Implementation Guidelines - Federal Transit Administration - U.S. ...

All employers must maintain records
that document their FTA testing program’s
policies and procedures. These general
records include the following:
• Current policy statement listing
effective date and the governing
board’s approval (e.g.,
resolution/minutes); employee and
new hire policy receipt
acknowledgements.
• Previous policy statements listing
effective dates and the corresponding
governing board approvals;
employee and new hire policy
receipt acknowledgments.
• Training records documenting
employee training and supervisor
reasonable suspicion training.
Documentation should include
training agendas with major topics,
corresponding time allotments,
instructor, and roster of attendees by
date. If possible, employers should
keep copies of training materials
used. The employer should also
document that employees were
notified of hotline numbers and keep
copies of informational displays and
handout materials with dates of
distribution or display
[§655.71(c)(4)].
• Credentials documenting that each
service agent meets the minimum
requirements for basic knowledge,
qualifications training,
certification/examination, errorcorrection
training, and refresher
training. If the service agents
maintain these records, the employer
should perform and keep documents
of periodic spot checks to ensure that
the minimum requirements are met.
• Log of Evidential Breath Testing
Device external calibration checks
[§40.333].
• Management Information System
annual reports [§655.71(c)(5)].
• Safety-sensitive contractor oversight
documents, including proof of policy
adoption, training, use of qualified
service agents, random selection
process, record keeping, and test
results. A compliance checklist (see
Sample Documentation section at
end of this chapter), and/or periodic
inspection records are useful.
• Random selection process with
documentation of scientific validity
of methodology used. The employer
should also keep documentation of
all random numbers drawn with
explanation for any test not
conducted [§655.71(c)(1)].
Employers may also wish to maintain
documentation explaining why jobs were
designated safety-sensitive positions. This
explanation may also be incorporated into
individual job descriptions.
In addition to the general records, the
employer must keep individual test records
specific to each covered employee. These
records may be kept in alphabetical order by
employee, or by test category. Flow charts
showing document flow for each category of
test are shown in the Sample Documentation
section at the end of this chapter.
• Pre-employment test records should
include documentation that written
notice of the drug test requirement
was given to each applicant, the
DOT Chain of Custody and Control
(CCF) form, and the test result. If
possible, the employer should note
Chapter 10. Administrative Requirements 10-3 August 2002