AUDIT UPDATE

Where To Find?.....

49 CFR Part 655, Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations

August 9, 2001
Federal Register Vol. 66
Pages 41996 - 42036

 
The information presented on this page should be used to update Chapter 2 of the Implementation Guidelines.

     After a six-month hiatus following the publication of Part 655, FTA has resumed its intensive schedule of drug and alcohol program compliance audits. The compliance audit process and questions have been modified to reflect the requirements set forth in 49 CFR Part 655 and the revised DOT drug and alcohol testing procedures defined in 49 CFR Part 40.
     The format of the audits will remain virtually the same as that used for previous audits. A team of three to eight auditors will spend two to four days on-site. The on-site time will be spent conducting a comprehensive review of grantee records, selected safety-sensitive contractor(s) and service agents. A mock collection will be conducted of at least one collection site. Interviews will be conducted with the agency’s drug and alcohol program manager (DAPM), medical review officer (MRO), substance abuse professional (SAP), collection site personnel, and the agency’s third party administrator (TPA), if applicable. The auditors will use a standard list of questions. The revised audit questions will be available on the FTA homepage (http://transit-safety.volpe.dot.gov) by late spring.
     Grantees are initially notified of the audit by a telephone call from the audit team leader whom explains the audit process. The call is followed by a letter from FTA confirming the selection and listing the information that the grantee must send to the audit team prior to the on-site review. The grantee is given two weeks to submit the preliminary information. The on-site portion of the audit will begin seven weeks following the first notification.
     The audit begins with an FTA representative explaining the audit process and introducing the audit team. All agency contractor and service agent personnel with drug and alcohol program responsibilities should be available according to the schedule outlined by the auditors. The agency DAPM should be active in the process and if possible accompany the auditors to the contractor and service agent facilities. The audit team generally completes all on-site questioning and record review within three days. The fourth day the team compiles the report and the final report is provided to the grantee during an exit interview held on the fifth day.
     The final report only lists findings of non-compliance and does not include an acknowledgement or discussion of compliant areas. The auditors will offer suggestions on how to correct deficiencies cited. The grantee is given the opportunity to ask questions regarding the findings for clarification, but the findings are final and not open to negotiation. The grantee is given ninety days to correct the deficiencies and provide supporting documentation. The grantee is responsible for the audit findings and subsequent compliance of all safety-sensitive contractors and service agents.

Re-Audits Underway

     In November 2001, the FTA began re-audits of grantees that had previously undergone an audit. Re-audits are designed to ensure that grantees have successfully put new policies and procedures in place to correct the deficiencies noted in the previous audit. The re-audits are limited in scope and only address the non-compliant issues identified in the original audit. Compliance issues not previously identified are not addressed.
     Grantees selected for a re-audit will be contacted by the audit team leader by telephone and notified of the re-audit process and timeline. An official FTA letter confirming the re-audit will follow. The grantee will be asked to submit documentation to the audit team two weeks from notification. The information that will be requested will vary by site depending on the specific nature of the compliance issues raised in the original audit. The on-site review will be scheduled four weeks from initial notification of the re-audit.
     The on-site review will last approximately three days. The re-audit will address the grantee, safety-sensitive contractors and service agents that were involved in the original audit. The nature and extent of the record review and questions will vary with the nature and extent of the original audit findings. An exit interview will be held on the third day to describe the re-audit findings. The grantee will have forty-five days to implement corrective actions and to provide supporting documentation to FTA.