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FAA Drug & Alcohol Testing Program Audit

14 Nov 2016

...What do You Need for your FAA AUDIT?  

FAA Drug & Alcohol Testing Program Audit

First off you will get a letter announcing the audit, please contact National Drug Screening at 866-843-4545 immediately once you receive the letter so we can assist.  The letter will announce the following: 

The Federal Aviation Administration (FAA) will be conducting an inspection of your company’s drug and alcohol testing programs beginning on this date. The purpose of this inspection is to determine whether your company's drug and alcohol testing programs comply with 49 CFR part 40 and 14 CFR part 120. 

What do You Need for your FAA Audit? 

RECORDS/DOCUMENTS NECESSARY FOR INSPECTION

To facilitate the inspection, please be prepared to discuss your DOT/FAA mandated Drug and Alcohol Testing Program and have the following records available for review during the inspection. 

NOTE: Some items on this list are required only if those events have occurred or if that practice is followed. Other documents listed may not be required by regulation, but if available, will assist our inspection of your program. 

1. A list of all current and terminated employees hired and/or transferred into safety-sensitive positions in the past 24 months. Please include the employee’s name, hire and/or date of transfer into a safety-sensitive function, and termination date (if applicable).

2. Provide the following documentation for each employee listed:

  • Personnel action form, payroll record, or other document indicating the effective date of hire or transfer
  • Employment application and/or resume
  • Pre-employment drug testing custody and control forms and the corresponding verified test results
  • Pre-employment alcohol testing forms (if alcohol testing was conducted) with results

3. Be prepared to provide the following documentation for each employee listed in:

  • Job descriptions
  • Documentation of the first time the employee performed a safety-sensitive function.

4. All requests for drug and alcohol testing information sent to previous employers in the last 24 months, including documentation of any attempts to obtain the information from previous employers.

5. Documentation of drug and alcohol testing information you released to other DOT regulated employers within the past 24 months.

6. Be prepared to provide proof of performance for safety-sensitive employees, for example:

  • flight attendant duty records
  • pilot flight logs
  • duty timesheets
  • maintenance records with stamp identification list
  • air tour flight records
  • work orders
  • invoices/receipts

7. A complete list of all employees added to the random testing pool in the last 24 months. Please include the employee’s name, job title, date added to the pool and date removed (if terminated).

8. All random test records conducted in the last 24 months, specifically:

  • All Federal Custody and Control Forms for random drug tests conducted and verified drug test results
  • All DOT Alcohol Testing Forms for random alcohol tests conducted and alcohol results
  • All random selection lists indicating names of employees who were selected each testing cycle. If a selected employee was not tested, include the explanation and/or supporting documentation indicating why.

9. A list of contractors/vendors providing safety-sensitive functions by contract. Include evidence of drug and alcohol program compliance, for example, a copy of the contractor’s program registration or drug and alcohol paragraph A449 from its Operations Specifications.

10. All post-accident drug and alcohol tests conducted in the last 24 months, including:

  • Federal Drug Testing Custody and Control Forms (if drug test was conducted) and verified drug test results
  • Alcohol Testing Forms (if alcohol test was conducted) and results
  • Documentation of the accident
  • Documentation of why the test was not conducted, if applicable

11. Documentation of reasonable cause/reasonable suspicion testing, including:

  • Federal Drug Testing Custody and Control Forms (if drug test was conducted) and verified drug test results
  • Alcohol Testing Forms (if alcohol test was conducted) and results
  • Documentation of signs/symptoms to validate the reason for testing, if prepared
  • Documentation of training for supervisor(s) involved in the decision to test

12. All records related to verified positive drug test results for the last 60 months to include:

  • Federal Drug Testing Custody and Control Forms and verified drug test results
  • Documentation of removal from safety-sensitive position
  • Notification to the Federal Air Surgeon, if applicable
  • Substance Abuse Professional (SAP) referrals after all verified drug positives
  • If returned to duty: All related documents indicating that return-to-duty requirements were followed (including all SAP evaluation reports and SAP certification); return-to-duty and follow-up testing documentation including results

13. All records related to confirmed alcohol tests with results equal to or greater than 0.02 for the last 60 months to include:

  • DOT Alcohol Testing Forms and results
  • Documentation of removal from safety sensitive functions
  • Notification to the Federal Air Surgeon, if applicable
  • Substance Abuse Professional referrals after all alcohol violations
  • If returned to duty: All related documents indicating that return-to-duty requirements were followed (including all SAP evaluation reports and SAP certification); return-to-duty and follow-up testing documentation including results

14. Refusals to submit to drug and/or alcohol testing for the last 60 months including:

  • Federal Drug Testing Custody and Control Forms and verified results, if applicable
  • Alcohol Testing Forms, if applicable
  • Documentation of removal from safety-sensitive position
  • Notification to the FAA of refusal by a part 61, 63, 65, 67 certificate holder, if applicable
  • Substance Abuse Professional (SAP) referrals after all refusal determinations
  • If returned to duty: All related documents indicating that return-to-duty requirements were followed (including all SAP evaluation reports and SAP certification); return-to-duty and follow-up testing documentation including results

15. Documentation of drug and alcohol information distributed to employees, including company policy; hotline telephone number(s); drug informational materials; and alcohol misuse prevention policy.

16. All training attendance rosters/certificates and materials that are used for the following:

  • Initial employee drug training
  • Reasonable cause/suspicion training given to individuals who will make testing determinations
  • Recurrent training

17. Verification of Blind Specimen Testing for companies with 2000 or more covered employees, if applicable.

18. Semi-annual laboratory statistical summaries for the previous 2 years.

19. Drug and alcohol testing Management Information System (MIS) Reports for the previous 2 calendar years, if applicable.

20. Copy of the current certification for all MRO’s.

Additionally you will need to provide the following information:

  • Designated Employer Representative/Program Manager: (This is your company representative responsible for answering questions relating to the DOT/FAA drug and alcohol testing program.) 
  • Primary Specimen Collection Site: 
  • Primary Alcohol Testing Site: 
  • Medical Review Officer (MRO): 
  • Substance Abuse Professional (SAP) 
  • Training and Education Records: (This is your company representative responsible for providing training to new employees and/or supervisors, and the materials provided.) 
  • Recordkeeping & Reporting: (This is your company representative responsible for maintaining and securing the testing documentation.) 

Please contact National Drug Screening at 866-843-4545 immediately once you receive the FAA audit letter so we can assist.