Run FTA Drug and Alcohol Testing Compliance Audit — Free

Audit Scope and Program Setup

Audit period and agency scope documented

Record the audit period, transit service types covered, and the departments or subsidiaries included in scope.

Current drug and alcohol program owner identified

Identify the responsible program manager, designated employer representative, or compliance owner.

Reference documents available for review

Select the documents reviewed during the audit.

Note (optional)

Written Policy and Employee Notice

Written policy references FTA 49 CFR Part 655 critical (required)

Policy explicitly cites the applicable FTA drug and alcohol testing requirements.

Yes No N/A

Policy includes prohibited conduct, testing triggers, and consequences critical (required)

Policy addresses prohibited drug and alcohol use, required testing circumstances, and disciplinary or removal consequences.

Yes No N/A

Employee notice and acknowledgment process documented

Agency can show how covered employees receive the policy and acknowledge receipt.

Yes No N/A

Policy revision date is current and controlled

Record the most recent policy revision or effective date and verify version control.

Note (optional)

Covered Employee Roster and Testing Pools

Covered employee roster is current and complete critical (required)

Roster includes all safety-sensitive employees subject to FTA testing and excludes non-covered staff.

Yes No N/A

Random testing pools are maintained separately for drug and alcohol testing critical (required)

Pools are organized so random selections can be administered according to the applicable testing categories.

Yes No N/A

Pool updates reflect hires, transfers, leaves, and terminations

Evidence shows timely updates when employees enter or leave safety-sensitive status.

Yes No N/A

Random selection records retained for the audit period

Agency can produce selection reports, notification records, and completion evidence for the review period.

Yes No N/A

Testing Operations and Chain of Custody

Collection process uses approved procedures and qualified collectors critical (required)

Collection records show use of proper procedures and trained personnel for drug and alcohol testing events.

Yes No N/A

Chain-of-custody documentation is complete and traceable critical (required)

Forms and records support specimen integrity from collection through laboratory or testing vendor receipt.

Yes No N/A

Positive, refusal, and other non-negative results are documented and acted upon critical (required)

Agency can show timely removal-from-duty, referral, or other required response steps.

Yes No N/A

Testing vendor and medical review processes are defined

Third-party roles, result review, and notification responsibilities are documented and understood.

Yes No N/A

Training, Supervisor Readiness, and Records

Supervisors receive reasonable suspicion training as required critical (required)

Training records show supervisors who make reasonable suspicion determinations are current.

Yes No N/A

Employee education and awareness materials are available

The agency provides training or awareness materials covering policy expectations and reporting obligations.

Yes No N/A

Records retention process supports audit retrieval

Testing, training, and policy records can be retrieved promptly for the audit period.

Yes No N/A

Record storage protects confidentiality and access control

Sensitive records are stored with appropriate access restrictions and confidentiality safeguards.

Yes No N/A

MIS Reporting and Annual Certification Readiness

Most recent MIS report is complete and submitted on time critical (required)

The latest annual MIS submission is available and shows timely filing.

Yes No N/A

MIS data matches source records critical (required)

Reported counts for covered employees, tests, positives, refusals, and other required metrics reconcile to source documentation.

Yes No N/A

Annual certification readiness issues identified

Select any issues that could affect annual certification readiness.

Note (optional)

Corrective action plan assigned for findings

Any deficiencies identified during the audit have an owner, due date, and follow-up plan.

Yes No N/A

Findings, Corrective Actions, and Inspector Sign-Off

Summary of deficiencies and non-conformances

Summarize all findings, including critical items, root causes, and affected program areas.

Corrective action owner and due date

List the responsible owner and target completion date for each corrective action.

Inspector signature critical (required)

Inspector confirms the audit results are accurate and complete.

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Run: FTA Drug and Alcohol Testing Compliance Audit

Audit Scope and Program Setup

Written Policy and Employee Notice

Covered Employee Roster and Testing Pools

Testing Operations and Chain of Custody

Training, Supervisor Readiness, and Records

MIS Reporting and Annual Certification Readiness

Findings, Corrective Actions, and Inspector Sign-Off

Get your results