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

Notification of audit
Requested material
sent to FTA and
audit team
Grantee/Subrecipient
/Contractor prepares
for audit
Audit
Grantee/Subrecipient
/Contractor takes
corrective action
Documentation of
corrective action due
Audit Time Line
Weeks from Initial Notification
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22
Section 2. AUDIT PROCESS
The process begins with a phone call
from the audit team leader to your DAPM
notifying him/her of your agency’s selection
and explaining the audit process. This call
is followed with a letter from FTA
confirming your selection. This letter will
request that the DAPM send various
materials documenting your drug and
alcohol testing program to the audit team
within 2 weeks of receiving the letter, and
prior to the team’s arrival. Electronic (.xls
or .mdb) and hard copy versions are
requested, if possible. Examples of
information FTA will request are as follows:
• The name, address, and phone
number of the contact person for
the visit.
• Directions on how to get to the
main transit agency from the
nearest interstate or primary
roadway.
• The address of each operating
terminal and directions on how to
get to each of them from the
main facility.
• An organization chart.
• A complete copy of the current
Drug and Alcohol Policy
Statement, Procedures Manual,
and Notice of Availability to
employees.
• The current number of covered
employees by safety-sensitive
function.
• A table showing the hours and
days (including weekends and
holidays) during which safetysensitive
functions (including
vehicle maintenance) are
performed.
• A list of all new hires with hire
date or the date a person began
performing safety-sensitive
functions (if different from the
hire date) for the previous 12month
period. Include all
employees hired and
subsequently terminated during
the previous 12-month period.
Chapter 14. Administrative Requirements 14-3 August 2002