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

Since applicants are not yet
employees, the definition of a test refusal
for a pre-employment test is limited by
comparison since applicants may have
legitimate reasons for failing to appear.
For example, the individual may choose
another job or decide they no longer want
the position. In these situations, it would
be unfair to qualify the failure to appear as
a test refusal with the subsequent
consequences. In addition, there may be
legitimate circumstances where an
applicant could leave a collection site
before the test actually commences.
Consequently, an applicant refuses a
pre-employment test only if he/she fails to
complete the test once the collection
process has begun (i.e., acceptance of the
collection container). If the applicant
leaves the collection site prior to the
completion of the test, or takes another
action listed above, the applicant has
refused a test with corresponding DOTmandated
consequences. However, if the
applicant leaves the site before the test
begins or does not appear for the preemployment
test, the test is not refused
and there are no DOT consequences.
Additionally, with a pre-employment test
that requires a medical examination for the
Medical Review Officer (MRO)
verification process or when required by
the Designated Employer Representative
(DER), the employee is deemed to have
refused to test only if the medical
examination was conducted following a
contingent offer of employment.
Testing Procedures
The policy must describe the testing
procedures and explain that the procedures
protect the employee and the integrity of
the drug and alcohol testing process,
safeguard the validity of the test results,
and ensure the test results are attributed to
the correct employee.
To meet this requirement, the policy
statement needs only to reference that the
employer will abide by 49 CFR Part 40 as
amended. It does not need to include
detailed discussions of the testing
procedures. By referencing this
information, your policy will be shorter, less
cumbersome, and easier to keep current.
Employers must, however, ensure that the
current version of Part 40 is available for
review by employees when requested.
Employers have taken different
approaches to this requirement. While some
include Part 40 by reference only, others
include greater detail in their policy
statement, or develop procedure handbooks
that supplement their policy (see the Best
Practices manual). Any of these methods is
acceptable as long as the minimum
requirements are addressed.
Consequences of Drug Use and the
Misuse of Alcohol
The policy must contain the
consequences for a safety-sensitive
employee who violates the rule. Violations
occur when an employee:
• has a verified positive drug test
result;
• has a confirmed alcohol
concentration of 0.04 or greater; or
• refuses to submit to a test (see
definition above).
This includes the mandatory requirement
that such a safety-sensitive employee be
removed immediately from his or her
position, and be referred for evaluation by a
substance abuse professional (SAP).
Additionally, the policy must specify the
consequences for a covered employee who
Chapter 4. Policy Development and Communication 4-4 August 2002