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

Each auditor will discuss the portion of
the audit that he/she completed. The auditor
will also offer suggestions as to how
deficiencies can be corrected. You will be
given the opportunity to ask questions
regarding the findings, however, they will
not be negotiated. You will then be given
90 days to correct the deficiencies and
submit a response with appropriate
supporting documentation demonstrating the
corrective action taken. The audit report and
exit letter will explain the type of
documentation needed in the audit response.
You are responsible for the audit findings
and subsequent compliance of your safetysensitive
contractors and service agents.
It is imperative that all
grantees/subrecipients, their safety-sensitive
contractors, and service agents understand
the nature, extent, and seriousness of the
audit process and prepare accordingly. If
you do not take action to comply, you may
jeopardize your agency’s current and future
FTA funding. You are encouraged to assess
the extent of your program’s compliance
with the drug and alcohol testing regulations
and take corrective action in anticipation of
an audit rather than in response to one.
Section 5. RE-AUDITS
In November 2001, the FTA began reaudits
of systems that had previously been
audited. Re-audits are designed to ensure
that grantees/subrecipients have successfully
implemented policies and procedures to
correct the deficiencies identified in the
previous audit. The re-audit will address the
grantee, safety-sensitive contractors and
service agents who were involved in the
original audit. The re-audits are limited in
scope and only address the non-compliant
issues identified in the original audit.
Grantees selected for a re-audit will be
contacted by the audit team leader by
telephone and notified of the process and
time line. An official FTA letter confirming
the re-audit will follow. You will be asked
to submit documentation to the audit team 2
weeks from notification. The requested
information will be similar to that made for
the initial audit request. The information
will vary by site depending on the specific
nature of the compliance issues raised in the
original audit.
In addition, you may be asked to have
the following items available for the audit
team during the on-site portion of the audit.
• A visitor pass for each
auditor or escort to allow
them to move throughout
the facility.
• A lockable office with
workspace and power
outlets to support the team.
• Access to a photocopy
machine.
• An opportunity to talk with
the MRO, SAP, C/TPA,
BAT, STT, urine specimen
collectors, and management
representatives at the
collection site.
• Documentation that
employees testing positive
Chapter 14. Administrative Requirements 14-15 August 2002