| By Ginny Clay, Operations Manager
All companies who work in a Department of Transportation Modality (FMCSA, FAA, USCG, FTA, etc.), should expect to have a Drug and Alcohol Audit by that modality at some time in their existence. Some modalities audit every two years, some not quite as often. The key is to always be prepared. It is not that difficult if you can show auditors what you do every day through thorough and consistent documentation and record-keeping.
When your company has been chosen for an audit, the auditor will notify you in advance, they will send you a list of what they will need to see and what they are looking for. They will also schedule a date and time for that audit. All you need to do is prepare.
Your Third Party Administrator can help you with this, but most of it should already be in your records.
Three things an auditor will look for
- Policy – Does your company have a drug and alcohol policy? Is it in line with 49CFR part 40 and the CFR (Code of Federal Regulations) for your modal agency? Has it been given to and signed off on by every employee and every new hire? Are you following that policy for everyone?
- Proper retention of records – Are your files properly maintained? Do you have the employer copy and the results for all your drug tests? Where are they kept? Have you kept your employee lists up with your TPA and notified the TPA when people are terminated?
- Proper reporting of testing – Do you need to file a MIS (Management Information System) report? How do you file it and where do you get the information? Have you sent your employees that are chosen for randoms in a timely manner?
Most modal agencies have an audit checklist that can help you through this process. Just search for the modal agency name and the word “audit” (i.e.: FMCSA Audit checklist).
TSS is also here to help take the guess work out of preparing for an audit. We have developed the Audit-Ready Management System (ARMS). This is a comprehensive package of tools that helps the DER ensure that your workplace drug screening program is always up-to-date and compliant with federal regulations. ARMS provides specific solutions to help the DER or auditor find the needed review items in seconds. It includes guidance on what to fill out and how and where to file documents as well as resources that allow the DER to complete all mandated processes in the most efficient way possible. ARMS saves the DER time, which saves your business money. Learn more here.
Remember, the auditor wants you to be in compliance. If you have issues or things missing, they will work with you and give you a timeline to get things in order. As long as you comply and provide the requested information, you will have a successful audit!
TSS, Inc. is all about compliance and safety. We want to help you keep your company in compliance with the federal rules and regulations. We have classes like Signs and Symptoms for Supervisors, which is a required class for DOT Modal Agencies and the DER (Designated Employer Representative) class that help you understand your roll in the drug and alcohol testing program. Visit our training calendar for a list of upcoming webinars.