Self-Assessment Checklist

FTA Drug and Alcohol Regulation Updates
Issue 16, page 3

Alcohol Testing Procedures

The Department of Transportation Procedures for Transportation Workplace Drug and Alcohol Testing Programs (49CFR Part 40) define the procedures to be used for alcohol testing.  All FTA grantees, subgrantees, and safety-sensitive contractors are required to follow these procedures when conducting alcohol tests under FTA authority.  To assist in clarifying the alcohol test by procedures, the FTA has developed this checklist for use by employers in their individual program assessments.  The checklist includes regulatory rquirements, but should not be construed as the "last word" in regulatory compliance.  The checklist is merely provided for guidance.

ALCOHOL TESTING PROCEDURES

  • Are provisions made to conduct alcohol tests during all days and hours that the transit system employees perform safety-sensitive functions?

    •

  • Is the donor’s ID checked? Is there a procedure in place to confirm the donor’s identity if no ID is presented?

  • Is there a procedure in place for notifying the employer if the employee does not report for the test in a timely manner?

  • Is the initial screen performed by an evidential breath testing device or a non-evidential breath-testing device found on National Highway Traffic Safety Administration (NHTSA) respective conforming product list (GPL)?

  • Is breath specimen for a confirmatory test being collected by a Breath Alcohol Technician (BAT) using an Evidential Breath Testing device (EBT) on the conforming products list?

  • Are procedures in place to ensure that an employee with a breath alcohol concentration (BAC) of 0.04 or greater is not allowed to return to duty and perform a safety-sensitive duty until he/she has been evaluated by an SAP and has passed a return-to-duty test (employer with second chance policies)?

    •

  • Are procedures in place that ensure that employee with BAC of 0.02 or greater but less that 0.04 is removed from duty for eight (8) hours or until a retest shows an alcohol concentration of less than 0.02?

  • Does the alcohol testing site:
  • Provide visual and aural privacy to the individual being tested?
  • Provide security with no unauthorized access at any time when the EBT is unsecured or when testing is occurring?
  • Provide all necessary materials and DOT alcohol testing forms?
  • Is only one test conducted at a time?

  • Is the collection site using the US DOT Alcohol Testing Form.

  • Are procedures in place to ensure that the BAT and the employee complete, sign, and date the alcohol testing form prior to conducting the breath alcohol test?
  • Is the collection site providing copies of the alcohol testing form to the correct individuals?
  • Copy 1: Breath Alcohol Technician/STT
  • Copy 2: Employee
  • Copy 3: Employer
  • Is the EBT operated by a qualified Breath Alcohol Technician (BAT)?
  • Are there procedures in place to ensure that the employer is complying with NHSTA-approved quality assurance plan by ensuring that the external calibration checks of each EBT are performed as described in the manufacturer’s plan?
  • Does the transit agency maintain records of external calibration checks of the EBT and store it in a secure place?
  • Has the transit system made provisions for the use of a back-up EBT for times when the primary EBT is unavailable (e.g., acquire a second EBT, arrange for a loaner, or arrange to use another transit system’s EBT)?
  • If the transit system uses a non-evidential screening device, is it used only for initial alcohol screening tests and is it operated only by a qualified Screen Test Technician?
 Where To Find?.....

49 CFR Part  654, Prevention of Alcohol Misuse in Transit Operation
February 15, 1994
Federal Register Vol. 59
Pages 7532-7571

Amended:
May 10, 1995
Federal Register Vol. 60
Pages 24765-24766
Primary Topic:  Suspension of Pre-employment Alcohol Testing

August 2, 1995
Federal Register Vol. 60
Pages 39618-39620
Primary Topic:  Exemption of Volunteers and  Post-Accident Testing Provision

December 8, 1998
Federal Register Vol. 63
Pages 67612-67613
Primary Topic:  Use of Law Enforcement Post-Accident Test Results

December 14, 1998
Federal Register Vol. 63
Pages 68818-68819
Primary Topic:   Random Alcohol Testing Rate at  10%

January 5, 1999
Federal Register Vol. 64
Pages 425-427
Primary Topic:  Safety-Sensitive Maintenance Functions

Technical Corrections:
March 6, 1995
Federal Register Vol. 60
Pages 12296-12300
Primary Topic:  Corrections and Clarifications



The information presented on this page should be used to update Chapters  8  of the Implementation Guidelines.

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