Policy Requirements Checklist

Requirements for a valid Substance Abuse Policy

Designated contact person, board adoption

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

Covered Employees

# Operation of a revenue service vehicle, in or out of revenue service
# Maintaining a revenue service vehicle or equipment used in revenue service
# Controlling dispatch/movement of a revenue service vehicle (determined by employer)
# Operation of a non-revenue vehicle requiring a CDL
# Volunteers:

  1. Must have CDL to drive vehicle, or
  2. Remunerated for service in excess of costs incurred

# Carrying a firearm for security purposes
*The policy must include a list of the actual positions/categories covered at your company

Prohibited Substances

# Marijuana
# Cocaine
# Amphetamines
# Opiates
# Phencyclidine
# Alcohol

Prohibited behavior

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


# Negative test before 1st safety-sensitive duty, must be made up if canceled
# If out of safety-sensitive duty for 90+ days, and out of random testing pool, emp needs DOT pre-employment test with negative result prior to returning to covered duty
# Applicant who previously failed/refused a DOT test must show evidence of treatment
# If employer chooses to require alcohol test:

  1. pre- SS duty,
  2. all covered employees
  3. after offer of employment/transfer
  4. must follow Part 40 regulations
  5. BAC < 0.02


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


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

Reasonable suspicion

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

Return-to-duty and Follow-up

# Conducted in accordance with Part 40, subpart O
# All tests conducted under direct observation


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

Requirement to Submit

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

Period of Coverage

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

Test Refusal

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

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


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

Additional Employer Provisions Allowed

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

Compliance Tips

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