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§ 655.14 Education and training programs

This training is a one-time requirement.

No, reasonable suspicion training is a one-time requirement.

Employee training records must be maintained for at least two years.

An FTA-produced video that meets the requirements of 49 CFR § 655.14(b)(1) can be found here. Other tools and resources can be found here.

§ 655.15 Policy statement contents

The employer’s policy may reference 49 CFR §40.85 rather than listing the prohibited drugs by name.

No, the employer does not need to change the policy. However, the employer must ensure that the return-to-duty process detailed in Part 40, subpart O is followed for any employee who fails or refuses a DOT test.

§ 655.16 Requirement to disseminate the policy

If the employer’s consequences for failing or refusing a DOT test are stated in the policy, the policy must be updated, approved, and distributed if those consequences are modified.

§ 655.3 Applicability

No. The FMCSA drug and alcohol testing regulation, 49 CFR Part 382, does not apply to employers and their drivers who are required to comply only with the drug and alcohol testing requirements of 49 CFR Part 655. See 49 CFR § 382.103(d)(1).

Yes. The requirements of 49 CFR Part 655 extend to recipients and subrecipients of 49 U.S.C. 5307, 5309, or 5311 funds, as well as their safety-sensitive contractors and subcontractors, regardless of the source of funds for a contract.

§ 655.33 Pre-duty use

An on-call employee in this situation must take a DOT pre-employment alcohol test with an alcohol concentration of less than 0.02 prior to performance of safety-sensitive functions.

§ 655.4 Definitions

Simply holding a CDL does not require inclusion in an FTA drug and alcohol program. Employees are covered only if they perform a safety-sensitive function, which includes: operating revenue service vehicle, even when not in revenue service; operating a non-revenue service vehicle requiring a CDL; controlling dispatch or movement of a revenue service vehicle; maintaining (including repairs, overhaul and rebuilding) a revenue service vehicle or equipment used in revenue service; or carrying a firearm for security purposes.

No. Unless the company official/supervisor/manager also performs one of the safety-sensitive functions defined in
49 CFR § 655.4 as a regular part of their job, they are not covered by 49 CFR Part 655 and are not subject to drug
and alcohol testing under FTA authority.

Yes. Employees are covered if they perform a safety-sensitive function, which includes operating a revenue service vehicle, even when not in revenue service.

FTA drug and alcohol regulations are intended to cover armed security personnel who provide security specifically
for a transit employer, either directly or by contract, and who report to or are supervised by the transit employer.
Police officers who, as part of their normal duties, patrol public transit facilities are not subject to FTA drug and
alcohol regulations.

§ 655.41 Pre-employment drug testing

No. FTA does not require the employer to remove an employee on an extended leave from the random testing pool. However, if the employer chooses to remove the employee from the testing pool, DOT pre-employment testing must be conducted if the employee did not perform safety-sensitive functions and was out of the random testing pool for 90 or more consecutive days.

No. Before performing a pre-employment test under FTA authority, the employer must ensure the employee did not perform any safety sensitive functions and was not in the random selection pool for at least 90 consecutive days. If the employer opts to conduct pre-employment testing in cases where both these criteria have not been met, such tests must be conducted under the employer’s own authority, using non-federal testing forms.

§ 655.42 Pre-employment alcohol testing

No. The employer must treat all covered employees performing safety-sensitive functions the same for the purpose of pre-employment alcohol testing (i.e., you must not test some covered employees and not others).

§ 655.43 Reasonable suspicion testing

No. While the video may alert the employer of an employee’s suspicious behavior, a supervisor or other company official who is trained in detecting the signs and symptoms of drug use and alcohol misuse must make the required observations in person.

Yes. An employer can have a company policy saying that, based on an event (e.g., the finding of reasonable suspicion that leads to an FTA reasonable suspicion test), the employee must immediately stop performing safety sensitive functions pending the test result.

§ 655.44 Post-accident testing

No, testing is required after an occurrence associated with the operation of a public transportation vehicle that meets the definition of an accident, as defined by 49 CFR §655.4. A typical security vehicle is not considered a public transportation vehicle, and therefore, its operator would not be subject to post-accident testing requirements. An exception is if the security vehicle, when operated by the armed security employee, is providing public transportation and is involved in an FTA-defined accident.

FTA recognizes that some employers operate across very large areas and may have operators who are involved in incidents that take place at locations significantly farther away from a supervisor/company official. In these instances, FTA allows the supervisor/company official to make their determination remotely, using the best tools available. This may include discussing the event with the operator, any witnesses, and available law enforcement personnel.

FTA post-accident testing is required after the loss of a human life. Testing is not required after loss of animal life unless the occurrence otherwise meets the definition of an accident, as defined in 49 CFR § 655.4.

No. FTA regulations require a responding supervisor or authorized company official to use the best information available at the time of the decision to order post-accident testing under FTA authority. The information available at the time is what should be considered in the post-accident determination, regardless of what facts may later emerge.

No. Testing is required after an occurrence associated with the operation of a public transportation vehicle that meets the definition of an accident, as defined by 49 CFR §655.4. Since a passenger’s medical emergency is not related to the operation of the vehicle, testing in this situation is prohibited.

No. Damage to side mirrors does not prevent a motor vehicle’s departure from the scene of the accident. Therefore, such damage is not considered disabling damage, as defined in 49 CFR § 655.4.

No. The employer must determine, using the best information available at the time of the decision, if the covered employee’s performance can be completely discounted as a contributing factor to the accident. It is the responsibility of the decision-maker to make this determination, and to determine whether any other covered employee’s performance may have contributed to the accident. It is not compliant to have a policy to never discount an employee’s performance as a contributing factor to an accident.

§ 655.45 Random testing

Yes, you may combine employees covered by different DOT agencies in a random pool, however you must ensure that the random testing rate is at least equal to the highest rate required by each DOT agency.

No. Arrangements must be made in order to ensure testing can be conducted during all days and times when safety-sensitive functions are performed.

No, FTA does not require the employer to remove an employee on an extended leave from the random testing pool. However, if the employee is removed from the testing pool, DOT pre-employment testing must be conducted if the employee did not perform safety-sensitive functions and was out of the random testing pool for 90 or more consecutive days.

Part 655 requires the employer to ensure that the employee ceases to perform all safety-sensitive functions and proceeds to the testing site immediately. It is a best practice to track when the employee arrives at the testing site in order to comply with this requirement.

No, an employee must be tested only during the period in which they are selected. If the employee is unavailable for testing during the entire selection period, the employer must document the reason the test could not be conducted and maintain the file.

No, the selection of employees for random testing must be made by a scientifically valid method, in which each employee has an equal chance of being tested each time selections are made. It is not permitted to excuse an employee selected for random testing because they have already been tested during another selection period.

FTA allows an employee who has not been notified of the requirement to submit for testing to self-refer for treatment. However, once the employee has been directed by the employer to proceed for testing, the employee’s failure to appear for any testing is a refusal to test.

§ 655.62 Referral, evaluation, and treatment

Yes, even with a zero-tolerance policy, you must provide any employee or applicant who violates a DOT drug and alcohol regulation a list of DOT qualified Substance Abuse Professionals. (See 49 CFR § 40.287.) This list must include the contact information for least two qualified SAPs or a SAP referral service. It is not compliant to provide only the name of a single person qualified to act as a SAP.

Yes, applicants who have failed or refused a DOT pre-employment drug or alcohol test must also be given a list of DOT qualified Substance Abuse Professionals. (See 49 CFR § 40.287.) This list must include the contact information for least two qualified SAPs or a SAP referral service. It is not compliant to provide only the name of a single person qualified to act as a SAP.

§ 655.71 Retention of records

It is not required to keep paper records as long as the electronic copies are easily accessible, legible, and formatted and stored in an organized manner.

Employee training records must be maintained for at least two years.

§ 655.72 Reporting of results in a management information system

It is the employer’s responsibility to ensure the accuracy and timeliness of the MIS submission. A Third-Party Administrator (TPA) may prepare the MIS report; however, the individual listed as the “Certifying Official” on the report must be an employee of the company reporting the MIS data. If the data is entered by an individual from the TPA, this individual’s information should be listed in the “Prepared by” fields within the report.

Recipients of FTA funding that are pass-through agencies such as MPOs, county governments, etc. are still required to submit an MIS report annually. In this case, the recipient should submit a “zeroed-out” report to indicate all safety-sensitive functions are contracted out. Recipients must also ensure any subrecipients/contractors performing covered functions also submit an MIS report.

No. This is an employer-based report, so each employer must submit an individual report with only that individual employer’s calendar year data.

An employee who performs multiple safety-sensitive functions should be reported under the employee category in which the employee performs more than 50% of their covered functions.

No. Only tests conducted under FTA authority should be reported.

If necessary, changes can be made to the MIS report for the current reporting year until the database closes, usually around September 1. MIS reports for previous years cannot be modified in the DAMIS online system. If you notice an error on a previous year’s MIS report, document the error and maintain with your copy of the report.

49 CFR § 655.71 requires FTA-covered employers to maintain MIS reports for at least five years. It is necessary to save or print a copy of the submission after completion, as employers cannot access previous years’ MIS reports within the DAMIS online system.