for enjoyment and relaxation during social gatherings. However, when 

consumed primarily for its physical and mood-altering effects, it is a substance of abuse. 

As a depressant, it slows down physical responses and progressively impairs mental 

functions. 

Signs and Symptoms of Use 

•	 Dulled mental process 

•	 Lack of coordination 

•	 Odor of alcohol on breath 

•	 Possible constricted pupils 

•	 Sleepy or stuporous condition 

•	 Slowed reaction rate 

• Slurred speech 

(Note: Except for the odor, these are general signs and symptoms of any depressant 

substance.) 

Health Effects 

The chronic consumption of alcohol (average of three servings per day of beer 

[12 ounces], whiskey [1 ounce], or wine [6 ounce glass]) over time may result in the 

following health hazards: 

• Decreased sexual functioning 

•	 Dependency (up to 10 percent of all people who drink alcohol become 

physically and/or mentally dependant on alcohol and can be termed 

“alcoholic”) 

•	 Fatal liver diseases 

•	 Increased cancers of the mount, tongue, pharynx, esophagus, rectum, breast 

and malignant melanoma 

• Kidney disease 

• Pancreatitis 

•	 Spontaneous abortion and neonatal mortality 

• Ulcers 

•	 Birth defects (up to 54 percent of all birth defects are alcohol related) 

Revised 08/05 Page 14 of 16 

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All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 
 

Social Issues 

•	 Two-Thirds of all homicides are committed by people who drink prior to the 

crime. 

•	 Two to three percent of the driving population is legally drunk at any one time. 

This rate is doubled at night and on weekends. 

•	 Two-thirds of all Americans will be involved in an alcohol-related vehicular 

accident during their lifetimes. 

•	 The rate of separation and divorce in families with alcohol dependency 

problem is 7 times the average. 

•	 Forty percent of family court cases are alcohol problem related. 

•	 Alcoholics are 15 times more likely to commit suicide than are other 

segments of the population. 

•	 More than 60 percent of burns, 40 percent of falls, 69 percent of boating 

accidents, and 76 percent of private aircraft accidents are alcohol related. 

The Annual Toll 

•	 24,000 people will die on the highway due to the legally impaired driver 

•	 12,000 more will die on the highway due to the alcohol-affected driver 

•	 15,800 will die in non-highway accidents 

•	 30,000 will die due to alcohol-caused liver disease 

•	 10,000 will die due to alcohol-induced brain disease or suicide 

•	 Up to another 125,000 will die due to alcohol-related conditions or accidents 

Workplace Issues 

•	 It takes one hour for the average person (150 pounds) to process one 

serving of an alcoholic beverage from the body. 

•	 Impairment in coordination and judgement can be objectively measured 

with as little as two drinks in the body. 

•	 A person who is legally intoxicated is 6 times more likely to have an accident 

than a sober person. 

Revised 08/05 Page 15 of 16 

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All provisions set forth in bold face print are included consistent with requirements specifically set forth in 49 CFR 

Part 655, or Part 40, as amended. Provisions set forth in the Drug Free Workplace Act (49 CFR Part 29) are 

delineated in Italics. All other provisions are set forth under the authority of the transit system. 

Large Transit System 
 

San Diego Transit Corporation 
 

San Diego Transit Corporation
 


Drug and Alcohol Policy
 


Summary: San Diego Transit Corporation’s drug and alcohol policy went into effect on 

March 10, 2005 and it covers a large transit system. The policy applies to all San Diego 

Transit Corporation (“SDTC” or “company”) employees and applicants for employment. 

It supersedes the SDTC drug and alcohol policy effective May 1, 2002. 

This policy contains certain provisions applicable only to employees performing safetysensitive functions (as defined below). Each section of this policy applies to all 

employees unless the particular section states that it applies only to safety-sensitive 

employees. For example, section V(C) of this policy, relating to post-accident alcohol 

and drug testing, and section V(D) of the policy, relating to random alcohol and drug 

testing, apply only to safety-sensitive employees. 

Effective 3/10/05 (Revised) 

SAN DIEGO TRANSIT CORPORATION
 


DRUG AND ALCOHOL POLICY
 


I.
 


PURPOSES
 


The purposes of this policy are as follows: 

A. To maintain a safe and efficient public transportation system; 

B. To establish and maintain a safe, healthy working environment for all employees; 

C. To reduce the incidence of accidental injury to person or property; 

D. To reduce absenteeism, tardiness and indifferent job performance; 

E. To provide assistance towards rehabilitation for employees who seek the 

company’s help in overcoming addiction to, dependence on or problems with alcohol or drugs, 

provided they do so before violating this policy; 

F. To maintain a public transportation system and a work environment free of 

alcohol and drug related performance problems, accidents and injuries. 

G. To comply with the Federal Transit Administration (“FTA”) regulations on 

prevention of prohibited drug use and alcohol misuse in transit operations, 49 C.F.R. Part 655. 

II.
 


APPLICATION OF POLICY 
 

This policy applies to all San Diego Transit Corporation (“SDTC” or “company”) 

employees and applicants for employment. This policy supersedes the SDTC drug and alcohol 

policy effective May 1, 2002. 

This policy contains certain provisions applicable only to employees performing safetysensitive functions (as defined below). Each section of this policy applies to all employees 

unless the particular section states that it applies only to safety-sensitive employees. For 

example, section V(C) of the policy, relating to post-accident alcohol and drug testing, and 

section V(D) of the policy, relating to random alcohol and drug testing, apply only to safetysensitive employees. 

SDTC 2005 D/A Policy -1-
 

Employees performing safety-sensitive functions for SDTC are those with the following 

job functions: 

1. Operating a revenue service vehicle, including when not in revenue 

service; 

2. Operating a non-revenue service vehicle, when required to be operated by 

a holder of a Commercial Driver’s License; 

3. Controlling dispatch or movement of a revenue service vehicle; 

4. Maintaining a revenue service vehicle or equipment used in revenue 

service; 

5. Carrying a firearm for security purposes; or 

6. Supervisors of the aforementioned employees, since these supervisors may 

perform safety-sensitive duties. 

SDTC has reviewed the actual duties performed by employees and has determined that 

the following job functions may require the performance of safety-sensitive duties: Bus 

Operators, Field Supervisors, all hourly Maintenance employees, Maintenance Manager, 

Assistant Maintenance Managers, Maintenance Foremen, Quality Assurance Manager, Quality 

Assurance Supervisor, Dispatchers, Communications/Operations Supervisors, Operations 

Trainer, Maintenance Instructor, Senior Asst. Manager of Transportation, Assistant 

Transportation Managers, Senior Transportation Supervisor, Director of Transportation and 

Director of Maintenance. 

III.
 


ILLEGAL DRUGS, LEGAL DRUGS AND ALCOHOL 
 

A. Illegal Drugs. The sale, offer to sell, purchase, use, manufacture, transfer or 

possession of illegal drugs while on company business or on company premises, property or 

vehicles is prohibited. Violation of this rule will result in disciplinary action, up to and including 

termination. Termination is likely for a violation of this rule, even for a first offense. 

Illegal drug means any drug (a) which is not legally obtainable or (b) which is legally 

obtainable but has not been legally obtained. The term includes, but is not limited to, marijuana, 

cocaine, opiates, amphetamines and phencyclidine. It includes prescribed drugs not legally 

obtained and prescribed drugs not being used for prescribed purposes. It also includes any 

substance which a person holds out to another as an illegal drug. 

No employee shall bring drug paraphernalia onto company premises or property or into 

company vehicles. 

B. Legal Drugs. The use of prescribed or over-the-counter medications (“legal 

drugs”) at a level, or in a manner, combination or quantity that impedes an employee’s ability to 

SDTC 2005 D/A Policy -2-
 

safely perform his or her job is prohibited and may lead to disciplinary action, up to and 

including termination. 

It is the employee’s duty to ensure that any legal drug he or she is taking allows him or 

her to safely perform his or her duties. If an employee intends to take any legal drug while 

working for which the instructions for use indicate the drug may affect or impair judgment, 

coordination or other senses, or may otherwise adversely affect the employee’s ability to safely 

perform his or her job, he or she shall have an affirmative obligation to report the drug or 

medication which he or she is taking to his or her supervisor so that a determination can be made 

by the company’s physicians as to the ability of the employee to perform his or her particular job 

safely while using that drug. In such a case, an employee may continue to work, even while 

taking a legal drug, if the company has determined, after consulting with its physicians, that the 

employee does not pose a threat to his or her own safety, public safety, or the safety of 

coworkers and that the employee’s job performance is not significantly affected by the legal 

drug. Any employee using a prescription drug in the circumstances described above must 

provide the prescription and the medication itself (if requested) to SDTC’s company physician 

within 24 hours after notification to do so by SDTC or its physicians. 

C. Alcohol. No employee shall consume alcohol within four hours prior to their shift 

or any time during their shift. No employee shall consume or have alcoholic beverages in their 

possession in company vehicles, on company premises or property, or while on company 

business. Violation of these rules can result in disciplinary action, up to and including 

termination, even for a first offense. 

No employee who is on-call and therefore subject to being called into work shall 

consume alcohol during those on-call hours. In the event such an employee is called and must 

report for duty, the employee will be given the opportunity to acknowledge that they have used 

alcohol and therefore are not able to perform their safety-sensitive function. In such a case, that 

employee shall not be required to perform work, but may be disciplined for the use of alcohol 

during on-call hours under SDTC policy (not under FTA regulations). If an on-call employee 

who is called to duty acknowledges the use of alcohol, but claims they are able to perform their 

safety-sensitive function, they must submit to alcohol testing. If the breath alcohol concentration 

is between 0.02 percent and 0.039 percent, the employee will not be allowed to perform any 

safety-sensitive function until the start of the employee’s next regularly scheduled duty period 

that is at least eight hours following the administration of the alcohol test. A breath alcohol test 

result of 0.04 percent or higher will subject the employee to termination from employment with 

the company. 

IV.
 


PROHIBITION AGAINST EMPLOYEES HAVING 
 

ILLEGAL DRUGS OR ALCOHOL IN THEIR BODIES 
 

DURING WORKING TIME 
 

All employees of the company must report for work with no illegal drugs or their 

metabolites in their bodies. Employees must not have illegal drugs or their metabolites in their 

bodies at any time while on the job, and employees may be tested for the presence of illegal 

drugs at any time while on duty. Employees must not have alcohol in their bodies at a breath 

SDTC 2005 D/A Policy -3-
 

alcohol concentration of 0.02 percent or higher while on duty. All alcohol tests will be performed 

just before an employee performs safety-sensitive duties, during that performance, or just after 

the employee has performed such duties. Employees are prohibited from using alcohol within 

four hours prior to their shift. Compliance with these rules is considered an essential job 

qualification for all employees. Termination of employment will occur for a violation of any 

of these rules, even for a first offense. This is a zero tolerance policy. No employee who 

violates this policy will be given a second chance. 

V.
 


ENFORCEMENT OF RULE PROHIBITING EMPLOYEES 
 

FROM HAVING ILLEGAL DRUGS OR ALCOHOL IN 
 

THEIR BODIES DURING WORKING TIME 
 

A. Preemployment Drug Testing. 

Prior to employment with the company, all final candidates will be required to pass a 

drug screen test administered by a medical facility designated by the company. If the drug 

screen test is canceled by the Medical Review Officer (“MRO”), the applicant must retake and 

pass the drug screen test before being hired. Any prospective employee refusing to submit to 

such examination will not be hired by the company. Any prospective employee failing the drug 

screen test will be rejected from further consideration for employment with the company. 

Further, any applicant or employee who has previously failed or refused a pre-employment drug 

test must provide proof to SDTC, prior to be considered for employment again, that they have 

successfully completed a referral, evaluation and substance abuse treatment plan compliant with 

the requirements in 49 C.F.R. Part 40.. All offers of employment are contingent upon the 

prospective employee’s compliance with this section. SDTC will provide each applicant or 

employee who fails a preemployment drug test with a list of names, addresses and telephone 

numbers of locally available Substance Abuse Professionals (“SAPs”) qualified in 49 C.F.R. Part 

40 requirements. 

B. Reasonable Suspicion Alcohol and Drug Testing. 

When the company has reasonable suspicion to believe that an employee has violated the 

prohibitions set forth in this policy, the employee will be required to submit to an alcohol test 

and a drug screen test immediately upon demand by the company. Reasonable suspicion testing 

will be required when a trained supervisor can articulate and substantiate physical, behavioral 

and/or performance indicators of probable drug use or alcohol misuse by observing the 

appearance, behavior, and speech and/or body odors of an employee. 

Any employee who fails the drug screen test or has a breath alcohol test result of 0.02 

percent or greater will be immediately removed from service. An employee with a breath 

alcohol concentration of 0.02 to 0.039 percent will, at minimum, not be allowed to perform a 

safety-sensitive functions until the start of the employee’s next regularly scheduled duty period 

that is at least eight hours following the administration of the alcohol test. Any employee with a 

positive drug screen test and/or a breath alcohol test result of 0.04 percent or higher will subject 

the employee to termination from employment with the company and will be referred to a locally 

SDTC 2005 D/A Policy -4-
 

available Substance Abuse Professional (“SAP”) for evaluation in accordance with 49 C.F.R. 

Part 40. 

Refusal to submit to any testing required by this section will be sufficient grounds for 

termination and will result in the employee being relieved of his or her duties immediately. 

C. Post-Accident Alcohol and Drug Testing. 

(This section of the policy applies only to safety-sensitive employees.) Post-accident 

alcohol and drug testing will occur under the following circumstances: 

1. Fatal Accidents. As soon as practicable following an accident involving 

the loss of human life, each surviving employee operating the mass transit vehicle at the time of 

the accident shall submit to an alcohol test and a drug test. Further, any other employee whose 

performance could have contributed to the accident (e.g., a mechanic in the case of brake failure 

causing the accident), as determined by the company using the best information available at the 

time of the decision, shall also be required to submit to an alcohol test and a drug screen test. 

2. Non-Fatal Accidents. As soon as practicable following an accident not 

involving the loss of human life, each employee operating the mass transit vehicle at the 

time of the accident shall submit to an alcohol test and a drug screen test, unless company 

management determines, using the best information available at the time of the decision, 

that the employee’s performance can be completely discounted as a contributing factor to 

the accident. In addition, any employee whose performance could have contributed to 

the accident, as determined by the company, using the best information available at the 

time of the decision, will be required to submit to an alcohol test and a drug screen test. 

3. Definition of “Accident.” An accident, as defined in this policy, means an 

occurrence associated with the operation of a vehicle, if as a result: 

a. An individual dies; 

b. An individual suffers a bodily injury and immediately receives 

medical treatment away from the scene of the accident; or 

c. One or more vehicles in the accident incurs disabling damage as a 

result of the occurrence and is transported away from the scene by a tow truck or other vehicle. 

Disabling damage means damage which precluded the departure of any vehicle from the scene of 

the occurrence in its usual manner in daylight after simple repairs. Disabling damage includes 

damage to vehicles that could have been operated but would have been further damaged if so 

operated, but does not include damage which can be remedied temporarily at the scene of the 

occurrence without special tools or parts, tire disablement without other damage even if no spare 

tire is available, or damage to headlights, tail lights, turn signals, horn, or windshield wipers that 

makes them inoperative. 

Any employee involved in an accident is prohibited from using alcohol for eight hours 

following the accident, or until he or she undergoes a post-accident alcohol test and drug test. 

Any employee involved in an accident who fails to remain readily available for the testing 

SDTC 2005 D/A Policy -5-
 

required by this section, including notifying company officials of his or her location if he or she 

leaves the scene of the accident prior to submission to such tests, will be deemed to have refused 

to submit to testing. 

Post-accident testing will occur after the employee assists in resolution of the accident or 

receives medical attention following the accident. SDTC will complete the post-accident drug 

testing as soon as possible, and such testing will occur not later than 32 hours after the accident. 

SDTC will attempt to complete the post-accident alcohol testing within two hours of the 

accident. If the testing is not completed within two hours, SDTC will continue to attempt to 

complete the test and will prepare a report explaining why the breath specimen was not collected 

within two hours. If the alcohol test is not completed within eight hours of the accident, SDTC 

shall cease attempts to complete the test and update the report as to why the test was not 

completed. 

Refusal to submit to a test required by this section will be sufficient grounds for 

termination and will result in the employee being relieved of his or her duties immediately. Any 

employee failing a drug screen test or having a breath alcohol test result of 0.02 percent or 

greater will be immediately removed from service. Any employee with a positive drug screen 

test and/or a breath alcohol test result of 0.04 percent or greater will be subject to termination 

from employment with the company and will be referred to a locally available Substance Abuse 

Professional (“SAP”) for evaluation in accordance with 49 C.F.R. Part 40. 

D. Random Alcohol and Drug Testing. 

(This section of the policy applies only to safety-sensitive employees.) All safetysensitive employees, as defined above, will be subject to unannounced, random alcohol testing 

and random drug testing in accordance with 49 C.F.R. Part 40. The selection of employees for 

random alcohol testing and random drug testing shall be by a scientifically valid method, such as 

a random number table or a computer-based random number generator. Each employee will 

have an equal chance of being tested each time selections are made. These tests will not be 

announced in advance and will be administered on all days and hours during which transit 

service is in operation throughout the calendar year. The current minimum testing requirement is 

to annually perform drug tests on 50% and alcohol tests on 10% of the safety-sensitive 

employees. 

Each employee selected for random alcohol testing and/or random drug testing must 

proceed to the test site immediately. Refusal to submit to such a test will be sufficient grounds 

for termination and will result in the employee being relieved of his or her duties immediately. 

Any employee failing a drug screen test or having a breath alcohol test result of 0.02 to 0.039 

percent will be relieved of his or her duties immediately. Any employee with a positive drug 

screen test and/or a breath alcohol test result of 0.04 percent or greater will be subject to 

termination from employment with the company and will be referred to a locally available 

Substance Abuse Professional (“SAP”) for evaluation in accordance with 49 C.F.R. Part 40. 

SDTC 2005 D/A Policy -6-
 

E. Drug Testing of Employees Assuming Safety-Sensitive Duties. 

Any employee who accepts a position with the company involving safety-sensitive 

duties, who has previously been engaged in non-safety-sensitive duties, will be required to 

submit to and pass a drug screen test prior to assumption of the safety-sensitive duties. If the 

drug screen test is canceled by the MRO, the employee must retake and pass that test before 

assuming safety-sensitive duties. Refusal to submit to such a test will be sufficient grounds for 

termination of employment. Any employee failing a drug screen test will not be allowed to 

assume the safety-sensitive position, and will be removed from service. A positive drug screen 

test will subject the employee to termination from employment with the company. Any 

employee with a positive drug screen test will be referred to a locally available Substance Abuse 

Professional (“SAP”) for evaluation in accordance with 49 C.F.R. Part 40. 

F. Return to Duty and Follow-Up Alcohol and Drug Testing. 

Any employee who is allowed to return to duty after failing an alcohol or drug test, or 

following leave for substance abuse rehabilitation, must first provide a negative drug, alcohol (or 

both) test result. Employees returning to duty following leave for substance abuse rehabilitation 

may be required to undergo unannounced follow-up alcohol and/or drug testing as directed by a 

substance abuse professional (“SAP”). The number and frequency of such follow-up testing 

shall be directed by the SAP. The employee will be subject to follow-up testing for as long as 

prescribed by the SAP, but such testing shall not continue beyond five years from the date the 

employee returns to safety-sensitive duties (labor agreements notwithstanding). Any such 

employee failing a drug screen test or having a breath alcohol test result of 0.02 percent or higher 

will be relieved of his or her duties immediately. Any employee with a positive drug screen test 

or a breath alcohol test result of 0.04 percent or greater during this period shall be immediately 

terminated from employment with the company and referred to a locally available SAP for 

evaluation in accordance with 49 C.F.R. Part 40. 

G. DMV Recertification Alcohol and Drug Testing. 

(The testing requirement in this section is required by SDTC, not by FTA regulations). 

All SDTC employees who are required by the company to have a valid DMV Class 2 license will 

be required to pass an alcohol test and a drug screen test each time they must recertify that 

license by submitting to a medical examination, which is currently at two year intervals. Refusal 

to submit to an alcohol test and a drug screen test at the time of the medical examination will be 

sufficient grounds for termination of employment. Any employee failing a drug screen test or 

having a breath alcohol test result of 0.02 percent or higher will be relieved of his or her duties 

immediately and may, at the company’s discretion, be referred to an SAP. Further, a positive 

drug screen test or a breath alcohol test result of 0.04 percent or higher will subject the employee 

to termination from employment with the company. 

H. Alcohol and Drug Screening Following Injuries and Upon Return to Duty 

Following a Leave of Absence. 

(The testing in this section is required by SDTC and not FTA regulations, except 

where noted.) Any employee who sustains an injury on the job will be required to submit to an 

SDTC 2005 D/A Policy -7-
 

 

alcohol test and a drug screen test as part of the physician’s examination of the employee for the 

injury. 

Any employee returning to duty following a leave of absence from the company 

for 90 calendar days or more must submit to an alcohol test and a drug screen test. 

Refusal to submit to any of the foregoing alcohol tests or drug screen tests will be 

sufficient grounds for termination of employment and will result in the employee being relieved 

of his or her duties immediately. Any employee failing a drug screen test and/or having a breath 

alcohol test result of 0.02 percent to 0.039 percent will be relieved of his or her duties 

immediately and will not be allowed to perform a safety-sensitive function within eight hours 

following the administration of the alcohol test. Any employee with positive drug screen test 

and/or having a breath alcohol test result of 0.04 percent or greater will be subject to termination 

from employment with the company. 

(Additional FTA-required testing.) Any employee who has not performed a safetysensitive function for 90 consecutive calendar days regardless of the reason, and where the 

employee has not been in SDTC’s random selection pool during that time, shall be required to 

take a pre-employment drug test (see Section V(A) above) with a verified negative result before 

returning to duty. 

VI.
 


PROCEDURES FOR ALCOHOL AND DRUG TESTING 
 

A. Procedures for Alcohol Tests. All FTA-mandated alcohol testing called for in this 

policy shall be conducted in accordance with 49 C.F.R. Part 40: Procedures for Transportation 

Workplace Drug and Alcohol Testing Programs. The alcohol testing in this policy applies 

regardless of whether the alcohol was ingested as beverage alcohol or in a medicinal or other 

preparation. 

The alcohol tests will be administered by a breath alcohol technician (“BAT”), using an 

evidential breath testing device (“EBT”). The BAT will be trained to proficiency in the 

operation of the EBT. The EBTs are subject to a quality assurance plan developed by the 

manufacturers of EBTs. In order to insure that the test results are attributed to the correct 

employee, the BAT will require the employee to provide photo identification before tests are 

conducted. If the result of the alcohol screening test is an alcohol concentration of less than 0.02 

percent, the employee will be deemed to have passed the alcohol test. If the result of the 

screening test is a breath alcohol concentration of 0.02 percent or greater, a confirmation test 

shall be performed. The confirmation test shall be conducted within thirty minutes of the 

completion of the screening test. The results of FTA-mandated breath alcohol testing will be 

compiled on a U.S. Department of Transportation (“DOT”) Alcohol Testing Form (“ATF”). The 

results of breath alcohol testing required by SDTC (and not FTA) will be on non-DOT testing 

forms. 

B. Procedures for Drug Screen Tests. All FTA-mandated drug screen tests called for 

in this policy shall be conducted in accordance with 49 C.F.R. Part 40: Procedures for 

Transportation Workplace Drug and Alcohol Testing Programs. The drugs tested for will be 

SDTC 2005 D/A Policy -8-
 

marijuana, cocaine, opiates, phencyclidine and amphetamines. The DOT drug testing custody 

and control form will be utilized in connection with all FTA-mandated drug screen tests 

administered pursuant to this policy (tests under SDTC policy will be conducted using non-DOT 

testing forms). When an employee arrives at the collection site, the collection site person shall 

positively identify the employee through the presentation of photo identification. Collection 

personnel will be trained to ensure employee privacy in providing the urine specimen. Urine 

specimens collected for drug testing will be split into two containers at the collection site. 

Collection site personnel will be trained to maintain the integrity of the specimen collection and 

transfer process. In order to maintain the integrity of the urine specimen, the specimen shall 

remain under the direct control of the collection site person from delivery to its being sealed in 

the mailer to the laboratory conducting the testing on the urine specimen. A tamper-proof 

sealing system will be utilized to ensure against undetected opening. The specimen bottle shall 

be identified with a unique identifying number identical to that appearing on the urine custody 

and control form. 

Transfer of a urine specimen will always be accomplished through appropriate chain of 

custody procedures. The forms accompanying the specimens will have unique preprinted 

specimen ID numbers and the employee will sign or initial certifying that the specimen was 

taken from that employee. All drug screen tests which are positive will be retested in a 

confirmation test prior to the laboratory specifying a positive result on a drug screen test. All 

drug testing done under this policy will be done by a laboratory that has been certified by the 

federal Department of Health and Human Services (“DHHS”). SDTC’s DHHS certified 

laboratory is Quest Diagnostics, Inc. All confirmatory tests will be performed using GC/MS 

techniques. There are federally mandated cut-off limits for the minimum quantity of drug that 

must be detected in order for a positive test on the initial and confirming test. The current cut-off 

limits expressed in nanograms per milliliter (ng/ml) are as follows: 

Drug Initial Screen Confirming Test 

Marijuana 50 15 

Cocaine 300 150 

Opiates 2000 2000 

PCP 25 25 

Amphetamines 1000 500 

In order to protect SDTC’s employees and the integrity of the drug testing process, SDTC 

has retained the services of a Medical Review Officer (“MRO”). SDTC’s MRO is Benjamin 

Gerson, M.D., of University Services. Dr. Gerson’s phone number is 215-637-6800. The MRO 

is a licensed physician with knowledge of drug abuse disorders. If the laboratory results are 

confirmed positive, the MRO will interview the employee and review all information provided 

by the employee to determine whether the results are indicative of illegal or illicit drug use. If 

the employee provides an adequate explanation, the MRO will verify the test results as negative 

with the substance abuse program manager and take no further action. If the test result of the 

primary specimen is positive, the employee may request that the MRO direct that the second split 

specimen be tested in a different DHHS laboratory. The MRO shall honor such request if it is 

SDTC 2005 D/A Policy -9-
 

made within 72 hours of the employee having been notified of a verified positive test. If an 

employee has not contacted the MRO within 72 hours, the employee may present to the MRO 

information documenting that serious illness, injury, inability to contact the MRO, lack of actual 

notice of the verified positive test, or other circumstances unavoidably prevented the employee 

from timely contacting the MRO. If the MRO concludes that there is a legitimate explanation 

for the employee’s failure to contact the MRO within 72 hours, the MRO shall direct that the 

reanalysis of the primary specimen or analysis of the split specimen, as applicable, be performed. 

If the employee requests such testing of the second split specimen, the employee must pay for 

such testing. The results of the test at the second DHHS-approved laboratory will be forwarded 

to the MRO. If the results of the second test fail to confirm the presence of the drugs or drug 

metabolites found in the primary specimen, the MRO shall cancel the test. 

If the MRO advises SDTC that the result of the drug test was negative, but that 

the test was dilute (i.e. a specimen with creatinine and specific gravity values that are lower than 

expected for human urine), the employee will be required to take another drug screen test 

immediately. In this circumstance, the employee will be given as little advance notice as 

possible that he or she must return to the collection site. The test result from this test will be 

utilized for determining if the employee passed the drug screen test. 

The drug testing laboratory shall report test results to the MRO in writing, identifying the 

results of the test. The MRO will report to SDTC whether the test is positive or negative, and 

may report the drug for which there was a positive test, but shall not disclose the quantitation of 

the test results (except in the case of a grievance, lawsuit, or other proceeding initiated by the 

employee arising out of the verified positive drug test). All records pertaining to urine 

specimens shall be retained by the drug testing laboratory for a minimum of two (2) years. The 

drug testing laboratory shall retain all urine specimens confirmed as positive and place them into 

properly secured long-term frozen storage for a minimum of one (1) year. 

VII.
 


FALSIFICATION, FAILURE TO ARRIVE FOR TESTING 
 

AND FAILURE TO NOTIFY 
 

Any employee who provides false information in connection with an alcohol or drug test 

administered under this policy, shall be subject to termination of employment under SDTC 

policy. 

All employees are required to notify SDTC Human Resources in writing immediately, 

but in any event within five days, after they have been convicted of a criminal drug statute 

violation that occurred in the workplace or while working. Any employee who fails to notify the 

SDTC Director of Human Resources and Labor Relations of any such conviction for a criminal 

drug violation no later than five days after such conviction shall be subject to termination of 

employment. 

SDTC 2005 D/A Policy -10-
 

VIII.
 


BEHAVIOR CONSTITUTING A REFUSAL TO SUBMIT TO 
 

A TEST 
 

A. Actions considered a refusal to submit to an alcohol or drug screen test include: 

(1) Failure to appear for any test (except a pre-employment test) within a reasonable time, 

as determined by the employer, after being directed to do so by the employer; 

(2) Failure to remain at the testing site until the testing process is complete; 

(3) Failure to cooperate with any part of the testing process; 

(4) Refusal by an employee to complete and sign the certification at Step 2 of the ATF 

(Alcohol Testing Form) for an FTA-mandated test (or an SDTC form, if it is a non-FTA 

test); 

(5) Failure to provide an adequate breath specimen for testing without a valid medical 

explanation, or 

(6) Refusal to undergo a medical examination or evaluation as directed by the MRO or as 

directed by a Designated Employer Representative (“DER”). 

B. Actions considered a refusal to submit to a drug screen test include: 

(1) Failure to appear for any test (except a pre-employment test) within a reasonable time, 

as determined by the employer, after being directed to do so by the employer; 

(2) Failure to remain at the testing site until the testing process is complete; 

(3) Failure to cooperate with any part of the testing process (e.g., refusal to empty pockets 

when so directed by the collector, behaving in a confrontational way that disrupts the 

collection process); 

(4) Failure to provide a sufficient urine sample as required without a valid medical cause 

established in writing by a physician; 

(5) Refusal to undergo a medical examination or evaluation as directed by the MRO or as 

directed by a Designated Employer Representative (“DER”); 

(6) Failure or refusal by an employee to take a second drug screen test if a DER or the 

MRO has directed the employee to do so; 

(7) Failure to permit the observation or monitoring of the collection of the specimen in 

the case where the MRO requires a directly observed or monitored collection of a 

urine specimen; or 

(8) The MRO reports to SDTC that an employee has a verified adulterated or substituted 

test result. 

SDTC 2005 D/A Policy -11-
 

 

Refusal to submit to a drug test constitutes a verified positive drug test result. 

IX.
 


EMPLOYEE ASSISTANCE PROGRAM 
 

A. Any employee who feels that he or she has developed an addiction to, dependence 

upon or problem with alcohol or drugs, legal or illegal, is encouraged to seek assistance. No 

disciplinary action will be issued against any employee who (1) comes forward to management 

with their problem prior to being requested to submit to an alcohol or drug screen test and before 

the company learns of a violation of the drug and alcohol policy, and (2) provided the employee 

has not violated the policy before coming to management. If an employee comes forward to 

management regarding a drug or alcohol problem seeking assistance, but management learns that 

the employee violated this policy before coming forward (e.g. a bus driver who drove a bus with 

illegal drugs in his system), SDTC will discipline the employee for violating the policy, up to 

and including termination of employment. Further, if the company learns of a violation of this 

policy before the employee comes forward, or if the employee seeks assistance for the problem 

only after being requested to submit to a drug or alcohol test, the employee will be subject to 

disciplinary action up to and including termination of employment. 

B. Assistance for substance abuse may be sought by contacting Human Resources, 

your immediate supervisor, any officer of your local union, or the Employee Assistant Program 

(“EAP”) directly. Information concerning the EAP is posted on bulletin boards throughout the 

company and is available from Human Resources. Each request for assistance will be treated as 

confidential. 

C. The company’s EAP has developed contacts with local hospitals and community 

organizations offering alcohol or drug treatment programs. The EAP will refer employees 

seeking assistance to an appropriate treatment organization. Any employee failing a test required 

under this policy will be referred to the EAP, which will determine what assistance, if any, the 

employee needs in resolving problems associated with drugs or alcohol. The referral to the EAP 

is independent of any disciplinary action that the company may impose. 

D. Rehabilitation itself is the responsibility of the employee. However, any 

employee seeking medical attention for alcoholism or drug addiction will be entitled to benefits 

available under the company or the union’s group medical insurance plans subject to the 

restrictions and limits stated in the applicable plan summary. Furthermore, rehabilitation leave 

will be available only to those employees whose employment is not terminated by management 

because they meet the conditions for employee assistance as set forth in paragraph A above. 

Employees granted rehabilitation leave will be subject to the leave of absence provisions of the 

collective bargaining agreement (or the applicable administrative leave policies, if the employee 

is an administrative employee or member of management). Rehabilitation leave while be 

available on a one-time-only basis, subject to the conditions for continuing employment in 

Paragraph E below. SDTC will not offer rehabilitation leave on a second occasion. The 

recurrence of an alcohol or drug problem will result in termination of employment. 

E. To be eligible for continuation in employment with SDTC following a 

rehabilitation leave, the employee must: 

SDTC 2005 D/A Policy -12-
 

1. Undergo evaluation by the Substance Abuse Professional (“SAP”), who 

will recommend a course of rehabilitation. 

2. Begin a program of rehabilitation, strictly follow the rules and guidelines 

of that program, and sign a release of all medical information, including that relating to drug and 

alcohol treatment, so the company can monitor his or her progress. 

3. Remain continuously enrolled in a treatment program and actively 

participate in that program. 

4. Not reject treatment or leave the treatment program prior to being properly 

discharged therefrom. 

5. Agree that the SAP will determine whether the employee has successfully 

completed the program. 

6. Not violate the Drug and Alcohol Policy. 

F. Any employee suffering from an alcohol or drug problem who rejects treatment or 

who leaves a treatment program prior to being properly discharged therefrom will be terminated 

from employment with SDTC. 

G. All employees returning to active employment from rehabilitation will be required 

to sign a “Return to Work Agreement” providing: 

1. That the employee must pass an alcohol and/or drug test before returning 

to work; 

2. That a substance abuse professional must determine that the employee has 

properly followed an appropriate rehabilitation program and is capable of returning to duty; 

3. For unannounced alcohol and drug testing at a company designated 

medical facility for a minimum of 12 months from date of return to work to insure that the 

employee has freed himself or herself from the alcohol and/or drug problem. The number and 

frequency of the unannounced testing shall be as directed by a Substance Abuse Professional 

(“SAP”), and shall consist of at least six tests in the first 12 months following the employee’s 

return to duty. The employee will be subject to follow-up testing for as long as prescribed by the 

SAP, but such testing shall not continue beyond five years from the date the employee returns to 

duty. 

4. That failure of such a test or refusal to immediately submit to such testing 

during this period shall be grounds for immediate termination; 

5. That the employee must maintain an acceptable attendance and 

performance record, not violate the Drug and Alcohol Policy and comply with all other company 

rules and policies upon their return to work. 

SDTC 2005 D/A Policy -13-
 

X.
 


ADDITIONAL INFORMATION REGARDING THIS DRUG 
 

AND ALCOHOL POLICY 
 

A. Questions Regarding the Policy. Any employees having questions about SDTC’s 

Drug and Alcohol policy should contact the company’s Manager of Human Resources, Steve 

St. Pierre, at the MTS building, 1255 Imperial Avenue, Suite 900, San Diego, California 92101-

7490, telephone number 619-557-4568. 

B. Substance Abuse Professional. 

SDTC has secured the services of a Substance Abuse Professional (“SAP”). SDTC’s 

Substance Abuse Professional is Peggy Wagner of Horizons Health Group, who can be reached 

at 858-571-1698. Ms. Wagner is a Certified Employee Assistance Professional who specializes 

in evaluating and treating individuals with substance abuse disorders. The SAP will be utilized 

to evaluate employees who come forward with substance abuse problems, and employees who 

are found in violation of this policy. As to employees returning to duty after failing an alcohol or 

drug test or following leave for substance abuse rehabilitation, the SAP will evaluate the 

employee and direct the frequency of follow-up drug and alcohol testing for the employee. 

C. Notice of Certain Requirements in Addition to FTA-Mandated Requirements. 

This policy is designed to comply with the Federal Transit Administration (“FTA”) 

regulations on prevention of prohibited drug use and alcohol misuse in transit operations, 49 

C.F.R. Part 655. However, SDTC has added certain additional requirements to this policy not 

mandated by the FTA regulations, including the following: 

1. Except as specifically noted, this policy applies to all SDTC employees, 

not just safety-sensitive employees as defined by FTA. 

2. This policy prohibits the use of legal drugs while working if those drugs 

may impair judgment, coordination or other senses, or have an adverse effect on safety. 

3. This policy calls for alcohol and drug testing at the time of DMV 

recertification, as set forth in paragraph V(G) of this policy. 

4. This policy requires alcohol and drug testing following injuries and upon 

return to duty following a leave of absence of 90 calendar days or more. 

D. Right to Examine Records. 

Every employee has the unqualified right to review his/her drug and alcohol testing 

records, provide information to dispute the results of a drug or alcohol test and, upon written 

request, to obtain copies of any records pertaining to his or her drug and alcohol tests, including 

records pertaining to equipment calibration and laboratory certifications. 

E. Training. SDTC provides training for its supervisors in order for them to be able 

to make a determination of whether reasonable suspicion exists for an employee to be required to 

SDTC 2005 D/A Policy -14-
 

 

submit to reasonable suspicion alcohol/drug screening. This training includes a minimum of 60 

minutes of supervisor training on drugs and 60 minutes of supervisor training on alcohol. 

Further, SDTC has conducted training for all existing employees and conducts 

training for all new employees, consisting of a minimum of 60 minutes of employee training on 

drugs and alcohol and the drug and alcohol policy. 

* * * 

SDTC 2005 D/A Policy -15-
 

 

 

APPROVAL OF POLICY BY SDTC 

This Drug and Alcohol Policy has been approved by the Board of Directors and Chief 

Operating Officer of SDTC. 

Dated: 

Leon Williams, Chairman, 

Board of Directors 

Dated: 

Claire Spielberg, Chief Operating Officer 

SDTC 2005 D/A Policy -16-
 

 

 

 

ACKNOWLEDGMENT OF RECEIPT OF 

SAN DIEGO TRANSIT CORPORATION 

DRUG AND ALCOHOL POLICY 

(Effective March 10, 2005-Revised) 

I hereby acknowledge receipt of a copy of the revised SAN DIEGO TRANSIT 

CORPORATION Drug and Alcohol Policy effective March 10, 2005. I understand that I am 

responsible to read the policy and in consideration of my employment with the company, I 

hereby agree to comply with the policy in all respects and consent to the alcohol testing and drug 

testing required by this policy. 

DATED: 

Employee Signature 

Employee Name (Please Print) 

Employee Badge Number 

SDTC 2005 D/A Policy -17-

State DOT–Statewide Policy 
 

Ohio DOT 
 

Ohio Department of Transportation (ODOT) 
 

Drug and Alcohol Testing Policy
 


Summary: ODOT’s drug and alcohol testing policy is a statewide policy, covering 

the 12 districts in the state of Ohio. ODOT’s mission is to ensure that its transit 

and paratransit services are delivered safely, efficiently, and effectively by 

establishing a drug and alcohol-free work environment, and to ensure that the 

workplace remains free from the effects of drugs and alcohol in order to promote 

the health and safety of employees and the general public. Additionally, the 

purpose of this policy is to establish guidelines to maintain a drug and alcoholfree workplace in compliance with the Drug-Free Workplace Act of 1988, and the 

Omnibus Transportation Employee Testing Act of 1991. This policy is intended to 

comply with all applicable Federal regulations governing workplace anti-drug and 

alcohol programs in the transit industry. Specifically, the Federal Transit 

Administration (FTA) of the U.S. Department of Transportation has published 49 

CFR Part 655, as amended, that mandates urine drug testing and breath alcohol 

testing for safety-sensitive positions, and prohibits performance of safetysensitive functions when there is a positive test result. 

 

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DRUG AND ALCOHOL TESTING POLICY 

Adopted , 2004 

A. PURPOSE 

The _________________ provides public transit and 

paratransit services for the residents of 

______________________________. Part of our mission is to 

ensure that this service is delivered safely, efficiently, and 

effectively by establishing a drug and alcohol-free work 

environment, and to ensure that the workplace remains free from 

the effects of drugs and alcohol in order to promote the health and 

safety of employees and the general public. In keeping with this 

mission, _________________ declares that the unlawful 

manufacture, distribution, dispense, possession, or use of 

controlled substances or misuse of alcohol is prohibited for all 

employees. 

Additionally, the purpose of this policy is to establish 

guidelines to maintain a drug and alcohol-free workplace in 

compliance with the Drug-Free Workplace Act of 1988, and the 

Omnibus Transportation Employee Testing Act of 1991. This policy 

is intended to comply with all applicable Federal regulations 

governing workplace anti-drug and alcohol programs in the transit 

industry. Specifically, the Federal Transit Administration (FTA) of 

the U.S. Department of Transportation has published 49 CFR Part 

655, as amended, that mandates urine drug testing and breath 

alcohol testing for safety-sensitive positions, and prohibits 

performance of safety-sensitive functions when there is a positive 

test result. The U. S. Department of Transportation (USDOT) has 

also published 49 CFR Part 40, as amended, that sets standards 

for the collection and testing of urine and breath specimens. 

Any provisions set forth in this policy that are included under 

the sole authority of _________________ and are not provided 

under the authority of the above named Federal regulations are 

underlined. 

1 
 

All Underlined 

sections are suggested 

employer provisions 

and not required by 

the FTA. Transit 

system’s must decide 

if the sections are to 

be deleted, if they 

remain, or if the 

provisions need to be 

changed to reflect 

current transit system 

policy, (i.e. 

disciplinary actions) 

All Underlined 

sections are suggested 

employer provisions 

and not required by 

the FTA. Transit 

system’s must decide 

if the sections are to 

be deleted, if they 

remain, or if the 

provisions need to be 

changed to reflect 

current transit system 

policy, (i.e. 

disciplinary actions) 
46 B. APPLICABILITY 

47 

48 This Drug and Alcohol Testing Policy applies to all safety49 sensitive employees (full- or part-time) when performing safety 

50 sensitive duties _________________ employees that do not 

51 perform safety-sensitive functions are also covered under this 

52 policy under the sole authority of _________________. A safety53 sensitive function is operation of mass transit service including 

54 the operation of a revenue service vehicle (whether or not the 

55 vehicle is in revenue service), maintenance of a revenue service 

56 vehicle or equipment used in revenue service, security personnel 

57 who carry firearms, dispatchers or person controlling the 

58 movement of revenue service vehicles and any other transit 

59 employee who is required to hold a Commercial Drivers License. 

60 Maintenance functions include the repair, overhaul, and rebuild of 

61 engines, vehicles and/or equipment used in revenue service. A 

62 list of safety-sensitive positions who perform one or more of the 

63 above mentioned duties is provided in Attachment A. 

64 Supervisors are only safety sensitive if they perform one of the 

65 above functions. Volunteers are considered safety sensitive and 

66 subject to testing if they are required to hold a CDL, or receive 

67 remunerated for service in excess of actual expense. 

68 

69 C. DEFINITIONS 

70 

71 Accident means an occurrence associated with the operation 

72 of a vehicle even when not in revenue service in revenue service, if 

73 as a result--

74 

75 (1) An individual dies; 

76 (2) An individual suffers a bodily injury and immediately 

77 receives medical treatment away from the scene of 

78 the accident; or, 

79 (3) One or more vehicles incurs disabling damage as the 

80 result of the occurrence and is transported away from 

81 the scene by a tow truck or other vehicle. For 

82 purposes of this definition, disabling damage means 

83 damage which precludes departure of any vehicle 

84 from the scene of the occurrence in its usual manner 

85 in daylight after simple repairs. Disabling damage 

86 includes damage to vehicles that could have been 

87 operated but would have been further damaged if so 

88 operated, but does not include damage which can be 

89 remedied temporarily at the scene of the occurrence 

90 without special tools or parts, tire disablement without 

2 
 

91 other damage even if no spare tire is available, or 

92 damage to headlights, taillights, turn signals, horn, 

93 mirrors or windshield wipers that makes them 

94 inoperative. 

95 

96 Adulterated specimen. A specimen that contains a 

97 substance that is not expected to be present in human urine, or 

98 contains a substance expected to be present but is at a 

99 concentration so high that it is not consistent with human urine. 

100 

101 Alcohol means the intoxicating agent in beverage alcohol, 

102 ethyl alcohol, or other low molecular weight alcohols contained in 

103 any beverage, mixture, mouthwash, candy, food, preparation or 

104 medication. 

105 

106 Alcohol Concentration is expressed in terms of grams of 

107 alcohol per 210 liters of breath as measured by an evidential breath 

108 testing device. 

109 

110 Canceled Test is a drug test that has been declared invalid 

111 by a Medical Review Officer. A canceled test is neither positive nor 

112 negative. 

113 

114 Covered Employee means an employee who performs a 

115 safety-sensitive function including an applicant or transferee who is 

116 being considered for hire into a safety-sensitive function (See 

117 Attachment A for a list of covered employees), and other 

118 employees, applicants, or transferee that will not perform a safety119 sensitive function but falls under the policy of the company’s own 

120 authority. 

121 

122 

123 Designated Employer Representative (DER) An 

124 employee authorized by the employer to take immediate action to 

125 remove employees from safety-sensitive duties and to make 

126 required decisions in testing. The DER also receives test results 

127 and other communications for the employer, consistent with the 

128 requirements of 49 CFR Parts 40 and 655. 

129 

130 Department of Transportation (DOT) Department of the 

131 federal government which includes the, Federal Transit 

132 Administration, Federal Railroad Administration, Federal Highway 

133 Administration, Federal Motor Carriers’ Safety Administration, 

134 Research and Special Programs, and the Office of the Secretary of 

135 Transportation. 

3 
 

 

136 

137 Dilute specimen. A specimen with creatinine and specific 

138 gravity values that are lower than expected for human urine. 

139 

140 Disabling damage means damage which precludes 

141 departure of any vehicle from the scene of the occurrence in its 

142 usual manner in daylight after simple repairs. Disabling damage 

143 includes damage to vehicles that could have been operated but 

144 would have been further damaged if so operated, but does not 

145 include damage which can be remedied temporarily at the scene of 

146 the occurrence without special tools or parts, tire disablement 

147 without other damage even if no spare tire is available, or damage 

148 to headlights, taillights, turn signals, horn, mirrors or windshield 

149 wipers that makes them inoperative. 

150 

151 Evidentiary Breath Testing Device (EBT) A Device approved 

152 by the NHTSA for the evidential testing of breath at the 0.02 and 

153 the 0.04 alcohol concentrations. Approved devices are listed on 

154 the National Highway Traffic Safety Administration (NHTSA) 

155 conforming products list. 

156 

157 Medical Review Officer (MRO) means a licensed physician 

158 (medical doctor or doctor of osteopathy) responsible for receiving 

159 laboratory results generated by the drug testing program who has 

160 knowledge of substance abuse disorders, and has appropriate 

161 medical training to interpret and evaluate an individual's confirmed 

162 positive test result, together with his/her medical history, and any 

163 other relevant bio-medical information. 

164 

165 Negative Dilute A drug test result which is negative for the 

166 five drug/drug metabolites but has a specific gravity value lower 

167 than expected for human urine. 

168 

169 Negative test result for a drug test means a verified 

170 presence of the identified drug or its metabolite below the minimum 

171 levels specified in 49 CFR Part 40, as amended. An alcohol 

172 concentration of less than 0.02 BAC is a negative test result. 

173 

174 Non-negative test result is a test result found to be 

175 adulterated, substitute, invalid, or positive for drug/drug 

176 metabolites. 

177 

178 Performing (a safety-sensitive function) means a covered 

179 employee is considered to be performing a safety-sensitive function 

4 
180 and includes any period in which he or she is actually performing, 

181 ready to perform, or immediately available to perform such 

182 functions. 

183 

184 Positive test result for a drug test means a verified presence 

185 of the identified drug or its metabolite at or above the minimum 

186 levels specified in 49 CFR Part 40, as amended. A positive alcohol 

187 test result means a confirmed alcohol concentration of 0.04 BAC or 

188 greater. 

189 

190 Prohibited drug means marijuana, cocaine, opiates, 

191 amphetamines, or phencyclidine at levels above the minimum 

192 thresholds specified in 49 CFR Part 40, as amended. 

5 
Revenue Service Vehicles include all transit vehicles that are used for 

passenger transportation service or that require a CDL to operate. Include all 

ancillary vehicles used in support of the transit system. 

Safety-sensitive functions include (a) the operation of a transit revenue 

service vehicle even when the vehicle is not in revenue service; (b) the operation 

of a non-revenue service vehicle by an employee when the operation of such a 

vehicle requires the driver to hold a Commercial Drivers License (CDL); (c) 

maintaining a revenue service vehicle or equipment used in revenue service; (d) 

controlling the movement of a revenue service vehicle and (e) carrying a firearm 

for security purposes. 

Substance Abuse Professional (SAP) means a licensed physician 

(medical doctor or doctor of osteopathy) or licensed or certified psychologist, 

social worker, employee assistance professional, or addiction counselor (certified 

by the National Association of Alcoholism and Drug Abuse Counselors 

Certification Commission or by the International Certification Reciprocity 

Consortium/Alcohol and other Drug Abuse) with knowledge of and clinical 

experience in the diagnosis and treatment of drug and alcohol related disorders. 

 Substituted specimen. A specimen with creatinine and specific gravity 

values that are so diminished that they are not consistent with normal human 

urine. 

Test Refusal The following are considered a refusal to test if the 

employee: 

•	 Fails to appear for any test (excluding pre-employment) within a reasonable 

time, as determined by the employer, after being directed to do so by the 

employer 

•	 Fails to remain at the testing site until the testing process is complete; 

•	 Fails to provide a urine or breath specimen for any drug or alcohol test 
 

required by Part 40 or DOT agency regulations; 
 

•	 In the case of a directly observed or monitored collection in a drug test, fails 

to permit the observation or monitoring of your provision of a specimen 

•	 Fails to provide a sufficient amount of urine or breath when directed, and it 

has been determined, through a required medical evaluation, that there 

was no adequate medical explanation for the failure 

•	 Fails or declines to take a second test the employer or collector has 
 

directed you to take; 
 

•	 Fails to undergo a medical examination or evaluation, as directed by the 

MRO as part of the verification process, or as directed by the DER as part 

of the ``shy bladder'' or “shy lung” procedures 

•	 Fails to cooperate with any part of the testing process (e.g., refuse to empty 

pockets when so directed by the collector, behave in a confrontational way 

that disrupts the collection process). 

6 
 

• if the MRO reports that there is verified adulterated or substituted test result 

• Failure or refusal to sign Step 2 of the alcohol testing form. 

Verified negative test means a drug test result reviewed by a medical 

review officer and determined to have no evidence of prohibited drug use above 

the minimum cutoff levels established by the Department of Health and Human 

Services (HHS). 

Verified positive test means a drug test result reviewed by a medical 

review officer and determined to have evidence of prohibited drug use above the 

minimum cutoff levels specified in 49 CFR Part 40 as revised. 

Validity testing is the evaluation of the specimen to determine if it is 

consistent with normal human urine. The purpose of validity testing is to 

determine whether certain adulterants or foreign substances were added to the 

urine, if the urine was diluted, or if the specimen was substituted. 

D. EDUCATION AND TRAINING 

Every covered employee will receive a copy of this policy and will have 

ready access to the corresponding federal regulations including 49 CFR Parts 

655 and 40, as amended. In addition, all covered employees will undergo a 

minimum of 60 minutes of training on the signs and symptoms of drug use 

including the effects and consequences of drug use on personal health, safety, 

and the work environment. The training also includes manifestations and 

behavioral cues that may indicate prohibited drug use. 

All supervisory personnel or company officials who are in a position to 

determine employee fitness for duty will receive 60 minutes of reasonable 

suspicion training on the physical, behavioral, and performance indicators of 

probable drug use and 60 minutes of additional reasonable suspicion training on 

the physical, behavioral, speech, and performance indicators of probable alcohol 

misuse. Under the _________________’s own authority, supervisory personnel 

will also be trained on how to intervene constructively, and how to effectively 

integrate an employee back into his/her work group following intervention and/or 

treatment. 

Information on the signs, symptoms, health effects, and consequences of 

alcohol misuse is presented in Attachment B of this policy. 

E. PROHIBITED SUBSTANCES 

Prohibited substances addressed by this policy include the 

following. 

7 
(1) Illegally Used Controlled Substance or Drugs Under 

the Drug-Free Workplace Act of 1988 any drug or any substance 

identified in Schedule I through V of Section 202 of the Controlled 

Substance Act (21 U.S.C. 812), and as further defined by 21 CFR 

1300.11 through 1300.15 is prohibited at all times in the workplace 

unless a legal prescription has been written for the substance. This 

includes, but is not limited to: marijuana, amphetamines, opiates, 

phencyclidine (PCP), and cocaine, as well as any drug not 

approved for medical use by the U.S. Drug Enforcement 

Administration or the U.S. Food and Drug Administration. Illegal 

use includes use of any illegal drug, misuse of legally prescribed 

drugs, and use of illegally obtained prescription drugs. Also, the 

medical use of marijuana, or the use of hemp related products, as 

which cause drug or drug metabolites to be present in the body 

above the minimum thresholds is a violation of this policy. 

Federal Transit Administration drug testing regulations (49 

CFR Part 655) require that all covered employees be tested for 

marijuana, cocaine, amphetamines, opiates, and phencyclidine as 

described in Section H of this policy. Illegal use of these five 

drugs is prohibited at all times and thus, covered employees may 

be tested for these drugs anytime that they are on duty. 

(2) Legal Drugs: The appropriate use of legally 

prescribed drugs and non-prescription medications is not 

prohibited. However, the use of any substance which carries a 

warning label that indicates that mental functioning, motor skills, or 

judgment may be adversely affected must be reported to a 

_________________ supervisor and the employee is required to 

provide a written release from his/her doctor or pharmacist 

indicating that the employee can perform his/her safety-sensitive 

functions. 

(3) Alcohol: The use of beverages containing alcohol 

(including any mouthwash, medication, food, candy) or any other 

substances such that alcohol is present in the body while 

performing safety-sensitive job functions is prohibited. An alcohol 

test can be performed on a covered employee under 49 CFR Part 

655 just before, during, or just after the performance of safetysensitive job functions. Under _________________ authority, an 

alcohol test can be performed any time a covered employee is on 

duty. 

F. PROHIBITED CONDUCT 

(1) All covered employees are prohibited from reporting for duty or 

8 
_________________ 

remaining on duty any time there is a quantifiable presence of a 

prohibited drug in the body above the minimum thresholds defined 

in 49 CFR PART 40, as amended. 

(2) 	 Each covered employee is prohibited from consuming alcohol while 

performing safety-sensitive job functions or while on-call to perform 

safety-sensitive job functions. If an on-call employee has 

consumed alcohol, they must acknowledge the use of alcohol at the 

time that they are called to report for duty. The covered employee 

will subsequently be relieved of his/her on-call responsibilities and 

subject to discipline. 

(3) 	 The Transit Department shall not permit any covered employee to 

perform or continue to perform safety-sensitive functions if it has 

actual knowledge that the employee is using alcohol 

(4) 	 (4) Each covered employee is prohibited from reporting 

to work or remaining on duty requiring the 

performance of safety-sensitive 

functions while having an alcohol concentration of 

0.02 or greater regardless of when the alcohol was 

consumed. 

(5) 	 No covered employee shall consume alcohol for eight (8) hours 

following involvement in an accident or until he/she submits to the 

post-accident drug/alcohol test, whichever occurs first. 

(6) 	 No covered employee shall consume alcohol within four (4) hours 

prior to the performance of safety-sensitive job functions. 

(7) under its own authority also prohibits the 

consumption of alcohol all times employee is on duty, or anytime 

the employee is in uniform. 

(8) 	 Consistent with the Drug-free Workplace Act of 1988, all 

_________________ employees are prohibited from engaging in 

the unlawful manufacture, distribution, dispensing, possession, or 

use of prohibited substances in the work place including Transit 

Department premises and transit vehicles. 

G. 	 DRUG STATUTE CONVICTION 

Consistent with the Drug Free Workplace Act of 1998, all employees are 

required to notify the _________________ management of any criminal drug 

statute conviction for a violation occurring in the workplace within five days after 

such conviction. Failure to comply with this provision shall result in disciplinary 

action as defined in Section Q.10 of this policy. 

H. TESTING REQUIREMENTS 

Analytical urine drug testing and breath testing for alcohol will be 

conducted as required by 49CFR part 40 as amended. All covered 

employees shall be subject to testing prior to performing safetysensitive duty, for reasonable suspicion, following an accident, and 

9 
 

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random as defined in Section K, L, M, and N of this policy, and 

return to duty/follow-up. 

. All covered employees who have tested positive for drugs 

or alcohol will be tested prior to returning to duty after completion of 

the Substance Abuse Professional's recommended treatment 

program and subsequent release to duty. Follow-up testing will 

also be conducted following return-to-duty for a period of one to five 

years, with at least six tests performed during the first year. The 

duration and frequency of the follow-up testing above the minimum 

requirements will be at the discretion of the Substance Abuse 

Professional. 

A drug test can be performed any time a covered employee 

is on duty. An alcohol test can be performed just before, during, or 

after the performance of a safety-sensitive job function. Under 

_________________ authority, an alcohol test can be performed 

any time a covered employee is on duty. 

All covered employees will be subject to urine drug testing 

and breath alcohol testing as a condition of ongoing employment 

with _________________. Any safety-sensitive employee who 

refuses to comply with a request for testing shall be removed from 

duty and subject to discipline as defined in Section Q.3 of this 

policy. Any covered employee who is suspected of providing false 

information in connection with a drug test, or who is suspected of 

falsifying test results through tampering, contamination, 

adulteration, or substitution will be required to undergo an observed 

collection. Verification of the above listed actions will be 

considered a test refusal and will result in the employees removal 

from duty and disciplined as defined in Section Q.3 of this policy. 

Refer to Section C 3 for behavior that constitutes a refusal to test. 

I. DRUG TESTING PROCEDURES 

Testing shall be conducted in a manner to assure a high 

degree of accuracy and reliability and using techniques, equipment, 

and laboratory facilities which have been approved by the U.S. 

Department of Health and Human Service (HHS). All testing will be 

conducted consistent with the procedures set forth in 49 CFR Part 

40, as amended. The procedures will be performed in a private, 

confidential manner and every effort will be made to protect the 

employee, the integrity of the drug testing procedure, and the 

validity of the test result. 

10 
44 The drugs that will be tested for include marijuana, cocaine, 

45 opiates, amphetamines, and phencyclidine. After the identity of the 

46 donor is checked using picture identification, a urine specimen will 

47 be collected using the split specimen collection method described 

48 in 49 CFR Part 40, as amended. Each specimen will be 

49 accompanied by a DOT Chain of Custody and Control Form and 

50 identified using a unique identification number that attributes the 

51 specimen to the correct individual. The specimen analysis will be 

52 conducted at a HHS certified laboratory. An initial drug screen and 

53 validity test will be conducted on the primary urine specimen. For 

54 those specimens that are not negative, a confirmatory Gas 

55 Chromatography/Mass Spectrometry (GC/MS) test will be 

56 performed. The test will be considered positive if the amounts of 

57 the drug(s) and/or its metabolites identified by the GC/MS test are 

58 above the minimum thresholds established in 49 CFR Part 40, as 

59 amended. 

60 

61 The test results from the HHS certified laboratory will be 

62 reported to a Medical Review Officer. A Medical Review Officer 

63 (MRO) is a licensed physician with detailed knowledge of 

64 substance abuse disorders and drug testing. The MRO will review 

65 the test results to ensure the scientific validity of the test and to 

66 determine whether there is a legitimate medical explanation for a 

67 confirmed positive, substitute, or adulterated test result. The MRO 

68 will attempt to contact the employee to notify the employee of the 

69 non-negative laboratory result, and provide the employee with an 

70 opportunity to explain the confirmed laboratory test result. The 

71 MRO will subsequently review the employee’s medical 

72 history/medical records as appropriate to determine whether there 

73 is a legitimate medical explanation for a non-negative laboratory 

74 result. If no legitimate medical explanation is found, the test will be 

75 verified positive or refusal to test and reported to the 

76 _________________ Drug and Alcohol Program Manager (DAPM). 

77 If a legitimate explanation is found, the MRO will report the test 

78 result as negative to the DAPM and no further action will be taken. 

79 If the test is invalid without a medical explanation, a retest will be 

80 conducted under direct observation. 

81 Any covered employee who questions the results of a 

82 required drug test under paragraphs L through P of this policy may 

83 request that the split sample be tested. The split sample test must 

84 be conducted at a second HHS-certified laboratory with no 

85 affiliation with the laboratory that analyzed the primary specimen. 

86 The test must be conducted on the split sample that was provided 

87 by the employee at the same time as the primary sample. The 

88 method of collecting, storing, and testing the split sample will be 

11 
 

 

 

89 consistent with the procedures set forth in 49 CFR Part 40, as 

90 amended. The employee's request for a split sample test must be 

91 made to the Medical Review Officer within 72 hours of notice of the 

92 original sample verified test result. Requests after 72 hours will 

93 only be accepted at the discretion of the MRO if the delay was due 

94 to documentable facts that were beyond the control of the 

95 employee. _________________ will ensure that the cost for the 

96 split specimen are covered in order for a timely analysis of the 

97 sample, however _________________will seek reimbursement for 

98 the split sample test from the employee. 

99 

100 If the analysis of the split specimen fails to confirm the 

101 presence of the drug(s) detected in the primary specimen, if the 

102 split specimen is not able to be analyzed, or if the results of the split 

103 specimen are not scientifically adequate, the MRO will declare the 

104 original test to be canceled and will direct _________________ to 

105 retest the employee under direct observation. 

106 

107 The split specimen will be stored at the initial laboratory until 

108 the analysis of the primary specimen is completed. If the primary 

109 specimen is negative, the split will be discarded. If the primary is 

110 positive, the split will be retained for testing if so requested by the 

111 employee through the Medical Review Officer. If the primary 

112 specimen is positive, it will be retained in frozen storage for one 

113 year and the split specimen will also be retained for one year. 

114 

115 Observed collections 

116 

117 Consistent with 49 CFR part 40, as amended, collection under 

118 direct observation (by a person of the same gender) with no 

119 advance notice will occur if: 

120 (1) The laboratory reports to the MRO that a specimen is invalid, 

121 and the MRO reports to ____________________ that there was 

122 not an adequate medical explanation for the result; or 

123 (2) The MRO reports to _______________________ that the 

124 original positive, adulterated, or substituted test result had to be 

125 cancelled because the test of the split specimen could not be 

126 performed. 

127 (3) The collector observes materials brought to the collection site 

128 or the employee's conduct clearly indicates an attempt to tamper 

129 with a specimen or 

130 (4) The temperature on the original specimen was out of range. 

131 

12 
132 In addition, _________________________ may direct a 

133 collection under direct observation of an employee if the drug test is 

134 a return-to-duty test or a follow-up test. 

135 

136 J. ALCOHOL TESTING PROCEDURES 

137 

138 Tests for breath alcohol concentration will be conducted 

139 utilizing a National Highway Traffic Safety Administration (NHTSA)-

140 approved Evidential Breath Testing device (EBT) operated by a 

141 trained Breath Alcohol Technician (BAT). Alcohol screening tests 

142 may be performed using a non-evidential testing device which is 

143 also approved by NHSTA. If the initial test indicates an alcohol 

144 concentration of 0.02 or greater, a second test will be performed to 

145 confirm the results of the initial test. The confirmatory test must 

146 occur on an EBT. The confirmatory test will be conducted at least 

147 fifteen minutes after the completion of the initial test. The 

148 confirmatory test will be performed using a NHTSA-approved EBT 

149 operated by a trained BAT. The EBT will identify each test by a 

150 unique sequential identification number. This number, time, and 

151 unit identifier will be provided on each EBT printout. The EBT 

152 printout, along with an approved alcohol testing form, will be used 

153 to document the test, the subsequent results, and to attribute the 

154 test to the correct employee. The test will be performed in a 

155 private, confidential manner as required by 49 CFR Part 40, as 

156 amended. The procedure will be followed as prescribed to protect 

157 the employee and to maintain the integrity of the alcohol testing 

158 procedures and validity of the test result. 

159 

160 An employee who has a confirmed alcohol concentration of 

161 0.04 or greater will be considered a positive alcohol test and in 

162 violation of this policy. The consequences of a positive alcohol test 

163 are described in Section Q.4-5 of this policy. Even though an 

164 employee who has a confirmed alcohol concentration of 0.02 to 

165 0.039 is not considered positive, the employee shall still be 

166 removed from duty for at least eight hours or for the duration of the 

167 work day whichever is longer and will be subject to the 

168 consequences described in Section Q.9 of this policy. An alcohol 

169 concentration of less than 0.02 will be considered a negative test. 

170 

171 The Transit Department affirms the need to protect individual 

172 dignity, privacy, and confidentiality throughout the testing process. 

173 If at any time the integrity of the testing procedures or the validity of 

174 the test results is compromised, the test will be canceled. Minor 

175 inconsistencies or procedural flaws that do not impact the test 

176 result will not result in a cancelled test. 

13 
 

 

177 The alcohol testing form (ATF) required by 49 CFR Part 40 

178 as amended, shall be used for all FTA required testing. Failure of 

179 an employee to sign step 2 of the ATF will be considered a refusal 

180 to submit to testing. 

181 

182 K. PRE-EMPLOYMENT TESTING 

183 

184 All applicants for covered transit positions shall undergo 

185 urine drug testing and breath alcohol testing prior to performance of 

186 a safety-sensitive function. 

187 (1) All offers of employment for covered positions shall be 

188 extended conditional upon the applicant passing a 

189 drug and alcohol test test. An applicant shall not be 

190 placed into a safety -sensitive position unless the 

191 applicant takes a drug test with verified negative 

192 results, and an alcohol concentration below 0.02. 

193 (2) A non-covered employee shall not be placed, 

194 transferred or promoted into a covered position until 

195 the employee takes a drug test with verified negative 

196 results and an alcohol concentration below 0.02. 

197 . 

198 (3) If an applicant fails a pre-employment drug or alcohol 

199 test, the conditional offer of employment shall be 

200 rescinded. Failure of a pre-employment drug and/or 

201 alcohol test will disqualify an applicant for 

202 employment for a period of at least one year. The 

203 applicant must provide the employer proof of having 

204 successfully completed a referral, evaluation and 

205 treatment plan as described in section 655.62 of 

206 subpart G. The cost for the assessment and any 

207 subsequent treatment will be the sole responsibility of 

208 the applicant. 

209 (4) When an employee being placed, transferred, or 

210 promoted from a non-covered position to a covered 

211 position submits a drug test with a verified positive 

212 result, and/or an alcohol concentration above 0.04 

213 the employee shall be subject to disciplinary action in 

214 accordance with Section Q.4-5 and 9 herein. 

215 (5) If a pre-employment/pre-transfer test is canceled, 

216 _________________ will require the applicant to take 

217 and pass another pre-employment drug test. 

218 (6) In instances where a covered employee is on 

219 extended leave for a period of 90 days or more 

220 regardless of reason, and is not in the random testing 

221 pool the employee will be required to take a drug and 

14 
 

 

222 alcohol test under 49 CFR Part 655 and have 

223 negative test results prior to the conduct of safety224 sensitive job functions. 

225 (7) An applicant with a dilute negative test result will be 

226 required to retest. 

227 (8) Applicants are required to report previous DOT 

228 covered employer drug and alcohol test results— 

229 Failure to do so will result in the employment offer 

230 being rescinded. If the applicant has tested positive or 

231 refused to test on a pre-employment test for a DOT 

232 covered employer. The applicant must provide 

233 _____________ proof of having successfully 

234 completed a referral, evaluation and treatment plan as 

235 described in section 655.62 of subpart G. 

236 

237 

238 L. REASONABLE SUSPICION TESTING 

239 

240 All _________________ covered employees will be subject 

241 to a reasonable suspicion drug and/or alcohol test when the 

242 employer has reasonable suspicion to believe that the covered 

243 employee has used a prohibited drug and/or engaged in alcohol 

244 misuse. Reasonable suspicion shall mean that there is objective 

245 evidence, based upon specific, contemporaneous, articulable 

246 observations of the employee's appearance, behavior, speech or 

247 body odor that are consistent with possible drug use and/or alcohol 

248 misuse. Reasonable suspicion referrals must be made by one or 

249 more supervisors who are trained to detect the signs and 

250 symptoms of drug and alcohol use, and who reasonably concludes 

251 that an employee may be adversely affected or impaired in his/her 

252 work performance due to possible prohibited substance abuse or 

253 alcohol misuse. A reasonable suspicion alcohol test can only be 

254 conducted just before, during, or just after the performance of a 

255 safety-sensitive job function. However, under 

256 _________________’s authority, a reasonable suspicion alcohol 

257 test may be performed any time the covered employee is on duty. 

258 A reasonable suspicion drug test can be performed any time the 

259 covered employee is on duty. 

260 

261 _________________ shall be responsible for transporting 

262 the employee to the testing site. Supervisors should avoid placing 

263 themselves and/or others into a situation which might endanger the 

264 physical safety of those present. The employee shall be placed on 

265 administrative leave pending disciplinary action described in 

266 Section Q.4-5 and 9 of this policy. An employee who refuses an 

15 
267 instruction to submit to a drug/alcohol test shall not be permitted to 

268 finish his or her shift and shall immediately be placed on 

269 administrative leave pending disciplinary action as specified in 

270 Section Q.3 of this policy. 

271 

272 A written record of the observations which led to a 

273 drug/alcohol test based on reasonable suspicion shall be prepared 

274 and signed by the supervisor making the observation. This written 

275 record shall be submitted to the _________________ management 

276 and shall be attached to the forms reporting the test results. 

277 

278 When there are no specific, contemporaneous, articulable 

279 objective facts that indicate current drug or alcohol use, but the 

280 employee (who is not already a participant in a treatment program) 

281 admits the abuse of alcohol or other substances to a supervisor in 

282 his/her chain of command, the employee shall be referred to the 

283 SAP for an assessment. _________________ shall place the 

284 employee on administrative leave in accordance with the provisions 

285 set forth under Section Q.9 of this policy. Testing in this 

286 circumstance would be performed under the direct authority of the 

287 _________________. Since the employee self-referred to 

288 management, testing under this circumstance would not be 

289 considered a violation of this policy or a positive test result under 

290 Federal authority. However, self-referral does not exempt the 

291 covered employee from testing under Federal authority as specified 

292 in Sections L through N of this policy or the associated 

293 consequences as specified in Section Q.9. 

294 

295 

296 M. POST-ACCIDENT TESTING 

297 

298 All covered employees will be required to undergo urine and 

299 breath testing if they are involved in an accident with a transit 

300 revenue service vehicle regardless of whether or not the vehicle is 

301 in revenue service that results in a fatality. This includes all 

302 surviving covered employees that are operating the vehicle at the 

303 time of the accident and any other whose performance cannot be 

304 completely discounted as a contributing factor to the accident. 

305 

306 In addition, a post-accident test will be conducted if an 

307 accident results in injuries requiring immediate transportation to a 

308 medical treatment facility; or one or more vehicles incurs disabling 

309 damage, unless the operators performance can be completely 

310 discounted as a contributing factor to the accident. 

311 

16 
 

312 

313 (1) As soon as practicable following an accident, as 

314 defined in this policy, the transit supervisor 

315 investigating the accident will notify the transit 

316 employee operating the transit vehicle and all other 

317 covered employees whose performance could have 

318 contributed to the accident of the need for the test. 

319 The supervisor will make the determination using the 

320 best information available at the time of the decision. 

321 ( 2) The appropriate transit supervisor shall ensure that an 

322 employee, required to be tested under this section, is 

323 tested as soon as practicable, but no longer than 

324 eight (8) hours of the accident for alcohol, and within 

325 32 hours for drugs. If an alcohol test is not performed 

326 within two hours of the accident, the Supervisor will 

327 document the reason(s) for the delay. If the alcohol 

328 test is not conducted within (8) eight hours, or the 

329 drug test within 32 hours, attempts to conduct the test 

330 must cease and the reasons for the failure to test 

331 documented. 

332 (7) Any covered employee involved in an accident must 

333 refrain from alcohol use for eight (8) hours following 

334 the accident, or until he/she undergoes a post335 accident alcohol test. 

336 (8) An employee who is subject to post-accident testing 

337 who fails to remain readily available for such testing, 

338 including notifying a supervisor of his or her location if 

339 he or she leaves the scene of the accident prior to 

340 submission to such test, may be deemed to have 

341 refused to submit to testing. 

342 (9) Nothing in this section shall be construed to require 

343 the delay of necessary medical attention for the 

344 injured following an accident, or to prohibit an 

345 employee from leaving the scene of an accident for 

346 the period necessary to obtain assistance in 

347 responding to the accident, or to obtain necessary 

348 emergency medical care. 

349 (10) In the rare event that _________________ is unable 

350 to perform an FTA drug and alcohol test (i.e., 

351 employee is unconscious, employee is detained by 

352 law enforcement agency), _________________ may 

353 use drug and alcohol post-accident test results 

354 administered by local law enforcement officials in lieu 

355 of the FTA test. The local law enforcement officials 

356 must have independent authority for the test and the 

17 
 

 

357 employer must obtain the results in conformance with 

358 local law. 

359 

360 N. RANDOM TESTING 

361 

362 All covered employees will be subjected to random, 

363 unannounced testing. The selection of employees shall be made 

364 by a scientifically valid method of randomly generating an employee 

365 identifier from the appropriate pool of safety-sensitive employees. 

366 (1) The dates for administering unannounced testing of 

367 randomly selected employees shall be spread 

368 reasonably throughout the calendar year, day of the 

369 week and hours of the day. 

370 (2) The number of employees randomly selected for 

371 drug/alcohol testing during the calendar year shall be 

372 not less than the percentage rates established by 

373 Federal regulations for those safety-sensitive 

374 employees subject to random testing by Federal 

375 regulations. The current random testing rate for drugs 

376 established by FTA equals fifty percent of the number 

377 of covered employees in the pool and the random 

378 testing rate for alcohol established by FTA equals ten 

379 percent of the number of covered employees in the 

380 pool. 

381 (3) Each covered employee shall be in a pool from which 

382 the random selection is made. Each covered 

383 employee in the pool shall have an equal chance of 

384 selection each time the selections are made. 

385 Employees will remain in the pool and subject to 

386 selection, whether or not the employee has been 

387 previously tested. There is no discretion on the part 

388 of management in the selection. 

389 (4) Covered transit employees that fall under the Federal 

390 Transit Administration regulations will be included in 

391 one random pool maintained separately from the 

392 testing pool of employees that are included solely 

393 under _________________ authority. 

394 (5) Random tests can be conducted at any time during an 

395 employee’s shift for drug testing. Alcohol random 

396 tests can be performed just before, during, or just 

397 after the performance of a safety sensitive duty. 

398 However, under the _________________’s authority, 

399 a random alcohol test may be performed any time the 

400 covered employee is on duty. Testing can occur 

18 

Random test pools 

can include any DOT 

covered employee. If 

you have both FTA 

and FMCSA covered 

employees, they can 

be in the same pool 

Each employer defines 

a reasonable time for 

reporting for a random 

test 
401 during the beginning, middle, or end of an employee’s 

402 shift. 

403 (6) Employees are required to proceed immediately to 

404 the collection site upon notification of their random 

405 selection. 

406 

407 O. RETURN-TO-DUTY TESTING 

408 

409 All covered employees who previously tested positive on a drug 

410 or alcohol test or refused a test, must test negative for drugs, 

411 alcohol (below 0.02 for alcohol), or both and be evaluated and 

412 released by the Substance Abuse Professional before returning to 

413 work. For an initial positive drug test a Return-to-Duty drug test is 

414 required and an alcohol test is allowed. For an initial positive 

415 alcohol test a Return-to-Duty alcohol test is required and a drug test 

416 is allowed. Following the initial assessment, the SAP will 

417 recommend a course of rehabilitation unique to the individual. The 

418 SAP will recommend the return-to-duty test only when the 

419 employee has successfully completed the treatment requirement 

420 and is known to be drug- and alcohol-free and there is no undo 

421 concerns for public safety. 

422 

423 P. FOLLOW-UP TESTING 

424 

425 Covered employees will be required to undergo frequent, 

426 unannounced drug and/ oralcohol testing following their return-to427 duty. The follow-up testing will be performed for a period of one to 

428 five years with a minimum of six tests to be performed the first year. 

429 The frequency and duration of the follow-up tests (beyond the 

430 minimums) will be determined by the SAP reflecting the SAP’s 

431 assessment of the employee’s unique situation and recovery 

432 progress. Follow-up testing should be frequent enough to deter 

433 and/or detect a relapse. Follow-up testing is separate and in 

434 addition to the random, post-accident, reasonable suspicion and 

435 return-to-duty testing. 

436 

437 Q. RESULT OF DRUG/ALCOHOL TEST 

438 

439 Any covered employee that has a verified positive drug or 

440 alcohol test will be removed from his/her safety-sensitive position, 

441 informed of educational and rehabilitation programs available, and 

442 referred to a Substance Abuse Professional (SAP) for assessment. 

443 No employee will be allowed to return to duty requiring the 

444 performance of safety-sensitive job functions without the approval 

445 of the SAP and the employer. 

19 
 

If you are a zero 

tolerance company, 

restate so before this 

section 
Employers decide if you will 

retest a negative dilute result 

446 A drug test with the result of negative dilute will/will not be 

447 retested. 

448 A positive drug and/or alcohol test will also result in 

449 disciplinary action as specified herein. 

450 

451 (1) As soon as practicable after receiving notice of a 

452 verified positive drug test result, a confirmed alcohol 

453 test result, or a test refusal, the _________________ 

454 Drug and Alcohol Program Manager will contact the 

455 employee’s supervisor to have the employee cease 

456 performing any safety-sensitive function. 

457 (2) The employee shall be referred to a Substance Abuse 

458 Professional for an assessment. The SAP will 

459 evaluate each employee to determine what 

460 assistance, if any, the employee needs in resolving 

461 problems associated with prohibited drug use or 

462 alcohol misuse. 

463 (3) Refusal to submit to a drug/alcohol test shall be 

464 considered a positive test result and a direct act of 

465 insubordination and shall result in termination. A test 

466 refusal includes the following circumstances. 

467 (a) A covered employee who consumes alcohol within 

468 eight (8) hours following involvement in an 

469 accident without first having submitted to post470 accident drug/alcohol tests. 

471 (b) A covered employee who leaves the scene of an 

472 accident without a legitimate explanation prior to 

473 submission to drug/alcohol tests. 

474 (c) A covered employee who provides false 

475 information in connection with a drug test. 

476 (d) A covered employee who provides an insufficient 

477 volume of urine specimen or breath sample 

478 without a valid medical explanation. The medical 

479 evaluation shall take place within 5 days of the 

480 initial test attempt. 

481 (e) A verbal or written declaration, obstructive 

482 behavior, or physical absence resulting in the 

483 inability to conduct the test within the specified 

484 time frame. 

485 (f) A covered employee whose urine sample has 

486 been verified by the MRO as substitute or 

487 adulterated. 

488 (g) A covered employee fails to appear for any test 

489 within a reasonable time, as determined by the 

20 
 
 

490 employer, after being directed to do so by the 

491 employer 

492 (h) A covered employee fails to remain at the testing 

493 site until the testing process is complete; 

494 (i) A covered employee fails to provide a urine 

495 specimen for any drug test required by Part 40 or 

496 DOT agency regulations; 

497 (j) A covered employee fails to permit the observation 

498 or monitoring of a specimen collection 

499 (k) A covered employee fails or declines to take a 

500 second test the employer or collector has directed 

501 you to take; 

502 (l) A covered employee fails to undergo a medical 

503 examination or evaluation, as directed by the MRO 

504 as part of the verification process, or as directed 

505 by the DER as part of the ``shy bladder'' or “shy 

506 lung” procedures 

507 (m)A covered employee fails to cooperate with any 

508 part of the testing process (e.g., refuse to empty 

509 pockets when so directed by the collector, behave 

510 in a confrontational way that disrupts the collection 

511 process). 

512 (n) Failure to sign Step 2 of the Alcohol Testing form 

513 

514 

515 (4) For the first instance of a verified positive test from a 

516 sample submitted as the result of a random, 

517 drug/alcohol test (≥ 0.04 BAC), disciplinary action 

518 against the employee shall include: 

519 (a) Mandatory referral to Substance Abuse 

520 Professional for assessment, formulation of a 

521 treatment plan, and execution of a return to 

522 work agreement; 

523 (b) Failure to execute, or remain compliant with 

524 the return-to-work agreement shall result in 

525 termination from _________________ 

526 employment. 

527 ♦ Compliance with the return-to-work 

528 agreement means that the employee has 

529 submitted to a drug/alcohol test 

If your policy is zero 

tolerance the 

underlined portion of 

this section must be 

removed. 

530 immediately prior to returning to work; the 

531 result of that test is negative; in the 

532 judgement of the SAP the employee is 

533 cooperating with his/her SAP 

534 recommended treatment program; and, the 

21 
 
 

535 employee has agreed to periodic 

536 unannounced follow-up testing as defined 

537 in Section P of this policy; 

538 (c) Refusal to submit to a periodic unannounced 

539 follow-up drug/alcohol test shall be considered a 

540 direct act of insubordination and shall result in 

541 termination. 

542 (d) A periodic unannounced follow-up drug/alcohol 

543 test which results in a verified positive shall result 

544 in termination from _________________ 

545 employment. 

546 (5) The second instance of a verified positive drug or 

547 alcohol (≥ 0.04 BAC) test result including a sample 

548 submitted under the random, reasonable suspicion, 

549 return-to-duty, or follow-up drug/alcohol test 

550 provisions herein shall result in termination from 

551 _________________ employment. 

552 (6) A verified positive post-accident, or reasonable 

553 suspicion drug and/or alcohol (≥ 0.04) test shall result 

554 in termination. 

555 (7) An alcohol test result of ≥0.02 to ≤ 0.039 BAC shall 

556 result in the removal of the employee from duty for 

557 eight hours or the remainder or the work day 

558 whichever is longer. The employee will not be 

559 allowed to return to safety-sensitive duty for his/her 

560 next shift until he/she submits to an alcohol test with a 

561 result of less than 0.02 BAC. If the employee has an 

562 alcohol test result of ≥ 0.02 to ≤ 0.039 two or more 

563 times within a six month period, the employee will be 

564 removed from duty and referred to the SAP for 

565 assessment and treatment consistent with Section 

566 Q.9 of this policy. 

567 (8) The cost of any treatment or rehabilitation services 

568 will be paid directly by the employee or their 

569 insurance provider. The employee will be permitted 

570 to take accrued sick leave or administrative leave to 

571 participate in the SAP prescribed treatment program. 

572 If the employee has insufficient accrued leave, the 

573 employee shall be placed on leave without pay until 

574 the SAP has determined that the employee has 

575 successfully completed the required treatment 

576 program and releases him/her to return-to-duty. Any 

577 leave taken, either paid or unpaid, shall be considered 

578 leave taken under the Family and Medical Leave Act. 

22 
579 (9) In the instance of a self-referral or a management 

580 referral, disciplinary action against the employee shall 

581 include: 

582 (a) Mandatory referral to a Substance Abuse 

583 Professional for assessment, formulation of a 

584 treatment plan, and execution of a return to 

585 work agreement; 

586 (b) Failure to execute, or remain compliant with 

587 the return-to-work agreement shall result in 

588 termination from _________________ 

589 employment. 

590 ♦ Compliance with the return-to-work 

591 agreement means that the employee has 

592 submitted to a drug/alcohol test 

593 immediately prior to returning to work; the 

594 result of that test is negative; in the 

595 judgement of the SAP the employee is 

596 cooperating with his/her SAP 

597 recommended treatment program; and, the 

598 employee has agreed to periodic 

599 unannounced follow-up testing as defined 

600 in Section P of this policy; 

601 (c) Refusal to submit to a periodic unannounced 

602 follow-up drug/alcohol test shall be considered 

603 a direct act of insubordination and shall result 

604 in termination. 

605 (d) A self-referral or management referral to the 

606 SAP that was not precipitated by a positive test 

607 result does not constitute a violation of the 

608 Federal regulations and will not be considered 

609 as a positive test result in relation to the 

610 progressive discipline defined in Section Q.4-5 

611 of this policy. 

612 (e) Periodic unannounced follow-up drug/alcohol 

613 test conducted as a result of a self-referral or 

614 management referral which results in a 

615 verified positive shall be considered a positive 

616 test result in relation to the progressive 

617 discipline defined in Section Q.4-5 of this 

618 policy. 

619 (f) A Voluntary Referral does not shield an 

620 employee from disciplinary action or guarantee 

621 employment with _________________. 

23 
622 (g) A Voluntary Referral does not shield an 

623 employee from the requirement to comply with 

624 drug and alcohol testing. 

625 (10) Failure of an employee to report within five days a 

626 criminal drug statute conviction for a violation 

627 occurring in the workplace shall result in termination. 

628 

629 R. GRIEVANCE AND APPEAL 

630 

631 The consequences specified by 49 CFR Part 40.149 (c) for 

632 a positive test or test refusal are not subject to arbitration. 

633 

634 S. PROPER APPLICATION OF THE POLICY 

635 

636 _________________ is dedicated to assuring fair and 

637 equitable application of this substance abuse policy. Therefore, 

638 supervisors/managers are required to use and apply all aspects of 

639 this policy in an unbiased and impartial manner. Any 

640 supervisor/manager who knowingly disregards the requirements of 

641 this policy, or who is found to deliberately misuse the policy in 

642 regard to subordinates, shall be subject to disciplinary action, up to 

643 and including termination. 

644 

645 T. INFORMATION DISCLOSURE 

646 

647 Drug/alcohol testing records shall be maintained by the 

648 _________________ Drug and Alcohol Program Manager and, 

649 except as provided below or by law, the results of any drug/alcohol 

650 test shall not be disclosed without express written consent of the 

651 tested employee. 

652 

653 (1) The employee, upon written request, is entitled to 

654 obtain copies of any records pertaining to their use of 

655 prohibited drugs or misuse of alcohol including any 

656 drug or alcohol testing records. Covered employees 

657 have the right to gain access to any pertinent records 

658 such as equipment calibration records, and records of 

659 laboratory certifications. Employees may not have 

660 access to SAP referrals and follow-up testing plans. 

661 (2) Records of a verified positive drug/alcohol test result 

662 shall be released to the Drug and Alcohol Program 

663 Manager, Department Supervisor and Personnel 

664 Manager on a need to know basis. 

24 
665 (3) Records will be released to a subsequent employer 

666 only upon receipt of a written request from the 

667 employee. 

668 (4) Records of an employee's drug/alcohol tests shall be 

669 released to the adjudicator in a grievance, lawsuit, or 

670 other proceeding initiated by or on behalf of the tested 

671 individual arising from the results of the drug/alcohol 

672 test. The records will be released to the decision 

673 maker in the preceding. The information will only be 

674 released with binding stipulation from the decision 

675 maker will make it available only to parties in the 

676 preceding. Records will be released to the National 

677 Transportation Safety Board during an accident 

678 investigation. 

679 (5) Records will be released to the DOT or any DOT 

680 agency with regulatory authority over the employer or 

681 any of its employees. 

682 (6) Records will be released if requested by a Federal, 

683 state or local safety agency with regulatory authority 

684 over ___________________or the employee. 

685 (7) If a party seeks a court order to release a specimen or 

686 part of a specimen contrary to any provision of Part 

687 40 as amended necessary legal steps to contest the 

688 issuance of the order will be taken. 

689 (8) In cases of a contractor or sub-recipient of a state 

690 department of transportation, records will be released 

691 when requested by such agencies that must certify 

692 compliance with the regulation to the FTA. 

25 
 

 

 

 

 

 

 

693 

694 U. SYSTEM CONTACTS 

695 

696 Any questions regarding this policy or any other aspect of 

697 the substance abuse policy should be directed to the following 

698 individual(s). 

699 

700 _________________ Drug and Alcohol Program Manager: 

701 

702 Name: 

703 Title: 

704 Address: 

705 Telephone Number: 

706 

707 

708 

709 

710 Medical Review Officer 

711 

712 Name: 

713 Title: 

714 Address: 

715 Telephone Number: 

26 
 

 

 

 

 

 

 

716 
 

717 Substance Abuse Professional
 


718 
 

719 Name: 
 


720 Title: 
 


721 Address: 
 

722 Telephone Number: 
 

723 
 

724 HHS Certified Laboratory Primary Specimen 
 

725 
 

726 Name: 
 

727 Address: 
 

728 Telephone Number: 
 

729 
 

730 HHS Certified Laboratory Split Specimen
 


731 
 

732 Name: 
 


733 Address: 
 

734 Telephone Number: 
 

735 
 

27 
736 

737 

738 

739 

740 

741 

742 This Policy was adopted by the _______________ 
 

743 on ____________, 2001. 
 

744 _______________________________________________ 
 

745 
 

746 
 

747 
 

28 
748 Attachment A 

749 

750 _________________—Administration Covered Classifications 

751 

752 Title Testing Authority 

753 

754 _________________— Job Classifications 

755 

756 Title Testing Authority 

29 
757 Attachment B 

758 Alcohol Fact Sheet 

759 

760 Alcohol is a socially acceptable drug that has been 

761 consumed throughout the world for centuries. It is considered 

762 a recreational beverage when consumed in moderation for 

763 enjoyment and relaxation during social gatherings. However, 

764 when consumed primarily for its physical and mood-altering 

765 effects, it is a substance of abuse. As a depressant, it slows 

766 down physical responses and progressively impairs mental 

767 functions. 

768 

769 Signs and Symptoms of Use 

770 

771  Dulled mental processes 

772  Lack of coordination 

773  Odor of alcohol on breath 

774  Possible constricted pupils 

775  Sleepy or stuporous condition 

776  Slowed reaction rate 

777  Slurred speech 

778 

779 (Note: Except for the odor, these are general signs and symptoms 

780 of any depressant substance.) 

781 

782 � Health Effects 

783 

784 The chronic consumption of alcohol (average of three 

785 servings per day of beer [12 ounces], whiskey [1 ounce], or wine [6 

786 ounce glass]) over time may result in the following health hazards: 

787 

788  Decreased sexual functioning 

789  Dependency (up to 10 percent of all people who drink 

790 alcohol become physically and/or mentally dependent on 

791 alcohol and can be termed “alcoholic”) 

792  Fatal liver diseases 

793  Increased cancers of the mouth, tongue, pharynx, 

794 esophagus, rectum, breast, and malignant melanoma 

795  Kidney disease 

796  Pancreatitis 

797  Spontaneous abortion and neonatal mortality 

798  Ulcers 

799  Birth defects (up to 54 percent of all birth defects are 

800 alcohol related). 

801 

30 
802 � Social Issues 

803 

804  Two-thirds of all homicides are committed by people who 

805 drink prior to the crime. 

806  Two to three percent of the driving population is legally 

807 drunk at any one time. This rate is doubled at night and 

808 on weekends. 

809  Two-thirds of all Americans will be involved in an alcohol810 related vehicle accident during their lifetimes. 

811  The rate of separation and divorce in families with alcohol 

812 dependency problems is 7 times the average. 

813  Forty percent of family court cases are alcohol problem 

814 related. 

815  Alcoholics are 15 times more likely to commit suicide 

816 than are other segments of the population. 

817  More than 60 percent of burns, 40 percent of falls, 69 

818 percent of boating accidents, and 76 percent of private 

819 aircraft accidents are alcohol related. 

820 

821 � The Annual Toll 

822 

823  24,000 people will die on the highway due to the legally 

824 impaired driver. 

825  12,000 more will die on the highway due to the alcohol826 affected driver. 

827  15,800 will die in non-highway accidents. 

828  30,000 will die due to alcohol-caused liver disease. 

829  10,000 will die due to alcohol-induced brain disease or 

830 suicide. 

831  Up to another 125,000 will die due to alcohol-related 

832 conditions or accidents. 

833 

834 � Workplace Issues 

835 

836  It takes one hour for the average person (150 pounds) to 

837 process one serving of an alcoholic beverage from the 

838 body. 

839  Impairment in coordination and judgement can be 

840 objectively measured with as little as two drinks in the 

841 body. 

842  A person who is legally intoxicated is 6 times more likely 

843 to have an accident than a sober person. 

844 

845 

846 

31 
 

 

 

847 Attachment C 

848 Minimum Thresholds 

849 

INITIAL TEST CUTOFF LEVELS 

(ng/ml) 

Marijuana metabolites 50 

Cocaine metabolites 300 

Opiate metabolites 2,000 

Phencyclidine 25 

Amphetamines 1,000 

850 

851 

852 

 CONFIRMATORY TEST 

CUT/OFF LEVELS (ng/ml) 

Marijuana metabolites 15 

Cocaine metabolites 150 

Opiates: 

Morphine 2,000 

 Codeine 2,000 

Phencyclidine 25 

Amphetamines: 

 Amphetamines 500 

Methamphetamine 500 

853 

854 

855 

856 

857 

32 
With Second Chance 
 

Template Policy 
 

COMPANY NAME HERE 

Policy Adopted on x/xx/2005, Policy Revised on x/xx/2007 

Drug and Alcohol Policy 

Version

X

COMPANY NAME 

Drug and Alcohol Policy 

Company name 

12345 Main Street • Suite 100 

Phone 123.456.7890 • Fax 123.456.7890 

Table of Contents 

Covered Employees .................................... 5

Contact Person ........................................... 6

Prohibited Substances................................ 6

Testing Procedure ...................................... 6

Pre-employment Testing............................. 6

Reasonable Suspicion Testing ................... 7

Post-accident Testing................................. 7

Random Testing.......................................... 8

Test Refusal................................................ 9

Prohibited Conduct ..................................... 9

Dilute Specimen........................................ 10

Split Sample.............................................. 10

End of Shift Testing (this section is 

optional).................................................... 10

Treatment / Discipline .............................. 11

Return to Duty Testing ............................. 11

Follow-up Testing ..................................... 11

Voluntary Rehabilitation and Counseling 

(this section is optional)........................... 11

Prescription Drug Use (this section is 

optional).................................................... 12

Drug Free Work Place Act of 1988 ........... 12

 

Page 5 of 18

Purpose of Policy 

his policy complies with 49 CFR Part 655, as amended, and 49 CFR Part 40, as amended. 

All drug and alcohol testing is conducted in accordance with these regulations 

All covered employees are required to submit to drug and alcohol tests as a condition of 

employment. 

Copies of Parts 655 and 40 are available in the drug and alcohol program manager’s office and 

can be found on the internet at the Office of Drug & Alcohol Policy & Compliance’s website 

http://www.dot.gov/ost/dapc/index.html. 

Covered Employees 

This policy applies to every employee performing a “safety-sensitive function” as defined herein, 

and any person applying for such positions. 

You are a safety-sensitive employee if you perform any of the following: 

 Operation of a revenue service vehicle, in or out of revenue service 

 Operation of a non-revenue vehicle requiring a CDL 

 Controlling movement or dispatch of a revenue service vehicle (this is optional and 

determined by employer) 

 Security personnel who carry firearms 

 Maintenance (including repairs, overhaul and rebuilding) of a revenue service vehicle or 

equipment used on revenue service. 

 Contractor employees that stand in the shoes of Transit System employees also have to 

comply 

Covered employee means a person, including an applicant or transferee, who performs or will 

perform a safety-sensitive function. A volunteer is a covered employee if: (1) The volunteer is 

required to hold a commercial driver’s license to operate the vehicle; or (2) The volunteer 

performs a safety-sensitive function for an entity subject to this part and receives remuneration in 

excess of his or her actual expenses incurred while engaged in the volunteer activity. 

See Attachment A for a list of covered positions by job title. 

T 
Page 6 of 18

Contact Person 

List the identity of the person, office, branch and/or position designated by the employer to 

answer employee questions about the employer’s anti-drug use and alcohol misuse programs. 

Prohibited Substances 

 Marijuana 

 Cocaine 

 Amphetamines 

 Opiates 

 Phencyclidine 

 Alcohol 

Testing Procedure 

All testing will be conducted as required in 49 C.F.R. Part 40, as amended. 

Pre-employment Testing 

(Optional) Pre-employment alcohol tests are conducted after making a contingent offer of 

employment or transfer, subject to the employee passing the pre-employment alcohol test. 

A negative pre-employment drug test result is required before an employee can first perform 

safety-sensitive duties. 

(Company policy decision - The employer has the discretion to decide whether or not the covered 

employee is retained in the random pool during his or her absence. If the employee is retained in 

the random pool, then pre-employment testing is not required.) A pre-employment test is 

required for covered employees who are away from work for more than 90 consecutive calendar 

days, are removed from the random testing pool, and plan to return to a safety-sensitive function. 

When a covered employee or applicant has previously failed or refused a DOT pre-employment 

drug and/or alcohol test, the employee must provide proof of having successfully completed a 

referral, evaluation and treatment plan meeting DOT requirements. 

Reasonable Suspicion Testing 

(Company Name) shall conduct a drug and/or alcohol test when (company name) has reasonable 

suspicion to believe that the covered employee has used a prohibited drug and/or engaged in 

alcohol misuse. 
Page 7 of 18

The determination that reasonable suspicion exists shall be based on specific, contemporaneous, 

articulable observations concerning the appearance, behavior, speech, or body odors of the 

covered employee. A supervisor(s), or other company official(s) who is trained in detecting the 

signs and symptoms of drug use and alcohol misuse must make the required observations. 

(Company Name) may direct a covered employee to undergo reasonable suspicion testing for 

alcohol only while the employee is performing safety-sensitive functions; just before the employee 

is to perform safety-sensitive functions; or just after the employee has ceased performing such 

functions. 

If an alcohol test is not administered within two hours following the determination to conduct a 

reasonable suspicion test, the supervisor shall prepare and maintain on file a record stating the 

reasons the alcohol test was not promptly administered. If an alcohol test is not administered 

within eight hours following the determination to test, cease attempts to administer an alcohol test 

and update the record with the reasons for not administering the test. 

Post-accident Testing 

Safety-sensitive employees shall be subject to post-accident alcohol and controlled substances testing 

under the following circumstances: 

Fatal Accidents. As soon as possible following an accident involving the loss of human life, DOT 

drug and alcohol tests are conducted on all surviving covered employees. In addition, any other 

covered employee whose performance could have contributed to the accident, as determined by 

the employer using the best information available at the time of the decision, is tested. 

Non-fatal Accidents. Post-accident testing is required if one of the following conditions is met, 

 An accident results in injuries requiring immediate medical treatment away from the 

scene, and the covered employee contributed to the accident, 

or 

 One or more vehicles receive disabling damage and have to be towed from the scene, and 

the covered employee contributed to the accident. 

In addition, any other covered employee whose performance could have contributed to the 

accident, as determined by the employer using the best information available at the time of the 

decision, is tested. 

Disabling damage means damage which prevented the departure of any vehicle from the scene of 

the occurrence in its usual manner in daylight after simple repairs. Disabling damage includes 

damage to vehicles that could have been operated but would have been further damaged if so 

operated, but does not include damage which can be remedied temporarily at the scene of the 

occurrence without special tools or parts, tire disablement without other damage even if no spare 

tire is available, or damage to headlights, tail lights, turn signals, horn, or windshield wipers that 

makes them inoperative. 
Page 8 of 18

If an alcohol test is not administered within two hours following the time of the accident, prepare 

and maintain on file a record stating the reasons the alcohol test was not promptly administered. 

If an alcohol is not administered within eight hours following the determination to test, cease 

attempts to administer an alcohol test and update the record with the reasons for not 

administering the test. The drug test should be taken as soon as possible. Cease attempts to 

collect the drug test after 32-hours. 

If the decision not to administer a drug and/or alcohol test under this section shall be based on 

the employer's determination, using the best available information at the time of the 

determination that the employee's performance could not have contributed to the accident. Such 

a decision must be documented in detail, including the decision-making process used to reach the 

decision not to test. 

Nothing in this section shall be construed to require the delay of necessary medical attention for 

the injured following an accident or to prohibit a covered employee from leaving the scene of an 

accident for the period necessary to obtain assistance in responding to the accident or to obtain 

necessary emergency medical care. 

Random Testing 

Random drug and alcohol tests are unannounced and unpredictable, and the dates for 

administering random tests are spread reasonably throughout the calendar year. Random testing 

must be conducted at all times of day when safety-sensitive functions are performed. 

 Testing rates will meet or exceed the minimal annual percentage rate set each year by the DOT 

Administrator. The current year testing rates can be viewed on line at 

http://www.dot.gov/ost/dapc/rates.html. The 2007 FTA minimum testing requirement is to 

annually perform drug tests on 25% and alcohol tests on 10% of the average number of safetysensitive employees. 

The selection of employees for random drug and alcohol testing shall be made by a scientifically 

valid method, such as a random number table or a computer-based random number generator 

that is matched with employees' Social Security numbers, payroll identification numbers, or other 

comparable identifying numbers. Under the selection process used, each covered employee shall 

have an equal chance of being tested each time selections are made. 

Each employee selected for testing shall be tested during the selection period. A covered 

employee shall only be randomly tested for alcohol misuse while the employee is performing 

safety-sensitive functions; just before the employee is to perform safety-sensitive functions; or just 

after the employee has ceased performing such functions. A covered employee may be randomly 

tested for prohibited drug use anytime while on duty. 

Each covered employee who is notified of selection for random drug or random alcohol testing 

shall proceed to the test site immediately. 

Test Refusal 

You have refused to take a test if you: 
Page 9 of 18

1. Fail to provide a breath or urine sample 

2. Provide an insufficient volume without valid medical explanation 

3. Adulterate or substitute a specimen 

4. Fail to appear within a reasonable time 

5. Leave the scene of an accident without just cause prior to submitting to a test 

6. Leave the collection facility prior to test completion 

7. Fail to permit an observed or monitored collection when required 

8. Fail to take a second test when required 

9. Fail to undergo a medical examination when required 

10. Fail to cooperate with any part of the testing process 

11. Fail to sign Step 2 of alcohol test form 

12. Once test is underway, fail to remain at site and provide a specimen 

13. Or the MRO verifies that you provided an adulterated/substituted sample. 

For pre-employment tests only, failure to appear, aborting the collection before the test 

commences, or failure to remain at site prior to commencement of test is NOT a test refusal: 

Prohibited Conduct 

(1) All covered employees are prohibited from reporting for duty or remaining on duty 

any time there is a quantifiable presence of a prohibited drug in the body above 

the minimum thresholds defined in 49 DFR Part 40, as amended. 

(2) Each covered employee is prohibited from consuming alcohol while performing 

safety-sensitive job functions or while on-call to perform safety-sensitive job 

functions. If an on-call employee has consumed alcohol, they must acknowledge 

the use of alcohol at the time that they are called to report for duty. The covered 

employee must take an alcohol test, if the covered employee claims ability to 

perform his or her safety-sensitive function. 

(3) (Company name) shall not permit any covered employee to perform or 

continue to perform safety-sensitive functions if it has actual knowledge that 

the employee is using alcohol. 

(4) Each covered employee is prohibited from reporting to work or remaining on 

duty requiring the performance of safety-sensitive functions while having an 

alcohol concentration of 0.02 or greater regardless of when the alcohol was 

consumed. 
Page 10 of 18

(5) No covered employee shall consume alcohol for eight (8) hours following 

involvement in an accident or until he/she submits to the post-accident 

drug/alcohol test, whichever occurs first. 

(6) No covered employee shall consume alcohol within four (4) hours prior to the 

performance of safety-sensitive job functions. 

Dilute Specimen 

Negative dilute – (company decision needed here – to test or not to retest dilute negative test 

results) A negative dilute specimen does not require a retest. While §40.197(b) authorizes an 

employer to obtain one additional test following a negative dilute result (in pre-employment or 

other testing situations), a negative dilute test result is a valid negative test for DOT’s purposes. 

You must treat all employees the same for this purpose. For example, you must not retest some 

employees and not others. You may, however, establish different policies for different types of 

tests (e.g., conduct retests in pre-employment situations, but not in random test situations). You 

must treat the result of the second test as the test result of record. 

Dilute negative results 2-5 mg/dl requires an immediate recollection under direct observation (see 

§40.155(c)). 

Split Sample 

(Company Name) will guarantee that the cost for the split specimen test is covered in order for a 

timely analysis of the sample however; the employee is required to pay for the split sample test. 

(Company needs to decide if employees will be required to pay for the test. Some companies will 

pay for the test if the split specimen test result is negative; otherwise, the employee pays) 

End of Shift Testing (this section is optional) 

(optional) Random testing may occur anytime an employee is on duty so long as the employee is 

notified prior to the end of the shift. Employees who provide advance, verifiable notice of 

scheduled medical or child care commitments will be random drug tested no later than three 

hours before the end of their shift and random alcohol tested no later than 30 minutes before the 

end of their shift. Verifiable documentation of a previously scheduled medical or childcare 

commitments, for the period immediately following an employee’s shift, must be provided at least 

(company decides how far in advance they must be notified) hours before the end of the 

employee’s shift. 

Treatment / Discipline 

Following a positive drug or alcohol (BAC at or above 0.04) test result or test refusal, the 

employee is immediately removed from safety-sensitive duties, referred to a substance abuse 

professional (SAP), and (insert transit system’s disciplinary policy.) 

Following a BAC of 0.02 or greater, but less than 0.04 – the employee is immediately removed 

from safety sensitive duties for at least eight hours unless a retest results in the employee’s alcohol 

concentration of less than 0.02. 
Page 11 of 18

Return to Duty Testing 

Any employee who is allowed to return to duty after a refusal to submit to a test or failing an 

alcohol and/or drug test, must first be evaluated by a substance abuse professional (SAP), and 

provide a negative drug, alcohol (or both) test result. 

Follow-up Testing 

Employees returning to duty following leave for substance abuse rehabilitation will be required to 

undergo unannounced follow-up alcohol and/or drug testing as directed by the SAP. The 

number and frequency of such follow-up testing shall be directed by the SAP. The employee will 

be subject to follow-up testing for a period of 1 to 5 years as determined by the SAP. All testing 

will be conducted in accordance with Part 40, subpart O. (Company needs to decide who pays 

for rehabilitation services and if employee can use sick leave or annual leave during the 

rehabilitation program) 

Voluntary Rehabilitation and Counseling (this section is 

optional) 

This section will not apply to any employee who tests positive through the testing program. The 

employee must voluntarily seek treatment through this section prior to being notified of a 

pending drug and/or alcohol test or involved in a situation that requires a reasonable suspicion or 

post-accident FTA drug and/or alcohol test. 

 (Insert transit system’s name) offers employees the use of counseling and rehabilitative services 

pursuant to coverage limitations and in accordance with the terms of its benefit programs. 

Employees are personally responsible for seeking treatment for alcohol and/or controlled 

substance dependence. Any voluntary request by an employee for assistance with his/her own 

alcohol and/or controlled substance dependency will remain as confidential as possible and shall 

not be used, in itself, as a basis for disciplinary action. 

The costs of the visits with the SAP shall be borne by the (transit system decides who is going to 

pay for treatment and the leave policy) The employee may use any available accumulated leave in 

accordance with leave policies in order to participate in extended counseling and/or rehabilitation. 

If the employee requests that the purpose of the leave not be disclosed to his/her immediate 

supervisor, the department head shall maintain confidentiality regarding the reason for the leave. 

Prescription Drug Use (this section is optional) 

The appropriate use of legally prescribed drugs and non-prescription medication is not prohibited. 

It is, however, the employee’s responsibility to inform the physician of the employee’s job duties 

and determine from the physician, or other health care professional, whether or not the 

prescribed drug may impair their job performance or mental or motor function. It is the 

responsibility of the employees to remove themselves from service if they are unfit for duty. 

Pursuant to company authority, employees are required to report the use of medically authorized 

drugs or other substances that may create a direct threat by impairing job performance of safety-
Page 12 of 18

sensitive functions to his/her supervisor and provide proper written medical authorization to 

work from a physician. 

Pursuant to company authority, failure to report the use of such drugs or failure to provide proper 

evidence of medical authorization may result in disciplinary action. 

Drug Free Work Place Act of 1988 

In accordance with the Drug Free Work Place Act of 1988, an employee who is convicted of any 

criminal drug statute for a violation occurring in the work place shall notify (insert who you want 

notified - the Personnel Office, the DER?) no later than five days after such conviction. 
Page 13 of 18

“Release of Information Form -- 49 CFR Part 40 Drug and Alcohol Testing” 

Section I. To be completed by the new employer, signed by the employee, and transmitted to the previous employer:

Employee Printed or Typed Name: ________________________________________________________________ 

Employee SS or ID Number: _____________________________________________________________________ 

I hereby authorize release of information from my Department of Transportation regulated drug and alcohol testing records by my previous employer, listed in 

Section I-B, to the employer listed in Section I-A. This release is in accordance with DOT Regulation 49 CFR Part 40, Section 40.25. I understand that information 

to be released in Section II-A by my previous employer, is limited to the following DOT-regulated testing items: 

1. Alcohol tests with a result of 0.04 or higher; 

2. Verified positive drug tests; 

3. Refusals to be tested; 

4. Other violations of DOT agency drug and alcohol testing regulations; 

5. Information obtained from previous employers of a drug and alcohol rule violation; 

6. Documentation, if any, of completion of the return-to-duty process following a rule violation. 

Employee Signature: __________________________________________________ Date: ____________________ 

I-A. 

New Employer Name: __________________________________________________________________________ 

Address: _____________________________________________________________________________________ 

 _____________________________________________________________________________________ 

Phone #: _______________________________________ Fax #: _______________________________________ 

Designated Employer Representative: ______________________________________________________________ 

I-B. 

Previous Employer Name: _______________________________________________________________________ 

Address: _____________________________________________________________________________________ 

 _____________________________________________________________________________________ 

Phone #: _______________________________________ 

Designated Employer Representative (if known): _____________________________________________________

Section II. To be completed by the previous employer and transmitted by mail or fax to the new employer: 

II-A. In the two years prior to the date of the employee’s signature (in Section I), for DOT-regulated testing ~ 

1. Did the employee have alcohol tests with a result of 0.04 or higher? YES ____ NO ____

2. Did the employee have verified positive drug tests? YES ____ NO ____

3. Did the employee refuse to be tested? YES ____ NO ____

4. Did the employee have other violations of DOT agency drug and 

alcohol testing regulations? YES ____ NO ____

5. Did a previous employer report a drug and alcohol rule 

violation to you? YES ____ NO ____ 

6. If you answered “yes” to any of the above items, did the 

employee complete the return-to-duty process? N/A ____ YES ____ NO ____
Page 14 of 18

NOTE: If you answered “yes” to item 5, you must provide the previous employer’s report. If you answered “yes” to item 

6, you must also transmit the appropriate return-to-duty documentation (e.g., SAP report(s), follow-up testing record). 

II-B. 

Name of person providing information in Section II-A: _______________________________________________ 

Title: ___________________________________________ 

Phone #: ________________________________________ 

Date: ___________________________________________
Page 15 of 18

Employee Receipt of Policy 

Name:__________________

____ 

Date:___________________

____ 

ID 

Number:_________________

Job 

title:____________________

_ 

Attached is a copy of the Drug and Alcohol Policy, dated _______________. 

Your signature below certifies that you have received a copy of the policy. Please 

sign and return this form to _______________. Please contact _______ at xxxxxx-xxxx if you have any questions. 

Page 17 of 18

Attachment A 

Covered positions by job title
Page 18 of 18

Index 

9

90 consecutive calendar days, 5 

A

Alcohol, 5 

Alcohol - when can you test employees, 6 

Amphetamines, 5 

Attachment A, 16 

B

BAC at or above 0.04, 10 

BAC of 0.02 or greater, but less than 0.04, 10 

C

Cocaine, 5 

Consequences, 10 

Contact person, 5 

Covered employees, 4 

Covered positions by job title, 16 

D

Dilute specimen, 9 

Disabling damage, 7 

Discipline, 10 

Drug Free Work Place Act of 1988, 11 

E

END OF SHIFT TESTING, 10 

F

Fatal accidents, 6 

Follow-up Testing, 10 

H

Headlights, 7 

Horn, 7 

M

Marijuana, 5 

N

Non-fatal accidents, 6 

O

On-call employees, 9 

Opiates, 5 

P

Phencyclidine, 5 

Post-accident testing, 6 

Pre-employment alcohol tests, 5 

Pre-employment testing, 5 

Prescription drug use, 11 

Previous employer record check, 13 

Prohibited conduct, 9 

Prohibited substances, 5 

R

Random testing, 7 

Reasonable suspicion testing, 6 

Receipt of policy, 15 

Return to duty testing, 10 

S

Split sample, 10 

T

Tail lights, 7 

Test refusal, 8 

Testing procedure, 5 

Testing rates, 7 

Tire disablement, 7 

Treatment, 10 

Turn signals, 7 

V

Voluntary rehabilitation and counseling, 11 

W

Windshield wipers, 7 
No Second Chance 
 

Template Policy 
 

Version 

X 

COMPANY NAME HERE 
 

Policy Adopted on x/xx/2005, Policy Revised on x/xx/2007 
 

Drug and Alcohol Policy 

COMPANY NAME 

Drug and Alcohol Policy 
 

Company name
 


12345 Main Street • Suite 100 
 

Phone 123.456.7890 • Fax 123.456.7890
 


 

Table of Contents 

Covered Employees .................................... 5
 


Contact Person ........................................... 6
 


Prohibited Substances................................ 6
 


Testing Procedure ...................................... 6
 


Pre-employment Testing............................. 6
 


Reasonable Suspicion Testing ................... 6
 


Post-accident Testing................................. 7
 


Random Testing.......................................... 8
 


End of Shift Testing (this section is
 


optional)...................................................... 9
 


Test Refusal................................................ 9
 


Prohibited Conduct ..................................... 9
 


Consequences .......................................... 10
 


Dilute Specimen........................................ 10
 


Split Sample.............................................. 10
 


Zero Tolerance ......................................... 11
 


Voluntary Rehabilitation and Counseling 
 

(this section is optional)........................... 11
 


Prescription Drug Use (this section is
 


optional).................................................... 11
 


Drug Free Work Place Act of 1988 ........... 12
 


 

 

Purpose of Policy
 

This policy complies with 49 CFR Part 655, as amended, and 49 CFR Part 40, as amended. 

All drug and alcohol testing is conducted in accordance with these regulations 

All covered employees are required to submit to drug and alcohol tests as a condition of 

employment. 

Copies of Parts 655 and 40 are available in the drug and alcohol program manager’s office and 

can be found on the internet at the Office of Drug & Alcohol Policy & Compliance’s website 

http://www.dot.gov/ost/dapc/index.html. 

Covered Employees 

This policy applies to every employee performing a “safety-sensitive function” as defined herein, 

and any person applying for such positions. 

You are a safety-sensitive employee if you perform any of the following: 

	 	 Operation of a revenue service vehicle, in or out of revenue service 

	 	 Operation of a non-revenue vehicle requiring a CDL 

	 	 Controlling movement or dispatch of a revenue service vehicle (this is optional and 

determined by employer) 

	 	 Security personnel who carry firearms 

	 	 Maintenance (including repairs, overhaul and rebuilding) of a revenue service vehicle or 

equipment used on revenue service. 

	 	 Contractor employees that stand in the shoes of Transit System employees also have to 

comply 

Covered employee means a person, including an applicant or transferee, who performs or will 

perform a safety-sensitive function. A volunteer is a covered employee if: (1) The volunteer is 

required to hold a commercial driver’s license to operate the vehicle; or (2) The volunteer 

performs a safety-sensitive function for an entity subject to this part and receives remuneration in 

excess of his or her actual expenses incurred while engaged in the volunteer activity. 

See Attachment A for a list of covered positions by job title. 

Page 5 of 18 
Contact Person 

List the identity of the person, office, branch and/or position designated by the employer to 

answer employee questions about the employer’s anti-drug use and alcohol misuse programs. 

Prohibited Substances 

 Marijuana 

 Cocaine 

 Amphetamines 

 Opiates 

 Phencyclidine 

 Alcohol 

Testing Procedure 

All testing will be conducted as required in 49 C.F.R. Part 40, as amended. 

Pre-employment Testing 

(Alcohol pre-employment testing is optional) Pre-employment alcohol tests are conducted after 

making a contingent offer of employment or transfer, subject to the employee passing the preemployment alcohol test. 

A negative pre-employment drug test result is required before an employee can first perform 

safety-sensitive duties. 

(Company policy decision - The employer has the discretion to decide whether or not the covered 

employee is retained in the random pool during his or her absence. If the employee is retained in 

the random pool, then pre-employment testing is not required.) A pre-employment test is 

required for covered employees who are away from work for more than 90 consecutive calendar 

days, are removed from the random testing pool, and plan to return to a safety-sensitive function. 

When a covered employee or applicant has previously failed or refused a DOT pre-employment 

drug and/or alcohol test, the employee must provide proof of having successfully completed a 

referral, evaluation and treatment plan meeting DOT requirements. 

Reasonable Suspicion Testing 

(Company Name) shall conduct a drug and/or alcohol test when (company name) has reasonable 

suspicion to believe that the covered employee has used a prohibited drug and/or engaged in 

alcohol misuse. 

Page 6 of 18 
The determination that reasonable suspicion exists shall be based on specific, contemporaneous, 

articulable observations concerning the appearance, behavior, speech, or body odors of the 

covered employee. A supervisor(s), or other company official(s) who is trained in detecting the 

signs and symptoms of drug use and alcohol misuse must make the required observations. 

(Company Name) may direct a covered employee to undergo reasonable suspicion testing for 

alcohol only while the employee is performing safety-sensitive functions; just before the employee 

is to perform safety-sensitive functions; or just after the employee has ceased performing such 

functions. 

If an alcohol test is not administered within two hours following the determination to conduct a 

reasonable suspicion test, the supervisor shall prepare and maintain on file a record stating the 

reasons the alcohol test was not promptly administered. If an alcohol test is not administered 

within eight hours following the determination to test, cease attempts to administer an alcohol test 

and update the record with the reasons for not administering the test. 

Post-accident Testing 

Safety-sensitive employees shall be subject to post-accident alcohol and controlled substances testing 

under the following circumstances: 

Fatal Accidents. As soon as possible following an accident involving the loss of human life, DOT 

drug and alcohol tests are conducted on all surviving covered employees. In addition, any other 

covered employee whose performance could have contributed to the accident, as determined by 

the employer using the best information available at the time of the decision, is tested. 

Non-fatal Accidents. Post-accident testing is required if one of the following conditions is met, 

	 	 An accident results in injuries requiring immediate medical treatment away from the 

scene, and the covered employee contributed to the accident, 

or 

	 	 One or more vehicles receive disabling damage and have to be towed from the scene, and 

the covered employee contributed to the accident. 

In addition, any other covered employee whose performance could have contributed to the 

accident, as determined by the employer using the best information available at the time of the 

decision, is tested. 

Disabling damage means damage which prevented the departure of any vehicle from the scene of 

the occurrence in its usual manner in daylight after simple repairs. Disabling damage includes 

damage to vehicles that could have been operated but would have been further damaged if so 

operated, but does not include damage which can be remedied temporarily at the scene of the 

occurrence without special tools or parts, tire disablement without other damage even if no spare 

tire is available, or damage to headlights, tail lights, turn signals, horn, or windshield wipers that 

makes them inoperative. 

Page 7 of 18 
If an alcohol test is not administered within two hours following the time of the accident, prepare 

and maintain on file a record stating the reasons the alcohol test was not promptly administered. 

If an alcohol is not administered within eight hours following the determination to test, cease 

attempts to administer an alcohol test and update the record with the reasons for not 

administering the test. The drug test should be taken as soon as possible. Cease attempts to 

collect the drug test after 32-hours. 

If the decision not to administer a drug and/or alcohol test under this section shall be based on 

the employer's determination, using the best available information at the time of the 

determination that the employee's performance could not have contributed to the accident. Such 

a decision must be documented in detail, including the decision-making process used to reach the 

decision not to test. 

Nothing in this section shall be construed to require the delay of necessary medical attention for 

the injured following an accident or to prohibit a covered employee from leaving the scene of an 

accident for the period necessary to obtain assistance in responding to the accident or to obtain 

necessary emergency medical care. 

Random Testing 

Random drug and alcohol tests are unannounced and unpredictable, and the dates for 

administering random tests are spread reasonably throughout the calendar year. Random testing 

must be conducted at all times of day when safety-sensitive functions are performed. 

Testing rates will meet or exceed the minimal annual percentage rate set each year by the DOT 

Administrator. The current year testing rates can be viewed on line at 

http://www.dot.gov/ost/dapc/rates.html. The 2007 FTA minimum testing requirement is to 

annually perform drug tests on 25% and alcohol tests on 10% of the average number of safetysensitive employees. 

The selection of employees for random drug and alcohol testing shall be made by a scientifically 

valid method, such as a random number table or a computer-based random number generator 

that is matched with employees' Social Security numbers, payroll identification numbers, or other 

comparable identifying numbers. Under the selection process used, each covered employee shall 

have an equal chance of being tested each time selections are made. 

Each employee selected for testing shall be tested during the selection period. A covered 

employee shall only be randomly tested for alcohol misuse while the employee is performing 

safety-sensitive functions; just before the employee is to perform safety-sensitive functions; or just 

after the employee has ceased performing such functions. A covered employee may be randomly 

tested for prohibited drug use anytime while on duty. 

Each covered employee who is notified of selection for random drug or random alcohol testing 

shall proceed to the test site immediately. 

Page 8 of 18 
End of Shift Testing (this section is optional) 

(optional) Random testing may occur anytime an employee is on duty so long as the employee is 

notified prior to the end of the shift. Employees who provide advance, verifiable notice of 

scheduled medical or child care commitments will be random drug tested no later than three 

hours before the end of their shift and random alcohol tested no later than 30 minutes before the 

end of their shift. Verifiable documentation of a previously scheduled medical or childcare 

commitments, for the period immediately following an employee’s shift, must be provided at least 

(company decides how far in advance they must be notified) hours before the end of the 

employee’s shift. 

Test Refusal 

You have refused to take a test if you: 

1. Fail to provide a breath or urine sample 

2. Provide an insufficient volume without valid medical explanation 

3. Adulterate or substitute a specimen 

4. Fail to appear within a reasonable time 

5. Leave the scene of an accident without just cause prior to submitting to a test 

6. Leave the collection facility prior to test completion 

7. Fail to permit an observed or monitored collection when required 

8. Fail to take a second test when required 

9. Fail to undergo a medical examination when required 

10. Fail to cooperate with any part of the testing process 

11. Fail to sign Step 2 of alcohol test form 

12. Once test is underway, fail to remain at site and provide a specimen 

13. Or the MRO verifies that you provided an adulterated/substituted sample. 

For pre-employment tests only, failure to appear, aborting the collection before the test 

commences, or failure to remain at site prior to commencement of test is NOT a test refusal: 

Prohibited Conduct 

(1) All covered employees are prohibited from reporting for duty or remaining on duty 

any time there is a quantifiable presence of a prohibited drug in the body above 

the minimum thresholds defined in 49 DFR Part 40, as amended. 

Page 9 of 18 
(2) Each covered employee is prohibited from consuming alcohol while performing 

safety-sensitive job functions or while on-call to perform safety-sensitive job 

functions. If an on-call employee has consumed alcohol, they must acknowledge 

the use of alcohol at the time that they are called to report for duty. The covered 

employee must take an alcohol test, if the covered employee claims ability to 

perform his or her safety-sensitive function. 

(3) (Company name) shall not permit any covered employee to perform or 

continue to perform safety-sensitive functions if it has actual knowledge that 

the employee is using alcohol. 

(4) Each covered employee is prohibited from reporting to work or remaining on 

duty requiring the performance of safety-sensitive functions while having an 

alcohol concentration of 0.02 or greater regardless of when the alcohol was 

consumed. 

(5) No covered employee shall consume alcohol for eight (8) hours following 

involvement in an accident or until he/she submits to the post-accident 

drug/alcohol test, whichever occurs first. 

(6) No covered employee shall consume alcohol within four (4) hours prior to the 

performance of safety-sensitive job functions. 

Consequences 

Following a positive drug or alcohol (BAC at or above 0.04) test result or test refusal, the 

employee is immediately removed from safety-sensitive duties, referred to a substance abuse 

professional (SAP), and terminated from employment. 

Following a BAC of 0.02 or greater, but less than 0.04 – the employee is immediately removed 

from safety sensitive duties for at least eight hours unless a retest results in the employee’s alcohol 

concentration of less than 0.02. 

Dilute Specimen 

Negative dilute – (company decision needed here – to test or not to retest dilute negative test 

results) A negative dilute specimen does not require a retest. While §40.197(b) authorizes an 

employer to obtain one additional test following a negative dilute result (in pre-employment or 

other testing situations), a negative dilute test result is a valid negative test for DOT’s purposes. 

You must treat all employees the same for this purpose. For example, you must not retest some 

employees and not others. You may, however, establish different policies for different types of 

tests (e.g., conduct retests in pre-employment situations, but not in random test situations). You 

must treat the result of the second test as the test result of record. 

Dilute negative results 2-5 mg/dl requires an immediate recollection under direct observation (see 

§40.155(c)). 

Split Sample 

(Company Name) will guarantee that the cost for the split specimen test is covered in order for a 

timely analysis of the sample however; the employee is required to pay for the split sample test. 

Page 10 of 18 
(Company needs to decide if employees will be required to pay for the test. Some companies will 

pay for the test if the split specimen test result is negative; otherwise, the employee pays) 

Zero Tolerance 

Per company policy, any employee who tests positive for drugs and/or alcohol or refuses to test 

will be referred to a SAP and terminated from employment. 

Employee admission of alcohol and controlled 

substances use. (this section is optional) 

This section will not apply to any employee who tests positive through the testing program. The 

employee must voluntarily seek treatment through this section prior to being notified of a 

pending drug and/or alcohol test or being involved in a situation that requires a reasonable 

suspicion or post-accident FTA drug and/or alcohol test. The employee cannot self-identify in 

order to avoid testing. 

(Insert transit system’s name) offers employees the use of counseling and rehabilitative services 

pursuant to coverage limitations and in accordance with the terms of its benefit programs. 

Employees are personally responsible for seeking treatment for alcohol and/or controlled 

substance dependence. Any voluntary request by an employee for assistance with his/her own 

alcohol and/or controlled substance dependency will remain as confidential as possible and shall 

not be used, in itself, as a basis for disciplinary action. 

The costs of the visits with the SAP shall be borne by the (transit system decides who is going to 

pay for treatment and the leave policy) The employee may use any available accumulated leave in 

accordance with leave policies in order to participate in extended counseling and/or rehabilitation. 

If the employee requests that the purpose of the leave not be disclosed to his/her immediate 

supervisor, the department head shall maintain confidentiality regarding the reason for the leave. 

Prescription Drug Use (this section is optional) 

The appropriate use of legally prescribed drugs and non-prescription medication is not prohibited. 

It is, however, the employee’s responsibility to inform the physician of the employee’s job duties 

and determine from the physician, or other health care professional, whether or not the 

prescribed drug may impair their job performance or mental or motor function. It is the 

responsibility of the employees to remove themselves from service if they are unfit for duty. 

Pursuant to company authority, employees are required to report the use of medically authorized 

drugs or other substances that may create a direct threat by impairing job performance of safetysensitive functions to his/her supervisor and provide proper written medical authorization to 

work from a physician. 

Pursuant to company authority, failure to report the use of such drugs or failure to provide proper 

evidence of medical authorization may result in disciplinary action. 

Page 11 of 18 
Drug Free Work Place Act of 1988 

In accordance with the Drug Free Work Place Act of 1988, an employee who is convicted of any 

criminal drug statute for a violation occurring in the work place shall notify (insert who you want 

notified - the Personnel Office, the DER?) no later than five days after such conviction. 

Page 12 of 18 
 

 

 _____________________________________________________________________________________ 

 _____________________________________________________________________________________ 

 

 

 

 

 

 

“Release of Information Form -- 49 CFR Part 40 Drug and Alcohol Testing” 

Section I. To be completed by the new employer, signed by the employee, and transmitted to the previous employer: 

Employee Printed or Typed Name: ________________________________________________________________ 

Employee SS or ID Number: _____________________________________________________________________ 

I hereby authorize release of information from my Department of Transportation regulated drug and alcohol testing records by my previous employer, listed in 

Section I-B, to the employer listed in Section I-A. This release is in accordance with DOT Regulation 49 CFR Part 40, Section 40.25. I understand that information 

to be released in Section II-A by my previous employer, is limited to the following DOT-regulated testing items: 

1. Alcohol tests with a result of 0.04 or higher; 

2. Verified positive drug tests; 

3. Refusals to be tested; 

4. Other violations of DOT agency drug and alcohol testing regulations; 

5. Information obtained from previous employers of a drug and alcohol rule violation; 

6. Documentation, if any, of completion of the return-to-duty process following a rule violation. 

Employee Signature: __________________________________________________ Date: ____________________ 

I-A. 

New Employer Name: __________________________________________________________________________ 

Address: _____________________________________________________________________________________ 

Phone #: _______________________________________ Fax #: _______________________________________ 

Designated Employer Representative: ______________________________________________________________ 

I-B. 

Previous Employer Name: _______________________________________________________________________ 

Address: _____________________________________________________________________________________ 

Phone #: _______________________________________
 


Designated Employer Representative (if known): _____________________________________________________
 


Section II. To be completed by the previous employer and transmitted by mail or fax to the new employer: 

II-A. In the two years prior to the date of the employee’s signature (in Section I), for DOT-regulated testing ~ 

1. Did the employee have alcohol tests with a result of 0.04 or higher? YES ____ NO ____ 

2. Did the employee have verified positive drug tests? YES ____ NO ____ 

3. Did the employee refuse to be tested? YES ____ NO ____ 

4. Did the employee have other violations of DOT agency drug and 
 

alcohol testing regulations? YES ____ NO ____
 


5. Did a previous employer report a drug and alcohol rule 
 

violation to you? YES ____ NO ____
 


6. If you answered “yes” to any of the above items, did the
 


employee complete the return-to-duty process? N/A ____ YES ____ NO ____
 


Page 13 of 18 
 

 

NOTE: If you answered “yes” to item 5, you must provide the previous employer’s report. If you answered “yes” to item 

6, you must also transmit the appropriate return-to-duty documentation (e.g., SAP report(s), follow-up testing record). 

II-B. 

Name of person providing information in Section II-A: _______________________________________________
 


Title: ___________________________________________ 
 

Phone #: ________________________________________ 
 

Date: ___________________________________________
 


Page 14 of 18 
Employee Receipt of Policy 
 

Name:____________________ Date:________________ 

ID Job 

Number:_________________ title:_________________ 

Attached is a copy of the Drug and Alcohol Policy, dated _______________. 

Your signature below certifies that you have received a copy of the policy. Please 

sign and return this form to _______________. Please contact _______ at xxxxxx-xxxx if you have any questions. 

Page 15 of 18 

 

Attachment A 
 

Covered positions by job title
 


Page 17 of 18
 
 

 

 

9
 

90 consecutive calendar days, 5 
 

A

Alcohol, 5 
 

Alcohol - when can you test employees, 6 
 

Amphetamines, 5 
 

Attachment A, 15
 

B

BAC at or above 0.04, 10 
 

BAC of 0.02 or greater, but less than 0.04, 10 
 

C

Cocaine, 5 
 

Consequences, 10
 

Contact person, 5 
 

Covered employees, 4 
 

Covered positions by job title, 15
 

D

Dilute specimen, 10 
 

Disabling damage, 7 
 

Drug Free Work Place Act of 1988, 11 
 

E

End of shift testing, 8 
 

F

Fatal accidents, 6 
 

H

Headlights, 7 
 

Horn, 7 
 

M

Marijuana, 5 
 

N

Non-fatal accidents, 6 
 

Index 
 

O

On-call employees, 9 
 

Opiates, 5 
 

P

Phencyclidine, 5
 

Post-accident testing, 6 
 

Pre-employment alcohol tests, 5 
 

Pre-employment testing, 5 
 

Prescription drug use, 11 
 

Previous employer record check, 12 
 

Prohibited conduct, 9 
 

Prohibited substances, 5 
 

R

Random testing, 7 
 

Reasonable suspicion testing, 6 
 

Receipt of policy, 14
 

S

Split sample, 10
 

T

Tail lights, 7 
 

Test refusal, 8 
 

Testing procedure, 5 
 

Testing rates, 7 
 

Tire disablement, 7 
 

Turn signals, 7 
 

V
 

Voluntary rehabilitation and counseling, 10 
 

W

Windshield wipers, 7 
 

Z

Zero Tolerance, 10 
 

Page 18 of 18
 
FTA and FMCSA 
 

Template Policy 
 

Version 

X 

COMPANY NAME HERE 
 

Policy Adopted on x/xx/2005, Policy Revised on x/xx/2007 
 

Drug and Alcohol Policy 

COMPANY NAME 

Drug and Alcohol Policy 
 

Company name
 


12345 Main Street • Suite 100 
 

Phone 123.456.7890 • Fax 123.456.7890
 


 

Table of Contents 

Covered Employees 1 

Contact Person 2 

Prohibited Substances 2 

Testing Procedure 3 

Pre-Employment Testing 3 

Reasonable Suspicion Testing 4 

Post-Accident Testing- FMCSA 4 

Post-Accident Testing - FTA 6 

Random Testing 7 

Test Refusal 8 

Consequences 9 

Dilute Samples 10 

Split Sample 10 

Zero Tolerance (if no second chance) 10 

(if company has a second chance policy) 

Return to Duty Testing 10 

(if company has a second chance policy) 

Follow-Up Testing 10 

Employee admission of alcohol and 

controlled substances use. 11 

DRUG AND ALCOHOL POLICY 

VERSION X Chapter

1 

Purpose of Policy 

This policy complies with 49 CFR Part 655, as amended, 49 CFR Part 40, as 

amended, and 49 CFR Part 382, as amended. All drug and alcohol testing is 

conducted in accordance with these regulations. 

All covered employees are required to submit to drug and alcohol tests as a condition 

of employment. 

Copies of Parts 382, 655 and 40 are available in the drug and alcohol program 

manager’s office and can be found on the internet at the Office of Drug & Alcohol 

Policy & Compliance’s website http://www.dot.gov/ost/dapc/index.html. 

Covered Employees 

This policy applies to every employee whose position requires the possession of a 

commercial driver’s license (CDL); every employee performing a “safety-sensitive 

function” as defined herein, and any person applying for such positions. 

Under FMCSA, an employee is performing a safety sensitive function if they are: 

	 	 Driving a commercial motor vehicle which requires the driver to have a 

commercial driver’s license (CDL) 

	 	 Inspecting, servicing, or repairing any commercial motor vehicle 

	 	 Waiting to be dispatched to operate a commercial motor vehicle 

	 	 Performing all other functions in or upon a commercial motor vehicle 

	 	 Loading or unloading a commercial motor vehicle, supervising or assisting in 

the loading or unloading, attending a vehicle being loaded or unloaded, 

remaining in readiness to operate the vehicle, or in giving or receiving receipts 

for shipments being loaded or unloaded 

1
DRUG AND ALCOHOL POLICY 

VERSION X 

	 	 Performing driver requirements associated with an accident 

	 	 Repairing, obtaining assistance, or remaining in attendance upon a disabled 

commercial motor vehicle 

Under FTA, you are a safety-sensitive employee if you perform any of the following: 

	 	 Operation of a revenue service vehicle, in or out of revenue service 

	 	 Operation of a non-revenue vehicle requiring a CDL 

	 	 Controlling movement or dispatch of a revenue service vehicle (this is optional 

and determined by employer) 

	 	 Security personnel who carry firearms 

	 	 Maintenance (including repairs, overhaul and rebuilding) of a revenue service 

vehicle or equipment used on revenue service. 

	 	 Contractor employees that stand in the shoes of Transit System employees 

also have to comply 

Covered employee means a person, including an applicant or transferee, who performs 

or will perform a safety-sensitive function. A volunteer is a covered employee if: (1) 

The volunteer is required to hold a commercial driver’s license to operate the vehicle; 

or (2) The volunteer performs a safety-sensitive function for an entity subject to this 

part and receives remuneration in excess of his or her actual expenses incurred while 

engaged in the volunteer activity. 

See Attachment A for a list of covered positions by job title. 

Contact Person 

List the identity of the person, office, branch and/or position designated by the 

employer to answer employee questions about the employer’s anti-drug use and 

alcohol misuse programs. 

Prohibited Substances 

	 	 Marijuana 

	 	 Cocaine 

	 	 Amphetamines 

	 	 Opiates 

2
 

 

DRUG AND ALCOHOL POLICY 

VERSION X 

 Phencyclidine 

 Alcohol 

Testing Procedure 

All testing will be conducted as required in 49 C.F.R. Part 40, as amended. 

Pre-Employment Testing 

(Optional) Pre-employment alcohol tests are conducted after making a contingent 

offer of employment or transfer, subject to the employee passing the pre-employment 

alcohol test. 

FTA Procedures: A negative pre-employment drug test result is required before an 

employee can first perform safety-sensitive duties. 

(Company policy decision - The employer has the discretion to decide whether or not 

the covered employee is retained in the random pool during his or her absence. If the 

employee is retained in the random pool, then pre-employment testing is not required.) 

A pre-employment test is required for covered employees who are away from work for 

more than 90 consecutive calendar days, are removed from the random testing pool, 

and plan to return to a safety-sensitive function. 

When a covered employee or applicant has previously failed or refused a DOT preemployment drug and/or alcohol test, the employee must provide proof of having 

successfully completed a referral, evaluation and treatment plan meeting DOT 

requirements. 

FMCSA Procedures: A negative pre-employment drug test result is required before an 

employee can first perform safety-sensitive duties. 

An employer is not required to administer a pre-employment controlled substances 

test if: 

(1) The driver has participated in a controlled substances testing program that meets 

the requirements of this part within the previous 30 days; and 

(2) While participating in that program, either: 

(i) Was tested for controlled substances within the past 6 months (from the date of 

application with the employer), or 

(ii) Participated in the random controlled substances testing program for the previous 

12 months (from the date of application with the employer); and 

3
 

 

DRUG AND ALCOHOL POLICY 

VERSION X 

(3) The employer ensures that no prior employer of the driver of whom the employer 

has knowledge has records of a violation of this part or the controlled substances use 

rule of another DOT agency within the previous six months. 

Reasonable Suspicion Testing 

(Company Name) shall conduct a drug and/or alcohol test when (company name) has 

reasonable suspicion to believe that the covered employee has used a prohibited drug 

and/or engaged in alcohol misuse. 

The determination that reasonable suspicion exists shall be based on specific, 

contemporaneous, articulable observations concerning the appearance, behavior, 

speech, or body odors of the covered employee. A supervisor(s), or other company 

official(s) who is trained in detecting the signs and symptoms of drug use and alcohol 

misuse must make the required observations. 

(Company Name) may direct a covered employee to undergo reasonable suspicion 

testing for alcohol only while the employee is performing safety-sensitive functions; 

just before the employee is to perform safety-sensitive functions; or just after the 

employee has ceased performing such functions. 

If an alcohol test is not administered within two hours following the determination to 

conduct a reasonable suspicion test, the supervisor shall prepare and maintain on file a 

record stating the reasons the alcohol test was not promptly administered. If an alcohol 

test is not administered within eight hours following the determination to test, cease 

attempts to administer an alcohol test and update the record with the reasons for not 

administering the test. 

FMCSA Procedures: A written record shall be made of the observations leading to an 

alcohol or controlled substances reasonable suspicion test, and signed by the 

supervisor or company official who made the observations, within 24 hours of the 

observed behavior or before the results of the alcohol or controlled substances tests 

are released, whichever is earlier. 

Post-Accident Testing- FMCSA 

FMCSA Procedures: The following FMCSA-covered employees shall be subject to 

post-accident alcohol and controlled substances testing under the following 

circumstances: 

(a) As soon as practicable following an occurrence involving a commercial motor 

vehicle operating on a public road in commerce, each employer shall test for alcohol 

for each of its surviving drivers: 

(1) Who was performing safety-sensitive functions with respect to the vehicle, if the 

accident involved the loss of human life; or 

4
DRUG AND ALCOHOL POLICY 

VERSION X 

(2) Who receives a citation within 8 hours of the occurrence under State or local law 

for a moving traffic violation arising from the accident, if the accident involved: 

(i) Bodily injury to any person who, as a result of the injury, immediately receives 

medical treatment away from the scene of the accident; or 

(ii) One or more motor vehicles incurring disabling damage as a result of the accident, 

requiring the motor vehicle to be transported away from the scene by a tow truck or 

other motor vehicle. 

(b) As soon as practicable following an occurrence involving a commercial motor 

vehicle operating on a public road in commerce, each employer shall test for controlled 

substances for each of its surviving drivers: 

(1) Who was performing safety-sensitive functions with respect to the vehicle, if the 

accident involved the loss of human life; or 

(2) Who receives a citation within thirty-two hours of the occurrence under State or 

local law for a moving traffic violation arising from the accident, if the accident 

involved: 

(i) Bodily injury to any person who, as a result of the injury, immediately receives 

medical treatment away from the scene of the accident; or 

(ii) One or more motor vehicles incurring disabling damage as a result of the accident, 

requiring the motor vehicle to be transported away from the scene by a tow truck or 

other motor vehicle. 

(c) The following table notes when a post-accident test is required to be conducted 

Type of Accident Involved. Citation issued to 

Commercial Motor Vehicle 

Driver? 

Alcohol and controlled 

substance test required. 

i. Human fatality YES YES 

NO YES 

ii. Bodily injury and 

immediate medical 

treatment away from the 

scene. 

YES YES 

NO NO 

iii. Disabling damage to any 

motor vehicle requiring tow 

away 

YES YES 

NO NO 

1.	 If a post-accident alcohol test is not administered within two (2) hours following 

an accident, the supervisor of the employee shall prepare and maintain on file a 

record stating the reasons the test was not properly administered. If a test is not 

administered within eight (8) hours after the accident, the supervisor shall cease 

5
DRUG AND ALCOHOL POLICY 

VERSION X 

attempts to have the alcohol test administered and prepare and maintain on file a 

record stating the reasons the test was not done within said eight (8) hours. 

2.	 If a post-accident controlled substances test is not administered within 32 hours 

of the accident, the supervisor shall cease attempts to have the controlled 

substances test administered and prepare and maintain on file a record stating the 

reasons the test was not done within said 32 hours. 

3.	 An employee subject to post-accident testing shall remain readily available for 

such testing, including notifying his/her supervisor of his/her location if he/she 

leaves the accident scene. An employee who fails to do so shall be deemed to 

have refused to submit to testing. Nothing herein shall be construed to require 

the delay of necessary medical attention for the injured or to prohibit an 

employee from leaving the accident scene for the time period required to obtain 

emergency assistance. 

Post-Accident Testing - FTA 

FTA Procedures: The following FTA-covered employees shall be subject to postaccident alcohol and controlled substances testing under the following circumstances: 

Fatal Accidents. As soon as possible following an accident involving the loss of 

human life, DOT drug and alcohol tests are conducted on all surviving covered 

employees. In addition, any other covered employee whose performance could have 

contributed to the accident, as determined by the employer using the best information 

available at the time of the decision, is tested. 

Non-Fatal Accidents. Post-accident testing is required if one of the following conditions 

is met, 

	 	 An accident results in injuries requiring immediate medical treatment away 

from the scene, and the covered employee contributed to the accident, 

or 

	 	 One or more vehicles receive disabling damage and have to be towed from the 

scene, and the covered employee contributed to the accident. 

In addition, any other covered employee whose performance could have contributed 

to the accident, as determined by the employer using the best information available at 

the time of the decision, is tested. 

Disabling damage means damage which prevented the departure of any vehicle from 

the scene of the occurrence in its usual manner in daylight after simple repairs. 

6
DRUG AND ALCOHOL POLICY 

VERSION X 

Disabling damage includes damage to vehicles that could have been operated but 

would have been further damaged if so operated, but does not include damage which 

can be remedied temporarily at the scene of the occurrence without special tools or 

parts, tire disablement without other damage even if no spare tire is available, or 

damage to headlights, tail lights, turn signals, horn, or windshield wipers that makes 

them inoperative. 

If an alcohol test is not administered within two hours following the time of the 

accident, the supervisor shall prepare and maintain on file a record stating the reasons 

the alcohol test was not promptly administered. If an alcohol is not administered 

within eight hours following the determination to test, cease attempts to administer an 

alcohol test and update the record with the reasons for not administering the test. The 

drug test should be taken as soon as possible. Cease attempts to collect the drug test 

after 32-hours. 

If the decision not to administer a drug and/or alcohol test under this section shall be 

based on the employer's determination, using the best available information at the time 

of the determination that the employee's performance could not have contributed to 

the accident. Such a decision must be documented in detail, including the decisionmaking process used to reach the decision not to test. 

Nothing in this section shall be construed to require the delay of necessary medical 

attention for the injured following an accident or to prohibit a covered employee from 

leaving the scene of an accident for the period necessary to obtain assistance in 

responding to the accident or to obtain necessary emergency medical care. 

Random Testing 

Random drug and alcohol tests are unannounced and unpredictable, and the dates for 

administering random tests are spread reasonably throughout the calendar year. 

Random testing must be conducted at all times of day when safety-sensitive functions 

are performed. 

Testing rates will meet or exceed the minimal annual percentage rate set each year by 

the DOT Administrator. The current year testing rates can be viewed on line at 

http://www.dot.gov/ost/dapc/rates.html. The 2007 FMCSA minimum testing 

requirement is to annually perform drug tests on 50% and alcohol tests on 10% of the 

average number of driver positions. The 2007 FTA minimum testing requirement is 

to annually perform drug tests on 25% and alcohol tests on 10% of the average 

number of safety-sensitive employees. If a given driver is subject to random alcohol or 

controlled substances testing under the random alcohol or controlled substances 

testing rules of more than one DOT agency for the same employer, the driver shall be 

subject to random alcohol and/or controlled substances testing at the annual 

percentage rate established for the calendar year by the DOT agency regulating more 

than 50 percent of the driver's function. 

7
DRUG AND ALCOHOL POLICY 

VERSION X 

The selection of employees for random drug and alcohol testing shall be made by a 

scientifically valid method, such as a random number table or a computer-based 

random number generator that is matched with employees' Social Security numbers, 

payroll identification numbers, or other comparable identifying numbers. Under the 

selection process used, each covered employee shall have an equal chance of being 

tested each time selections are made. 

Each employee selected for testing shall be tested during the selection period. A 

covered employee shall only be randomly tested for alcohol misuse while the employee 

is performing safety-sensitive functions; just before the employee is to perform safetysensitive functions; or just after the employee has ceased performing such functions. A 

covered employee may be randomly tested for prohibited drug use anytime while on 

duty. 

Each covered employee who is notified of selection for random drug or random 

alcohol testing shall proceed to the test site immediately. 

Test Refusal 

You have refused to take a test if you: 

1. Fail to provide a breath or urine sample 

2. Provide an insufficient volume without valid medical explanation 

3. Adulterate or substitute a specimen 

4. Fail to appear within a reasonable time 

5. Leave the scene of an accident without just cause prior to submitting to a test 

6. Leave the collection facility prior to test completion 

7. Fail to permit an observed or monitored collection when required 

8. Fail to take a second test when required 

9. Fail to undergo a medical examination when required 

10. Fail to cooperate with any part of the testing process 

11. Fail to sign Step 2 of alcohol test form 

12. Once test is underway, fail to remain at site and provide a specimen 

13. Or the MRO verifies that you provided an adulterated/substituted sample. 

8
 

 

DRUG AND ALCOHOL POLICY 

VERSION X 

For pre-employment tests only, failure to appear, aborting the collection before the test 

commences, or failure to remain at site prior to commencement of test is NOT a test 

refusal: 

Prohibited Conduct 

(1) All covered employees are prohibited from reporting for duty or 

remaining on duty any time there is a quantifiable presence of a 

prohibited drug in the body above the minimum thresholds defined in 49 

DFR Part 40, as amended. 

(2) Each covered employee is prohibited from consuming alcohol while 

performing safety-sensitive job functions or while on-call to perform 

safety-sensitive job functions. If an on-call employee has consumed 

alcohol, they must acknowledge the use of alcohol at the time that they 

are called to report for duty. The covered employee must take an 

alcohol test, if the covered employee claims ability to perform his or her 

safety-sensitive function. 

(3) The Transit Department shall not permit any covered employee to 

perform or continue to perform safety-sensitive functions if it has 

actual knowledge that the employee is using alcohol. 

(4) Each covered employee is prohibited from reporting to work or 

remaining on duty requiring the performance of safety-sensitive 

functions while having an alcohol concentration of 0.02 or greater 

regardless of when the alcohol was consumed. 

(5) No covered employee shall consume alcohol for eight (8) hours 

following involvement in an accident or until he/she submits to the 

post-accident drug/alcohol test, whichever occurs first. 

(6) No covered employee shall consume alcohol within four (4) hours 

prior to the performance of safety-sensitive job functions. 

Consequences 

Following a positive drug or alcohol (BAC at or above 0.04) test result or test refusal, 

the employee is immediately removed from safety-sensitive duties, referred to a 

substance abuse professional (SAP), and (insert transit system disciplinary policy.) 

FTA Procedures: Following a BAC of 0.02 or greater, but less than 0.04 – the 

employee is immediately removed from safety sensitive duties for at least eight hours 

unless a retest results in the employee’s alcohol concentration of less than 0.02. 

FMCSA Procedures: Following a BAC of 0.02 or greater, but less than 0.04 – the 

employee is immediately removed from safety sensitive duties until the start of the 

driver's next regularly scheduled duty period, but not less than 24 hours following 

administration of the test. 

9
DRUG AND ALCOHOL POLICY 

VERSION X 

Dilute Samples 

Negative dilute – (company decision needed here – to test or not to retest dilute 

negative test results) A negative dilute specimen does not require a retest. While 

§40.197(b) authorizes an employer to obtain one additional test following a negative 

dilute result (in pre-employment or other testing situations), a negative dilute test result 

is a valid negative test for DOT’s purposes. You must treat all employees the same for 

this purpose. For example, you must not retest some employees and not others. You 

may, however, establish different policies for different types of tests (e.g., conduct 

retests in pre-employment situations, but not in random test situations). You must 

treat the result of the second test as the test result of record. 

Dilute negative results 2-5 mg/dl requires an immediate recollection under direct 

observation (see §40.155(c)). 

Split Sample 

(Company Name) will guarantee that the cost for the split specimen test is covered in 

order for a timely analysis of the sample however; the employee is required to pay for 

the split sample test. 

Zero Tolerance (if no second chance) 

Per company policy, any employee who tests positive for drugs and/or alcohol or 

refuses to test will be referred to a SAP and terminated from employment. 

(if company has a second chance policy) Return to 

Duty Testing 

Any employee who is allowed to return to duty after a refusal to submit to a test or 

failing an alcohol and/or drug test, must first be evaluated by a substance abuse 

professional (SAP), and provide a negative drug, alcohol (or both) test result. 

(if company has a second chance policy) FollowUp Testing 

Employees returning to duty following leave for substance abuse rehabilitation will be 

required to undergo unannounced follow-up alcohol and/or drug testing as directed by 

the SAP. The number and frequency of such follow-up testing shall be directed by the 

SAP. The employee will be subject to follow-up testing for a period of 1 to 5 years as 

determined by the SAP. All testing will be conducted in accordance with Part 40, 

subpart O. (Company needs to decide who pays for rehabilitation services and if 

employee can use sick leave or annual leave during the rehabilitation program) 

10
 

DRUG AND ALCOHOL POLICY 

VERSION X 

Employee admission of alcohol and controlled 

substances use. 

FMCSA Procedures: (a) Employees who admit to alcohol misuse or controlled 

substances use are not subject to the referral, evaluation and treatment requirements of 

part 382 and part 40, provided that: 

(a)(1) The admission is in accordance with a written employer- established voluntary 

self-identification program or policy that meets the requirements of paragraph (b) of 

this section; 

(a)(2) The driver does not self-identify in order to avoid testing 

(a)(3) The driver makes the admission of alcohol misuse or controlled substances use 

prior to performing a safety sensitive function (i.e., prior to reporting for duty); and 

(a)(4) The driver does not perform a safety sensitive function until the employer is 

satisfied that the employee has been evaluated and has successfully completed 

education or treatment requirements in accordance with the self-identification program 

guidelines. 

(b) A qualified voluntary self-identification program or policy must contain the 

following elements: 

(b)(1) It must prohibit the employer from taking adverse action against an employee 

making a voluntary admission of alcohol misuse or controlled substances use within 

the parameters of the program or policy and paragraph (a) of this section; 

(b)(2) It must allow the employee sufficient opportunity to seek evaluation, education 

or treatment to establish control over the employee's drug or alcohol problem; 

(b)(3) It must permit the employee to return to safety sensitive duties only upon 

successful completion of an educational or treatment program, as determined by a 

drug and alcohol abuse evaluation expert, i.e., employee assistance professional, 

substance abuse professional, or qualified drug and alcohol counselor; 

(b)(4) It must ensure that: 

(b)(4)(i) Prior to the employee participating in a safety sensitive function, the employee 

shall undergo a return to duty test with a result indicating an alcohol concentration of 

less than 0.02; and/or (b)(4)(ii) Prior to the employee participating in a safety sensitive 

function, the employee shall undergo a return to duty controlled substance test with a 

verified negative test result for controlled substances use; and 

11
DRUG AND ALCOHOL POLICY 

VERSION X 

(b)(5) It may incorporate employee monitoring and include non-DOT follow-up 

testing. 

(b)(4)(ii) Prior to the employee participating in a safety sensitive function, the employee 

shall undergo a return to duty controlled substance test with a verified negative test 

result for controlled substances use; and 

(b)(5) It may incorporate employee monitoring and include non-DOT follow-up 

testing. 

Prescription Drug Use (this section is optional) 

The appropriate use of legally prescribed drugs and non-prescription medication is not 

prohibited. It is, however, the employee’s responsibility to inform the physician of the 

employee’s job duties and determine from the physician, or other health care 

professional, whether or not the prescribed drug may impair their job performance or 

mental or motor function. It is the responsibility of the employees to remove 

themselves from service if they are unfit for duty. 

Pursuant to company authority, employees are required to report the use of medically 

authorized drugs or other substances that may create a direct threat by impairing job 

performance of safety-sensitive functions to his/her supervisor and provide proper 

written medical authorization to work from a physician. 

Pursuant to company authority, failure to report the use of such drugs or failure to 

provide proper evidence of medical authorization may result in disciplinary action. 

Drug Free Work Place Act of 1988 

In accordance with the Drug Free Work Place Act of 1988, an employee who is 

convicted of any criminal drug statute for a violation occurring in the work place shall 

notify (insert who you want notified - the Personnel Office, the DER?) no later than 

five days after such conviction. 

12
 

 

 _____________________________________________________________________________________ 

 _____________________________________________________________________________________ 

 

 

 

 

 

 

“Release of Information Form -- 49 CFR Part 40 Drug and Alcohol Testing” 

Section I. To be completed by the new employer, signed by the employee, and transmitted to the previous employer: 

Employee Printed or Typed Name: ________________________________________________________________ 

Employee SS or ID Number: _____________________________________________________________________ 

I hereby authorize release of information from my Department of Transportation regulated drug and alcohol testing records by my previous employer, listed in Section I-B, to the 

employer listed in Section I-A. This release is in accordance with DOT Regulation 49 CFR Part 40, Section 40.25. I understand that information to be released in Section II-A by my 

previous employer, is limited to the following DOT-regulated testing items: 

1. Alcohol tests with a result of 0.04 or higher; 

2. Verified positive drug tests; 

3. Refusals to be tested; 

4. Other violations of DOT agency drug and alcohol testing regulations; 

5. Information obtained from previous employers of a drug and alcohol rule violation; 

6. Documentation, if any, of completion of the return-to-duty process following a rule violation. 

Employee Signature: __________________________________________________ Date: ____________________ 

I-A. 

New Employer Name: __________________________________________________________________________ 

Address: _____________________________________________________________________________________ 

Phone #: _______________________________________ Fax #: _______________________________________ 

Designated Employer Representative: ______________________________________________________________ 

I-B. 

Previous Employer Name: _______________________________________________________________________ 

Address: _____________________________________________________________________________________ 

Phone #: _______________________________________
 


Designated Employer Representative (if known): _____________________________________________________
 


Section II. To be completed by the previous employer and transmitted by mail or fax to the new employer: 

II-A. In the two years prior to the date of the employee’s signature (in Section I), for DOT-regulated testing ~ 

1. Did the employee have alcohol tests with a result of 0.04 or higher? YES ____ NO ____ 

2. Did the employee have verified positive drug tests? YES ____ NO ____ 

3. Did the employee refuse to be tested? YES ____ NO ____ 

4. Did the employee have other violations of DOT agency drug and 
 

alcohol testing regulations? YES ____ NO ____
 


5. Did a previous employer report a drug and alcohol rule 
 

violation to you? YES ____ NO ____
 


6. If you answered “yes” to any of the above items, did the
 


employee complete the return-to-duty process? N/A ____ YES ____ NO ____
 


13
NOTE: If you answered “yes” to item 5, you must provide the previous employer’s report. If you answered “yes” to item 6, you must 

also transmit the appropriate return-to-duty documentation (e.g., SAP report(s), follow-up testing record). 

II-B. 

Name of person providing information in Section II-A: _______________________________________________
 


Title: ___________________________________________ 
 

Phone #: ________________________________________ 
 

Date: ___________________________________________
 


14
Employee Receipt of Policy 
 

Name:______________________ Date:_______________________ 

ID Number:_________________ Job title:_____________________ 

Attached is a copy of the Drug and Alcohol Policy, dated _______________. Your signature 

below certifies that you have received a copy of the policy. Please sign and return this form to 

_______________. Please contact _______ at xxx-xxx-xxxx if you have any questions. 

15

Attachment A 
 

Covered positions by job title
 


17

 

 

Index 

9
 

90 consecutive calendar days, 3 
 

A

Alcohol, 3 
 

alcohol - when can you test employees, 4 
 

Amphetamines, 2 
 

Attachment A, 16
 

C

Citation issued, 5 
 

Cocaine, 2 
 

Contact Person, 2 
 

Covered employee, 2 
 

Covered Employees, 1 
 

Covered positions by job title, 16
 

D

Dilute Samples, 10 
 

Disabling damage, 6 
 

Disabling damage - FMCSA, 5 
 

F

Fatal accident - FMCSA, 5 
 

Fatal Accidents - FTA, 6 
 

FMCSA pre-employment drug test, 3 
 

Follow-Up Testing, 10 
 

FTA pre-employment drug test, 3
 

M

Marijuana, 2 
 

N

Non-Fatal Accidents - FTA, 6 
 

O

on-call, 9 
 

Opiates, 2 
 

P

Phencyclidine, 3
 

Post-Accident Testing - FTA, 6 
 

Post-Accident Testing- FMCSA, 4 
 

Pre-employment alcohol tests, 3 
 

Pre-Employment Testing, 3 
 

previous employer record check, 13 
 

Prohibited Conduct, 9 
 

Prohibited Substances, 2 
 

R

Random Testing, 7 
 

Reasonable Suspicion Testing - FTA, 4 
 

Reasonalbe suspicion testing - FMCSA, 4 
 

Return to Duty Testing, 10 
 

S

Split Sample, 10
 

T

Test Refusal, 8 
 

Testing Procedure, 3 
 

Testing rates, 7 
 

19

Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists 

This appendix contains best practice examples of forms and lists that have 

been used successfully to assist with general administrative issues and 

concerns and the issues related to each of the four types of testing required for 

all employers: pre-employment, reasonable suspicion, post accident, and 

random. Each of these examples is referenced and described in Section 4.1. 

The examples appear in the following figures, by the aforementioned groups: 

General Administrative Duties 

 B-1. MBTA Employee Certification of Receipt of Policy 

 B-2. WMATA Employee Certification of Receipt of Policy 

 B-3. Tri-Met Employee Certification of Receipt of Policy 

 B-4. Log of Covered Employees who Complete Substance Abuse Training 

 B-5. Log of Employees who Complete Reasonable Suspicion Training 

 B-6. Certificate for Completion of Reasonable Suspicion Training 

 B-7. Roles and Responsibilities of Department Substance Abuse Program Manager 

 B-8. Roles and Responsibilities of Department Program Coordinator 

 B-9. Roles and Responsibilities of Departmental Divisional Contacts 

B-10. Roles and Responsibilities of Front-Line Supervisors 

B-11. Drug and Alcohol Testing Log 

B-12. Drug Test Result Summary Form 

B-13. Supervisor Log for Drug and Alcohol Testing 

B-14. Order for Testing 

B-15. Notification of Testing 

B-16. Notice of Positive Drug Test 

B-17. Notice of Positive Alcohol Test 

B-18. Employee Notification of Positive Test Result

B-19. Supervisor Notification of Positive Test Result

Pre-Employment Testing 

B-20. Flow Chart for Pre-Employment Testing Process 

B-21. Pre-Employment Documentation Summary Sheet 

B-22. Pre-Employment Test Tracking Log 

B-23. Applicant Notification of Positive Test Result 

Appendix B. Example Administrative Forms and Lists Page B-1 
Best Practices 

FTA Drug and Alcohol Testing Program

Reasonable Suspicion Testing 

B-24. Flow Chart for Reasonable Suspicion Testing Process 

B-25. Reasonable Suspicion Process and Documentation 

B-26. Reasonable Suspicion Short-Term Indicators 

B-27. Reasonable Suspicion Evaluation and Checklist 

B-28. Fitness for Duty 

B-29. Observation/Incident Report 

B-30. Accident/Incident/Reasonable Cause Report 

B-31. Reasonable Suspicion Individual Test Summary 

B-32. Reasonable Suspicion Tracking Master Log 

B-33. Failure To Administer Reasonable Suspicion Drug Test Form 

Post-Accident Testing 

B-34. Post-Accident Test Decision Tree 

B-35. Flow Chart for Post-Accident Testing Process 

B-36. Post-Accident Testing Decision Report 

B-37. Post-Accident Testing Procedure 

B-38. Post-Accident Drug and Alcohol Testing Decision Maker Form 

B-39. Post-Accident Testing Record of Decision 

B-40. Post-Accident Documentation Summary Form 

B-41. Failure To Administer Post-Accident Drug Test 

B-42. Post-Accident Test Master Log 

Random Testing 

B-43. Flow Chart for Random Testing Process 

B-44. Random Testing Procedure 

B-45. Random Drug/Alcohol Testing Notification Form 

B-46. Employee Notice for Random Substance Abuse Test 

B-47. Random Selection Instructions 

B-48. Roles and Responsibilities of Random Selector 

B-49. Random Testing Schedule 

B-50. Random Testing Selection Documentation Form 

B-51. Individual Random Test Summary Sheet 

B-52. Random Test Master Log 

B-53. Employee Status Form

Appendix B. Example Administrative Forms and Lists Page B-2 
Best Practices 

FTA Drug and Alcohol Testing Program

GENERAL ADMINISTRATIVE DUTIES

Figure B-1. MBTA Employee Certification of Receipt of Policy 

MASSACHUSETTS BAY TRANSPORTATION AUTHORITY 

DRUG AND ALCOHOL POLICY 

VERIFICATION OF EMPLOYEE NOTICE 

I have received a copy of the August 1, 2001 Massachusetts Bay Transportation

Authority Drug and Alcohol Policy which outlines the rights, duties, and responsibilities of 

the Massachusetts Bay Transportation Authority and all employees of the Massachusetts 

Bay Transportation Authority. 

____________________ __________________________________ 

Employee Number Area Department

_______________________ ________________________________________ 

Class Number Class Title 

_______________________________________ 

Name 

_____________________________________________________________________ 

Employee Signature Date 

____________________________________________________________________ 

MBTA Witness Signature Date 

Appendix B. Example Administrative Forms and Lists Page B-3 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-2. WMATA Employee Certification of Receipt of Policy 

Washington Metropolitan Area Transit Authority

Certification Statement 

Drug and Alcohol Testing Program

I have received a copy of the Policy Instruction, P/I 7.21/2 

Drug and Alcohol Testing, and a copy of the Substance 

Abuse Policy and Employee Assistance Program. I 

understand that it is my responsibility to read and abide by 

the rules contained in these Policies. 

_____________________ ________________ Signature Date

________________________ 

Print Name

________________________ 

Employee Number

Figure B-3. Tri-Met Employee Certification of Receipt of Policy1

TRI-MET DRUG & ALCOHOL

ABUSE PROGRAM

Yes, I have received Tri-Met’s packet of information containing a copy of the revised 

drug and alcohol policy, EAP brochure, and Question & Answer information. 

Name:________________________________________

Employee No.: __________________

Signature:___________________________ Date: _______________

Appendix B. Example Administrative Forms and Lists Page B-4 

 

1

 Tri-County Metropolitan Transit District, Portland, Oregon
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-4. Log of Covered Employees who Complete Substance Abuse Training2

DRUG AND ALCOHOL TRAINING FOR COVERED EMPLOYEES 

I certify that I have received 60 minutes of training on the effects and

consequences of alcohol misuse and prohibited drug use on health, safety,

personal life, and the work environment, and on the signs and symptoms which 

may indicate such use in accordance with Title 49 CFR § 655.14 (b) (1). 

NAME DEPARTMENT DATE

____________________________ ___________________ 

INSTRUCTOR DATE

 

Appendix B. Example Administrative Forms and Lists Page B-5 

2

 Cincinnati Metro
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-5. Log of Employees who Complete Reasonable Suspicion Training3

REASONABLE SUSPICION TRAINING FOR SUPERVISORY EMPLOYEES 

I certify that I have received 60 minutes of training describing the physical, 

behavioral, speech and performance indicators of alcohol misuse and 60 minutes 

of training on the performance indicators of probable drug use constituting the 

grounds for a reasonable suspicion test in with Title 49 CFR § 655.14 (b) (2). 

NAME DEPARTMENT DATE

____________________________ ___________________ 

INSTRUCTOR DATE

 

Appendix B. Example Administrative Forms and Lists Page B-6 

3

 Cincinnati Metro
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-6. Certificate for Completion of Supervisor Training4

The Government of The Virgin Islands 

Certifies That 

 Supervisor 

Has completed Supervisor Reasonable 

Suspicion Training for Drug Use and 

Alcohol Misuse in Accordance with 49 CFR 

Part 655

On _______________(date) 

_______________________________________ Instructor 

 

Appendix B. Example Administrative Forms and Lists Page B-7 

4 The Government of The Virgin Islands
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-7. Roles and Responsibilities of Department Substance Abuse Program Manager 5

ROLES AND RESPONSIBILITIES: SUBSTANCE ABUSE PROGRAM MANAGER 

 Directs and manages the City’s Substance Abuse program

 Supervises the City’s Substance Abuse Program staff including the City personnel that perform the following:

 Random number pool management and selection 

 Substance abuse professional services 

 Manages, monitors, and enforces contracts for testing services, including:

 Collection sites 

⇒ 

⇒ 

 

Urine specimen collection 

Breath specimen collection (BATs) 

 SED testing laboratory 

 Split specimen laboratory 

 Medical Review Officer 

 Performs quality control checks on testing services: 

 Mock audits 

 Blind sample quality control checks 

 Periodic inspections

 Review policies/procedures, checklists for being complete, up-to-date, and compliant with 49CFR Part 40

 Monitor/investigate employee complaints 

 Periodic assessment of service provider credentials 

 Maintains a thorough, current knowledge of all Federal drug and alcohol testing regulations including testing

procedures (49CFR Part 40); FTA regulations (49CFR Part 655); and FHWA regulations (49CFR Part 382). 

 Maintain a thorough and current knowledge of all other Federal, State, and Municipal legislation, regulations

and case law regarding substance abuse testing that may pertain to City employee. 

 Maintain a thorough and current knowledge of testing procedures, protocols, adulterants, and other relevant

issues relating to drug and alcohol testing.

 Assist Department Program Coordinators with the successful, compliant, implementation of the City’s 

Substance Abuse Policy. 

 Advise Department Program Coordinators as they implement the program including policy implementation, 

discipline, and other issues as they arise. 

 Recommend modifications to the City’s Substance Abuse Policy as appropriate to reflect changes in 

regulations, operating environments, practical experience, and program administration. Present

recommendations to the CAO and City Council, as appropriate. 

 Develop training modules to train supervisors and other City employees on the City’s policy and testing procedures. 

 Coordinate training activities for/between City departments for supervisory Reasonable Suspicion and Drug

Abuse/Alcohol misuse awareness training. 

 Maintain a computerized database of testing records to facilitate the preparation/submission of MIS report 

required by Federal regulations. 

 Maintain manual paper files to facilitate response to employee actions, lawsuits, grievances, audits, or other proceedings. 

 Ensure confidentiality and security of all drug and alcohol testing records. 

 Testify as necessary regarding the testing procedures and policies in administrative grievance procedures and lawsuits. 

 Perform other duties as directed. 

Appendix B. Example Administrative Forms and Lists Page B-8 

5

 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-8. Roles and Responsibilities of Department Program Coordinator6

ROLES AND RESPONSIBILITIES 

DEPARTMENT PROGRAM COORDINATOR 

 Coordinates with SAPM on program implementation. 

 Responsible for policy implementation in department. 

 Knowledgeable of regulatory compliance requirements as appropriate (Transit mandatory). 

 Schedules random tests and works with Division Contact to ensure tests are performed. 

 Re-schedules test in testing period if employee is unavailable on the testing day. 

 Approves legitimate excuses for no test; takes corrective action when explanation is not legitimate. 

 Notifies Random Selector when tests are not completed in the testing period. 

 Tracks tests for department. 

 Ensures that employees are properly coded as safety-sensitive or not. 

 Works with Division Contacts to ensure that testing is performed within the regulatory guidelines –

 Alcohol test only performed just before, during, just after the performance of a safety-sensitive job 

function 

 Drug test any time the covered employee is on duty

 Tests performed as soon as possible following employee notification, accident, or reasonable suspicion 

determination

 Document test delays of greater than 2 hours; discontinue alcohol test attempts after 8 hours; 

discontinue drug test attempt after 32 hours. 

 Investigate procedural violations and take corrective actions as necessary

 Ensure appropriate department level documentation is completed accurately and in a timely manner; take 

corrective action as necessary. 

 Maintain departmental records in a secure location. 

 Schedule return-to-duty, and follow-up test consistent with SAP recommendation. 

 Notify employees and department of positive test results; remove employee from duty; notify and refer to

department for discipline; refer to SAP. 

 Coordinate with SAP regarding employee’s progress and return-to-duty status. 

 Coordinate with SAPM regarding preparation and submission of annual MIS reports. 

 Provide input to SAPM regarding quality of testing services; bring issues or problems to immediate attention of

SAPM. 

 

Appendix B. Example Administrative Forms and Lists Page B-9 

6

 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-9. Roles and Responsibilities of Departmental Divisional Contacts7

ROLES AND RESPONSIBILITIES 

DEPARTMENTAL – DIVISION CONTACTS

 

 Upon notification of employees to be tested – check to make sure available on tests date. If not, inform DPC of

need for alternate test date within testing period

 Arrange for employee to be removed from duty (schedule substitute as necessary), and notify of need for test 

 Arrange for immediate transportation to collection site 

 Notify DPC of post-accident and reasonable suspicion tests 

 Ensure tests are complete consistent with regulatory requirements 

 Ensure that all necessary documentation is complete and submitted to the DPC within 24 hours of the incident

Figure B-10. Roles and Responsibilities of Front-Line Supervisors 8

ROLES AND RESPONSIBILITIES 

FRONT-LINE SUPERVISORS 

 

 Determine employee fitness for duty; make reasonable suspicion determination as appropriate; transport 

employee to collection site; notify Division Contact/DPC; prepare documentation. 

 Determine if accident meets regulatory definition of an accident; if so transport employee to collection site or 

arrange for collections to be made; document test decision; notify Division Contact/DPC. 

 

7

 City of Albuquerque 

Appendix B. Example Administrative Forms and Lists Page B-10 

8

 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-11. Drug and Alcohol Testing Log9

DRUG AND ALCOHOL TESTING LOG

SS# EE# CLASS AREA DATE SCREENED LOCATION REASON

NAME: 

DRUG SCREEN/RESULTS DATE COMMENTS ALCOHOL SCREEN RESULTS DATE COMMENTS 

SS# EE# CLASS AREA DATE SCREENED LOCATION REASON

NAME: 

DRUG SCREEN/RESULTS DATE COMMENTS ALCOHOL SCREEN RESULTS DATE COMMENTS 

SS# EE# CLASS AREA DATE SCREENED LOCATION REASON

NAME: 

DRUG SCREEN/RESULTS DATE COMMENTS ALCOHOL SCREEN RESULTS DATE COMMENTS 

SS# EE# CLASS AREA DATE SCREENED LOCATION REASON

NAME: 

DRUG SCREEN/RESULTS DATE COMMENTS ALCOHOL SCREEN RESULTS DATE COMMENTS 

SS# EE# CLASS AREA DATE SCREENED LOCATION REASON

NAME: 

DRUG SCREEN/RESULTS DATE COMMENTS ALCOHOL SCREEN RESULTS DATE COMMENTS 

SS# EE# CLASS AREA DATE SCREENED LOCATION REASON

NAME: 

DRUG SCREEN/RESULTS DATE COMMENTS ALCOHOL SCREEN RESULTS DATE COMMENTS 

 

Appendix B. Example Administrative Forms and Lists Page B-11 

9

 Massachusetts Bay Transportation Authority (MBTA) 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-12. Drug Test Result Summary Form10

DRUG TEST RESULT SUMMARY FORM 

Company:

Location:

Employee Name: 

Identification #: 

Reported for Test: Date Time

Specimen Collection: Date Time

Type of Test: Pre-Employment Return-to-Duty

Random Post-Accident

Reasonable Suspicion Follow-up

Re-Test Other

Type of Test: DOT Safe 10 Safe 5 Other 

Date Lab Received: 

Date Lab Reported: 

Date MRO Verifies Results: 

Specimen Collection Site: 

Name:

Location:

Technician:

Testing Laboratory: 

Name:

Location:

Certifying Scientist:

Split Analysis Laboratory:

Name:

Location:

Certifying Scientist:

Medical Review Officer: 

Name:

Location:

Signature:

Test Result: 

Negative Positive Unsuitable Not Performed

Cancelled Insufficient Volume Adulterated

Substance Detected: 

Marijuana Cocaine Phencyclidine

Opiates Amphetamine Other, Specify:

Codeine Amphetamine

Morphine Methamphetamine

Date Employee Informed: 

Action Taken:

Referred to SAP (Date) Employee Terminated

Assigned to non-safety-sensitive duties Not Hired

Removed from Duty Other 

To Be Com

pleted B

y MRO 

Appendix B. Example Administrative Forms and Lists Page B-12 

 

10 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-13. Supervisor Log for Drug and Alcohol Testing11 (Front) 

 SUPERVISOR LOG – DRUG & ALCOHOL TESTING 

DATE __________________ EMPLOYEE NAME __________________________________________________________ 

SSN / ID# OF EMPLOYEE _____________________________________________________ 

EMPLOYEE WORK SITE______________________________________________________ 

TYPE OF TEST 

 DRUG ALCOHOL BOTH DRUG & ALCOHOL 

REASON FOR TESTING 

 RANDOM REASONABLE SUSPICION

 POST-ACCIDENT FOLLOW-UP (per return-to-work agreement)

TESTING FACILITY 

 MEDWORK (SR-84) ON-SITE (employee’s work location)

FAMILY HEALTH CENTER OTHER_________________________________ 

(am/pm) SEQUENCE OF EVENTS

_____ Time when testing facility was called/notified to coordinate testing of a Mass Transit Division employee. 

_____ Time when employee was first notified of the testing requirement. 

_____ Time when union/other employee representative was contacted (person notified) _______________ ). 

_____ Departure time from employee’s work site to the testing facility, if applicable. 

_____ Arrival time at the testing facility, or time the mobile testing team arrives at the testing location.

_____ Arrival time of union representative, if applicable. 

_____ Time testing started. 

_____ Time testing concluded.

_____ Time of return to work location, or time employee is released to return to duty or is secured from duty. 

OTHER NOTIFICATION

(post-accident, reasonable suspicion testing, or as otherwise required)

_____ Time when Superintendent/Assistant Superintendent was notified. 

_____ Time when Program Manager for Drug & Alcohol Testing was called/alerted. 

_____ Time when Director/Assistant Director was notified, if applicable. 

_____ Other _____________________________________________________________________________ 

Appendix B. Example Administrative Forms and Lists Page B-13 

 

11 Broward County (Florida) Transit 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-13. Supervisor Log for Drug and Alcohol Testing (Back) 

POST-ACCIDENT TESTING 

(Complete this section only if post-accident testing criteria applies.)

____________________ ______________________________ BODILY INJURY

(Date/Time of Accident) (Location of Accident)

 DISABLING DAMAGE 

 NO-TEST DECISION (WAIVED PER _______________________________________________________ ) 

________________________________________________________________________________________________________ 

REASONABLE SUSPICION TESTING 

(Complete this section to describe when, where, and what specific, observed behavior, speech, appearance, or other

characteristic results in a reasonable suspicion testing determination. Be specific. Use amplifying comments or separate sheet 

of paper if more space is needed.)

________________________ _____________________________ ODOR OF ALCOHOL

(Date/Time of Observation) (Location of Observation)

____________________________________________________________________________________________

AMPLIFYING COMMENTS 

(Complete this section to note any problem or unusual circumstance associated with the testing process, any delay in testing 

beyond two hours of notifying employee of a testing requirement, or to provide additional information, if needed. Use 

continuation sheet if more space is needed.)

________________________________________________________________________________________________________ 

________________________________________________________________________________________________________ 

________________________________________________________________________________________________________ 

________________________________________________________________________________________________________ 

________________________________________________________________________________________________________ 

________________________________________________________________________________________________________ 

________________________________________________________________________________________________________ 

 ________________________________________________________ 

 (Signature of Supervisor) 

Note. Post-Accident and Reasonable Suspicion testing must be substantiated by completing the appropriate section above. Return this form 

within 24 hours of testing to the Program Manager for Drug and Alcohol Testing, Broward County Transit, 3201 West Copans Road, Pompano 

Beach, Florida 33069. Contact the Program Manager at 357-830., After regular business hours call 497-8327 (24-hour pager) if there is 

question concerning this form or assistance is needed in determining whether a particular situation requires testing for the use of prohibited 

drugs or misuse of alcohol.

Appendix B. Example Administrative Forms and Lists Page B-14 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-14. Order for Testing12

ORDER FOR TESTING 

Name: ______________________________________________________________________________

Number: ____________________________________________________________________________

Supervisor Authorizing Test: ____________________________________________________________

Collection Site: _______________________________________________________________________

 __________________________________________________________________________

Transported: ____ Yes ____ No 

Name of Transport 

Supervisor: ____________________________________________________________________

Date & Time Sent: _________________________ (Date) _______________________ (Time) 

Test Authority: ___ DOT ____ Non-DOT ____ Other (Specify) 

Test Category:

___ Pre-employment ____ Random 

___ Post-Accident ____ Reasonable Suspicion 

___ Return-to-Duty ____ Follow-up 

___ Retest 

Observed Collection: ___ Yes ____ No 

Other __________________________________________________________________________

 __________________________________________________________________________

Special 

Instructions: _________________________________________________________________________ 

Date & Time Sent: ____________ Date ____________ Time

Date & Time Reported: ____________ Date ____________ Time

Date & Time of Test: ____________ Date ____________ Time

Appendix B. Example Administrative Forms and Lists Page B-15 

 

12 Ohio Department of Transportation (ODOT)
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-15. Notification of Testing 

MV TRANSPORTATION 

DRUG & ALCOHOL TESTING 

NOTIFICATION FORM

Employee Identification 

Employee Name: 

Employee ID No: (ss#) 

Department: 

Supervisor: 

TYPE OF TEST DRUG __________ ALCOHOL ____________________ 

RANDOM 

POST ACCIDENT DOT NON-DOT 

REASONABLE SUSPICION 

RETURN TO STUDY 

FOLLOW UP 

Selection, Notification, and Testing 

For MVT Use This side to be filled out by collection site staff 

Date Selected: Date Tested:

Date Notified: Time Tested: 

 am/pm

Time Notified: 

 am/pm

Location: 

______________________________________ ______________________

 Employer Signature Date 

______________________________________ ______________________

Collection Person Signature Date 

Appendix B. Example Administrative Forms and Lists Page B-16 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-16. Notice of Positive Drug Test13

HUMAN RESOURCES - DEPARTMENT #6210

 NOTICE OF POSITIVE DRUG TES 

CONFIDENTIAL 

DATE: June 5, 2002

TO: ____, Manager, _____

FROM: ______ Drug and Alcohol Program Coordinator

SUBJ: ____, Badge #___

____, Badge #___, had a drug test on ____, 2001 at ____ Medical Clinic. The test results for both were verified

positive for Marijuana (THC) on ____, 2001. A copy of the Medical Review Officer’s (MRO) Status Report is 

attached. 

To assist you with preparing for disciplinary action, the following checklist of mandatory actions is included: 

 Remove the employee from duty. Date of removal from duty: _________

 Notify the employee of the test result. 

 Refer employee to Employee Assistance Program (EAP) for assessment by a Substance Abuse Professional 

(SAP) and treatment resource information (Initial referral), this must be done regardless of disciplinary

action to be taken, in order to be in compliance with DOT/FTA regulations and the MTA/PTSC 

Alcohol-and Drug-Free Work Environment Policy.) 

 Schedule a disciplinary hearing. Date of hearing: ______________________ 

 Ask if employee requested the Split Sample test. (As this test can only be performed at the employee’s written 

request, this serves only as a reminder.) Have employee sign the Authorization to Release Drug Test Result

to Union, (required by some unions in order to pay for the Split Sample test.) 

 Contact _____ to schedule a meeting with the Discipline Committee, as soon as the hearing date is set. 

A copy of this completed form and of the final disciplinary action taken must be sent to this office, 

as soon as a decision has been made and all parties notified. 

 

Thanks for your cooperation. If you have any questions regarding this matter, please call me at _____.

Attachments 

Appendix B. Example Administrative Forms and Lists Page B-17 

13 Los Angeles County Metropolitan Transportation Authority (LACMTA) 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-17. Notice of Positive Alcohol Test14

HUMAN RESOURCES - DEPARTMENT #6210

NOTICE OF POSITIVE ALCOHOL TEST 

CONFIDENTIAL 

DATE: June 5, 2002

TO: _____, Manager, Division ____

FROM: _____, Drug and Alcohol Program Coordinator

SUBJ: _____, Badge #___

____, Badge #___ had a Breathalyzer test ___day, ____, 2001, at _____ Industrial Medical Clinic. The initial test 

result had an alcohol concentration of 0. 0___ and was confirmed positive by a second test at 0.0__. A copy of the 

test results is attached. We are still awaiting drug test results and they will be reported to you, as soon as they are 

available. 

To assist you with preparing for disciplinary action, the following checklist of mandatory actions is included: 

 Remove the employee from duty. Date of removal from duty _______________

 Notify the employee of the test result. 

 Refer employee to Employee Assistance Program (EAP) for assessment by a Substance Abuse Professional 

(SAP) and treatment resource information (Initial referral), this must be done regardless of disciplinary action to 

be taken, to be in compliance with the MTA/PTSC Alcohol-and Drug-Free Work Environment Policy.) 

 Schedule a disciplinary hearing. Date of hearing: _________________________

 Contact ____ to schedule a meeting with the Discipline Committee, as soon as the hearing date is set. 

A copy of this completed form and of the final disciplinary action taken must be sent to this office, as soon as 

a decision has been made and all parties notified. 

Thanks for your cooperation. If you have any question regarding this matter, please call me at ____. 

Attachments 

Appendix B. Example Administrative Forms and Lists Page B-18 

 

14 Los Angeles County Metropolitan Transportation Authority (LACMTA) 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-18. Employee Notification of Positive Test Result15

Employee Notification of a Positive Drug/Alcohol Screen

Employee Name: ____________________________________________________________ 

Employee Identification Number: _____________________ 

Attached is a copy of your positive drug and/or alcohol screen. This information (not the 

actual test result) is being forwarded to your supervisor for appropriate action. 

YOU MUST REPORT TO YOUR SUPERVISOR ______________________________, AT 

 (Supervisor’s Name) 

______________________________________________IMMEDIATELY UPON RELEASE 

 (Location employee must report to.) 

FROM THE CLINIC. 

If you fail to report to the supervisor, additional disciplinary action may be imposed, up to 

and including discharge. 

Notice of Availability of Substance Abuse Professional Evaluation

A Substance Abuse Professional evaluation is available for you. Please contact the MBTA 

Employee Assistance Program (EAP) to schedule an appointment. (617) 222-5381. The 

MBTA EAP is located at 120 Boylston Street, 6th Floor, Boston, MA. (across the hall from 

the MBTA clinic. ) In the case of an emergency, contact the 24-hour pager (781) 553-0001. 

___________________________________ ______________ ________________ 

Employee Signature Date Time 

____________________________________ ____________________________________ 

Print Employee Name Witness 

Appendix B. Example Administrative Forms and Lists Page B-19 

 

15Massachusetts Bay Transportation Authority (MBTA) 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-19. Supervisor Notification of Positive Test Result16

DRUG AND/OR ALCOHOL SCREEN INFORMATION FORM 

SUPERVISOR NOTIFICATION 

The following information is considered strictly confidential. It is being forwarded to you to 

ensure the employee is removed from safety-sensitive duties and to initiate the appropriate 

disciplinary action. Each supervisor is responsible for ensuring that this information is filed 

in a confidential and secure area. It may be released to additional management personnel on a

need to know basis only. 

EMPLOYEE IDENTIFICATION NUMBER: 

DATE OF DRUG AND/OR ALCOHOL SCREEN: 

 (INDICATE DRUG OR ALCOHOL) 

REASON FOR DRUG/ALCOHOL SCREEN: 

(FTA REQUIRED TEST ONLY) 

MRO VERIFICATION DATE: 

 

Authorized Medical Clinic Signature Date 

Pursuant to the MBTA Drug and Alcohol Policy and Testing Program, effective August 1, 2001. 

An employee must be instructed to comply with Section V, Enforcement of Policy Through 

Discipline. This section includes, but is not limited to, the supervisor instructing the employee 

that he or she must report to the MBTA Employee Assistance Program for a Substance Abuse 

Professional Evaluation as required by 49 CFR part 40. 

As a supervisor you may contact the MBTA Employee Assistance Program to schedule an 

evaluation or you must instruct the employee that he/she must complete the evaluation within 

seven (7) days of the discipline being issued. 

Please contact the MBTA Employee Assistance Program, 120 Boylston Street, 6th Floor, Boston, 

MA. (617) 222-5381, to schedule a Substance Abuse Professional Evaluation. 

 

Employee Signature Date 

 

Witness 

Appendix B. Example Administrative Forms and Lists Page B-20 

 

16Massachusetts Bay Transportation Authority (MBTA) 
Best Practices 

FTA Drug and Alcohol Testing Program

PRE-EMPLOYMENT TESTING

Figure B-20. Flow Chart for Pre-Employment Testing Process17

FTA DRUG & ALCOHOL TESTING PROGRAM 

Pre-Employment Testing 

 

Applicant instructed to report testing

Applicant reports to Lab Applicant not 

readily available 

for testing 

Applicant provides specimen Applicant fails to provide specimen Applicant informed 

that failure to 

provide specimen 

= RESUSAL = 

POSITIVE

Test NEGATIVE

= OK 

to schedule for

work

Test POSITIVE = 

MAY NOT WORK

Applicant informed that failure to 

Provide specimen = REFUSAL = 

POSITIVE 

Applicant may not 

be scheduled to

work in safetysensitive position 

Applicant may not 

be scheduled to

work in

safety-sensitive 

position 

Applicant may not be scheduled to 

work in safety-sensitive position

Applicant advised 

to contact 

Substance Abuse 

Professional 

(SAP) 

Applicant advised 

to contact 

Substance 

Abuse 

Professional 

(SAP) 

Applicant advised to contact 

Substance Abuse Professional

(SAP) 

Appendix B. Example Administrative Forms and Lists Page B-21 

17 West Virginia Department of Transportation (DOT), Division of Public Transit
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-21. Pre-Employment Documentation Summary Sheet18

PRE-EMPLOYMENT DOCUMENTATION 

SUMMARY SHEET 

Applicant Name: 

Address: 

City/State/Zip: 

Telephone:

Date of Application: 

Position Applied For:

CDL, Specify

Public Safety

Police

Fire

Correction

Other, Specify

Transit

Operator

Dispatcher

Mechanic

Security w/ Firearm

Other, Specify

Other, Specify

For Transit Only: 

Safety-Sensitive Job Function:

Operate a revenue service vehicle 

CDL for non-revenue service vehicle 

Maintenance of revenue service vehicle 

Controlling movement of revenue service vehicle 

Security with firearm

Date of Applicant Notification: 

Date of Test: 

Date Reported to Department: 

Date of Hire: 

Test Result: Positive Negative Canceled

Attachments:  Notification (F-3)  Chain of Custody (COC7) 

 Test Result Summary Form (F-4)  Order to Test (F-22) 

Appendix B. Example Administrative Forms and Lists Page B-22 

 

18 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Comment Hire Date

Date Result

Reported Test Result COC For

m

Consent 

Form Date of Test

Notification

of Test

Fi

gure B-22. Pre-Em

plo

yment T

est Trackin

g Lo

g 19

PRE –

E

M

P

L

O

Y

M

E

N

T TEST 

TRACKING LOG

Na

me of Applicant

Appendix B. Example Administrative Forms and Lists Page B-23 

 

19 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-23. Applicant Notification of Positive Test Result20

Applicant Notification of a Positive Drug/Alcohol Screen

Applicant Name: ____________________________________________________________ 

Applicant Identification Number: _____________________ 

 (Social Security #) 

Attached is a copy of your positive drug and/or alcohol screen. This information (not the 

actual test result) is being forwarded to the Human Resources Department for appropriate

action. 

Human Resources Representative ________________________________________________ 

Telephone # ______________________ 

Notice of Availability of Substance Abuse Professional Evaluation

A Substance Abuse Professional evaluation is available for you. Please contact the MBTA 

Employee Assistance Program (EAP) to schedule an appointment. (617) 222-5381. The 

MBTA EAP is located at 120 Boylston Street, 6th Floor, Boston, MA. (across the hall from 

the MBTA clinic. ) In the case of an emergency contact the 24-hour pager (781) 553-0001. 

___________________________________ ______________ ________________ 

Applicant Signature Date Time 

____________________________________ ____________________________________ 

Print Applicant Name Witness 

Appendix B. Example Administrative Forms and Lists Page B-24 

 

20Massachusetts Bay Transportation Authority (MBTA) 
Best Practices 

FTA Drug and Alcohol Testing Program

REASONABLE SUSPICION TESTING

Figure B-24. Flow Chart for Reasonable Suspicion Testing Process21

FTA DRUG & ALCOHOL TESTING PROGRAM 

Reasonable Suspicion Testing 

 

Employee instructed to report testing

Employee reports to Lab Employee not 

readily available 

for testing 

Employee provides specimen Employee fails to provide 

specimen 

Employee

informed that 

failure to provide 

specimen =

RESUSAL = 

POSITIVE

Test NEGATIVE =

OK 

to return to work

Test POSITIVE = 

MAY NOT

RETURN TO

WORK

Employee informed that 

failure to provide specimen =

REFUSAL = POSITIVE

Employee

removed from 

safety sensitive 

position 

Employee

removed from 

safety-sensitive 

position 

Employee removed from 

safety-sensitive position

Employee

instructed to 

contact Substance 

Abuse 

Professional SAP) 

Employee

instructed to 

contact Substance 

Abuse 

Professional 

(SAP)

Employee instructed to 

contact Substance Abuse 

Professional (SAP) 

Determination made by trained supervisor to test under FTA Drug and Alcohol Testing Program 

Appendix B. Example Administrative Forms and Lists Page B-25 

21 West Virginia Department of Transportation (DOT), Division of Public Transit
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-25. Reasonable Suspicion Process and Documentation22 (Sheet 1) 

REASONABLE SUSPICION 

PROCESS

 

EMPLOYEE 

RETURNED TO 

DUTY 

EMPLOYEE TAKEN FOR 

DRUG/ALCOHOL 

TESTING 

 ADMIN. LEAVE 

 UNTIL RESULTS 

DEPUTY/GENERAL

SUPER, EMPLOYEE 

MEET/CONFER. 

NOTIFY OPERATIONS

DIRECTOR 

OR DEPUTY/GENERAL 

MANAGER 

CONFIRMED

SUSPICIONS

NO FURTHER 

CAUSE 

OBSERVED BEHAVIOR 

OR 

SIGNS/SYMPTOMS 

EMPLOYEE/SUPERVISOR

MEETING 

IMMEDIATELY 

Appendix B. Example Administrative Forms and Lists Page B-26 

22 Western Maine Transportation Services 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-25. Reasonable Suspicion Process and Documentation (Sheet 2) 

Western Maine Transportation Services

REASONABLE SUSPICION DOCUMENTATION FORM 

EMPLOYEE NAME DATE OF OBSERVATION (MONTH, DAY, YEAR) 

LOCATION TIME OF OBSERVATION 

FROM AM 

PM TO AM PM

OBSERVED PERSONAL BEHAVIOR (CHECK ALL APPROPRIATE ITEMS) 

BREATH: 

(Odor of alcoholic beverage)

 STRONG ٱ

 NONE ٱ

MODERATE ٱ FAINT ٱ

EYES: 

 BLOODSHOT ٱ

 CLEAR ٱ

ٱ DILATED PUPILS

GLASSY ٱ

ٱ HEAVY EYELIDS 

 NORMAL ٱ

ٱ FIXED PUPILS 

SPEECH: 

 CONFUSED ٱ

 ACCENT ٱ

 SLURRED ٱ

ٱ NOT UNDERSTANDABLE

 STUTTERED ٱ

 MUMBLED ٱ

 GOOD ٱ

ٱ COTTON MOUTHED 

ٱ THICK TONGUED

 FAIR ٱ

ٱ MUSH MOUTHED 

 :OTHER ٱ

 EXCITED ٱ

 INDIFFFERENT ٱ

ٱ CARE FREE 

 COOPERATIVE ٱ

 COMBATIVE ٱ

 TALKATIVE ٱ

 COCKY ٱ

 PROFANE ٱ

 HILARIOUS ٱ

 INSULTING ٱ

 SLEEPY ٱ

 POLITE ٱ

ATTITUDE: 

OTHER: 

UNUSUAL 

ACTION:

HICCOUGHING ٱ

FIGHTING ٱ

 :OTHER ٱ

 BELCHING ٱ

 CRYING ٱ

 VOMITING ٱ

LAUGHING ٱ

BALANCE: ٱ FALLING 

 SWAYING ٱ

ٱ NEEDS SUPPORT

 :OTHER ٱ

 WOBBLING ٱ

WALKING: ٱ FALLING 

 SWAYING ٱ

 STAGGERING ٱ

 OTHER ٱ

 STUMBLING ٱ

TURNING ٱ FALLING 

 SWAYING ٱ

 STAGGERING ٱ

HESITANT ٱ

 STUMBLING ٱ

 :OTHER ٱ

ANY OTHER UNUSUAL ACTIONS OR STATEMENTS: 

SIGNS OR COMPLAINTS OF ILLNESS OR INJURY:

SUPERVISOR’S OPINION 

EFFECTS OF

ALCOHOL/DRUG

INTOXICATION

 NONE ٱ

 EXTREME ٱ

 OBVIOUS ٱ SLIGHT ٱ

OPERATION OF

EQUIPMENT 

 YES ٱ

 NO ٱ

COMMENTS: 

ADDITIONAL COMMENTS: 

SUPERVISOR SIGNATURE DATE TIME

WITNESS WITNESS WITNESS

Appendix B. Example Administrative Forms and Lists Page B-27 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-26. Reasonable Suspicion Short-Term Indicators 

LOS ANGELES COUNTY METROPOLITAN TRANSPORTATION AUTHORITY 

REASONABLE SUSPICION SHORT-TERM INDICATORS 

Manager/Supervisor: This form is to be used to substantiate and document the objective facts and 

circumstances leading to a reasonable suspicion determination. After careful observation of the 

employee’s behavior, please check all of the short-term indicators that denote a possible link to the 

employee’s use of prohibited alcohol or drugs. 

Employee Name___________________________ Badge _______Job Title ___________Dept._____ 

Supervisor Name__________________________ Badge _______Telephone ___________________ 

Second Supervisor_________________________(if applicable) Badge_______ 

A. Incident/Cause for Suspicion D. Body Movements 

 Apparent drug or alcohol intoxication  Unsteady walk, poor coordination 

 Abnormal or erratic behavior  Shaking hands/body, tremors, twitches 

 Observed/reported possession, dispensation 

or use of a prohibited substance 

 



Breathing irregularly, or with difficulty

Loss of physical control 

 Arrest or conviction for drug-related offense(s) E. Eyes 

B. Body Behavior  Bloodshot or watery

 Nausea or vomiting  Dilated or constricted pupils 

 Extreme fatigue/sleeping on job F. Speech

 Dizziness or fainting  Slurred or incoherent speech 

 Highly excited or nervous  Repetitious, rambles 

 Odor of alcohol G. Behavioral Indicators Noted 

C. Body Appearance  Verbal abusiveness 

 Either very flushed or very pale  Physical abusiveness 





Excessive sweating or skin clamminess 

Dry mouth, frequent swallowing, wetting lips 

frequently

 



Extreme aggressiveness or unresponsiveness 

Inappropriate response to questioning or

instructions 

 Disheveled appearance/out of uniform  Erratic/inappropriate behavior, 

hallucinations, disorientation, confusion, 

talkativeness, euphoric - (Circle all that apply)

Written summary including any pertinent information not noted above_______________________________

Reasonable Suspicion Test Performed Yes No Date ___/___/___ Time _______________

 Clinic__________________________________

Reasonable Suspicion Test Refused Yes No Date ___/___/___ Time _________________

Signature of Supervisor ___________________________ Date ___/___/___ Time ____________

 

Appendix B. Example Administrative Forms and Lists Page B-28 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-27. Reasonable Suspicion Evaluation and Checklist23 (Sheet 1)

This form is required to be completed by the supervisor of a safety-sensitive employee as a guideline for 

the determination to order a drug and/or alcohol test screen for the employee when reasonable suspicion 

exists subject to the MBTA‘s Drug and Alcohol Policy. The supervisor or a responsible company official 

shall independently complete this form in its entirety. 

Name of safety-sensitive employee: ________________________________________________. 

Employee identification number: _________________________ 

Position description of employee: ________________________ 

Date and time of evaluation: ______________________________

Location of employee when reasonable suspicion evaluation was made: ____________________

____________________________________________________________________(be specific) 

Evaluating supervisor: _________________________________________________________

Other supervisors at the location: ___________________________________________________ 

______________________________________________________________________________ 

I. CIRCUMSTANCES OCCURRING AT THE TIME OF THE EVALUATION

S Employee is reporting for duty: Yes No (circle one) 

S Employee is already on duty: Yes No (circle one) 

II. OBSERVATIONS OF EMPLOYEE’S PHYSICAL CONDITION

Check below any/all applicable behaviors and describe: 

Slurred speech

Confusion / disorientation 

Odor of alcohol on breath or person 

Odor of marijuana on breath or person 

Unsteady gait or lack of balance 

Glassy eyes 

Rapid or continuous eye movement or inability

to focus 

Drowsiness 

Appendix B. Example Administrative Forms and Lists Page B-29 

 

23Massachusetts Bay Transportation Authority (MBTA) 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-27. Reasonable Suspicion Evaluation and Checklist (Sheet 2) 

Inattentiveness

Apparent intoxicated behavior (without the 

odor of alcohol or marijuana 

 

Apparent intoxicated behavior (without the 

odor of alcohol or marijuana) 

Physical injury. Indicate location on body: 

______________________________________ 

Tremors or bodily shaking

Poor concentration 

Runny nose or sores around nostrils 

Very large or very small eye pupils 

Slow or inappropriate reactions 

III. OBSERVATIONS OF EMPLOYEE’S BEHAVIOR

Check below any/all applicable behaviors and describe: 

Inability to respond to questions or to respond 

correctly

Complaints of racing or irregular heart beating 

Marked irritability

Aggressiveness (attempts at physical contact) 

Inappropriate laughter, crying, etc. 

Sleeping on the job 

Fainting or repeated loss of consciousness 

Inappropriate job performance and/or violation 

of Authority rule(s) 

Appendix B. Example Administrative Forms and Lists Page B-30 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-27. Reasonable Suspicion Evaluation and Checklist (Sheet 3) 

IV. DETERMINATION OF REASONABLE SUSPICION 

Based on the above documented information, I have determined that there is is not (supervisor 

to circle only one ) reasonable suspicion for sending _______________________________ for a FTA 

drug and alcohol screening test. 

The drug and alcohol screening tests have been ordered by:____________________________________. 

To be conducted at: ______MBTA Medical Services

 ______ Charlestown Garage 

 ______ Cabot Garage 

Signature of supervisor/official conducting the evaluation: ____________________________________ 

Printed name of the supervisor conducting the evaluation and employee identification number: 

________________________________________________________________________ 

Date: ________________ (month, day, year). 

Appendix B. Example Administrative Forms and Lists Page B-31 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-28. Fitness for Duty24 (Sheet 1) 

FITNESS FOR DUTY 

CONFIDENTIAL 

EMPLOYEE DATE/TIME OF INCIDENT 

SUPERVISOR NAME AND TELEPHONE 

This checklist is to be completed when an observation has occurred which provides reasonable suspicion that 

an employee is under the influence of a prohibited drug substance or alcohol. You should note all pertinent 

behavior and physical signs or symptoms, which lead you to reasonably believe that the employee has 

recently used or is under the influence of a prohibited substance. Mark each applicable item on this form and

any additional facts or circumstances which you have noted. 

A. Nature of Incident/Cause for Suspicion 

______1. Observed/reported possession or use of a prohibited substance (including passenger complaint)

______2. Apparent drug or alcohol intoxication 

______3. Observed abnormal or erratic behavior

______4. Arrest or conviction for drug-related offense

______5. Other (e.g., flagrant violation of safety or serious misconduct, accident, or “near miss”, fighting or 

argumentative/abusive language, refusal or supervisor instruction, unauthorized absence on the job). 

Please specify. 

B. Behavioral Indicators Noted 

______1. Verbal abusiveness 

______2. Physical abusiveness 

______3. Extreme aggressiveness or agitation 

______4. Withdrawal, depression, tearfulness, or responsiveness 

______5. Inappropriate verbal responses to questioning or instructions

______6. Paranoid 

______7. Lethargic

______8. Other erratic or inappropriate behavior (e.g., hallucinations, disorientation, excessive euphoria, 

talkativeness, confusion). Please explain. 

Appendix B. Example Administrative Forms and Lists Page B-32 

 

24 City of Albuquerque and Ohio Department of Transportation 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-28. Fitness for Duty (Sheet 2) 

C. Physical Signs or Symptoms 

______1. Possession, dispensing, or using prohibited substance 

______2. Slurred or slowed speech 

______3. Incoherent, confused speech 

______4. Silent or whispering

______5. Swaying, falling, staggering

______6. Stumbling, reaching for support

______7. Arm raised for balance 

______8. Unsteady gait or other loss of physical control, poor coordination 

______9. Dilated or constricted pupils or unusual eye movement

______10. Bloodshot or watery eyes 

______11. Extreme aggressiveness or agitation 

______12. Excessive sweating or clamminess of skin

______13. Flushed or very pale face 

______14. Highly excited or nervous 

______15. Nausea or vomiting 

______16. Odor of alcohol 

______17. Odor of marijuana 

______18. Disheveled appearance or out of uniform

______19. Dry mouth (frequent swallowing/lip wetting)

______20. Dizziness or fainting 

______21. Shaking hands or body tremors/twitching 

______22. Breathing irregularity or difficulty breathing

______23. Runny nose or sores around nostrils 

______24. Inappropriate wearing of sunglasses 

______25. Puncture marks or “tracks” 

______26. Other (please specify) 

D. Observation Summary 

Speech: 

 

Coordination:

 

Standing: 

 

Walking/Turning:

 

Hand Movement: 

 

Balance: 

Appendix B. Example Administrative Forms and Lists Page B-33 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-28. Fitness for Duty (Sheet 3) 

D. Observation Summary (Continued) 

Disorientation: 

 

Judgment/Decision Making: 

 

Appearance: 

 

Nose: 

 

Eyes: 

 

Skin: 

 

Clothing: 

 

Odor: 

 

Other:

E. Written Summary 

Please summarize the facts and circumstances of the incident, employee response, supervisor 

actions taken, and any other pertinent information not previously noted. Please note the date, 

times, and locations of reasonable suspicion testing or note if the employee refused the test. 

Attach additional sheets as needed. 

 

Signature of Supervisor Date/Time 

Signature of Witness (if possible) Date/Time 

Appendix B. Example Administrative Forms and Lists Page B-34 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-29. Observation/Incident Report25 (Front) 

SUBSTANCE ABUSE PROGRAM 

OBSERVATION / INCIDENT REPORT

ٱ REASONABLE CAUSE ٱ POST-ACCIDENT ٱ RANDOM (Check One)

Date of Report________________________________ Date and Time of Incident___________________________________ 

Location of Observation _____________________________________________________________________________________

Observing Supervisor _______________________________________________________________________________________

Name of Observed Employee_________________________________________________________________________________

Reasonable Cause Testing

Reasonable cause for testing means suspicion based on specific personal observation by a supervisor or other company official 

trained in detecting the signs and symptoms of drug or alcohol abuse. The observer shall determine whether the employee is being

tested under DOT/FTA mandate or District Policy and shall describe and document his/her findings. 

DOT FTA Safety-Sensitive Employee Policy: 

ٱ Specific persons and articulable observations concerning

the appearance, behavior, speech, or body odors of the

employee. 

District Policy All Employees:

ٱ Violation of a safety rule, other unsafe work incident that 

leads supervisor to believe that drug/alcohol use may be 

a factor. 

ٱ Other physical, circumstantial or contemporaneous

indicators of drug or alcohol use.

Post-Accident Testing

Any employee must submit to drug and/or alcohol testing after an accident, whenever a supervisor determines he/she contributed to 

the accident or cannot be completely discounted as a contributing factor to the accident. Supervisor must indicate whether test

is being conducted under DOT/FTA mandate or District Policy as defined below:

DOT FTA Safety-Sensitive Employee Policy: 

ٱ A person dies testing is mandatory 

ٱ A person must be taken to a medical treatment facility

ٱ Mass Transit vehicle removed from service due to damage 

District Policy All Employees:

ٱ A fatality

ٱ A medical injury

ٱ District property damage of $5,000 or more

Associated with the above mentioned kinds of behavior are a variety of “warning signs” that usually appear on the job. 

PLACE A CHECK MARK √ NEXT TO THE SYMPTOM(S) OBSERVED IN THE ABOVE NAMED EMPLOYEE

SYMPTOMS 

ٱ Euphoria ٱ Exaggerated Sense of Ability ٱ Constricted Pupils

ٱ Relaxed Inhibitions ٱ Drowsiness ٱ Dilated Pupils

ٱ Slow/Depressed Breathing ٱ Depressed/Mood Changes ٱ Wandering Aimlessly

ٱ Observed Use of Drugs ٱ Observed Use of Alcohol ٱ Disoriented Behavior

ٱ Drunken Behavior ٱ Staggering Walk ٱ Odor of Alcohol

(with or without smell of alcohol) ٱ Slurred Speech ٱ Odor of Marijuana

ٱ Rapid Breathing ٱ Excessively Talkative ٱ Hand Tremors

ٱ Violent Behavior ٱ Combative/Argumentative ٱ Excessive Irritability

ٱ Watery, Glassy, Red Eyes ٱ Staring into Space ٱ Poor Hand/Eye Coordination

ٱ Hallucinations ٱ Poor Time Perception ٱ Other

 

25 San Francisco Bay Area Rapid Transit (BART) District 

Appendix B. Example Administrative Forms and Lists Page B-35 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-29. Observation/Incident Report (Back) 

IF EMPLOYEE WILL BE TESTED:

1. If the employee is represented, the on-scene supervisor advises him/her of the right to have a union representative present

prior to testing. Call for a union representative and document that union representation was called by the supervisor. 

2. Order the employee to submit to a drug and alcohol test and to sign the consent and release forms. Advise him/her that failure

to submit to a drug or alcohol test or failure to cooperate with the procedure is considered to be gross insubordination for failure 

to follow a direct order and will be cause for discipline up to and including discharge from District employment. 

3. For Reasonable Cause Testing Only: Inform the employee of the availability of rehabilitation at the employee’s own expense 

if the employee admits to drug or alcohol use prior to the test, if the employee is eligible, and inform the employee that a

positive test will result in disciplinary action up to and including termination if the employee has not elected the rehabilitation

option prior to the test. 

4. Advise the employee that he/she will be in a paid status until the test sample is collected and the breath alcohol test is

completed. The employee will then be placed in an unpaid status and relieved from duty until the District receives the drug test 

results. If both tests are negative, the District will make the employee whole. 

DID EMPLOYEE ADMIT TO DRUG OR ALCOHOL USE: ٱ YES ٱ NO 

IF REASONABLE CAUSE, DID EMPLOYEE REQUEST REHABILITATION: ٱ YES ٱ NO 

COMMENTS:________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

DESCRIBE INCIDENT: ________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

ACTION TAKEN: ____________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

 _______________________________

 SIGNATURE 

ORIGINAL OF THIS REPORT TO MANAGER OF EMPLOYEE SERVICES 

COPY OF THIS REPORT TO DEPARTMENT HEAD

Appendix B. Example Administrative Forms and Lists Page B-36 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-30. Accident/Incident/Reasonable Cause Report26 (Front) 

Accident/Incident/Reasonable Cause Report 

 

26 Denver Regional Transit District

PLEASE COMPLETE ALL AREAS NECESSARY 

ON THIS SIDE OF FORM

(X) areas that do not apply. 

Employee:__________________________________

Employee I.D. No. ___________________________

Division/Department: _________________________

Date of Accident/Incident: _____________________

Time: Location: 

REVIEW THE REVERSE SIDE OF THIS FORM TO 

DETERMINE WHETHER THE TEST IS UNDER FTA

OR RTD. 

ٱ FTA-DOT ٱ RTD NON-DOT

Remember, it is your responsibility to inform the person 

performing the test whether it is under FTA or RTD.

****************************************************** 

If you determine a test is not necessary, explain below: 

A. Other than a fatality, if the accident falls within one of the 

categories on the reverse side, but you think the employee 

can be totally discounted you must complete the area below, 

explaining the accident and why you decided not to test. 

_______________________________________________

_______________________________________________

_______________________________________________

_______________________________________________

****************************************************** 

B. Accidents or incidents where you believe negligence or 

carelessness may be involved. Briefly describe the accident/ 

incident and why the employee may be under the influence 

of alcohol, drugs or a controlled substance. Complete the 

Reasonable Cause, Post Accident Section on the right side. 

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

C. On-the-job accidents where serious injuries may have 

been caused by negligence or where more than one 

employee is involved, both the employee who caused the 

injury and the injured employee may be tested. Briefly

describe the accident and why you believe the employee 

may be under the influence of alcohol, drugs, or controlled 

substances. Complete the Reasonable Cause/Post 

Accident section on the right.

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

ٱ Reasonable Cause ٱ Post Accident 

Whether testing or not, this side must be completed. 

Complete each area on this side of the form. 

Do Not Use N/A, O.K. or Leave Blank

If possible, a second supervisor should be retained as an 

additional witness. 

________________________________________________

 (Employee Name) 

Speech: 

________________________________________________

________________________________________________

Dexterity: (Standing/Walking) 

________________________________________________

________________________________________________

Judgment/Decision Making: 

________________________________________________

________________________________________________

Appearance: (eyes, clothing, etc.) 

________________________________________________

________________________________________________

Odor: (alcoholic beverage, marijuana, etc.) 

________________________________________________

________________________________________________

Interpersonal interactions: (sudden outburst, mood swings, 

incoherent speech, etc.) 

________________________________________________

________________________________________________

Other: (physical, verbal altercations, drug paraphernalia, 

etc.) 

________________________________________________

________________________________________________

RTD Representative:_______________________________

Date: 

ٱ Sent for Testing ٱ Not Sent for Testing 

Appendix B. Example Administrative Forms and Lists Page B-37 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-30. Accident/Incident/Reasonable Cause Report (Back) 

Under Federal regulations an incident is considered an accident if: 

A. An individual dies. 

B. An individual suffers bodily injury and is transported from the scene for immediate 

medical treatment. 

C. The mass transit vehicle involved is a bus, electric bus, van, or automobile in which 

one or more vehicles incurs disabling damage as the result of the accident and must 

be transported from the scene by a tow truck or other vehicle. 

D. The mass transit vehicle involved is a railcar, trolley car, trolley bus, or vessel, and is 

removed from revenue service. 

*IF THE RTD EMPLOYEE INVOLVED IN THE ACCIDENT CAN BE TOTALLY 

DISCOUNTED AS A CONTRIBUTING FACTOR IN ITEMS B, C, AND D ONLY, 

THE EMPLOYEE DOES NOT HAVE TO BE TESTED. HOWEVER, FULL 

DOCUMENTATION MUST BE PROVIDED AS TO WHY THE TEST WAS NOT 

CONDUCTED. 

Reasonable Suspicion Testing 

The trained supervisors observe the employee and determines if testing is necessary based on 

specific, contemporaneously articulable observations concerning appearance, behavior, speech, or 

body odor of the employee. 

ANYTIME TESTING IS NOT COMPLETED WITHIN TWO HOURS AFTER THE ACCIDENT OR 

INCIDENT YOU MUST DOCUMENT THE REASON. 

Appendix B. Example Administrative Forms and Lists Page B-38
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-31. Reasonable Suspicion Individual Test Summary27

REASONABLE SUSPICION INDIVIDUAL TEST SUMMARY

TO BE COMPLETED BY SUPERVISOR 

Employee Name: 

Safety Sensitive Position: 

Observation Date: Time:

Circumstances

of Observation: 

(Attach additional sheets as necessary) 

Objective Facts Identified (Attach additional sheets as necessary)

Behavior:

Appearance: 

Speech: 

Odor:

Other: 

Safety-Sensitive Function Performed: 

Notification Date: Time:

Drug Test Date: Time:

Alcohol Test Date: Time:

Type of Test Conducted: _______ Drug _________ Alcohol 

Supervisor Name: 

Supervisor’s Signature: 

Did the alcohol test occur more than two hours from the time of the reasonable suspicion observation?

Yes No If yes, explain:

TO BE COMPLETED BY SUPERVISOR 

If no alcohol test occurred because more than eight hours elapsed from the time of the

reasonable suspicion observation, please explain: 

If no drug test was performed because more than 32 hours had passed since the time of the 

reasonable suspicion observation, please explain: 

 

Return the Form to your Department Program Coordinator within 24 hours. 

TO BE COMPLETED BY THE SAPM 

Date of Supervisor Training: 

Test Results: Drug: Positive Negative Canceled

Alcohol: Positive Negative 0.02 - 0.039

Comment: 

Attachments:  Test Result Summary Form (F4)  Order to Test (F22)  Other 

 Chain of Custody  Alcohol Test Form

 

Appendix B. Example Administrative Forms and Lists Page B-39

 

27 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Alcohol Test 

Result (BAT1)**

Test 

Result (F-4)**

Type Of 

Test*

Supervisor Notify

SAPM (F-11) 

Date 

Test 

Time Date 

Notification 

Time Date 

Observation 

Time

Figure B-32. Reasonable Suspicion Tracking Master Log 28

REASONABLE SUSPICIO

N TRACKING 

MASTER LOG 

Employee Name

* Type Of Test: D - Drug; A - Alcohol 

** Test Result: P - Positive; N - Negative; C - Cancelled 

Appendix B. Example Administrative Forms and Lists Page B-40

 

28 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Figure B-33. Failure To Administer Reasonable Suspicion Drug Test Form29

PREPARE THIS FORM ONLY WHEN THE EMPLOYEE IS NOT TESTED 

WITHIN 32 HOURS OF THE DETERMINATION OF REASONABLE 

SUSPICION. 

Name of safety-sensitive employee: _______________________________________ 

(first name, middle initial, last name) 

Date of determination: ___________________________ (month, day, year) 

Time: ____________________ AM PM (circle one) 

Location of employee when reasonable suspicion determination was made: 

________________________________________________________________________

______________________________________________________ 

______________________________________________________ (be specific) 

Reason why the drug test was not administered (check all that apply): 

S Safety-sensitive employee refused to be tested. 

S Safety-sensitive employee was medically incapacitated. 

S Safety-sensitive employee was arrested.

S Safety-sensitive employee was detained by law enforcement official. 

S Other: ____________________________________________________ 

Specific disciplinary action (if any) taken by ____________________ (insert name of 

transit system, state, contractor or sub-recipient): 

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________ 

Date on which this report is completed: _________________ (month, day, year).

Name of company official completing and filing report: 

__________________________________ (first name, middle initial, last name). 

Title of company official completing and filing report: 

________________________________________________________________ 

NOTE: _______________________________________ (INSERT NAME OF 

TRANSIT SYSTEM, STATE, CONTRACTOR, OR SUB-RECIPIENT) IS

REQUIRED, WHEN THE ACCIDENT SATISFIES ONE OR MORE OF THE 

FTA THRESHOLDS, TO CONDUCT THE APPROPRIATE DRUG TEST. THE 

RESULTS OF A DRUG TEST CONDUCTED BY A LAW ENFORCEMENT 

OFFICIAL CAN BE SUBSTITUTED ONLY IF THE EMPLOYEE IS BEING 

DETAINED BY A LAW ENFORCEMENT OFFICIAL AND CAN NOT BE

ACCESSED BY ___________________________________________________ 

(INSERT NAME OF TRANSIT SYSTEM, STATE, CONTRACTOR, OR SUBRECIPIENT). 

Appendix B. Example Administrative Forms and Lists Page B-41

 

29 SuTran Transit System, Sioux Falls, South Dakota
Best Practices 

FTA Drug and Alcohol Testing Program

POST-ACCIDENT TESTING 

Figure B-34. Post-Accident Test Decision Tree30 (Front) 

 

FTA D&A 

 TESTING

 Yes there a Yes

 No 

 Yes requ

immedi 

 l 

 No 

 Yes 

 No 

 Wa 

 vehicl -Yes 

 performa No 

 

 No 

 Yes 

 Yes 

 CRT

there 

 

 

 No 

 Yes 

30 Greater Cleveland Regional Transit Authority 

Was 

death?

Did an injury

ire 

ate 

transport for 

treatment?

s a

rail 

e 

involved?

For Bus & 

, was 

disabling 

damage 

to any

vehicle?

“START” 

Accident 

occurs? 

Was 

rail car 

removed 

from 

service?

Was 

employee’s 

nce 

a contributing

factor? 

FTA TEST

REQUIRED 

FTA 

test NOT

required; 

see 

other 

side

Appendix B. Example Administrative Forms and Lists Page B-42
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-43

Figure B-34. Post-Accident Test Decision Tree (Back) 

RTA REQUIRED TESTING 

(Safety Sensitive Only) 

The following incidents require drug and 

alcohol testing by GCRTA policy when an 

employee either contributed to or cannot 

immediately be discounted from 

contributing to the accident, involving: 

• A pedestrian 

• A fixed object 

• Two or more GCRTA vehicles 

• A GCRTA vehicle striking the rear end 

of another vehicle 

• A head-on collision 

• A GCRTA vehicle sideswiping or broadsiding another vehicle 

• Physical damage greater than $5,000 

GREATER CLEVELAND RTA REGIONAL TRANSIT AUTHORITY 01/05/98
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-44

Figure B-35. Flow Chart for Post-Accident Testing Process31

FTA DRUG & ALCOHOL TESTING PROGRAM 

Post-Accident Testing 

 

Employee instructed to report for testing

Employee reports to Lab Employee not 

readily available 

for testing

Employee provides specimen Employee fails to provide 

specimen 

Employee informed 

failure to provide 

specimen=

RESUSAL= 

POSITIVE

Test NEGATIVE =

OK to return to 

work

Test POSITIVE = 

MAY NOT RETURN 

TO WORK

Employee informed that failure

to provide specimen =

REFUSAL = POSITIVE 

Employee removed 

from safety-sensitive 

position 

Employee removed 

from safety-sensitive 

position

Employee removed from 

safety-sensitive position

Employee instructed 

to contact 

Substance Abuse 

Professional (SAP) 

Employee instructed 

to contact Substance 

Abuse Professional 

(SAP)

Employee instructed to 

contact Substance Abuse 

Professional (SAP)

ALCOHOL TEST AS SOON AS POSSIBLE

--If not tested within 2 hours, document why 

--If not tested within 8 hours, cease attempts 

and update documentation

DRUG TEST 

WITHIN 32 HOURS 

YES: Driver and other employees whose performance could have contributed to 

accident are tested

NO: Testing not 

required by FTA

Accident Occurs Causing: 

Fatality – OR – 

Bodily injury requiring medical attention away from the scene – OR – 

Any vehicle involved must be towed

31 West Virginia Department of Transportation (DOT), Division of Public Transit
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-45

Figure B-36. Post-Accident Testing Decision Report32

POST ACCIDENT TESTING DECISION REPORT 

Note: Accident does not necessarily mean collision. If an individual falls on a vehicle and needs to be taken to the hospital, an 

accident has occurred, and a post-accident test is required unless the driver can be discounted as a contributing factor. (Spring 

1996, FTA D & A Updates, p. 5) 

System Name: ______________________________________________________________________ 

Date of accident: Time of accident: ___________________________________ 

Location of accident: ___________________________________________________________________________ 

Driver of Vehicle: Driver ID No. _______________________________ 

WV Uniform Traffic Crash Report Attached ٱ Yes ٱ No 

1. Was there loss of life as a result of the accident? 

ٱ Yes (Requires Testing – No exceptions) ٱ No 

2. Did an individual suffer a bodily injury and immediately receive medical treatment away from the scene of 

the accident? 

ٱ Yes (Requires Testing unless question 4 applies.) ٱ No (Requires no testing under FTA authority.) 

3. Was there disabling damage to any of the vehicles involved? Disabling damage means damage which precludes 

the departure of any vehicle from leaving the scene of the occurrence in its usual manner in daylight after simple repairs; or 

damage to any vehicle that could have been operated but which would have further damaged the vehicle if so operated. Disabling 

damage does not include damage that could be remedied temporarily at the scene of the occurrence without special tools or parts; 

tire disablement even if no spare tire is available; or damage to headlights, tail-lights, turn signals, horn, or windshield wipers that 

makes them inoperative. 

ٱ Yes (Requires Testing unless question 4 applies.) ٱ No (Requires no testing under FTA Authority. 

4. Can the driver or any other covered employee on the vehicle be completely discounted as a contributing 

factor to the accident? Note: If you discount the driver as a contributing factor, it should be well documented.

ٱ Yes ٱ No Even if you answer No, under FTA regulations you must also meet the criteria questions 1, 2, 

and/or 3 to require testing. 

5. If drug and alcohol testing is required, can the performance of any other safety sensitive employees (e.g., 

maintenance personnel, dispatcher, etc.), whose performance may have contributed to the accident (as determined 

by the transit agency at the time of the accident), be completely discounted as contributing to the accident? 

ٱ Yes ٱ No Even if you answer No, under FTA regulations you must also meet the criteria questions 1, 2, 

and/or 3 to require testing. List other employees tested on back of form.

6. Did you perform a drug and/or alcohol test? ٱ Yes ٱ No If No, complete #6 and sign and submit a report.

Name of Supervisor making this determination _____________________________________________________ 

Time Employee was informed of this determination _________________________________________________ 

7. Decision to Test: FTA Authority ٱ Company Authority ٱ

8. Was an alcohol test performed within 2 hours? ٱ Yes Date & Time:____________________ 

ٱ No Why, Not? __________________________________________________________________________ 

9. If no alcohol test was performed and more than eight hours elapsed from the time of the accident, please 

explain.____________________ __________________________________________________________________ 

10. Was a drug test performed within 32 hours? ٱ Yes Date & Time:____________________ 

ٱ No Why, Not? __________________________________________________________________________ 

11. Did the driver leave the scene of the accident without just cause? ٱ Yes ٱ No 

If Yes, please explain ____________________________________________________________________________ 

Report Submitted By: 

___________________________________________________________ ______________________________ 

 Signature & Title Date 

For your files, attach test results summary, order to test, chain of custody (USDOT), and alcohol test form (USDOT) WVDPT 11/00

 

32 West Virginia Department of Transportation (DOT), Division of Public Transit 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-46

Figure B-37. Post Accident Testing Procedure33

Substance Abuse Program 

Post Accident Testing Procedure

 NO TEST TEST 

 

33 San Francisco Bay Area Rapid Transit District (BART)

On the job accident occurs. 

On-scene communications coordinator stabilizes situation, and 

designates a first on-scene supervisor. 

Employee reports accident to supervisor. 

First on-scene supervisor escorts employee to private area to 

determine if the employee contributed to the accident. 

On-scene supervisor decides whether to test or not to test. 

Supervisor must keep employees in sight until procedure is completed. 

Employee returns to work, if supervisor determines 

employee is fit to work. 

Document action taken on the Observation/Incident 

Report. 

Forward original of Report to Employee Services 

Administrator (ESA) and copy to Department Head. 

If indicated, complete Supervisor’s Report of Injury

to initiate Trauma Response Program. Call ESA. 

Direct the employee to do the same. 

Advise the employee of required test. 

Supervisor calls Central to notify the collection agent and 

the Employee Services Administrator (ESA) that an

employee is to be tested. THE EMPLOYEE IS NOT 

IDENTIFIED BY NAME.

Union Representative is called. 

Order employee drug and alcohol test. (Read 

the Post Accident Instructions to the Em

to submit to 

ployee.)

Advise the employee that failure to submit to testing or 

failure to fully cooperate with the testing procedures is 

considered to be gross insubordination for failure to follow

a direct order, and for violation of the post accident 

provision of the District’s Substance Abuse Program, and 

will be cause for discipline up to and including discharge 

from District employment. 

Advise employees that he/she will be on paid status until 

the breath alcohol test is conducted and the drug test 

sample is collected. The employee will then be placed on 

unpaid status and relieved from duty until the District 

receives results of both tests. If the result of both tests is 

negative, the District will make the employee whole.

Document the action taken on observation/Incident Report. 

Alcohol breath test conducted, drug test sample collected. 

Employee is transported home. 

Forward the original of the Observation/Incident Report to 

the ESA and a copy to the Department Head. 

If indicated, complete a Supervisor’s Report of Injury to 

initiate the Trauma Response Program. Call the ESA. 

Direct employee to do same. 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-47

Figure B-38. Post-Accident Drug and Alcohol Testing Decision Maker Form (Front) 

LOS ANGELES COUNTY 

METROPOLITAN TRANSPORTATION AUTHORITY

POST-ACCIDENT DRUG AND ALCOHOL TESTING 

DECISION MAKER FORM 

The MTA Alcohol & Drug Abuse Policy (HR 4-2) and the Federal Transit Administration (FTA) regulations (49 

CFR Parts 653 and 654) require that employees involved in a vehicle accident (as outlined in the Policy) submit to 

tests for alcohol and prohibited drugs as soon as possible following the accident. The Policy also requires the testing 

of any other employee whose performance could have contributed to the accident, as determined by the manager or 

supervisor at the scene using the best information available at the time of the decision. The testing of non-safety 

sensitive employees comes under the MTA’s own authority. 

Accident Information: 

Date of Accident____________________________ Time of Accident: __________________ 

Employee Name: ______________________________ Badge _________ Div/Dept. _________ 

Decision Questions: 

• Was there a fatality? Yes ____ No ____. If Yes, Post-Accident tests are required. 

• If there was no fatality, ask the following questions: 

1. Has any individual suffered a bodily injury and immediately received medical treatment away from the 

scene of the accident? Yes _____ No _____ 

2. If the vehicle involved was a bus, electric bus, van, or automobile, was there a disabling damage as a 

result of the occurrence and the vehicle was transported away from the scene by a tow truck or other 

vehicle? Yes ____ No ____ 

3. If the vehicle involved was a rail car, trolley car, or trolley bus, was the vehicle removed from revenue 

service as a result of the accident? Yes____ No _____ 

If you checked Yes for questions 1, 2 or 3, a Post-Accident test is required unless you determine, using the 

best information available at the time of the decision, that the employee’s performance can be completely 

discounted as a contributing factor to the accident. (Any reason for NOT conducting a Post-Accident test after 

you’ve answered Yes to any of the above questions MUST be documented on the reverse side of this form.) 

Employee taken to ___________________________________ Clinic (nearest medical facility) 

by __________________________ Title_______________________ at__________ a.m./p.m. 

 

FTA regulations also require that alcohol testing must be done as soon as possible following the accident. If alcohol 

testing is not conducted within 2 hours after the accident, you must document the reason for the delay on the 

reverse side of this form. If the alcohol test is not administered within 8 hours, and the drug test within 32 

hours, you must cease all efforts to administer the tests and document the reason(s) why the tests were not 

administered within the FTA-prescribed time frames. 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-48

Figure B-38. Post-Accident Drug and Alcohol Testing Decision Maker Form (Back) 

Reason Test Was Not Completed or Delayed: 

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________ 

Testing Procedures: 

____ Determine if employee requires medical attention. 

_____ Notify Operations Dispatch that the employee will be sent for 10-58 and briefly state the reason for testing. 

_____ Bring employee into a private setting if possible and inform him/her that (s)he will be transported to an 

MTA-authorized medical clinic for a drug and alcohol test, in accordance with DOT-mandated procedures 

outlined as Attachment 3 to the Alcohol & Drug Abuse Policy.

_____ Complete the Medical Authorization for Services form and mark Post-Accident for test type. 

_____ Escort the employee to the nearest medical clinic and inform him/her that (s)he will be removed from any 

safety-sensitive function pending the outcome of the tests. 

_____ If employee refuses to submit to testing, inform employee that refusal to comply or cooperate is considered 

an admission of guilt, treated as a positive test, and will result in discipline up to and including termination. 

Suspend employee pending disciplinary hearing.

Notify Human Resources: 

FTA regulations require the Drug & Alcohol Program Manager to keep copies of all documents pertaining to FTAmandated tests in a centralized location. Upon completion of this form, send the original to Jessica Gil in Human 

Resources (99-4-4) in a confidential envelope and keep a copy in the employee’s department/division personnel 

file. 

Please respect the privacy of the employee and the integrity of the testing program. Keep all matters 

confidential and discuss only with those who “have a need to know.” 

________________________________________ ________________________________________ 

On-Scene Decision Maker Title 

________________________________________ ________________________________________ 

Date Department/Division 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-49

Figure B-39. Post-Accident Testing Record of Decision (Front) 

Southeastern Pennsylvania Transportation Authority 

RECORD OF DECISION 

FTA/SEPTA POST-ACCIDENT DRUG AND ALCOHOL TEST 

DATE OF ACCIDENT: DAY: LOCATION: 

NAME OF EMPLOYEE: OCCUPATION: 

ACCOUNT NUMBER: SOCIAL SECURITY NUMBER INCIDENT NUMBER: 

MM DD YY 

VEHICLE NUMBER: ROUTE: BLOCK: 

TYPE OF VEHICLE: 

 Bus ٱ

 LRV ٱ

 -5N ٱ

ٱ Trackless Trolley 

ٱ Subway/Elevated 

ٱ Supervisor T-Car 

ٱ Non-Revenue Service Vehicle 

ٱ Transit Police Vehicle 

_____________________ Other ٱ

TEST DETERMINATION 

Use this table to indicate the results of the accident and the type of test that is required. Check one of the boxes that specifies the 

results of the accident. Do not check more than one box. 

VEHICLE ACCIDENT RESULTS TYPE OF TEST 

1. ٱ Revenue vehicle with fatality FTA 

POST-ACCIDENT 

2. ٱ Revenue vehicle with injury requiring medical treatment away from scene AND

employee could have contributed

FTA 

POST-ACCIDENT 

3. ٱ Revenue vehicle with any vehicle towed OR disabling damage AND employee 

could have contributed

FTA 

POST-ACCIDENT 

4. ٱ Non-revenue vehicle operated by CDL holder with fatality FTA 

POST-ACCIDENT 

5. ٱ Non-revenue vehicle operated by CDL holder with injury requiring medical 

treatment away from scene AND employee could have contributed

FTA 

POST-ACCIDENT 

6. ٱ Non-revenue vehicle operated by CDL holder with any vehicle towed AND

employee could have contributed

FTA 

POST-ACCIDENT 

7. ٱ Non-revenue vehicle operated by non-CDL holder with fatality SEPTA 

POST-ACCIDENT 

8. ٱ Non-revenue vehicle operated by non-CDL holder with injury requiring medical 

treatment away from scene AND employee could have contributed

SEPTA 

POST-ACCIDENT 

9. ٱ Non-revenue vehicle operated by non-CDL holder with disabling damage AND

 employee could have contributed

SEPTA 

POST-ACCIDENT 

10. ٱ Post-accident criteria NOT met. Go to Record of Decision, Reasonable Suspicion 

Drug and Alcohol Test (Form F0189)

FINAL DETERMINATION (CHECK [√] ONE FROM ABOVE DETERMINATION.) 

ٱ FTA Post-Accident Test 

ٱ SEPTA Post-Accident Test 

ٱ No Post-Accident Test 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-50

Figure B-39. Post-Accident Record of Decision (Back) 

RECORD OF DECISION 

FTA/SEPTA POST-ACCIDENT DRUG AND ALCOHOL TEST 

STATUS OF THIS EMPLOYEE (CHECK [√] ONE.)

ٱ Operating the Vehicle 

ٱ On duty on the Vehicle at the time of the accident 

ٱ Other Covered Employee

ACCIDENT INFORMATION 

ARE ANY OTHER EMPLOYEES TO BE TESTED BECAUSE OF THIS ACCIDENT? 

ٱ Yes ٱ No ٱ Unknown, Investigation indicates possible involvement by others. 

Name: Location: 

HOW WAS THIS EMPLOYEE INVOLVED IN THE ACCIDENT? 

TIME OF ACCIDENT: TIME OF TEST (Medical): ELAPSED TIME (Medical): 

 AM 

 PM 

 AM 

 PM HR(S) MINS 

ALCOHOL TEST GIVEN WITHIN TWO HOURS?: 

 ٱ Yes ٱ No If no, state reason below, if known. 

SUPERVISOR’S NAME (PRINT): WORK LOCATION: ACCOUNT NUMBER: 

SUPERVISOR’S SIGNATURE: WORK EXTENSION: 

NOTE: This document must accompany the employee to Medical and be retained on file as a record of decision on whether to 

administer a post-accident test. 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-51

Figure B-40. Post-Accident Documentation Summary Form34 (Front) 

POST-ACCIDENT 

DOCUMENTATION SUMMARY

1) Accident Report #: __________________________________________________________________

2) Incident Report #: __________________________________________________________________

3) Location of Accident: __________________________________________________________________ 

____________________________________________________________________________________ 

____________________________________________________________________________________ 

4) Brief Description: ________________________________________________________________________

____________________________________________________________________________________ 

____________________________________________________________________________________ 

5) Accident Date: __________________ Time: ___________________

6) Report Date: __________________ Time: ___________________

7) Name of Employee: ___________________________________________________________________

8) Identification Number: __________________________________________________________________

9) Position: __________________________________________________________________

10) Result of Accident:

10)a) Was there a fatality? ____Yes ____No

10)b) Was there disabling damage* to City or other vehicles? ____Yes ____No 

10)c) Was anyone transported from the scene for medical attention? ____Yes ____No

 If yes, what category? ____ Employees 

 ____ Passengers 

 ____ Other Vehicle 

 ____ Other

11) Was the employee sent for a post-accident drug and alcohol test? ____Yes ____No 

12) If no, explain: _____________________________________________________________________________ 

_____________________________________________________________________________________________

_____________________________________________________________________________________________

 13) Decision to Test: 

13)a) DOT Authority (transit revenue service or commercial motor vehicles) ____Yes ____No

13)b)Company Authority (other City equipment, machines, or vehicles) ____Yes____No

*Disabling damage means damage which precludes departure of any vehicle from the scene of the occurrence in its usual 

manner in daylight after simple repairs. Disabling damage includes damage to vehicles that could have been operated but 

would have been further damaged if so operated, but does not include damage which can be remedied temporarily at the

scene of the occurrence without special tools or parts, tire disablement without other damage even if no spare tire is

available, or damage to headlights, taillights, turn signals, horn, mirrors or windshield wipers that makes them inoperative. 

 

34 City of Albuquerque 

To Be Completed by Supervisor 

Return to Department Program Coordinator 

within 24 Hours of the Accident.
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-52

Figure B-40. Post-Accident Documentation Summary Form (Back) 

14) Type of Test: ____ Drug ____Alcohol 

15) Supervisor Making Determination: 

16) Notification of Test: Date: Time: 

17) Drug Test Conducted: Date: Time: 

18) Alcohol Test Conducted: Date: Time 

19) Did the employee refuse the test? ____Yes ____No 

If yes, please explain: 

 

 

20) Did the alcohol test occur more than two hours from the time of the accident? ____ Yes ____No 

If Yes, Explain: 

 

21) If no alcohol test occurred because more than eight hours elapsed from the time of the accident, please 

explain: 

 

22) Did the employee leave the scene of the accident without just cause? ____ Yes ____ No 

If Yes, explain: 

 

 

 

23) If no drug test was performed because more than 32 hours had passed since the time of the accident, 

explain why: 

To Be Completed By SAPM 

24) Test Result: ____ Positive ____ Negative ____Test Cancelled 

25) Attachments: 

# Test Result Summary 

# Order to Test 

# Chain of Custody 

# Alcohol Testing Form 

# Return Form to Supervisor Within 24 Hours of Accident 

______________________________________________________ 

 Supervisor’s Signature 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-53

Figure B-41. Failure To Administer Post-Accident Drug Test35

PREPARE THIS FORM ONLY WHEN THE EMPLOYEE IS NOT TESTED 

WITHIN 32 HOURS OF THE DETERMINATION THAT A POST-ACCIDENT 

DRUG TEST IS REQUIRED. 

Names of ____________________________________________________ (insert name 

of transit system, state, contractor or sub-recipient) safety-sensitive employees involved 

in the accident/incident: 

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________ 

(first names, middle initials, last names). 

Date of accident/incident satisfying at least one of the FTA thresholds requiring postaccident drug testing: ____________________________________ (month, day, year) 

Time of qualifying accident/incident: __________________ AM PM (circle one) 

Specific location of the qualifying accident/incident: _______________________ 

________________________________________________________________________

________________________________________________________________________

________________________________________________ 

Reason why the drug test was not administered (check all that apply): 

S Safety-sensitive employee refused to be tested. 

S Safety-sensitive employee was medically incapacitated. 

S Safety-sensitive employee was arrested. 

S Safety-sensitive employee was detained by law enforcement official. 

S Other: ____________________________________________________ 

Specific disciplinary action (if any) taken by _________________________ (insert name 

of transit system, state, contractor or sub-recipient): 

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________ 

Date on which this report is completed: _________________ (month, day, year). 

Name of company official completing and filing report: 

__________________________________ (first name, middle initial, last name). 

Title of company official completing and filing report: 

________________________________________________________________. 

 

35 Sioux Falls [South Dakota] Transit System (SuTran). 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-54 Reason If No Test Alcohol Test Result (BAT1)*** Date Alcohol Test Time Drug Test Result (F-4)*** Date Drug Test Time Date Notification Time Date Accident Time Test Authority  Notify SAPM (F-9) Accident Result**  Position* Employees Involved Figure B-42. Post-Accident Test Master Log 36 POST-ACCIDENT TEST MASTER LOG Accident Number * Position: O - Operator; D - Dispatcher; M - Maintenance; S - Security; C - CDL Holder, F - Fire, P - Police, R - Correction 

 

36 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-55

RANDOM TESTING 

Figure B-43. Flow Chart for Random Testing Process 37

FTA DRUG & ALCOHOL TESTING PROGRAM 

RANDOM TESTING 

Employee instructed to report for testing

Employee reports to Lab Employee not 

readily available 

for testing 

Employee provides specimen Employee fails to provide 

specimen 

Employee informed 

that failure to 

provide specimen =

RESUSAL = 

POSITIVE

Test NEGATIVE =

OK to return to 

work

Test POSITIVE = 

MAY NOT

RETURN TO

WORK

Employee informed that 

failure to provide specimen =

REFUSAL = POSITIVE

Employee removed 

from safety-sensitive 

position 

Employee

removed from 

safety-sensitive 

position 

Employee removed from 

safety-sensitive position

Employee instructed 

to contact 

Substance Abuse 

Professional (SAP) 

Employee

instructed to 

contact Substance 

Abuse 

Employee instructed to 

contact Substance Abuse 

Professional (SAP) 

 

Professional 

37 West Virginia Department of Transportation (DOT), Division of Public Transit
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-56

Figure B-44. Random Testing Procedure38

Substance Abuse Program 

Random Testing Procedure 

 

Supervisor notified of employee selection for testing. 

Notify the employee of selection for random testing, and 

have the employee stop work.

Order the employee to submit to drug and alcohol tests. 

(Read the Random Selection Instructions to Employee.) 

Advise the employee that failure to submit to or cooperate 

with drug or alcohol tests, and to sign a consent to test or 

a release of information form is considered gross 

insubordination and violation of the random testing

provision of the District’s Substance Abuse Program, and 

will be cause for discipline up to and including discharge 

from District employment. 

Inform the employee of availability of rehabilitation at the 

employee’s expense, no need to admit with first positive 

random test, must admit to drug or alcohol use prior to the 

second positive test. 

Inform the employee that a positive drug or alcohol (0.04%

or greater) or refused test will result in disciplinary action 

up to and including discharge for gross insubordination and 

violation of the random testing provision of the District’s 

Substance Abuse Program, if the employee has not 

elected the rehabilitation option prior to the second random 

positive test. 

Escort employee to collection area, and wait for the 

collection agent to arrive. 

Document any unusual activity relating to the drug or 

alcohol test on the Observation/Incident Report. Forward 

the original to the Employee Services Administrator (ESA), 

and a copy to the Department Head. 

The supervisor remains with employee and collector until 

the collection is completed. 

NEGATIVE ALCOHOL TEST

The employee returns to work. 

LEVEL 1 – ALCOHOL TEST 

0.02% TO 0.039%

Advise the employee he/she is relieved of duty for at least 

eight (8) hours without pay.

LEVEL 2 – POSITIVE 

ALCOHOL TEST ABOVE 0.04%

Advise the employee he/she is relieved of duty or is on 

unpaid leave. Transport the employee home. Direct the 

employee to call ESA for an appointment. The employee 

will not be allowed to return to duty until released by ESA. 

38 San Francisco Bay Area Rapid Transit (BART) District 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-57

Figure B-45. Random Drug/Alcohol Testing Notification Form39

RANDOM DRUG / ALCOHOL TESTING NOTIFICATION FORM 

Employee Identification 

Employee Name: 

Employee ID No. Social Security No.: 

Department Location: 

Selection, Notification, and Testing 

Date Test Scheduled: / / Test Scheduled: ALCOHOL / DRUG 

Supervisor: Time Employee Notified: am / pm 

Date Supervisor Notified: / / Date Tested: / / 

Time Supervisor Notified: am / pm Time Tested: am / pm 

You have been selected for random testing for the presence of prohibited drugs and/or to participate in a 

breath alcohol test in accordance with Federal regulations for the random drug and alcohol testing of 

safety sensitive employees. Under District policy, the first time you test positive on a random drug or 

alcohol (0.04% or greater) test, you may elect rehabilitation at your own expense if you are eligible. It is 

not necessary for you to admit to drug or alcohol use prior to the test. However, with a second random

positive test, you must admit to drug use and/or alcohol abuse prior to the test in order to be eligible for 

rehabilitation. Even if you admit to drug use and/or alcohol abuse, you may elect rehabilitation at your 

own expense only if you are eligible. If you do not admit to drug and/or alcohol use prior to the test and 

either test is positive, it will be cause for disciplinary action, up to and including discharge from District 

employment. 

You will remain in paid status until after the breath alcohol test is conducted and the drug test sample is 

collected. If the alcohol breath test is negative, you will be released to return to duty. If the breath test 

reveals a confirmed result between 0.02% and 0.039%, you will be relieved from duty on non-pay status 

for 8 hours or until your next shift. If the breath alcohol test is confirmed positive (0.04% or greater), you 

will be relieved from duty, placed in non-pay status, and directed to the Employee Services division of the 

Human Resources Department for evaluation. If your test result(s) indicate drug use or alcohol abuse, 

you may be required to participate in a substance abuse rehabilitation treatment program as a condition 

of continued employment. 

Refusing to provide a specimen, tampering with your specimen, or providing false information on a 

specimen collection or breath alcohol chain of custody form constitutes insubordination and is grounds for 

disciplinary action, up to and including termination from employment. 

________________________________ ________________________ 

 Employee Signature Date/Time 

__________________________________________ ________________________________ 

 Witness Signature Date/Time 

Original – Employee Services 

Yellow - Employee 

Pink - Collector 

 

39 San Francisco Bay Area Rapid Transit (BART) District 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-58

Figure B- 46. Employee Notice for Random Substance Abuse Test 

Massachusetts Bay Transportation Authority 

EMPLOYEE NOTICE FOR SCHEDULED SUBSTANCE ABUSE TEST 

DATE: 

FROM: MBTA Random Drug & Alcohol Program 

 Drug and Alcohol Program Administrator 

TO: 

 

AT: 

TEST DATE: (Random Drug Test) 

Urine Collection Location: 

Appointment Time: _____________________________________________________________________ 

Authority for Test: __ DOT/FTA Regulations ___MBTA Regulations 

================================================================================== 

Your name has been selected for a urinalysis drug testing by a computerized program of random selection. Your 

selection does not imply that this company has a specific cause to suspect you of using illegal drugs. Nonetheless, 

the DOT Anti-Drug regulations and this company’s Anti-Drug Program require that the random testing urine 

specimen be collected. 

You may provide the 60 ml (2 oz) urine specimen in the privacy of a stall. If you are unable to provide a specimen 

of sufficient quantity, you will be given a waiting period and encouraged to drink water. If you are unable to 

provide the specimen within the waiting period, you will be deemed to have refused to provide the specimen. 

If you refuse to provide the specimen, adulterate the sample, substitute the urine of another person, or fail the drug 

test, you will be relieved of your employment duties and referred to this company’s Employee Assistance Program. 

You may also be subject to disciplinary action, possibly including termination. 

This copy will be retained in your confidential drug testing files, together with the Medical Review Officer’s final 

determination of the drug test results. 

Please sign the bottom of this notice to acknowledge its receipt. 

Please list any/all medications here. 

_______________________________ 

_______________________________ 

NOTIFICATION RECEIVED ______________________________ _________________________ 

 Employee Signature Date and Time 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-59

Figure B-47. Random Selection Instructions40

Random Selections 

1. Risk Management – Random Selector - Maintains random pools – (FTA, FHWA, other). When put in 

payroll system Department Program Coordinator (DPC) indicates who is “safety-sensitive” by job code. 

2. Biweekly (consistent with payroll period), the Random Selector will determine the number of tests to be drawn 

from each pool. The numbers will be drawn and reported on form R-1 for each DPC. The report will also 

include the type of tests to be conducted. 

3. The DPC will research the work schedule of each employee drawn and schedule the tests over the biweekly 

testing period. The DPC will be careful to distribute the tests throughout the day, day of the week, and 

testing period. The DPC will keep the list confidential and will not provide any advance notice to the 

employee. On the day before the test the DPC will notify the appropriate Division Contact to schedule the 

test using form R-2. If the employee is not working on that day, the DPC and division contact will select 

another time within the testing period. The employee will not be notified of the test until he/she is 

instructed to immediately proceed to the collection site. 

4. The Division Contact person will ensure that the employee is tested at the scheduled date and time. The 

Division Contact will complete form R-2 and return it the DPC. 

5. The DPC will record on R-1 the date and time the test was scheduled, if the test was completed or cancelled, 

and the explanation if no test was performed. The DPC will keep a copy of R-1 and send the original to the 

Random Selector within one week of the period end. 

6. The Random Selector notes the number of completed tests and will adjust the number of tests to be conducted 

during the next testing period to account for any missed tests. 

7. The DPC will complete a, “Random Individual Test Summary Sheet” (R-3), for each random test; will attach 

appropriate documentation, and will file in the DPC’s file. 

 

40 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-60

Figure B-48. Roles and Responsibilities of Random Selector41

ROLES AND RESPONSIBILITIES 

RANDOM SELECTOR 

 Maintains random pools for FTA, FHWA, and other City employees 

 Coordinates with payroll to ensure pools are accurate and up-to-date, and that all employees are in the right pool 

 Determines the number of draws to be performed for each pool reflecting required testing rates adjusted for 

incomplete tests from prior testing period 

 Performs biweekly draws and informs appropriate DPC of numbers selected 

 Documents draws and tracks which tests were conducted 

 Notifies DPC/SAPM of any procedural violations that compromise the integrity of the random process 

Figure B-49. Random Testing Schedule42

Transit Department: Random Testing Schedule 

Draw 

Date: 

Division 

Contact: 

Division Notification 

Date: 

Draw Scheduled Employee Notified Tested 

No. 

Employee Name Test Date Test Time Date Time Date Time Comments 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

11. 

12. 

13. 

14. 

15. 

16. 

 

41 City of Albuquerque 

42 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-61

Figure B-50. Random Testing Selection Documentation Form43

Random Testing Number Selection Documentation Form 

 FTA  FHWA  Public Safety  Other 

Department: 

 Test Period Number 

(A) Number of Safety-Sensitive Functions (B) Number of Testing Period Per Year 

(C) Number of Drug Tests this Period ((A) * 50% ÷ (B)) (D) Adjusted Number of Tests from Previous Period 

 Alcohol Tests this Period ((A) * 10% ÷ (B)) Drugs Alcohol 

(E) Total Tests (C + D) Drugs Alcohol Reason for Adjustment: 

Driver Name or I.D Number Type of Test Completion * 

Test 

D/A/B 

Collection 

Date 

Time of 

Collection Drug Alcohol 

If No Test 

Explanation 

Total Drug *Y= Yes; N= No; C= Cancelled 

Total Alcohol 

Confidential – For Internal Use Only

 

43 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-62

Figure B-51. Individual Random Test Summary Sheet 44

RANDOM TESTING 

INDIVIDUAL TEST SUMMARY SHEET 

Employee Name: 

Employee Number: 

Testing Period: 

Selection Date: Selector: 

Test Type: Drug Alcohol 

Notification: Date: Time: 

Test: Date Time: 

Shift Placement: Begin Middle End 

Drug 

Test Result: Negative Positive Cancelled 

Alcohol 

Test Result: Below 0.02 0.02 - 0.039 0.04 or greater 

Consequences: 

Removal from 

SS Duty 

Referral 

to SAP 

Second 

Chance Termination 

Attachments:  Test Result Summary Form 

 Consent Form 

 Chain of Custody 

 Alcohol Test Form 

 Test Result Documentation 

 SAP Referral Form 

 Other

 

44 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-63 Comments Results Reason if no Test was Conducted Shift Placement Time of Test Date of Test Time of Notification Date of Notification Date of Selection Type of Test Alcohol Type of Test Drug Testing Period Employee Number Figure B-52. Random Test Master Log45 RANDOM TEST MASTER LOG Name of Individual Selected 

 

45 City of Albuquerque 
Best Practices 

FTA Drug and Alcohol Testing Program

Appendix B. Example Administrative Forms and Lists Page B-64 

Figure B- 53. Employee Status Form46

This form must be used to add/delete employees to/from the drug and alcohol testing pool 

for the Rhode Island Public Transit Authority and to change employee information. 

Employee Name: 

_________________________________________________________________________ 

Employee Social Security Number: 

_________________________________________________________________________ 

Employee Identification Number: 

_________________________________________________________________________ 

ADD EMPLOYEE TO DRUG AND ALCOHOL TESTING POOL (NOTE THAT 

A NEGATIVE PRE-EMPLOYMENT DRUG TEST RESULT MUST BE 

RECEIVED BEFORE A PERSON BEING CONSIDERED FOR A SAFETYSENSITIVE ROLE CAN BE PLACED ON THE PAYROLL AND INCLUDED IN 

THE DRUG AND ALCOHOL TESTING POOL): 

Date Employee Added to Payroll (Hire Date): 

________________________________________________________________________ 

Date Employee Added to Pool of Safety-Sensitive Employees: 

________________________________________________________________________ 

Date of Birth: ________________________________________ (month, day, year) 

Home Telephone Number: 

________________________________________________________________________ 

Safety-Sensitive Job/Position Title: 

________________________________________________________________________ 

DELETE EMPLOYEE FROM DRUG AND ALCOHOL TESTING POOL:

Date Employee Removed from Payroll (Termination Date): 

_________________________________________________________________________ 

Date Employee Removed from Pool of Safety-Sensitive Employees: 

_________________________________________________________________________ 

Date of Birth: ______________________________________________ (month, day, year) 

Home Telephone Number: 

_________________________________________________________________________ 

Safety-Sensitive Job/Position Title: 

_________________________________________________________________________ 

CHANGE CURRENT EMPLOYEE INFORMATION: 

_________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

 

46 Rhode Island Public Transit Authority (RIPTA) 
Best Practices 

FTA Drug and Alcohol Testing Program 

Appendix C. Example Oversight Forms and Lists 

This appendix contains best practice examples of forms and lists that have 

been used successfully to assist with oversight of service agents, contractors, 

and subrecipients. Each of these examples is referenced and described in 

Section 4.2. The examples appear in the following figures, by group: 

Service Agent Oversight 

C-1. Third-Party Administrator Monitoring Form 

C-2. Consortium Monitoring Form 

Contractor/Subrecipient Oversight 

C-3. Contractor Compliance Guidelines 

C-4. Contractor Monitoring Form 

C-5. Contractor Monitoring Checklist

Appendix C. Example Oversight Forms and Lists Page C-1 
Best Practices 

FTA Drug and Alcohol Testing Program 

SERVICE AGENT OVERSIGHT 

Figure C-1. Third-Party Administrator Monitoring Form1 (Sheet 1) 

FTA Drug and Alcohol Third Party Contractor Checklist

for Compliance with FTA Requirements

Transit System:___________________________________________

Name of Person Completing Form: ______________________________________________________________

Review Date: _________________________________________________________________________________

Contractor: ___________________________________________________________________________________

Address: _____________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Substance Abuse Program Manager: _______________________________________________________________

Telephone Number: ____________________________________________________________________________

Management Training 

 YES NO

1. Have all pertinent safety-sensitive supervisors received the required reasonable 

suspicion training, 60 minutes for signs and symptoms of alcohol abuse and 

60 minutes for signs and symptoms of drug abuse?

 

2. Are training certificates in Drug and Alcohol Program files? Information should 

include type of training, date of training, location of training, and name of instructor.

 

3 Does contractor have procedures in place to train all new 

hires and transfers into supervisory positions prior to the 

time they actually perform duties where reasonable 

suspicion determinations might be required? 

Safety-Sensitive Employee Training

4. Have all FTA covered safety-sensitive employees received at least 60 minutes 

of training on the effects of drug use and the indicators of drug use?

 

5. Are training certificates in Drug and Alcohol Program files? Information 

should include type of training, date of training, location of training, 

and name of instructor. 

6. Are there procedures in place to ensure that all new hires or transfers 

receive the training as soon as possible after hire date of transfer

(i.e., at employee orientation?) 

Appendix C. Example Oversight Forms and Lists Page C-2 

 

1

 Minnesota Department of Transportation 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-1. Third-Party Administrator Monitoring Form (Sheet 2) 

Policy 

YES NO 

7. If policy was not standard Mn/DOT developed policy, was company 

policy presented to Office of Transit for review and approval?

 

8. Which contractor representative/staff reviewed the policy (include titles)?

 _____________________________________________________________________________________

 _____________________________________________________________________________________

 _____________________________________________________________________________________

 _____________________________________________________________________________________

9. Has policy been signed and dated by contractor governing board/owner?

 

10. Are previous signed and dated policies on file?

11. Has policy been distributed to all safety-sensitive 

employees covered by FTA requirements?

Services 

Collection Site: 

Name _______________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone number_________________________________________________________________________________

DHHS certified Lab: 

Name _______________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone number_________________________________________________________________________________

Medical Review Officer (MRO) 

Name _______________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone number_________________________________________________________________________________

Does contractor have a file copy of the MRO’s license and other qualifications?

Appendix C. Example Oversight Forms and Lists Page C-3 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-1. Third-Party Administrator Monitoring Form (Sheet 3) 

Substance Abuse Professional (SAP) 

Name _______________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone number_________________________________________________________________________________

 YES NO

Does contractor have a file copy of the SAP’s license and other qualifications?

12. Are blind sample tests performed? If so, how are they performed?

 

 _____________________________________________________________________________________

 _____________________________________________________________________________________

 _____________________________________________________________________________________

 YES NO

13. Are collection site facilities inspected?

14. Date of last inspection:__________________________________________

15. Are canceled tests monitored?

16. Number of canceled tests: _______________________________________

Reasons for canceled tests: _________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

17. What corrective measures have been taken to minimize the number of canceled tests?

___________________________________________________________________________ 

_________________________________________________________________________________________

_________________________________________________________________________________________

Random Selection Process 

Describe the random selection process. 

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

18. Who selects the numbers: _________________________________________________________________

_________________________________________________________________________________________

19. How often are selections made? Circle one (daily, weekly, monthly, quarterly) _______________________

Appendix C. Example Oversight Forms and Lists Page C-4 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-1. Third-Party Administrator Monitoring Form (Sheet 4) 

20. How soon after selections are made are the tests performed? ______________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

21. Who notifies the employee of the test requirement? _____________________________________________

22. During what part of the employees’ shifts are tests conducted?

Beginning?___________ Middle?_____________ End?______________ Combination?___________

23. What type of employee identification is being used for random testing?

_________________________________________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

24. Number of safety-sensitive employees _______________________________________________________ 

25. Required number of tests needed to be performed to meet the regulatory requirement for both drug testing 

(50%) _______ and alcohol testing (10%) _______

Consortium Participants

26. If contractor is part of a consortium, provide the following information. 

Consortium name __________________________________________________________________________

Address __________________________________________________________________________________

_________________________________________________________________________________________

Contact person_____________________________________________________________________________

Telephone number__________________________________________________________________________

Record Keeping

27. Where are the drug and alcohol testing records stored? __________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

28. Who has access to these records? ___________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

 YES NO

29. Do files contain all required FTA information?

Appendix C. Example Oversight Forms and Lists Page C-5 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-2. Consortium Monitoring Form2 (Sheet 1) 

“Sample” 

Drug and Alcohol Consortium Monitoring for Compliance 

with FTA Requirements

Transit Agency: ______________________________________________________________________________

Name of Person Completing Form: ______________________________________________________________

Review Date: _________________________________________________________________________________

Consortium 

Name of Consortium: ___________________________________________________________________________

Address of Consortium: _________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Contact Person: _________________________ Telephone: ____( )__________________

Date Contract Signed with Consortium:_____________________________________________________________

Contract Timeframe:____________________________________________________________________________

Is signed contract in Transit Agency’s files? ___________

Procedures and description of how the consortium complies with blind sample requirements: 

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Procedures consortium uses to monitor canceled tests: _________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

 

2

 Minnesota Department of Transportation 

Appendix C. Example Oversight Forms and Lists Page C-6 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-2. Consortium Monitoring Form (Sheet 2) 

Procedure consortium uses to ensure scientifically valid random-number selection method to select safety-sensitive 

employees to be tested:__________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Are the test dates spread evenly throughout the year and the draw period in a pattern that is not predictable, 

including weekend and holiday testing if a safety function is performed?

______________________________________________________________________________ 

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Is testing evenly distributed throughout the day (i.e., early morning, afternoon, late evening) and shift times (i.e., 

beginning, middle, end)? ________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Collection Site(s) 

Identify all collection sites and days and hours of operation 

(attach additional pages if needed) 

Name of Collection Site(s): ______________________________________________________________________

____________________________________________________________________________________________

Address: Address of Collection Site(s):_____________________________________________________________

____________________________________________________________________________________________

Days and Hours of Collection Site Operation: ________________________________________________________

____________________________________________________________________________________________

Name of Collection Site(s): ______________________________________________________________________

____________________________________________________________________________________________

Address: Address of Collection Site(s):_____________________________________________________________

____________________________________________________________________________________________

Days and Hours of Collection Site Operation: ________________________________________________________

Appendix C. Example Oversight Forms and Lists Page C-7 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-2. Consortium Monitoring Form (Sheet 3) 

DHHS Certified Laboratory –Name of Primary and Back-up DHHS certified Laboratories

Name of Primary Laboratory:_____________________________________________________________________

Address: _____________________________________________________________________________________

____________________________________________________________________________________________

Contact Person: ____________________________ Telephone Number: ( )_____________________

Name of Back-up Laboratory: ____________________________________________________________________

Address: _____________________________________________________________________________________

____________________________________________________________________________________________

Contact Person: ____________________________ Telephone Number: ( ) ____________________

Medical Review Officer (MRO) 

Name of MRO(s):______________________________________________________________________________

Business Address of MRO(s): ____________________________________________________________________

____________________________________________________________________________________________

Business Telephone Number: ( ) _________________________________________

Credentials of MRO verified and on file (Yes/No)__________________________________________

Substance Abuse Professional (SAP)

Name of SAP(s):_______________________________________________________________________________

Business Address of SAP(s): _____________________________________________________________________

____________________________________________________________________________________________

Business Telephone Number: ( ) _________________________________________

Credentials of SAP verified and on file (Yes/No) __________________________________________

Evidential Breath Testing (EBT) Device

Name and Model of EBT:________________________________________________________________________

Location of EBT: ______________________________________________________________________________

____________________________________________________________________________________________

Documentation that EBT has been calibrated: ________________________________________________________

Breath Alcohol Technician (BAT)

Names of Certified BATs: _______________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Credentials of BATs verified and on file (Yes/No) _________________________________________

Appendix C. Example Oversight Forms and Lists Page C-8 
Best Practices 

FTA Drug and Alcohol Testing Program 

CONTRACTOR/SUBRECIPIENT OVERSIGHT 

Figure C-3. Contractor Compliance Guidelines (Sheet 1)

LOS ANGELES COUNTY METROPOLITAN TRANSPORTATION AUTHORITY 

FEDERAL DRUG AND ALCOHOL TESTING REGULATIONS 

 CONTRACTOR COMPLIANCE GUIDELINES 

All contract service providers that perform safety-sensitive functions (as defined by Federal Transit Administration

{FTA} rules) for the MTA must comply with the FTA drug and alcohol testing regulations (49 CFR Part 655) and

the U.S. Department of Transportation (DOT) Procedures for Transportation Workplace Drug and Alcohol Testing 

Programs (49 CFR Part 40). Non-compliance shall result in suspension or termination of contract and/or nonpayment of outstanding invoices. 

For purposes of this compliance program, safety sensitive employees are defined as follows:

Those employees whose job functions are, or whose job descriptions include the performance of functions, 

related to the safe operation of mass transportation service. 

The following are categories of safety-sensitive functions: 

1. operating a revenue service vehicle, including when not in revenue service; 

2. operating a non-revenue service vehicle when required to be operated by a holder of a Commercial

Driver’s License (CDL);

3. controlling dispatch or movement of a revenue service vehicle or equipment used in revenue service; 

4. maintaining (including repairs, overhaul, and rebuilding) revenue service vehicles or equipment used in 

revenue service; and 

5. carrying a firearm for security purposes. 

Any supervisor who performs or whose job description includes the performance of any function listed above is

also considered a safety-sensitive employee. 

IMPLEMENTATION GUIDELINES

1. The Materiel Department shall ensure that all bids or Requests for Proposals (RFPs) for services that 

include the performance of safety-sensitive functions as defined above shall include a provision requiring

compliance with mandated DOT/FTA drug and alcohol testing regulations. The MTA reserves the right to

audit the proposer’s drug and alcohol testing program prior to awarding the contract. 

 

2. Prior to start of work, the successful bidder must certify to the Chairperson of the Source Selection 

Committee (SSC) that his/her firm is in compliance with the DOT/FTA regulations. (Compliance can be 

achieved through an in-house program or through a consortium.) The certification shall remain in effect

during the term of the contract. A copy of the signed certification shall be sent by the SSC Chair to the 

Drug and Alcohol Program Manager in Human Resources. 

Appendix C. Example Oversight Forms and Lists Page C-9 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-3. Contractor Compliance Guidelines (Sheet 2)

3. Using the EZ format prescribed by the FTA for the annual report (see Appendix B to 49 CFR Part 653 and

Part 654), each covered contractor shall send a quarterly drug and alcohol testing report to the Project

Manager, with a copy to the Drug and Alcohol Program Manager in Human Resources. The quarterly

report must be submitted no later than the 15th of the month following the close of each quarter. Continued 

payment of contractor invoices by the MTA is contingent upon contractor submission of the required

reports on a timely basis and compliance with FTA-mandated rules. 

 

4. On an annual basis, and no later than February 15 of each year, each covered contractor shall submit to the 

MTA Human Resources Department annual drug and alcohol testing data using the appropriate FTA 

prescribed forms. The report shall cover testing conducted during the previous calendar year. It shall be

addressed as follows: 

MTA Human Resources Department 

One Gateway Plaza 

Los Angeles, CA 90012-293 

Attn: Drug and Alcohol Program Manager 

 

5. The Human Resources Department shall be responsible for filing the contractors’ annual reports with the 

FTA, along with MTA’s own testing data. The reports shall be submitted to the FTA no later than March

15 of each year. 

6. The Project Manager for each covered contract shall be responsible for the ongoing monitoring of

contractor compliance with DOT/FTA regulations, including ensuring that the quarterly and annual reports 

as described above are submitted on time. 

7. On an annual basis, designated staff from the Management Audit Services and Human Resources 

departments shall audit contractor compliance, which may include site visits, and report their findings to

the Executive Officer, Procurement; Deputy Executive Officer, Human Resources; and the Project 

Manager responsible for the contract and his/her Department Head. 

8. The Project Manager shall be responsible for coordinating contractor responses to the audit findings and 

ensuring that corrective actions are taken on a timely basis. 

___________________________________ _________________________________

Office of the CEO Executive Officer, Human Resources 

Revised: 04/23/99

 

 

Appendix C. Example Oversight Forms and Lists Page C-10 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-4. Contractor Monitoring Form 

GREATER CLEVELAND REGIONAL TRANSIT AUTHORITY

Contractor Monitors 

Contractor: 

Month: Date: 

 GCRTA Representative Contract Representative 

Identified Monitor Met Incomplete

Monthly Report with dates of tests performed, type of testing performed and results

Quarterly Collection Site Review 

Quarterly Laboratory QA records on file 

The following items will be reviewed by the contract representative. Signature above

verifies compliance with FTA regulations. 

Quarterly on-site Records Review

• Each drug screen has correct Chain of custody 

• Collection times are monitored to determine that employee goes to the 

collection site immediately after notification

• The collection site performed the correct test using the correct forms. All 

discrepancies have documentation of the problem and resolution.

• Random Selection is spread out throughout the selection period and there 

is no pattern

• All documentation is on file for each Reasonable Suspicion test 

• Documentation is available for all Post Accident Decisions

• Documentation is available for all MRO notifications

• The MRO process is in written procedure and is currently used. 

Quarterly review of collection site certification

Annual certification check of SAP 

Annual certification check of MRO 

Annual certification check of Laboratory 

Annual review of Policy & Procedure 

Annual review of Collection site Policy & Procedure 

Annual review of MRO Policy & Procedure 

Annual review of SAP Policy & Procedure 

Appendix C. Example Oversight Forms and Lists Page C-11 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C- 5. Contractor Monitoring Checklist3 (Sheet 1) 

FTA Drug and Alcohol Contractor Checklist ____________________________________________________________________________________________________________________

Contractor: ___________________________________________________________________________________

Substance Abuse Program Manager: _______________________________________________________________

Address: _____________________________________________________________________________________

____________________________________________________________________________________________

Telephone Number: ____________________________________________________________________________

Management Training

1. Did a representative of your company attend any management training on how to set up a substance abuse 

testing program? If so, please provide the following information:

Type of 

Training 

Date of

Training 

Location of 

Training 

Name of 

Instructor 

Policy

2. Was your company policy presented to the FTA Grantee for review and approval?

3. Which Company representative/staff reviewed the policy (include titles)?

____________________________________________________________________________________________

____________________________________________________________________________________________

4. Did legal counsel review your policy? Yes _____ No _____

5. Please attach a copy of your recent policy. 

6. Has your Governing Board approved your revised policy? Yes _____ No _____

If yes, when ___________________

Please attach a copy of your Governing Board approval. 

Reasonable Suspicion Training

7. Did any of your transit supervisors attend a qualified Reasonable Suspicion Training Program:

Yes _____ No _____

(60 minutes of the signs and symptoms of drugs and 60 minutes on the signs and symptoms of alcohol)

If yes, please list attendees below. 

 

3

 Ohio Department of Transportation 

Appendix C. Example Oversight Forms and Lists Page C-12 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-5. Contractor Monitoring Checklist (Sheet 2) 

Employee Length of

Training 

Date & Location of 

Training 

Name of 

Instructor 

Employee Training

Please provide the following information on the substance abuse awareness training program to your employees. 

(Please attach agenda) 

Employee Length of

Training 

Date & Location of 

Training 

Name of 

Instructor 

8. Have you had new hires since employee training was conducted? Yes _____ No _____

9. Did you provide the new hires with substance abuse awareness training?

Yes _____ No _____ If yes, please provide the following information for each new hire. 

Employee Length of

Training 

Date & Location of 

Training 

Name of 

Instructor 

If no, when will the training be conducted? __________________________________________________________

10. Please describe the method of instruction and content of new hires’ substance abuse awareness training. 

Collection Site:

Name _______________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone number_________________________________________________________________________________

DHHS certified Lab:

Name _______________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone number_________________________________________________________________________________

(Please attach copy of DHHS certificate) 

Appendix C. Example Oversight Forms and Lists Page C-13 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-5. Contractor Monitoring Checklist (Sheet 3) 

Medical Review Officer (MRO) 

Name _______________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone number_________________________________________________________________________________

(please attach resume and a copy of license and other qualifications) 

Substance Abuse Professional (SAP) 

Name _______________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone number_________________________________________________________________________________

(please attach resume and a copy of license and other qualifications) 

11. How are blind sample tests performed?

12. Do you inspect your collection site facilities? Yes _____ No _____

13. Date of last inspection: _______________

14. Do you monitor canceled tests? Yes _____ No _____

15. Number of canceled tests _____________

16. Reasons for canceled tests: ___________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

17. What corrective measures have been taken to minimize the number of canceled tests?

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Equipment

18. Is alcohol testing contracted out? Yes _____ No _____

If yes, please provide the following information on the vendor/agency.

Name _______________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone number_________________________________________________________________________________

Appendix C. Example Oversight Forms and Lists Page C-14 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C-5. Contractor Monitoring Checklist (Sheet 4) 

Type of device used (specify Make and Model #) _____________________________________________________

____________________________________________________________________________________________

19. Are non-evidential testing devices being used? Yes _____ No _____

20. Describe the procedures used for conducting alcohol testing:_________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

21. Type and location of primary EBT:_____________________________________________________________

22. Type and location of backup EBT: _____________________________________________________________

23. Provide list of certified Breath Alcohol Technicians (BAT) or Screen Test Technicians (STT): 

Name Date of Certification Date of Last Training 

24. Please attach a copy of the BAT/STT training certificate. 

Random Selection Process

Please describe the random selection process.

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

25. Who selects numbers?

26. How often are selections made (daily?, weekly?, Monthly?, Quarterly?)

27. How soon after selections are made are the tests performed?

28. Who notifies employee of test requirement? During what part of the employees’ 

Shift are tests conducted? Beginning? _____ Middle? ___________ Combination? __________

29. What type of employee identification is being used for random testing? ________________________________

____________________________________________________________________________________________

30. Number of safety-sensitive employees __________________________________________________________

31. Required number of tests needed to be performed to meet the regulatory requirement for both drug testing

(50%) __________________ and alcohol testing (10%) _____________

Appendix C. Example Oversight Forms and Lists Page C-15 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure C- 5. Contractor Monitoring Checklist (Sheet 5) 

32. Please list all agencies or departments that are included in your random testing pool. For each agency indicate 

the name, title, and phone number of the person who oversees it: 

Agency/Department Contact Person Title Phone # 

Turnkey Participants

33. If you hired a contractor to provide all or part of the testing services for you, please identify the service provider: 

Company_____________________________________________________________________________________

Contact Name _________________________________________________________________________________

Address______________________________________________________________________________________

____________________________________________________________________________________________

Phone Number ________________________________________________________________________________

34. Please describe the procedures for monitoring turnkey contractor:_____________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Consortium Participants

35. If you are part of a consortium. Please provide the following information. 

Consortium Program Manager ____________________________________________________________________

Address______________________________________________________________________________________

_______________________________________________________________Phone Number __________________

36. Please provide a description of the consortium (who is involved, who oversees, etc.) 

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

Consortium Participants

37. If you are part of a consortium, please provide the following information.

Consortium Program Manager ____________________________________________________________________

Address______________________________________________________________________________________

_______________________________________________________________ Phone Number_________________ 

Appendix C. Example Oversight Forms and Lists Page C-16 
Best Practices 

FTA Drug and Alcohol Testing Program 

Appendix C. Example Oversight Forms and Lists Page C-17 

Figure C-5. Contractor Monitoring Checklist (Sheet 6) 

38. Please describe the consortium (who is involved, who oversees, etc.) 

____________________________________________________________________________________________ 

____________________________________________________________________________________________ 

____________________________________________________________________________________________ 

39. Please describe the distribution of responsibilities within the consortium (who is responsible for what). 

____________________________________________________________________________________________ 

____________________________________________________________________________________________ 

____________________________________________________________________________________________ 

Record Keeping

40. Where are the drug and alcohol testing records stored? _____________________________________________ 

____________________________________________________________________________________________ 

____________________________________________________________________________________________ 

____________________________________________________________________________________________ 

41. Who has access to these records? ______________________________________________________________ 

____________________________________________________________________________________________ 

____________________________________________________________________________________________ 

____________________________________________________________________________________________ 

42. Do you maintain the following records? 

a. Data on test results that have a BAC of 0.02 or greater 

b. Employer’s copy of the alcohol test form 

c. Data on test refusals 

d. Documents presented by a covered employee to dispute the result of an alcohol test 

e. Data on referrals to SAP 

f. Record pertaining to determination by a SAP concerning a covered employee’s need for assistance 

g. Records concerning a covered employee’s compliance with the recommendations of the SAP 

h. Calibration documentation for evidential breath testing device 

i. Annual MIS report 

j. Records pertaining to evaluations 

k. Data regarding training of employees 

l. Data regarding training of BATs 

m. Collection process (including logbooks, if used) 

n. Data on test results that are less than 0.02 

Reporting

43. Please indicate the dates the annual MIS reports were sent to the grantor. 

Certification of Compliance

44. Please attach your certification of compliance. 

Best Practices 

FTA Drug and Alcohol Testing Program 

Appendix D. Example Specimen Collection Forms and Lists 

 

This appendix contains best practice examples of forms and lists that have 

been used successfully to assist with management of urine and breath 

collection operations. Each of these examples is referenced and described in 

Section 4.3. The examples appear in the following figures: 

D-1. Employee Instructions for Collection Process 

D-2. Drug Test Collection Form 

D-3. Shy Bladder Form 

D-4. Shy Lung Form 

D-5. Collection Site Checklist 

Appendix D. Example Specimen Collection Forms and Lists Page D-1 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure D-1. Employee Instructions for Collection Process

1

Employee Instructions for Collection Process 

 

PLEASE TAKE A FEW MINUTES TO READ THE 

FOLLOWING INFORMATION THAT DESCRIBES 

YOUR ROLE IN THE COLLECTION PROCESS 

1. Present a required Photo I.D. to the Collector. If you do not have a Photo I.D., an 

employer representative will be asked to identify you. 

2. Remove any unnecessary garments (coats, jackets, hats, etc.). All purses and briefcases 

must remain with outer garments. 

3. Empty your pockets, and show the contents to the Collector. 

4. You will be provided a sealed specimen bottle, and the Collector will unwrap it in your 

presence. 

5. You should observe the entire collection procedure. The Collector will check the 

specimen for its volume, temperature, and color. The Collector will then seal the bottle. 

6. Make sure you have initialed the seal on the specimen bottle. 

7. You should complete the information on the Custody form as instructed by the Collector. 

You will be given a copy after completion. 

8. The results of the laboratory analysis will be forwarded to the Medical Review Officer 

(MRO). If the lab results are negative, the MRO will notify your employer. If the lab 

results are positive, the MRO will contact you at the phone number(s) you provided, to 

give you the opportunity to discuss the test results and to submit information concerning 

the authorized use of the drug(s) in question. 

THANK YOU. YOUR COOPERATION IS 

GREATLY APPRECIATED.

1

 Ohio Department of Transportation 

Appendix D. Example Specimen Collection Forms and Lists Page D-2 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure D-2. Drug Test Collection Form 

SAN FRANCISCO BAY AREA RAPID TRANSIT DISTRICT 

NIDA DRUG TEST COLLECTION CHECKLIST

COLLECTOR DONOR 

___ 1. Donor identify verified by photo I.D. or employer representative ___

___ 2. Procedure explained to donor. ___

___ 3. Donor removed coat, hat, etc. left outside collection area and emptied pockets, 

but retained wallet. 

___

___ 4. Donor washed hands prior to collection, in view of collector. ___

___ 5. Collector placed bluing in toilet bowl and tank, and secured all water sources 

and possible adulterants from donor access. 

___

___ 6. Collection kit was opened in front of donor. ___

___ 7. Donor was asked to furnish urine specimen. Collector waited outside 

restroom/stall door until donor exited. Donor was told not to flush toilet. 

___

___ 8. Specimen remained in full sight of BOTH collector and donor until completely 

packaged. If the specimen was transferred from one container to another, 

transfer was done in THE PRESENCE AND FULL VIEW OF THE DONOR. 

___

___ 9. In the presence of the donor, the collector checked the specimen for color, 

sign of contamination, temperature, and quantity. All of the above were 

conducted within 4 minutes of collection and documented on the chain of 

custody form. 

___

___ 10. Collector placed lid on container, and tightened it securely IN THE 

PRESENCE AND FULL VIEW OF THE DONOR. 

___

___ 11. Container was sealed with tamper evident tape in the donor’s presence and 

full view. Donor initialed tape. Collector verified the information on the label 

as identical to the chain of custody form attached to the specimen bottles. 

DONOR MUST SIGN NAME THE SAME WAY EACH TIME. 

___

___ 12. Chain of custody form was signed by donor, and donor was given a copy. ___

___ 13. Donor was allowed to wash hands. ___

Donor and collector agree that all of the above procedures have been completed, and 

the urine submitted is that of the donor signed below and has not been tampered with. 

__________________________________ _________________________________________ 

Collector Signature Date Donor Signature Date 

__________________________________ _________________________________________ 

Print Collector Name Print Donor Name

Appendix D. Example Specimen Collection Forms and Lists Page D-3 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure D-3. Shy Bladder Form2

SHY BLADDER CHECK LIST 

DOT 3 Hour Time Limit Check List

Donor’s Name: _________________________________________ 

Collector’s Initials:___________ 

1. __________The start time should be indicated on the COC. This starts with your first attempt. 

(Example: donor arrives at 12:00; he/she has until 3:00 to void.) 

2. __________The donor can have up to 40 ounces of fluids. The actual total mount must be 

recorded under the remarks section, as well as the time of each attempt to void. 

3. __________If the donor cannot void in three hours, call the company representative and 

explain to them that the DOT regulations require the donor have a physical 

examination to determine if there is a physical reason for this. 

4. __________Can the evaluation be performed at the testing facility? If so, schedule the 

evaluation as soon as possible. 

5. __________If the inability to void is not a result of a physical or pre-existing psychological 

disorder, the test will be considered a test refusal. If there is a medical condition, 

the test is cancelled unless it is a pre-employment test. The doctor should 

determine if the medical problem is a result of a long-term or permanent 

disability. If a disability is found, the MRO should conduct an exam to identify 

any signs of illegal drug use (a blood test is permitted). If no illegal drug use is 

found, the test should be designated as negative. 

If no Doctor is available: 

1. __________Make an appointment for the evaluation at a later date, but as soon as possible. 

2. __________Ask the employer what their procedure is. 

 

2

 Ohio Department of Transportation 

Appendix D. Example Specimen Collection Forms and Lists Page D-4 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure D-4. Shy Lung Form3

SHY LUNG CHECKLIST 

You need to try and get the donor to complete testing before getting this far. You may even want 

to let another BAT try and speak with and instruct the donor. Sometimes, another person’s view 

can help. 

Donor’s Name: _________________________________________ 

Collector’s Initials:___________ 

1. __________Call the company contact and explain the situation. Just as in a drug screen 

situation, the donor must be examined to determine if there is a medical problem. 

Can the evaluation be performed at the testing facility? 

2. __________If it can be performed at the collection site, schedule the examination as soon as 

possible. 

3. __________If Doctor finds a medical problem, the test will be cancelled and the company 

informed. The Doctor must provide written documentation to the company 

 explaining the reason. 

If no Doctor is available: 

1. __________Make an appointment for the evaluation at a later date, but as soon as possible. 

2. __________Ask the employer what their procedure is. 

 

3

 Ohio Department of Transportation 

Appendix D. Example Specimen Collection Forms and Lists Page D-5 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure D-5. Collection Site Checklist4 (Sheet 1) 

COLLECTION SITE CHECKLIST 

System Name __________________________________________________________________ 

Collection Site _________________________________________________________________ 

Date ___________________ 

Drug Testing Procedures 

SPECIMEN COLLECTION

 

Does the collection site(s) meet the Department of Transportation requirements published in 49 

CFR Part 40, Procedures for Transportation Workplace Drug and Alcohol Testing Programs? 

Does the collection site check the donor’s ID? Does the collection site have a procedure in place 

to confirm donor identity when no ID is presented (i.e., supervisor attests to identity)? 

Does the collection site: 

 Provide a privacy enclosure for urination, a void receptacle, a suitable clean writing 

surface, and a water source for hand washing, which, if practicable, should be outside

the privacy enclosure?; 

 Secure the privacy enclosure when not in use or, if this is not possible (e.g., when a 

public restroom is used), visually inspect it prior to specimen collection to ensure that 

unauthorized persons are not present and that there are no unobserved entrance 

points?; 

 Have restricted access during specimen collection?; 

 Add a bluing agent to the toilet water to prevent dilution of the specimen; 

 Secure the toilet tank top or blue tank water; 

 Turn off, tape, or prevent the use of other sources of water (e.g., sink or shower) that 

are located in the privacy enclosure where urination occurs; 

 Remove all potential adulterants; and 

 Secure areas suitable for concealing contaminants such as trash receptacles, paper 

towel holders, etc.?

Does the collection site have a procedure in place for notifying the employer if the employee 

does not report for the test in the designated time frame?

Do you have a procedure to notify the collection site of the identity and contact information of 

the Designated Employer Representative (DER)? 

Does the collection site use the correct USDOT Chain of Custody and Control forms for 

DOT/FTA tests (and only DOT tests)?

 

4

 Ohio Department of Transportation 

Appendix D. Example Specimen Collection Forms and Lists Page D-6 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure D-5. Collection Site Checklist (Sheet 2) 

Is the specimen and CCF under the control of the collector throughout the collection process? Is 

the collector the only person that handles the specimen before it is sealed? 

Are “limited access” signs posted in areas of public access?

Does the collection site restrict access to specimens and specimen collection materials?

Are collection sites available to perform collections during all days and hours that the transit 

system performs safety-sensitive job duties? 

Do collectors recheck the privacy enclosure following the collection process?

Split Sample

Is the split specimen procedure being utilized at the collection site? After the specimen has been 

collected, it must be divided into two specimen bottles (30 ml of urine in one primary specimen 

bottle and 15 ml in the split specimen bottle) in the presence of the donor. If the primary test

returns a positive test result, the employee can request that the split sample be tested at a separate 

DHHS laboratory. 

Are procedures in place to have a split sample transferred to a second HHS lab for analysis? 

Have you established a business relationship with the second HHS lab to ensure that split 

specimens will be processed in a timely manner and that the employer will provide payment for 

the split analysis (subject to reimbursement by the employee)?

Insufficient Volume of Specimen

Is the collection site following the correct procedures if the employee being tested is unable to 

produce a sufficient amount of urine for the test? 

 Discard the original specimen. 

 Obtain another urine sample within three hours of the previous test. The employee 

cannot drink more than 40 ounces of fluid during the three hours. 

Does the employer direct the employee to have a medical examination within 5 days if 45 ml

cannot be provided within three hours?

Does the medical physician provide the MRO with a statement indicating whether or not the 

insufficient specimen was the result of a genuine medical condition?

Does the MRO notify the employer in writing of the medical examination conclusion? 

If there is no medical explanation for the insufficient specimen, is the test regarded as a refusal to 

be tested?

Appendix D. Example Specimen Collection Forms and Lists Page D-7 
Best Practices 

FTA Drug and Alcohol Testing Program 

Appendix D. Example Specimen Collection Forms and Lists Page D-8 

Figure D-5. Collection Site Checklist (Sheet 3) 

For a pre-employment test that results in insufficient volume, is a contingent offer of 

employment made prior to the medical evaluation? 

For a pre-employment insufficient volume test, does the medical evaluation determine if the shy 

bladder was due to a long-term or permanent disability? Does the medical examination look for 

signs of illegal drug use? If no signs of illegal drug use are found, does the MRO verify the test 

as negative? 

Observed Collections

As of August 31, 2009, USDOT requires mandatory direct observation for all return-to-duty and 

follow-up testing. Are procedures in place to require the collection site personnel to conduct a 

mandatory, directly observed collection immediately after the first collection in the following 

circumstances? 

 The employee’s urine sample is outside the normal temperature range; 

 The collection site person observes conduct that clearly and unequivocally indicates 

an attempt to adulterate or substitute the sample; 

 Following a positive, adulterated, or substituted test, the split sample is not available 

for testing; or 

 The specimen is invalid with no medical explanation. 

Does the transit system have a procedure to determine if a directly observed collection will be 

conducted in the following circumstances? 

 The employee has previously been determined to have used a controlled substance 

without medical authorization and the particular test is being conducted under the 

FTA regulation as a return-to-duty or follow-up test. 

Does the collection site have both genders available if a directly observed collection is required? 

Is the employee told the reason for a directly observed collection if one is performed? 

Privacy/Confidentiality

Does the collection site have adequate measures in place to protect the privacy of the employee 

and the integrity of the collection process? 

Does the collection site and Medical Review Officer have adequate measures in place to 

communicate confidential matters to designated individuals at the employer? 
Best Practices 

FTA Drug and Alcohol Testing Program 

Appendix E. Example Medical Review Forms and Lists 

 

This appendix contains best practice examples of forms and lists that have 

been used successfully to assist with management of the medical review 

process. Each of these examples is referenced and described in Section 4.4. 

The examples appear in the following figures: 

E-1. Roles and Responsibilities of Medical Review Officer

E-2. MRO Checklist

E-3. MRO/Donor Interview Checklist

E-4. Request To Test Split Sample 

E-5. Failure To Make Contact Notification 

E-6. MRO Verification Flow Chart 

Appendix E. Example Medical Review Forms and Lists Page E-1 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure E-1. Roles and Responsibilities of Medical Review Officer 1

ROLES AND RESPONSIBILITIES 

MEDICAL REVIEW OFFICER 

 

 Detailed knowledge of testing procedures defined in 40 CFR Part 40, as amended. 

 Detailed knowledge of laboratory analysis procedures and report interpretation

 Receive test results from the laboratory and verify lab report and assessments- 

 Specimen identification

 Certifications (donor, collector, certifying scientist) 

 Chain-of-custody complete

 Administration items complete

 Review and interpret each confirmed positive test result. 

 Notify donor of positive test result and provide an opportunity for donor to discuss positive test results, and 

discuss as needed. 

 Review donor’s medical history and medical records as appropriate. 

 Notify DPC and SAPM of verified positive test. 

 Process donor’s request for analysis of the split specimen.

 When applicable, provide input to SAP on return-to-duty decision.

 Conduct medical assessment on applicants with insufficient volume due to a long-term or permanent disability. 

 Conduct physical examinations for evidence of illegal drug use on employee with an opiate positive test when

analytical results are inconclusive. 

 Administratively review each negative test result. 

 Order re-tests as appropriate when the accuracy or validity of a positive test result is questionable. 

 As appropriate, order a full adulteration panel including specific gravity, creatinine concentration, and PH when

the integrity of the specimen is in question (i.e., temperature out of range, collector observes questionable 

behavior).

Request laboratory to conduct confirmatory analysis for methamphetamine to distinguish 

use with the active ingredient in over-the-counter medications. 

 

1

 City of Albuquerque 

Appendix E. Example Medical Review Forms and Lists Page E-2 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure E- 2. MRO Checklist2 (Sheet 1) 

Donor’s Name: ID#: 

Specimen ID#: Date of Collection: 

Positive Result Reported: Date Time 

 A. REVIEW DOCUMENTS 

 Yes  No 1. Are the Chain-of-Custody (COC) forms filled out correctly? 

 Yes  No 2. Does the information that appears on the lab COC form match the 

information on the MRO form? 

• Compare the specimen identification number contained on the both the 

laboratory copy and the MRO copy of the COC. 

• Compare the employee ID # and SS# on both forms to insure they are the same. 

If No,  Request the laboratory records regarding the specimen to determine if the correct 

laboratory procedures were followed; or

 Require the retest of the specimen 

Lab Contact:

Phone #:

Date:

Comment:

If the specimen identification number or employee ID# is not the same, the result 

should not be reported at this time. Do not verify the positives until you are fully 

satisfied that the results reported are those for the specimen identified to the 

subject donor. If unsure, order a retest and have the certifying scientist personally

inspect the original specimen container to ensure it was properly accessioned. 

 Yes  No 3. Did the collector complete the required certification of the COC? 

 Yes  No 4. Did the donor complete the require certification on the COC? 

 Yes  No 5. Did the certifying scientist complete the required certification on the COC?

 Yes  No 6. If the donor did not sign the COC, did the collector properly note the 

declination and record the explanation (if any)?

 Yes  No 7. Is the COC block completely and legibly completed? 

 Yes  No 8. Is all other information completed properly? 

B. VERIFY LABORATORY RESULT AND ASSESSMENT 

 Yes  No 9. If methamphetamine positive, request isomer concentrations (d = Rx, l = otc). 

 Yes  No 10. If opiate positive, request codeine and morphine concentrations. 

If over 2000 ng/ml, order 6-MAM.

Lab Contact Person:

Phone #:

Date:

Comment:

 Yes  No 11. As necessary request: Concentration Data

Validity Tests Adulteration Panel 

Other, Specify:

 

2

 City of Albuquerque 

Appendix E. Example Medical Review Forms and Lists Page E-3 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure E-2. MRO Checklist (Sheet 2) 

C. DONOR CONTACT 

 Yes  No 12. Document attempts to contact donor. 

Date Time Phone # Contact Comment Initials

1.

2.

3.

4.

5. 

 Yes  No 13. If unable to contact donor, contact employer representative. 

Employer Contact: Date Time 

 Yes  No 14. If more than 72 hours have passed since the employee was notified by 

employer or 10 days have passed from the date the result was reported, verify the 

result as positive. 

D. EMPLOYEE INTERVIEW 

 Yes  No 15. Hello, my name is Dr. Christenson, the Medical Review Officer for the 

City of Albuquerque.

 Yes  No 16. Verify Employee Identity

 ?

Am I talking to (employee name) Yes No

 ?

Did you have a drug screen on (date) at (location) Yes No 

Were you satisfied that the specimen you gave was collected, 

labeled, and sealed in your presence? Yes No

Can you tell me your SS# and birth date? SS#:

Birth Date:

 Yes  No 17. “The reason I am speaking to you personally is because the results of the drug 

test have been received and it is a positive test. The purpose of this interview is to 

provide you an opportunity to voluntarily share information with me that might 

explain a positive result, such as anything from your medical history, prescriptions, 

recent treatment or something in your diet. Before I ask you any further questions, I 

want to tell you that any information that you may disclose will be TREATED 

CONFIDENTIALLY and will not be released unless a DOT regulation requires or 

permits such a disclosure. (Information obtained that indicates you are not fit for 

duty will be reported to your employer.) You have the option of not discussing the 

matter with me if you choose. Do you have any questions at this point?” 

 Yes  No 18. Did the employee refuse to discuss the test result or decline the interview 

with the MRO? Yes No 

If yes, verify the test as positive and explain: 

 Yes  No 19. “I need to ask you some questions about your medical history to determine 

whether or not your drug test results could have been caused by medication you may

have been taking.” 

Appendix E. Example Medical Review Forms and Lists Page E-4 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure E-2. MRO Checklist (Sheet 3) 

Prescription Drugs: 

Rx Rx Rx Rx

Rx # 

Date

Doctor

Quantity

Drug

Pharmacy

Phone

Rx Phone 

Over-the-Counter Drugs: 

Drug Name

Quantity

Usage 

Comment 

Diet: 

Product 

Quantity

Usage 

Comment 

Dental, ENT, Opthalmolopic, Other Procedure:

Procedure 

Date 

Doctor 

Comment 

Phone 

 Yes  No 20. Inquire about illicit drug usage: 

 

 Yes  No 21. Request for Medical Records when appropriate: 

 

 Yes  No 22. Request an exam on in-person interview when appropriate - 

Appointment Date: 

Appointment Time: 

Physician: 

 Yes  No 23. If there is no legitimate medical explanation, tell the donor your conclusion: 

Notification Date: Time:

Appendix E. Example Medical Review Forms and Lists Page E-5 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure E-2. MRO Checklist (Sheet 4) 

 Yes  No 24. Notify the donor that they may request analysis of the split specimen at 

their expense. The request must be made within 72 hours. 

 Yes  No 25. Did you tell the donor the procedure for requesting the split analysis 

(i.e., telephone numbers, contact person)? Yes No

 Yes  No 26. Notify the donor that if requested, the split specimen will be sent to 

Another certified laboratory and tested for presence of the same drug(s). 

The cost of the test is $ * 

Split Analysis Declined Laboratory 

Requested Date Requested

Specimen ID# Result

*Note: If the donor requests the split analysis, but indicates they cannot afford to pay, proceed with the test.

 Yes  No 26. Inform the donor of consequences of a positive test and where to obtain 

a list of resources for resolving problems associated with alcohol or 

drugs and where to receive a referral for an assessment by a substance 

abuse professional. 

 Yes  No 27. Offer to answer any questions; give name and phone number. 

 Yes  No 28. Notify donor of split analysis and of verified test result. 

Date: Time: Result:

E. MRO VERIFICATION 

Employee Name: SS#:

City/Department: Dept. Contact:

Date of Interview: Contact Phone #:

Verification completed & employee notified of results: Date Time

Employee Notified of Results: Date Time

Employer Contact If Other Than Above:

Test Result Report Form Sent to Employee Contact:

Results Reported As: Positive, Drug

Negative, (Scientifically Insufficient)

Negative

Cancelled, Specify

Comments:

MRO’s Signature: 

MRO Name:

MRO Date:

 Complete Chain-of-Custody Form

Appendix E. Example Medical Review Forms and Lists Page E-6 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure E-3. MRO/Donor Interview Checklist

3

 

MRO/Donor INTERVIEW CHECKLIST 

1. Identify yourself as a physician serving as the Medical Review Officer (MRO) for the City of 

Albuquerque with the duty of receiving and reviewing drug test results. Clearly state 

that you have been designated the MRO for the City of Albuquerque drug testing program. 

2. Establish identity of the donor (i.e., full name, social security number of donor I.D. number,

date of birth.) 

3. Inform donor that medical information discussed during the interview is confidential, and may 

only be disclosed under very special circumstances. 

4. If the donor holds a medical certificate under a DOT agency rule, advise the donor that 

information regarding test results and information supplied by the donor will be provided to 

the DOT Agency as required by appropriate regulations. 

5. Tell the donor are calling about the specific drug test he/she underwent on the specific date 

and at the specific location. Inform the donor what drug(s) the specimen tested positive for. 

6. Briefly explain the testing process, discussing screening and confirmation testing, and 

laboratory reporting. 

7. If the donor request the quantitative levels of the confirmed results, provide them if 

available. If the quantitative levels are unavailable, the MRO should request them. However,

this does not delay his/her verifications decision pending receipt of the quantitative data. 

8. Ask for recent medical history, when appropriate. 

Prescription drugs

OTC Drugs

Dental, ENT, Ophthalmologic, or other medical procedures. 

Food Ingestion 

9. Request donors provide medical records or documentation of prescription for controlled 

substance when appropriate. Set a specific deadline for receipt of the medical records. 

10. Request donors undergo a medical examination or evaluation, when appropriate. Make 

arrangements for medical evaluation. 

11. Notify the donor that he/she may request the split specimen be tested, and 

Explain this process to him/her. Provide information about payment for the split specimen 

test in accordance with employer’s policy, if appropriate. Tell the donor that the split 

specimen test will not delay reporting of the initial test result to their employer. 

12. If the verification process is complete, inform the donor that they are to report to their 

Department Program Coordinator. 

13. If the test result was verified positive, inform the donor that they are to report to their 

Department Program Coordinator. 

14. Offer to answer any further questions. 

15. Give your name and phone number in case the donor has any further questions. 

USE THE MRO VERIFICATION WORKSHEET TO DOCUMENT INTERVIEW

 

3

 City of Albuquerque 

Appendix E. Example Medical Review Forms and Lists Page E-7 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure E-4. Request To Test Split Sample4

Split Sample Date___________________

Medical Review Officer 

Request to Retest Form 

Medical Review Officer: ________________________________________________________________________

Agency Name: ________________________________________________________________________________

Address: _____________________________________________________________________________________

Telephone: ___________________________________________________________________________________

Manager’s Name: ______________________________________________________________________________

Employee Name: ______________________________________________________________________________

Employee SS #: _______________________________________________________________________________

Employee Address:_____________________________________________________________________________

Employee Telephone No: (Work) (Home)

Date of original test: ____________________________________________________________________________

I request that the split specimen of my urine sample provided on _________________________________________

be tested for the presence of the following drugs: marijuana, cocaine, opiates, phencyclidine (PCP), and

amphetamines consistent with the requirements specified in 49 CFR Part 40. 

The split specimen will be packaged and sent to the following DHHS laboratory for analysis: 

(note: This is a different lab than the one which performed the analysis on the primary lab.) 

 ____________________________

 ____________________________

 ____________________________

I understand that I may be responsible for all costs of collection, storage, shipment, and examination relating to this 

retest. 

____________________________________________________________________________________________

Employee’s Signature 

____________________________________________________________________________________________

Agency Drug Program Coordinator’s Signature 

 

4 Ohio Department of Transportation.

Appendix E. Example Medical Review Forms and Lists Page E-8 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure E-5. Failure To Make Contact Notification 5

DATE FAXED TO COMPANY ______________________________ 

COMPANY NAME: ______________________________ 

ATTENTION: ______________________________

PHONE NUMBER: ______________________________ 

DONOR NAME: ______________________________ 

SSN / EMPLOYEE NUMBER ______________________________ 

The above listed employee must speak to an MRO and we have failed to 

make contact. Therefore, we need your assistance. Please have the donor 

contact ___________________ (name of MRO) at ________________ 

(telephone number of the MRO) as soon as possible. It is important that 

the employee knows the name of the correct doctor for whom to ask. 

In accordance with Federal Regulations, we are not permitted to start the 

“72-hour clock” until we know the donor has been successfully notified. 

However, in the event the MRO and the employer have been unsuccessful 

in contacting the donor, the result may be reported as a no contact result 

after 10 days. In order to start the “72-hour clock”, we need to know that 

you have successfully made contact with the donor advising him/her to 

contact the MRO. Verbal contact must be made directly with the donor. 

Messages left with spouses and/or family members do not qualify as 

notification. Additionally, please note that leaving messages on 

answering machines, voice mails, pager systems, etc. are likewise not 

acceptable, as notification. 

Please fill in the information below and fax this page to 

_____________________________ (contact person at MRO’s office) at 

__________________ (fax number of contact person) as soon as contact 

with employee is made. 

REMEMBER, THE ’72-HOUR CLOCK” MAY NOT START 

UNTIL WE ARE PROPERLY NOTIFIED THAT THE DONOR 

HAS BEEN INFORMED TO CONTACT THE MRO. 

If you require additional information or have questions pertaining to this 

correspondence, please call ________________________ (contact person 

at MRO’s office) at _____________ telephone number of contact person). 

Please print:

I, _____________________, (employer/supervisor) hereby attest that 

__________________ (insert name of employee) has been notified to 

contact the MRO as soon as is possible. I attest that verbal contact was 

made directly with the donor on _______ (date of contact) and understand 

that the “72-hour clock” starts from this date. 

_________________________________________Date______________ 

(Signature of authorized supervisor or employer) 

 

5

 Prepared by University Services, Arsenal Business Center, Building 4, 5301 Tacony St., Philadelphia, PA, 19137, 

215 743 4200, for the Monroe County Transportation Authority, East Stroudsburg, PA. 

Appendix E. Example Medical Review Forms and Lists Page E-9 
Best Practices 

FTA Drug and Alcohol Testing Program 

6

POSITIVE

RESULT

ADULTRANT

RESULT

CORRECTABLE

FLAW - REQUIRE 

CORRECTION

NON-NEGATIVE TEST,

STAND-DOWN POLICY,

CONTACT DER AND

EMPLOYEE

REMOVE

EMPLOYEE FROM

SAFETYSENSITIVE DUTIES

PENDING

VERIFICATION

MRO

REVIE

WS

CCF FOR

FLAWS

CONTACT

DER AND/OR

EMPLOYEE

TEST

CANCELLED,

NO OBSERVED

COLLECTION

TEST

CANCELLED,

NO OBSERVED

COLLECTION

TEST

CANCELLED,

NO OBSERVED

COLLECTION

TEST

CANCELLED,

IMMEDIATE

OBSERVED

COLLECTION

FLAW

CORRECTED

W/I FIVE

DAYS

CANCEL

TEST, NOTIFY

DER

CANCEL

TEST, NOTIFY

DER

CANCEL

TEST, NOTIFY

DER and

DOT

NEGATIVE

TEST

SUBSTITUTED

RESULT

MRO REVIE

WS CCF

40.129A

MRO REVIEWS LAB

REPO

RTS

INVALID

TEST

LAB REJECTS FOR

TESTING, FATAL OR

UNCORRECTED FLAW

FATAL FLAW -

REJECT TEST

NEGATIVE - VERIFY TEST, DER TAKES NO

FURTHER ACTION

CANCELLED, DER TAKES NO FURTHER ACTION

UNLESS A NEGATIVE RESULT IS REQUIRED

NEGATIVE DILUTE - EXPLAIN OPTIONS FOR

IMMEDIATE RETESTING TO DER

NON-NEGATIVE TEST, NO STAND-DOWN POLICY,

CONTACT EMPLOYEE DIRECTLY

USING PRIVATE CONTACT INFORMATION

CANNOT

CONTACT

EMPLOYEE

MRO NOTIFIES DER TO

CONTACT EMPLOYEE

MRO MUST CONTACT EMPLOYEE DIRECTLY

40.131

A MINIMUM OF 3 ATTEMPTS OVER 24 HR PERIOD

EMPLOYEE DECLINES OPPORTUNITY TO

DISCUSS NON-NEGATIVE TEST RESULT

CONDUCT VERFICATION

40.135

POSITIVE TEST

OPIATES

ON

ON

SEY

C

SEY LINICAL EVIDENCE 6-AM or 15000ng mL LEGITIMATE MEDICAL EXPLAINATION

MARIJUANA,

COCAINE, PCP,

AMPHETAMINE

EMPLOYEE HAS

BURDEN OF 

PROOF

EMPLOYEE HAS

BURDEN OF

PROOF

MRO DISCUSSES

W/CERTIFYING

SCIENTIST

MEDICATION OR

OTHER VALID

EXPLANATION

ADULTERANT FOUND BY

LAB HAS PHYSIOLOGICAL

EXPLANATION

PHYSIOLOGICAL REASON

FOR VERY LOW SPEC

GRAV AND CREATININE

NO VALID MEDICAL

EXPLANATION EXISTS

ADULTERATED

TEST

EMPLOYEE HAS

MEDICAL REASON

EMPLOYEE HAS

MEDICAL REASON

EMPLOYEE HAS

MEDICAL REASON

EMPLOYEE DOES

NOT HAVE

MEDICAL REASON

EMPLOYEE DOES

NOT HAVE

MEDICAL REASON

EMPLOYEE DOES

NOT HAVE

MEDICAL REASON

SUBSTITUTED

TEST INVALID TEST

TO SPLIT-SAMPLE PROCEDURE

DER CONTACTS

EMPLOYEE,

EMPLOYEE DOES

NOT CONTACT

MRO

DER INFORMS

MRO UNABLE TO

CONTACT 

EMPLOYEE

DER CONTACTS

EMPLOYEE,

EMPLOYEE 

 CONTACTS

MRO

DER CANNOT

CONTACT

EMPLOYEE

MRO ALLOWS

72 HOURS

NO CONTACT IN

72 HOURS

NO CONTACT IN

10 DAYS

MRO ALLOWS

10 DAYS

MRO CONTACTS EMPLOYEE, OFFERS EMPLOYEE

OPPORTUNITY TO EXPLAIN TEST RESULT

REQUIRE

CORRECTIVE

ACTION AND/OR

RETRAINING

60 DAYS TO REQUEST 

VERIFICATION BE

REOPENED FOR 

LACK OF NOTICE

YES

NO

Figure E-6. MRO Verification Flow Chart6 (Sheet 1) 

Appendix E. Example Medical Review Forms and Lists Page E-10

 

6

 Prepared by the Ketron Division of the Bionetics Corporation 
Best Practices 

FTA Drug and Alcohol Testing Program 

Fi

gure E-6. MRO Verification Flo

w Chart (Sheet 2)

SPLIT-SAMPLE PROCEDURE

INFORM EMPLOYEE HAS 72 HRS T

O

REQUEST TEST OF SPLIT SPECIMEN

MRO PROVIDES WRITTEN REQUEST T

O

LAB T

O SEND SPECIMEN T

O SECOND

LAB FOR TESTING

 EMPLOYEE REQUESTS 

SPLIT SPECIMEN

 SECOND LAB SENDS RESULTS T

O MRO

MRO VERIFYS RESULTS

CANCEL TEST,

REPORT T

O DER

AND D

OT

REPORT TO DER RECONFIRMED

POSITIVE, ADULTERATED OR

SUBSTITUTED

FROM MRO REVIEWS LAB REPORT

Appendix E. Example Medical Review Forms and Lists Page E-11

Best Practices 

FTA Drug and Alcohol Testing Program 

Appendix F. Example Referral, Evaluation, and Treatment Forms 

 

This appendix contains best practice examples of forms that have been used 

successfully to assist with management of the referral, evaluation, and 

treatment process for safety-sensitive employees who test positive for drugs or 

alcohol or otherwise violate provisions of Parts 40 or 655. Each of these 

examples is referenced and described in Chapter 5. The examples appear in 

the following figures: 

F-1. Referral to Substance Abuse Professional 

F-2. Substance Abuse Program Treatment Referral Form 

F-3. Agreement for Continuation of Employment 

F-4. Return-to-Work Agreement 

F-5. Return-to-Duty and Post Rehabilitation Worksheet 

F-6. SAP Client Evaluation 

F-7. Mandated Individual Treatment Plan 

F-8. SAP Return to Work Evaluation 

F-9. Follow-Up Assessment 

F-10. Return to Duty Testing Flow Chart 

F-11. Follow-Up Testing Flow Chart

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-1 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-1. Referral to Substance Abuse Professional1

SUBSTANCE ABUSE PROFESSIONAL REFERRAL 

I acknowledge that I have received a referral to a Substance Abuse Professional as required by 

FTA regulations. 

The cost of this service will be borne by:  the City  the employee 

Substance Abuse Professional referral: 

 

Name 

Address 

City/State 

Phone 

Alternate Substance Abuse Professional referral: 

Name 

Address 

City/State 

Phone 

I have received a copy of this referral: 

 

Employee Signature Date 

 

Agency Representative Signature Date

 

1

 City of Albuquerque 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-2 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-2. Substance Abuse Program Treatment Referral Form 

SAN FRANCISCO BAY AREA RAPID TRANSIT DISTRICT 

1330 Broadway, Suite 907, Oakland, 94612 

(510) 464-6205, (510) 464-6198 

Fax # (510) 464-6255

SUBSTANCE ABUSE PROGRAM 

TREATMENT REFERRAL FORM

Date_______________________ Referred To: ______________________________ Phone:__________ 

Employee Name _____________________________ M/F Birthday __________________ Age _____ 

Address __________________________________________ City _______________________________ 

Zip Code ________________ Home Phone _______________________ Work Phone ______________ 

Job Title: _________________________________________Shift _________________Days Off ______ 

Self-Pay: _________________ Insurance Carrier: _______________________ Plan # ______________ 

Group: ______________ Phone # _____________ Address: ___________________________________ 

BART Pay: _______ 

(If BART Pay, Submit Claims to Barbara George, BART EAP, 1330 Broadway, Suite 907, 

Oakland, 94612.) 

Circumstances under which employee is being referred: _______________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

SAP Findings and Recommendations: _____________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

Please call _________________________________ Phone____________________________________

with findings, recommendations, and name and phone number of the assigned case manager.

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-3 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-3. Agreement for Continuation of Employment2

POST DRUG and/or ALCOHOL TESTING AGREEMENT 

FOR CONTINUATION OF EMPLOYMENT ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________

THIS AGREEMENT is entered into by and between ________________________(transit system)

And _________________(employee). __________________________(transit system) is committed to providing 

channels of assistance for employees seeking rehabilitation. However, the employee seeking rehabilitation must be

committed in his/her efforts to remain free of drug use and alcohol misuse. Therefore, as part of the commitment, it 

is understood that the employee’s continuation of employment at _______________________ (transit system), for

matters relating to the Drug Abuse and Alcohol Misuse Prevention Program, is based upon and constrained by the 

following terms: 

1. ____________________ (employee) and ________________________ (transit system) mutually agree that 

your continuation of employment for the next five years is contingent upon your satisfactorily meeting the terms 

outlined in this agreement and that failure to do so may subject you to disciplinary action up to and including

termination of employment with ___________________ (transit system).

2. You must submit to evaluation of potential drug and/or alcohol problems by a substance abuse professional

(SAP). This evaluation must be completed within _________ days from the date of this document. 

3. You must participate in and attend rehabilitation, treatment, or community resource programs recommended by

the SAP. The SAP or a program counselor shall provide _________ (transit system) with periodic progress 

reports regarding your participation and attendance at all required sessions. Failure to follow the terms of the 

program recommended by the SAP shall be cause for discipline up to and including discharge.

4. Following satisfactory completion of the program recommended by the SAP, you must at a minimum, report to

____________ (transit system) within 24 hours following release by your counselor or the SAP and be tested

for drug use and/or alcohol misuse before you are allowed to return to duty. Such return to duty test must be

negative for drugs and/or show an alcohol concentration of less than .02. There may also be additional

stipulations outlined by _______________________ (transit system) and/or the SAP at this time. 

5. During the five (5) year period following your return to duty, you will be subject to unannounced follow-up

testing. There will be a minimum of six (6) tests in the twelve (12) months following your return to duty date. 

Such tests are in addition to any tests necessitated by _____________________ (transit system) Program or

required by the SAP as part of his/her program to monitor your compliance with his/her recommendations. 

6. If you are absent from work during the five (5) year period and it is determined that the absence is a result of, or 

related to, the use of drugs or misuse of alcohol, then _________________ (transit system) may take

disciplinary measures up to and including discharge. 

7. If you violate the conditions of __________________ (transit system) Program, the SAP’s program, refuse to

be tested, or have a positive drug test or an alcohol test with a concentration of .04 or greater under any testing

circumstance within the five year period, you will be discharged. 

This Agreement is voluntarily entered into by all parties, and in consideration for continuation of 

employment, the above conditions are hereby agreed to. 

Dated this _____________ day of ____________, 20__. 

SIGNATURES: 

_______________________________ ________________________________________ 

Employee Date Representative Date

 

2

 Ohio Department of Transportation 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-4 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-4. Return-to-Work Agreement3

POST DRUG and/or ALCOHOL TESTING 

RETURN-TO-WORK AGREEMENT 

THIS AGREEMENT is entered into by and between ___________________________________ 

AND _________________. ________________________ is committed to providing channels of 

assistance for employees seeking rehabilitation. However, the employee seeking rehabilitation must be 

committed in his/her efforts to remain free of drug use and alcohol misuse. Therefore, as part of the 

commitment, it is understood that the employee’s continuation of employment at __________________, 

for matters relating to the Drug Abuse and Alcohol Misuse Prevention Program, is based upon and 

constrained by the following terms: 

1. ____________________ and ________________________ mutually agree that your continuation of 

employment for the next five years is contingent upon your satisfactorily meeting the terms outlined 

in this agreement and that failure to do so may subject you to disciplinary action up to and including 

termination of employment with ___________________. 

2. During this period, you will be subject to unannounced follow-up testing with a minimum of six (6) 

tests the first year. Such tests are in addition to any tests that may be necessitated by

_______________ Drug Abuse and Alcohol Misuse Prevention Program or any tests required by a 

substance abuse professional (SAP) as part of their program to monitor the employee’s compliance 

with his/her recommendations. You will be subject to disciplinary action up to and including 

discharge if you refuse to submit to testing or if you test positive for drugs and/or alcohol during this 

time period. 

3. If you are absent from work during this period and it is determined that the absence is a result of, or 

related to, the use of drugs or misuse of alcohol, then _________________ may take disciplinary

measures up to and including discharge.

4. If you violate the conditions of __________________ Program, the SAP’s program, refuse to be 

tested, or have a positive drug test or an alcohol test with a concentration of .04 or greater under any 

testing circumstance within the five year period, you will be discharged. 

This Agreement is voluntarily entered into by all parties, and in consideration for continuation of 

employment, the above conditions are hereby agreed to. 

Dated this _____________ day of ____________, 20__. 

SIGNATURES: 

_______________________________ __________________________________ 

Employee Date Representative Date 

 

3

 Ohio Department of Transportation 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-5 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-5. Return to Duty and Post Rehabilitation Worksheet4

SAP RETURN TO DUTY AND POST REHABILITATION WORKSHEET 

Employee: 

Employee SSN or ID#: 

Address: 

Phone (H): Phone (W): 

Employer Name & Address: 

 

Contact Person: 

Date of SAP Contact: Date of Assessment: 

Date Test Verified: 

Type of Test: Random Reasonable Suspicion 

Post-Accident Return-To-Duty Follow-Up

Substances:

Treatment Plan Signed:  Yes  No Date: 

Signed Release of Information:  Yes  No Date: 

Rehabilitation Program Date Began: Completed 

Name & Address of Rehab Facility:  Outpatient  Inpatient

Contact Name: Phone:

Progress Assessment: 

 Rehab Testing 

Date Results Date Results

Date Results Date Results

Date Results Date Results

Date Results Date Results

Date Results Date Results

Discharge Diagnosis: 

After Care Plan and Follow-Up: 

Program Complete or Assessment: 

 Extension of Treatment

 MRO Input 

 Return-to-Duty Test Date Result

 Return to Safety-Sensitive Duty Date 

 Return to Duty Contract Date 

 Follow-Up Testing Schedule (Complete on Back)________________________________________________

Supervisor Phone

Comments

 

4

 City of Albuquerque 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-6 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-6. SAP Client Evaluation5 (Sheet 1) 

Substance Abuse Professional Client Evaluation 

Client: 

Date: 

Evaluator: 

Directions: If one of the following statements says something that is true about you, put a 

check mark in the space for YES. If a statement says something that is not true 

about you, put a check mark in the space for NO. Please answer all the questions. 

 

YES NO 

1. Do you feel you are a normal drinker or drug user? _____ _____ 

2. Have you ever awakened in the morning after some drinking or drug 

use the night before and found you could not remember a part of the 

evening before? _____ _____ 

3. Does your spouse, parents, family (or friends) ever express worry

or complain about your drug or alcohol use? _____ _____ 

4. Can you stop drinking or using drugs without a struggle? _____ _____ 

5. Do you ever feel bad about your alcohol or drug use? _____ _____ 

6. Do friends or relatives think you are a normal drinker or drug user? _____ _____ 

7. Do you ever try to limit your drinking or drug use to certain times of 

the day or to certain places? _____ _____ 

8. Are you always able to stop drinking or using drugs when you want to? _____ _____ 

9. Have you ever attended a self-help meeting of Alcoholics Anonymous 

(AA) or Narcotics Anonymous (NA)? _____ _____ 

 

10. Have you ever gotten into fights when drinking and/or using drugs? _____ _____ 

 

11. Has drinking or using drugs ever created problems with you and your 

spouse/partner? _____ _____ 

12. Has your spouse (or other family members) ever sought professional 

help about your alcohol or drug use? _____ _____ 

 

5

 Massachusetts Bay Transportation Authority (MBTA) 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-7 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-6. SAP Client Evaluation (Sheet 2) 

Substance Abuse Professional Evaluation 

Page Two 

Employee # 

 YES NO 

13. Have you ever lost friends or partners because of your drug or alcohol _____ _____ 

 use?

14. Have you ever gotten into trouble at work because of your drug or 

alcohol use? _____ _____

15. Have you ever lost a job because of your alcohol or drug use? _____ _____ 

16. Have you ever neglected your obligations, your family, or your work for 

two or more days in a row because you were using alcohol or drugs? _____ _____ 

17. Do you ever use alcohol or drugs before noon time? _____ _____ 

18. Have you ever been told you have medical problems with your liver? _____ _____ 

19. Have you ever had withdrawal symptoms, severe shaking, hearing voices, 

and/or seen things that were not there, after using alcohol or drugs? _____ _____ 

20. Have you ever gone to anyone for help about your drug or alcohol use? _____ _____ 

21. Have you ever been in a hospital because of your drug or alcohol use? _____ _____ 

22. Have you ever been in a psychiatric hospital or on a psychiatric ward in a 

general hospital where your drug or alcohol use was part of the problem? _____ _____ 

23. Have you ever seen a mental health care professional, doctor, social 

worker or member of the clergy for help in addressing a mental health 

issue that was or could have been related to your alcohol and/or drug use? _____ _____ 

24. Have you ever been arrested due to your alcohol or drug use? _____ _____

25. Have you ever been arrested for drunk driving? _____ _____ 

26. Have you ever experienced financial difficulties because of your 

alcohol and/or drug use? _____ _____ 

27. Do you ever spend more money on drinking or drug use activities 

than you planned to? _____ _____ 

28. Have you ever lied about your drinking or drug use? _____ _____

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-8 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-6. SAP Client Evaluation (Sheet 3) 

Scoring Key: Substance Abuse Professional Evaluation 

Directions for scoring: Add the point values for all items on which points are earned. 

Classification of client: 0-2 (total score), client uses alcohol/drugs in social situations not 

presenting serious problem, but needs education. 3-5 (total score), client is demonstrating border 

line use, and should have an educational and treatment intervention referral. 6 and above (total 

score), client is demonstrating addictive behavior (past or present), and should be assessed for 

current use and treatment referral. 

 

 YES NO 

 1. _____ __2__ 

 2. __2__ _____ 

 3. __1__ _____ 

 4. ____ __2__ 

 5. __1__ _____ 

 6. _____ __2__ 

 7. __2__ _____ 

 8. _____ __2__ 

 9. __5*∗

_ _____ 

10. __1__ _____ 

11. __2__ _____ 

12. __2__ _____ 

13. __2__ _____

14. __2__ _____

15. __2__ _____ 

16. __2__ _____ 

17. __1__ _____ 

18. __2__ _____ 

19. __5__ _____ 

20. __5__ _____ 

21. __5__ _____ 

22. __2__ _____ 

23. __2__ _____ 

24. __2__ _____

25. __2__ _____ 

26. __2__ _____ 

27. __2__ _____ 

28. __2__ _____ 

 

∗

Discretion may be indicated in scoring this item to account for those who accompanied a family member to the 

meeting. 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-9 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-7. Mandated Individual Treatment Plan6 (Sheet 1) 

 Date: _________________ 

MANDATED INDIVIDUAL TREATMENT PLAN

He/She has indicated by their Signature below, his/her need to participate in the MBTA 

Rehabilitation Program. Be advised that participation at ECS does not exempt the employee

from performing his/her job responsibilities, nor does adherence to this treatment plan

guarantee the employee a Return To Work Agreement or reinstatement to the Authority. 

Self Help Group Meetings: 

Educational Group Meetings: 

Individual Counseling: 

Aftercare Program: 

Other: 

I will participate in the MBTA Rehabilitation Program and agree to Comply with all conditions 

of my treatment plan. 

I understand that an approved Leave of Absence (LOA) for Family Medical Leave Act (FMLA), 

extended illness, or Worker’s Compensation does not preclude my participation in ECS. It is

my responsibility to discuss any absences from group or individual treatment due to illness 

of FMLA with my counselor and the Manager of ECS. 

I UNDERSTAND THAT I WILL BE SUBJECT TO PERIODIC DRUG AND ALCOHOL 

TESTING AT THE AUTHORITY’S DISCRETION. 

______________________________________ ___________________________________ 

Employee Signature Date 

______________________________________ ___________________________________ 

Counselor Signature Date 

 

6

 Massachusetts Bay Transportation Authority (MBTA) 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-10 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-7. Mandated Individual Treatment Plan (Sheet 2) 

RETURN TO WORK SERVICE PLAN 

 __________________ 

 Date 

_____________________________________________________ _______________ 

Name Employee #

Education Group Meetings 

List required meetings ________________________ 

 ________________________ 

 ________________________ 

EAP Group Meetings

List Required Meetings ________________________ 

 ________________________ 

 ________________________ 

Individual Counseling

List Counselor Name or _____________________

Referral source. Also list _____________________

Frequency of counseling required ________________________ 

After Program (for clients being released from an input. treatment program) 

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

Comments: 

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

Client Initials _____________ Counselor Initials _____________ 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-11 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-7. Mandated Individual Treatment Plan (Sheet 3) 

INITIAL SERVICE PLAN 

 ___________________ 

 Date 

_____________________________________________________ ___________________ 

Name Employee #

Education Group Meetings 

List Required Meetings _____________________________ 

 _____________________________ 

 _____________________________

EAP Group Meetings

List Required Meetings _____________________________ 

 _____________________________

 _____________________________ 

Individual Counseling

List Counselor Name or _____________________________

Referral source. Also list _____________________________ 

Frequency of counseling required _________________________________ 

_______________________________________ _______________________________________ 

EAP REPRESENTATIVE Client Signature 

Completed Intake __________________ □

Completed Assessment Group __________________ □

Completed Disease Concept Group __________________ □

Completed Denial Group __________________ □

Completed Self Help Information __________________ □

Completed SAP Evaluation (if needed) __________________ □

Completed MBTA Drug and Alcohol Training __________________ □

Second Review Scheduled ______________________________________ □

Reviewed by _________________________________________ Date: ___________________

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-12 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-7. Mandated Individual Treatment Plan (Sheet 4) 

CONTINUING SERVICE PLAN II

 ___________________ 

 Date 

_____________________________________________________ ___________________ 

Name Employee #

Education Group Meetings 

List Required Meetings _____________________________ 

 _____________________________ 

 _____________________________

EAP Group Meetings

List Required Meetings _____________________________ 

 _____________________________

 _____________________________ 

Individual Counseling

List Counselor Name or _____________________________

Referral source. Also list _____________________________ 

Frequency of counseling required _________________________________ 

_______________________________________ _______________________________________ 

EAP REPRESENTATIVE Client Signature

Completed 1ST Review __________________ □

Completed Job Safety Group __________________ □

Completed Stress and Coping Tech. Group __________________ □

Completed Family Group __________________ □

Completed Road to Recovery __________________ □

Third Review Scheduled __________________ □

Reviewed by ___________________________________________ Date: ______________________

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-13 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-7. Mandated Individual Treatment Plan (Sheet 5) 

CONTINUING SERVICE PLAN III 

 ___________________ 

 Date 

_____________________________________________________ ___________________ 

Name Employee #

Education Group Meetings 

List Required Meetings _____________________________ 

 _____________________________ 

 _____________________________

EAP Group Meetings

List Required Meetings _____________________________ 

 _____________________________

 _____________________________ 

Individual Counseling

List Counselor Name or _____________________________

Referral source. Also list _____________________________ 

Frequency of counseling required _________________________________ 

_______________________________________ _______________________________________ 

EAP REPRESENTATIVE Client Signature

Completed 2nd Review __________________ □

Completed Relapse Prevention Group __________________ □

Completed Aftercare Planning Group __________________ □

Transition Meeting Scheduled __________________ □

Reviewed by ___________________________________________ Date: ______________________

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-14 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-8. SAP Return to Work Evaluation7

Substance Abuse Professional Return to Work Evaluation 

Case # _______________ Employee Identification # _____________ 

Date of Evaluation: ____________________________ 

Substance Abuse Professional:__________________________________________ 

 Print Name

Describe client’s progress with treatment/education plan since being referred for services. What 

goals were achieved? What areas of concern were addressed? Number of groups attended? 

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________ 

Describe client’s attitude and compliance with treatment/educational referral including self-help 

groups, treatment referrals, and aftercare. 

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________ 

Recommendations for Return to Work aftercare treatment/education and follow-up Drug and/or 

Alcohol Testing. 

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________ 

# of Drug Tests 1st year ___ 2nd year___ 3rd year___ 4th year ___ 5th year ____ 

# of Alcohol Tests 1st year ___ 2nd year___ 3rd year___ 4th year ___ 5th year ___

_____________________________________________ __________________ 

Signature and License # Date 

____________________________________________________________________________ 

Mailing Address 

________________________ 

Telephone #

 

7

 Massachusetts Bay Transportation Administration (MBTA) 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-15 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-9. Follow-Up Assessment8

FOLLOW-UP ASSESSMENT 

EMPLOYEE NAME: _____________________________________________ DATE: _______________________

WORK LOCATION: _________________________ SUPERVISOR: ____________________________________

REASON FOR INITIAL ASSESSMENT: __________________________________________________________

DATE OF SPECIFIC VIOLATION: _______________________________________________________________

DATE OF INITIAL ASSESSMENT: ______________________________________________________________

TREATMENT PROVIDER: _____________________________________________________________________

PRIMARY COUNSELOR ___________________________________ PHONE: ____________________________

LEVEL OF CARE:_____________________________________________________________________________

DESCRIPTION OF INITIAL TREATMENT PLAN: __________________________________________________

____________________________________________________________________________________________

INCLUSIVE DATES OF THE TREATMENT PROGRAM: ____________________________________________

DESCRIBE EMPLOYEE’S LEVEL OF PARTICIPATION IN THE TREATMENT PROGRAM: ______________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

PROVIDE CLINICAL CHARACTERIZATION OF EMPLOYEE’S INVOLVEMENT WHILE IN TREATMENT:

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

HAS EMPLOYEE DEVELOPED AN UNDERSTANDING OF THE CONSEQUENCES OF HIS/HER DRUG

AND/OR ALCOHOL USE: YES _______ NO _______

HAS THE EMPLOYEE FULLY DEMONSTRATED SUCCESSFUL COMPLIANCE WITH THE INITIAL 

TREATMENT RECOMMENDATIONS: YES _______ NO _______ IF NO, DESCRIBE:___________________

____________________________________________________________________________________________

____________________________________________________________________________________________

RECOMMENDATIONS FOR FOLLOW-UP TESTING: ______________________________________________

____________________________________________________________________________________________

RECOMMENDATIONS FOR FOLLOW-UP CARE: _________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

____________________________________________________________________________________________

RETURN TO WORK UA/BAT TEST DATE: _______________________________________________________

RETURN TO WORK AGREEMENT SIGNED:______________________________________________________

RETURN TO WORK DATE: ____________________________________________________________________

SUPERVISOR NOTIFIED OF RTW ____________________________________ DATE: ___________________

SAP _________________________________________________________ PHONE: ________________________

 

8

 San Francisco Bay Area Rapid Transit (BART) District 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-16 
Best Practices 

FTA Drug and Alcohol Testing Program 

Figure F-10. Return to Duty Testing Flow Chart9

FTA DRUG & ALCOHOL TESTING PROGRAM

Return to Duty Testing

imen = 

testing 

ional (SAP)

(SAP) 

 

Determination made by Executive Director on advice of Substance Abuse Professional to 

test under FTA Drug and Alcohol Testing Program 

Employee instructed to report for testing 

Employee reports to Lab Employee not

readily available for 

Employee provides specimen Employee fails to 

provide specimen 

Employee Informed

that failure to 

provide spec

REFUSAL =

POSITIVE

Test POSITIVE = 

MAY NOT 

RETURN TO 

WORK 

Test NEGATIVE 

= OK to return to 

work

Employee informed

that failure to provide 

specimen = REFUSAL

= POSITIVE

Employee removed 

from safety-sensitive 

position 

Employee 

removed from

safety-sensitive 

position 

Employee removed 

from safety-sensitive 

position 

Employee instructed 

to contact 

Substance Abuse 

Profess

Employee 

instructed to

contact Substance 

Abuse 

Professional 

Employee instructed to 

contact Substance 

Abuse Professional 

(SAP) 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-17 

9 West Virginia Department of Transportation, Division of Public Transit
Best Practices 

FTA Drug and Alcohol Testing Program 

Appendix F. Example Referral, Evaluation, and Treatment Forms Page F-18 

Figure F-11. Follow-Up Testing Flow Chart10

FTA DRUG & ALCOHOL TESTING PROGRAM 

Follow-up Testing

Employee reports to Lab 

Employee provides specimen Employee fails to 

provide specimen 

Employee Informed

that failure to 

provide spec

REFUSAL =

imen = 

POSITIVE

Employee not

readily available for 

testing 

Test POSITIVE = 

MAY NOT 

RETURN TO 

WORK 

Employee informed

that failure to provide 

specimen = REFUSAL

= POSITIVE

Employee 

removed from

safety-sensitive 

position 

Employee removed 

from safety-sensitive 

position 

Employee instructed 

to contact 

Substance Abuse 

Professional (SAP) 

Employee instructed to 

contact Substance 

Abuse Professional 

(SAP) 

Employee 

instructed to

contact 

Substance Abuse 

Professional 

(SAP) 

Employee removed 

from safety-sensitive 

position 

Test NEGATIVE 

= OK to return to 

work

Employee instructed to report for testing 

 

10 West Virginia Department of Transportation, Division of Public Transit