Date:

Operator's IOCS ID

Inspection Unit's IOCS ID

Operator Evaluated

Name and Title of Company Official

Address

Telephone No.

Location of Inspection

Person(s) Interviewed

Inspector's Name

Type of Facility: \_\_\_ Gas Transmission Pipeline \_\_\_ Hazardous
Liquid Pipeline

\_\_\_ Gas Distribution System \_\_\_ Liquefied Natural Gas

**[Alcohol Misuse Plan and Policy developed by]{.underline}: [Alcohol
Misuse Testing Program administered by]{.underline}:**

\_\_\_\_\_\_ Operator \_\_\_\_\_\_ Operator

\_\_\_\_\_\_ Contractor \_\_\_\_\_\_ Contractor

\_\_\_\_\_\_ Consortium \_\_\_\_\_\_ Consortium

**[Contractor records maintained by]{.underline}: [Specimen collection
conducted by]{.underline}:**

\_\_\_\_\_\_ Operator \_\_\_\_\_\_ Operator Personnel On-Site

\_\_\_\_\_\_ Contractor \_\_\_\_\_\_ Operator Personnel Off-Site

\_\_\_\_\_\_ Consortium \_\_\_\_\_\_ Contractor Personnel On-Site

\_\_\_\_\_\_ Contractor Personnel Off-Site

+----------------------+-------------------------+--------------------+
| §199.202 Alcohol     |                         |                    |
| misuse plan          |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator       |                    |
|                      | maintain and follow a   |                    |
| §199.202             | written Alcohol Misuse  |                    |
|                      | Prevention Plan (AMPP)? |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the AMPP contain:  |                    |
| §199.202             |                         |                    |
|                      | Provisions for          |                    |
| ** YES  NO  N/A** | notifying employees of  |                    |
|                      | procedures and methods  |                    |
| §199.202             | for compliance with     |                    |
|                      | Part 199?               |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | List of supervisor      |                    |
| §199.202             | positions receiving     |                    |
|                      | alcohol training?       |                    |
|                      |                         |                    |
|                      | Provisions that include |                    |
|                      | types of testing,       |                    |
|                      | recordkeeping,          |                    |
|                      | reporting, education    |                    |
|                      | and training elements?  |                    |
+----------------------+-------------------------+--------------------+
| §199.203 Alcohol     |                         |                    |
| testing procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan contain   | Note:              |
|                      | procedures for          | Clarification of   |
| §199.203             | conducting alcohol      | company policy vs. |
|                      | tests in accordance     | DOT requirements.  |
|                      | with 49 CFR Part 40?    | Company policy     |
|                      |                         | should be          |
|                      |                         | identified by      |
|                      |                         | using bold and     |
|                      |                         | underlined type.   |
+----------------------+-------------------------+--------------------+
| §199.205 Definitions |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Is sufficient           | Plan should        |
|                      | terminology contained   | contain            |
| §199.205             | in the Alcohol Misuse   | definitions for    |
|                      | Prevention Plan?        | accident, alcohol, |
|                      |                         | confirmation test, |
|                      |                         | covered employee,  |
|                      |                         | covered function,  |
|                      |                         | screening test,    |
|                      |                         | etc.               |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.207 Preemption  |                         |                    |
| of State and local   |                         |                    |
| laws                 |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan address   | Alcohol rule       |
|                      | the preemption criteria | preempts any state |
| §199.207             | and exceptions?         | or local law,      |
|                      |                         | unless compliance  |
|                      |                         | with both is not   |
|                      |                         | possible.          |
+----------------------+-------------------------+--------------------+
| §199.209 Other       |                         |                    |
| requirements imposed |                         |                    |
| by operators         |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan address   |                    |
|                      | authority of operator   |                    |
| §199.209             | or rights of employee   |                    |
|                      | with regard to use or   |                    |
|                      | possession of alcohol   |                    |
|                      | or rehabilitation?      |                    |
+----------------------+-------------------------+--------------------+
| §199.211 Requirement |                         |                    |
| for notice           |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | Plan must contain  |
|                      | operator's procedures   | specific details   |
| §199.211             | for notification to     | on how this is     |
|                      | employees prior to      | accomplished and   |
| ** YES  NO  N/A** | conducting alcohol      | what information   |
|                      | testing?                | is provided to     |
| §199.211             |                         | employees.         |
|                      | Does the plan clearly   |                    |
|                      | delineate under what    |                    |
|                      | authority the alcohol   |                    |
|                      | testing is being        |                    |
|                      | conducted?              |                    |
+----------------------+-------------------------+--------------------+
| §199.213 Starting    |                         |                    |
| date for alcohol     |                         |                    |
| testing programs     |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | Large operators    |
|                      | the starting date for   | (more than 50      |
| §199.213             | the Alcohol Testing     | covered employees) |
|                      | Program?                | implement on       |
|                      |                         | January 1, 1995.   |
|                      |                         | Small operators    |
|                      |                         | (50 or fewer       |
|                      |                         | covered employees) |
|                      |                         | implement on       |
|                      |                         | January 1, 1996.   |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.215 Alcohol     |                         |                    |
| concentration        |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that no employee may    |                    |
| §199.215             | report for duty or      |                    |
|                      | remain on duty with an  |                    |
| ** YES  NO  N/A** | alcohol concentration   |                    |
|                      | of 0.04 or greater?     |                    |
| §199.215             |                         |                    |
|                      | Does the plan specify   |                    |
|                      | what actions will occur |                    |
|                      | should the operator     |                    |
|                      | have actual knowledge   |                    |
|                      | that an employee has an |                    |
|                      | alcohol concentration   |                    |
|                      | of 0.04 or greater?     |                    |
+----------------------+-------------------------+--------------------+
| §199.217 On-duty use |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that on-duty use of     |                    |
| §199.217             | alcohol is prohibited?  |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that no employee may be |                    |
| §199.217             | allowed to perform or   |                    |
|                      | continue to perform a   |                    |
|                      | covered function, if an |                    |
|                      | employee has used       |                    |
|                      | alcohol while on-duty?  |                    |
+----------------------+-------------------------+--------------------+
| §199.219 Pre-duty    |                         |                    |
| use                  |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan contain   |                    |
|                      | provisions that         |                    |
| §199.219             | prohibit the use of an  |                    |
|                      | employee who has used   |                    |
|                      | alcohol within 4 hours  |                    |
|                      | of reporting for duty?  |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.219 Pre-duty    |                         |                    |
| use                  |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan address   |                    |
|                      | that an employee who    |                    |
| §199.219             | has been notified to    |                    |
|                      | respond to an emergency |                    |
| ** YES  NO  N/A** | must not use alcohol    |                    |
|                      | once notified to        |                    |
| §199.219             | report?                 |                    |
|                      |                         |                    |
|                      | Does the plan address   |                    |
|                      | that an operator who    |                    |
|                      | has actual knowledge    |                    |
|                      | that an employee has    |                    |
|                      | used alcohol, once      |                    |
|                      | being notified to       |                    |
|                      | respond to an emergency |                    |
|                      | shall not allow the     |                    |
|                      | employee to perform     |                    |
|                      | covered functions?      |                    |
+----------------------+-------------------------+--------------------+
| §199.221 Use         |                         |                    |
| following an         |                         |                    |
| accident             |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator's     |                    |
|                      | plan provide that an    |                    |
| §199.221             | employee shall be       |                    |
|                      | prohibited from using   |                    |
| ** YES  NO  N/A** | alcohol following an    |                    |
|                      | accident, in which the  |                    |
| §199.221             | employee's action       |                    |
|                      | contributed or cannot   |                    |
|                      | be completely           |                    |
|                      | discounted?             |                    |
|                      |                         |                    |
|                      | Does the plan require   |                    |
|                      | that an employee may    |                    |
|                      | not use alcohol for up  |                    |
|                      | to 8 hours following an |                    |
|                      | accident or until a     |                    |
|                      | test has been           |                    |
|                      | administered?           |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.223 Refusal to  |                         |                    |
| submit to a required |                         |                    |
| alcohol test         |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan prohibit  |                    |
|                      | an employee's refusal   |                    |
| §199.223             | to submit to a          |                    |
|                      | post-accident test?     |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan prohibit  |                    |
| §199.223             | an employee's refusal   |                    |
|                      | to submit to a          |                    |
| ** YES  NO  N/A** | reasonable suspicion    |                    |
|                      | test?                   |                    |
| §199.223             |                         |                    |
|                      | Does the plan prohibit  |                    |
| ** YES  NO  N/A** | an employee's refusal   |                    |
|                      | to submit to a          |                    |
| §199.223             | follow-up test?         |                    |
|                      |                         |                    |
|                      | Does the plan address   |                    |
|                      | that an employee's      |                    |
|                      | refusal to submit to a  |                    |
|                      | test shall result in    |                    |
|                      | that employee not being |                    |
|                      | permitted to perform or |                    |
|                      | continue to perform     |                    |
|                      | covered functions?      |                    |
+----------------------+-------------------------+--------------------+
| §199.225 Alcohol     |                         |                    |
| tests required       |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator's     |                    |
|                      | plan provide for the    |                    |
| §199.225             | following:              |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | **Post-Accident**       |                    |
|                      |                         |                    |
| §199.225(a)          | Does the plan specify   |                    |
|                      | alcohol testing for     |                    |
| ** YES  NO  N/A** | post-accident and       |                    |
|                      | address the following:  |                    |
| §199.225(a)(1)       |                         |                    |
|                      | 1\. The operator shall  |                    |
|                      | conduct the testing as  |                    |
|                      | soon as practicable.    |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.225 Alcohol     |                         |                    |
| tests required       |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | 2\. Each surviving      | This determination |
|                      | covered employee shall  | should be based on |
| §199.225(a)(1)       | be tested if an         | the best available |
|                      | employee's performance  | information at the |
| ** YES  NO  N/A** | either contributed or   | time of the        |
|                      | cannot be completely    | accident.          |
| §199.225(a)(1)       | discounted.             |                    |
|                      |                         | The operator may   |
| ** YES  NO  N/A** | 3\. The decision not to | attempt to test up |
|                      | administer a test must  | to 8 hours after   |
| §199.225(a)(2)       | be based on the         | which time all     |
|                      | operator's              | attempts must      |
| ** YES  NO  N/A** | determination that the  | cease.             |
|                      | covered employee's      |                    |
| §199.225(a)(2)       | performance could not   |                    |
|                      | have contributed to the |                    |
| ** YES  NO  N/A** | accident.               |                    |
|                      |                         |                    |
| §199.225(a)(2)       | 4\. Is the test         |                    |
|                      | conducted within 2      |                    |
| ** YES  NO  N/A** | hours?                  |                    |
|                      |                         |                    |
| §199.225(a)(2)       | 5\. If test was not     |                    |
|                      | conducted within 2      |                    |
| ** YES  NO  N/A** | hours, does the         |                    |
|                      | operator prepare and    |                    |
| §199.225(a)(3)       | maintain a record       |                    |
|                      | stating why the test    |                    |
|                      | was not administered.   |                    |
|                      |                         |                    |
|                      | 6\. Does the operator   |                    |
|                      | attempt testing up to 8 |                    |
|                      | hours following an      |                    |
|                      | accident?               |                    |
|                      |                         |                    |
|                      | 7\. Is a record         |                    |
|                      | prepared and maintained |                    |
|                      | as to why a test was    |                    |
|                      | not administered within |                    |
|                      | 8 hours?                |                    |
|                      |                         |                    |
|                      | 8\. The plan must state |                    |
|                      | the employee shall      |                    |
|                      | remain readily          |                    |
|                      | available until a       |                    |
|                      | post-accident test is   |                    |
|                      | conducted.              |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.225 Alcohol     |                         |                    |
| tests required       |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | Note: No operator  |
|                      | that failure to remain  | shall delay        |
| §199.225(a)(3)       | readily available will  | medical treatment  |
|                      | be deemed as a refusal  | or delay emergency |
| ** YES  NO  N/A** | to test?                | response pending   |
|                      |                         | an alcohol test.   |
| §199.225(a)(3)       | Does the plan address   |                    |
|                      | provisions regarding    |                    |
| ** YES  NO  N/A** | the need for medical    |                    |
|                      | attention?              |                    |
| §199.225(a)(3)       |                         |                    |
|                      | Does the plan provide   |                    |
|                      | provisions regarding    |                    |
|                      | the need to leave an    |                    |
|                      | accident scene to       |                    |
|                      | obtain assistance in    |                    |
|                      | responding to the       |                    |
|                      | accident?               |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | **Reasonable            | Note: The          |
|                      | Suspicion**             | supervisor who     |
| §199.225(b)          |                         | makes the          |
|                      | Does the operator's     | determination of   |
| ** YES  NO  N/A** | plan provide provisions | reasonable         |
|                      | for conducting          | suspicion shall    |
| §199.225(b)(1)       | reasonable suspicion    | not conduct the    |
|                      | testing?                | breath alcohol     |
| ** YES  NO  N/A** |                         | test on that       |
|                      | Does the plan specify   | employee.          |
| §199.225(b)(2)       | reasonable suspicion    |                    |
|                      | alcohol testing and     |                    |
| ** YES  NO  N/A** | address the following   |                    |
|                      | elements:               |                    |
| §199.225(b)(1)       |                         |                    |
|                      | 1\. Decisions to test   |                    |
|                      | shall be based on       |                    |
|                      | specific                |                    |
|                      | contemporaneous,        |                    |
|                      | articulable             |                    |
|                      | observations            |                    |
|                      | concern-ing the         |                    |
|                      | appearance, behavior,   |                    |
|                      | speech or body odor of  |                    |
|                      | the employee.           |                    |
|                      |                         |                    |
|                      | 2\. The observations    |                    |
|                      | shall be made by one    |                    |
|                      | supervisor trained in   |                    |
|                      | detecting symptoms of   |                    |
|                      | alcohol misuse and must |                    |
|                      | be documented.          |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.225 Alcohol     |                         |                    |
| tests required       |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | 3\. Does the plan       | Note: If test in   |
|                      | authorize testing only  | not conducted      |
| §199.225(b)(3)       | when observations are   | within 2 hours,    |
|                      | made during, just       | operator must      |
| ** YES  NO  N/A** | before or just after    | document reason.   |
|                      | performing covered      |                    |
| §199.225(b)(4)(i)    | functions?              | The operator may   |
|                      |                         | attempt to test up |
| ** YES  NO  N/A** | 4\. Is the test         | to 8 hours after   |
|                      | conducted within 2      | which time all     |
| §199.225(b)(4)(i)    | hours?                  | attempts must      |
|                      |                         | cease.             |
| ** YES  NO  N/A** | 5\. If test was not     |                    |
|                      | conducted within 2      |                    |
| §199.225(b)(4)(i)    | hours, does operator    |                    |
|                      | prepare and maintain a  |                    |
| ** YES  NO  N/A** | record stating why the  |                    |
|                      | test was not            |                    |
| §199.225(b)(4)(i)    | administered?           |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | 6\. Does the operator   |                    |
|                      | attempt testing up to 8 |                    |
| §199.225(b)(4)(ii)   | hours?                  |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | 7\. Is a record         |                    |
|                      | prepared and maintained |                    |
| §199.225(b)(4)(ii)   | as to why a test was    |                    |
|                      | not administered?       |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | that an employee may    |                    |
|                      | not perform or continue |                    |
|                      | to perform under the    |                    |
|                      | influence or be         |                    |
|                      | impaired by alcohol     |                    |
|                      | until:                  |                    |
|                      |                         |                    |
|                      | 1\. An alcohol test is  |                    |
|                      | administered with       |                    |
|                      | alcohol concentration   |                    |
|                      | of less than 0.02.      |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.225 Alcohol     |                         |                    |
| tests required       |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | 2\. The start of        | Note:              |
|                      | employee's next regular | Clarification of   |
| §199.225(b)(4)(ii)   | shift, but not less     | company policy vs. |
|                      | than 8 hours following  | DOT requirements.  |
| ** YES  NO  N/A** | determination to test.  | Company policy     |
|                      |                         | should be          |
| §199.225(b)(4)(iii)  | Does the plan stipulate | identified by      |
|                      | that no action be taken | using bold and     |
| ** YES  NO  N/A** | by the operator against | underlined type.   |
|                      | an employee based       |                    |
| §199.225(b)(4)(iii)  | solely on employee's    |                    |
|                      | behavior and appearance |                    |
|                      | in absence of a DOT     |                    |
|                      | alcohol test?           |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | any independent         |                    |
|                      | authority imposed by    |                    |
|                      | the operator?           |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | **Return-to-Duty**      |                    |
|                      |                         |                    |
| §199.225(c)          | Does the plan specify   |                    |
|                      | return-to-duty          |                    |
| ** YES  NO  N/A** | provisions?             |                    |
|                      |                         |                    |
| §199.225(c)          | Does the plan specify   |                    |
|                      | prohibited conduct?     |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan specify   |                    |
| §199.225(c)          | the employee be         |                    |
|                      | administered a          |                    |
| ** YES  NO  N/A** | return-to-duty alcohol  |                    |
|                      | test?                   |                    |
| §199.225(c)          |                         |                    |
|                      | Does the plan indicate  |                    |
|                      | that an employee must   |                    |
|                      | have a return-to-duty   |                    |
|                      | test with an alcohol    |                    |
|                      | concentration below     |                    |
|                      | 0.02?                   |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.225 Alcohol     |                         |                    |
| tests required       |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | **Follow-Up Tests**     | Assistance         |
|                      |                         | includes resolving |
| §199.225(d)          | Does the plan specify   | problems           |
|                      | follow-up testing       | associated with    |
| ** YES  NO  N/A** | provisions to include:  | alcohol misuse.    |
|                      |                         |                    |
| §199.225(d)(1)       | 1\. Employees requiring |                    |
|                      | assistance shall be     |                    |
| ** YES  NO  N/A** | subject to follow-up    |                    |
|                      | testing.                |                    |
| §199.225(d)(1)       |                         |                    |
|                      | 2\. Employees shall be  |                    |
| ** YES  NO  N/A** | subject to testing in   |                    |
|                      | accordance with SAP     |                    |
| §199.225(d)(2)       | determination.          |                    |
|                      |                         |                    |
|                      | 3\. Testing shall be    |                    |
|                      | conducted just before   |                    |
|                      | the employee is to      |                    |
|                      | perform; while an       |                    |
|                      | employee is performing; |                    |
|                      | or just after the       |                    |
|                      | employee has ceased     |                    |
|                      | performing a covered    |                    |
|                      | function.               |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | **Retesting**           |                    |
|                      |                         |                    |
| §199.225(e)          | Does the operator's     |                    |
|                      | plan specify retesting  |                    |
| ** YES  NO  N/A** | when:                   |                    |
|                      |                         |                    |
| §199.225(e)          | 1\. An employee's       |                    |
|                      | alcohol concentration   |                    |
|                      | is 0.02 or greater but  |                    |
|                      | less than 0.04.         |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.225 Alcohol     |                         |                    |
| tests required       |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | 2\. An employee is to   |                    |
|                      | return-to-duty within 8 |                    |
| §199.225(e)          | hours following         |                    |
|                      | administration of an    |                    |
|                      | alcohol test with an    |                    |
|                      | alcohol concentration   |                    |
|                      | of 0.02 or greater but  |                    |
|                      | less than 0.04.         |                    |
+----------------------+-------------------------+--------------------+
| §199.227 Retention   |                         |                    |
| of records           |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator       | Do a review of     |
|                      | maintain the alcohol    | records to verify  |
| §199.227(a)          | records in a secure     | that the plan is   |
|                      | location with           | being carried out. |
| ** YES  NO  N/A** | controlled access?      |                    |
|                      |                         | Each employer or   |
| §                    | Does the plan require   | its agent shall    |
| 199.227(b)/§40.83(b) | the operator to keep    | maintain these     |
|                      | the following records:  | records.           |
| ** YES  NO  N/A** |                         |                    |
|                      | **Records to be kept    | Each employer or   |
| §199                 | for 5 years**           | its agent shall    |
| .227(b)(1)/§40.83(b) |                         | maintain these     |
|                      | 1\. Employee alcohol    | records.           |
| ** YES  NO  N/A** | tests results with      |                    |
|                      | alcohol concentration   | Each employer or   |
| §199                 | of 0.02 or greater.     | its agent shall    |
| .227(b)(1)/§40.83(b) |                         | maintain these     |
|                      | 2\. Documentation of    | records.           |
| ** YES  NO  N/A** | employee refusals to    |                    |
|                      | submit to required      | Each employer or   |
| §199                 | alcohol tests.          | its agent shall    |
| .227(b)(1)/§40.83(b) |                         | maintain these     |
|                      | 3\. Calibration         | records.           |
| ** YES  NO  N/A** | documentation.          |                    |
|                      |                         |                    |
| §199                 | 4\. Employee referrals  |                    |
| .227(b)(1)/§40.83(b) | and evaluations.        |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.227 Retention   |                         |                    |
| of records           |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | 5\. Alcohol MIS report  | Each employer or   |
|                      | data                    | its agent shall    |
| §199                 |                         | maintain these     |
| .227(b)(1)/§40.83(b) | 6\. Documents           | records            |
|                      | pertaining to "missed   |                    |
| ** YES  NO  N/A** | tests."                 | Each employer or   |
|                      |                         | its agent shall    |
| §199                 | **Records to be kept    | maintain these     |
| .227(b)(1)/§40.83(b) | for 2 years**           | records            |
|                      |                         |                    |
| ** YES  NO  N/A** | 1\. Collection process  | Except calibration |
|                      | records and training    | of EBT devices     |
| §199.227(b)(2)       | documentation.          |                    |
|                      |                         | Each employer or   |
| ** YES  NO  N/A** | **Records to be kept    | its agent shall    |
|                      | for 1 year**            | maintain these     |
| §199.227(b)(3)       |                         | records            |
|                      | 1\. Records of all test |                    |
| ** YES  NO  N/A** | results below 0.02      | Each employer or   |
|                      | level.                  | its agent shall    |
| §199.227(c)          |                         | maintain these     |
|                      | Does the plan specify   | records            |
| ** YES  NO  N/A** | that the operator shall |                    |
|                      | maintain the following  |                    |
| §199.227(c)(1)       | types of records:       |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | **Records related to    |                    |
|                      | collection process**    |                    |
| §199.227             |                         |                    |
| (c)(1)(ii)/§40.83(a) | 1\. Calibration         |                    |
|                      | documentation for EBT   |                    |
| ** YES  NO  N/A** | devices.                |                    |
|                      |                         |                    |
| §199.227(            | 2\. Documents on BAT    |                    |
| c)(1)(iii)/§40.83(a) | Training.               |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | 3\. Documents           |                    |
|                      | supporting decisions to |                    |
| §199.227(c)(1)(iv)   | administer reasonable   |                    |
|                      | suspicion tests.        |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.227 Retention   |                         |                    |
| of records           |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | 4\. Documents           | Must include       |
|                      | supporting decision to  | results of test.   |
| §199.227(c)(1)(v)    | administer              |                    |
|                      | post-accident tests.    | Note: Prohibited   |
| ** YES  NO  N/A** |                         | conduct under      |
|                      | 5\. Documents           | pre-duty or        |
| §199.227(c)(1)(vi)   | supporting medical      | on-duty use.       |
|                      | explanation of          |                    |
| ** YES  NO  N/A** | inability to provide a  |                    |
|                      | breath for testing.     |                    |
| §199.227(c)(2)       |                         |                    |
|                      | **Records related to    |                    |
| ** YES  NO  N/A** | results**               |                    |
|                      |                         |                    |
| §199.227(c)(2)(i)    | 1\. Operator's copy of  |                    |
|                      | test form.              |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | 2\. Documents of        |                    |
| §199.227(c)(2)(ii)   | refusal to submit to    |                    |
|                      | alcohol tests.          |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | 3\. Documents           |                    |
| §199.227(c)(2)(iii)  | supporting employee's   |                    |
|                      | dispute to result of    |                    |
| ** YES  NO  N/A** | alcohol test.           |                    |
|                      |                         |                    |
| §199.227(c)(3)       | Records related to      |                    |
|                      | other violations of     |                    |
| ** YES  NO  N/A** | Part 199.               |                    |
|                      |                         |                    |
| §199.227(c)(4)       | **Records related to    |                    |
|                      | evaluations**           |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | 1\. Records of          |                    |
| §199.227(c)(4)(i)    | determination by SAP    |                    |
|                      | concerning covered      |                    |
| ** YES  NO  N/A** | employee's need for     |                    |
|                      | assistance.             |                    |
| §199.227(c)(4)(ii)   |                         |                    |
|                      | 2\. Records             |                    |
|                      | demonstrating           |                    |
|                      | employee's compliance   |                    |
|                      | with SAP                |                    |
|                      | recommendations.        |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.227 Retention   |                         |                    |
| of records           |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | 3\. Records             | Obtain a copy of   |
|                      | demonstrating           | operator's policy  |
| §199.227(c)(5)       | operator's MIS annual   | on alcohol misuse. |
|                      | testing data.           |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | **Records related to    |                    |
| §199.227(c)(6)       | education and           |                    |
|                      | training**              |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | 1\. Alcohol Misuse      |                    |
| §199.227(c)(6)(i)    | Awareness materials.    |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | 2\. Documents of        |                    |
|                      | compliance with         |                    |
| §199.227(c)(6)(ii)   | requirements of access  |                    |
|                      | to facilities and       |                    |
| ** YES  NO  N/A** | records.                |                    |
|                      |                         |                    |
| §199.227(c)(6)(iii)  | 3\. Documents on        |                    |
|                      | supervisor training for |                    |
| ** YES  NO  N/A** | reasonable suspicion    |                    |
|                      | determinations.         |                    |
| §199.227(c)(6)(iv)   |                         |                    |
|                      | 4\. Documents           |                    |
|                      | certifying training     |                    |
|                      | requirements.           |                    |
+----------------------+-------------------------+--------------------+
| §199.229 Reporting   |                         |                    |
| of alcohol testing   |                         |                    |
| results              |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | Note: Large        |
|                      | alcohol testing data to | operators must     |
| §199.229             | be maintained and       | submit the report  |
|                      | reported to RSPA        | not later than     |
| ** YES  NO  N/A** | annually?               | March 15 each      |
|                      |                         | calendar year.     |
| §199.229             | Does the operator       | Small operators    |
|                      | provide documentation   | will be randomly   |
|                      | that information        | selected to        |
|                      | collected is being      | report. This data  |
|                      | maintained?             | is for the         |
|                      |                         | previous calendar  |
|                      |                         | year\              |
|                      |                         | (Jan. 1 -- Dec.    |
|                      |                         | 31).               |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.229 Reporting   |                         |                    |
| of alcohol testing   |                         |                    |
| results              |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator       | Missed test - a    |
|                      | provide documentation   | test that is not   |
| §199.229             | that "missed" test      | conducted within 8 |
|                      | information is being    | hours. "Missed"    |
|                      | collected and           | test infor-mation  |
|                      | maintained?             | must be submitted  |
|                      |                         | to OPS, (when the  |
|                      |                         | MIS information is |
|                      |                         | submitted) for 3   |
|                      |                         | years beginning in |
|                      |                         | 1995.              |
+----------------------+-------------------------+--------------------+
| §199.231 Access to   |                         |                    |
| facilities and       |                         |                    |
| records              |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | Records should     |
|                      | procedures regarding    | include alcohol    |
| §199.231(a)          | the release of employee | test results.      |
|                      | information?            |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan specify   |                    |
| §                    | release of records      |                    |
| 199.231(b)/§40.81(b) | pertaining to           |                    |
|                      | employee's use of       |                    |
| ** YES  NO  N/A** | alcohol?                |                    |
|                      |                         |                    |
| §199.231(b)          | Does the plan address   |                    |
|                      | access to records by    |                    |
| ** YES  NO  N/A** | employee without        |                    |
|                      | payment restrictions?   |                    |
| §                    |                         |                    |
| 199.231(c)/§40.81(e) | Does the plan specify   |                    |
|                      | access to records by    |                    |
| ** YES  NO  N/A** | the Secretary of        |                    |
|                      | Transportation, RSPA,   |                    |
| §199.231(d)          | or other DOT/State      |                    |
|                      | agency representatives? |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | release of records      |                    |
|                      | including operator's    |                    |
|                      | alcohol testing results |                    |
|                      | to the Secretary of     |                    |
|                      | Transportation, RSPA or |                    |
|                      | other DOT/State agency  |                    |
|                      | representatives?        |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.231 Access to   |                         |                    |
| facilities and       |                         |                    |
| records              |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan stipulate |                    |
|                      | the release of          |                    |
| §199.231(d)          | name-specific alcohol   |                    |
|                      | test results when       |                    |
| ** YES  NO  N/A** | requested by            |                    |
|                      | appropriate officials?  |                    |
| §                    |                         |                    |
| 199.231(e)/§40.81(f) | Does the plan specify   |                    |
|                      | release of records to   |                    |
| ** YES  NO  N/A** | NTSB as part of an      |                    |
|                      | accident investigation? |                    |
| §                    |                         |                    |
| 199.231(f)/§40.81(g) | Does the plan address   |                    |
|                      | provisions for release  |                    |
| ** YES  NO  N/A** | of records by operator  |                    |
|                      | to subsequent employer? |                    |
| §                    |                         |                    |
| 199.231(f)/§40.81(i) | Does the plan specify   |                    |
|                      | restrictions on release |                    |
| ** YES  NO  N/A** | of records?             |                    |
|                      |                         |                    |
| §199.231(g)          | Does the plan specify   |                    |
|                      | release of employee     |                    |
| ** YES  NO  N/A** | information to the      |                    |
|                      | employee, decision      |                    |
| §199.231(h)          | makers in a lawsuit,    |                    |
|                      | grievance, or other     |                    |
|                      | proceeding initiated by |                    |
|                      | or on behalf of the     |                    |
|                      | individual?             |                    |
|                      |                         |                    |
|                      | Does the plan address   |                    |
|                      | the release of an       |                    |
|                      | employee's records upon |                    |
|                      | the specific, written   |                    |
|                      | consent of the          |                    |
|                      | information to an       |                    |
|                      | identified person?      |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.233 Removal     |                         |                    |
| from covered         |                         |                    |
| function             |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | Prohibited         |
|                      | provisions on removal   | Conduct - alcohol  |
| §199.233             | from covered functions  | concentration of   |
|                      | for violations of       | 0.04 or greater,   |
|                      | alcohol misuse?         | actual knowledge   |
|                      |                         | of on-duty use,    |
|                      |                         | actual knowledge   |
|                      |                         | of pre-duty use (4 |
|                      |                         | hours prior to     |
|                      |                         | work), use of      |
|                      |                         | alcohol resulting  |
|                      |                         | in an accident and |
|                      |                         | refusal to submit  |
|                      |                         | to an alcohol      |
|                      |                         | test.              |
+----------------------+-------------------------+--------------------+
| §199.235 Required    |                         |                    |
| evaluation and       |                         |                    |
| testing              |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan address   |                    |
|                      | the requirement for a   |                    |
| §199.235             | referral or evaluation, |                    |
|                      | following an employee   |                    |
|                      | engaging in prohibited  |                    |
|                      | conduct?                |                    |
+----------------------+-------------------------+--------------------+
| §199.237 Other       |                         |                    |
| alcohol-related      |                         |                    |
| conduct              |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | Note: A covered    |
|                      | provisions where an     | employee may not   |
| §199.237             | employee has an alcohol | perform or         |
|                      | concentration of 0.02   | continue to        |
| ** YES  NO  N/A** | or greater but less     | perform covered    |
|                      | than 0.04 to perform    | functions if they  |
| §199.237(a)(1)       | covered functions       | have an alcohol    |
|                      | until:                  | concentra-tion of  |
| ** YES  NO  N/A** |                         | 0.02 or greater.   |
|                      | 1\. Employee's alcohol  |                    |
| §199.237(a)(2)       | concentration is below  | However, this      |
|                      | 0.02, or                | doesn't prohibit   |
| ** YES  NO  N/A** |                         | an operator from   |
|                      | 2\. The employee's next | exercising their   |
| §199.237(b)          | scheduled tour of duty, | independent        |
|                      | or at least 8 hours     | authority.         |
|                      | have elapsed?           |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | that no action against  |                    |
|                      | an employee can be      |                    |
|                      | taken solely on a test  |                    |
|                      | result of less than     |                    |
|                      | 0.04?                   |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.239 Operator    |                         |                    |
| obligation to        |                         |                    |
| promulgate a policy  |                         |                    |
| on the misuse of     |                         |                    |
| alcohol              |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan address   | Note: Just before, |
|                      | educational materials   | during and just    |
| §199.239(a)          | that explain the        | after ceasing to   |
|                      | alcohol requirements?   | perform covered    |
| ** YES  NO  N/A** |                         | functions.         |
|                      | Does the plan stipulate |                    |
| §199.239(a)(1)       | that a copy of the      |                    |
|                      | material is provided to |                    |
| ** YES  NO  N/A** | employees prior to the  |                    |
|                      | commencement of         |                    |
| §199.239(a)(2)       | testing?                |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | Does the operator       |                    |
|                      | maintain written        |                    |
| §199.239(a)(2)       | documentation to verify |                    |
|                      | notice?                 |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan specify   |                    |
| §199.239(b)(1)       | that materials provided |                    |
|                      | to employees address    |                    |
| ** YES  NO  N/A** | the following:          |                    |
|                      |                         |                    |
| §199.239(b)(2)       | 1\. Identify of persons |                    |
|                      | to provide answers      |                    |
| ** YES  NO  N/A** | about operator's        |                    |
|                      | materials.              |                    |
| §199.239(b)(3)       |                         |                    |
|                      | 2\. A list of covered   |                    |
|                      | employee categories.    |                    |
|                      |                         |                    |
|                      | 3\. Guidance on period  |                    |
|                      | of coverage during work |                    |
|                      | day that an employee is |                    |
|                      | subject to testing      |                    |
|                      | provisions.             |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.239 Operator    |                         |                    |
| obligation to        |                         |                    |
| promulgate a policy  |                         |                    |
| on the misuse of     |                         |                    |
| alcohol              |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | 4\. Procedures to be    | Operators policy   |
|                      | utilized to test for    | related to alcohol |
| §199.239(b)(6)       | presence of alcohol.    | possessions, and   |
|                      |                         | levels invoked by  |
| ** YES  NO  N/A** | 5\. Explanation of      | an operator's      |
|                      | refusals and            | independent        |
| §199.239(b)(8)       | consequences.           | authority.         |
|                      |                         |                    |
| ** YES  NO  N/A** | 6\. Consequences of     |                    |
|                      | employee violation of   |                    |
| §199.239(b)(9)       | the prohibitions of the |                    |
|                      | plan and removal from   |                    |
| ** YES  NO  N/A** | performing covered      |                    |
|                      | functions.              |                    |
| §199.239(b)(10)      |                         |                    |
|                      | 7\. Consequences of     |                    |
| ** YES  NO  N/A** | testing at 0.02 or      |                    |
|                      | greater but less than   |                    |
| §199.239(b)(11)      | 0.04                    |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | 8\. Information on      |                    |
|                      | alcohol effects on      |                    |
| §199.239(c)          | individual's health,    |                    |
|                      | work, and personal      |                    |
|                      | life, signs and         |                    |
|                      | symptoms of alcohol     |                    |
|                      | problems, evaluating    |                    |
|                      | and resolving problems, |                    |
|                      | referral to an EAP or   |                    |
|                      | management.             |                    |
|                      |                         |                    |
|                      | Does the plan discuss   |                    |
|                      | optional materials and  |                    |
|                      | authority for issuance  |                    |
|                      | of such materials?      |                    |
+----------------------+-------------------------+--------------------+
| §199.241 Training    |                         |                    |
| for supervisors      |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that at least 60        |                    |
| §199.241             | minutes of training for |                    |
|                      | supervisors, who make   |                    |
|                      | reasonable suspicion    |                    |
|                      | determinations?         |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.241 Training    |                         |                    |
| for supervisors      |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan provide   |                    |
|                      | such training shall     |                    |
| §199.241             | include training on the |                    |
|                      | physical, behavioral,   |                    |
|                      | speech and performance  |                    |
|                      | indictors of probable   |                    |
|                      | alcohol misuse?         |                    |
+----------------------+-------------------------+--------------------+
| §199.243 Referral,   |                         |                    |
| evaluation, and      |                         |                    |
| treatment            |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan provide   | It is acceptable   |
|                      | that employees who      | if the plan        |
| §199.243(a)          | engage in prohibited    | provides that the  |
|                      | conduct shall be        | Third Party        |
| ** YES  NO  N/A** | advised of available    | provider network   |
|                      | resources to evaluate   | gives the name and |
| §199.243(a)          | and resolve problems    | phone number       |
|                      | associated with alcohol | directly to the    |
| ** YES  NO  N/A** | misuse?                 | employee.          |
|                      |                         |                    |
| §199.243(b)          | Does the plan contain   | An employee must   |
|                      | names, addresses, and   | have a test result |
| ** YES  NO  N/A** | phone numbers of SAPs,  | of less than 0.02  |
|                      | counselors, treatment   | before returning   |
| §199.243(c)(1)       | programs, and third     | to perform covered |
|                      | party provider          | functions.         |
|                      | networks?               |                    |
|                      |                         |                    |
|                      | Does the plan address   |                    |
|                      | that employees who      |                    |
|                      | engage in prohibited    |                    |
|                      | conduct shall be        |                    |
|                      | referred to a SAP for   |                    |
|                      | evaluation?             |                    |
|                      |                         |                    |
|                      | Does the plan specify a |                    |
|                      | return-to-duty test is  |                    |
|                      | required when an        |                    |
|                      | employee engages in     |                    |
|                      | prohibited conduct      |                    |
|                      | described in §§199.215  |                    |
|                      | through 199.223.        |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.243 Referral,   |                         |                    |
| evaluation, and      |                         |                    |
| treatment            |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | Drug testing must  |
|                      | evaluation by SAP to    | be determined by   |
| §199.243(c)(2)(i)    | determine that the      | the SAP.           |
|                      | employee has properly   |                    |
| ** YES  NO  N/A** | followed any prescribed |                    |
|                      | program?                |                    |
| §199.243(c)(2)(ii)   |                         |                    |
|                      | Does the plan specify   |                    |
| ** YES  NO  N/A** | that an employee shall  |                    |
|                      | be subject to           |                    |
| §199.243(c)(2)(ii)   | unannounced follow-up   |                    |
|                      | testing?                |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan stipulate |                    |
| §199.243(c)(2)(ii)   | that a minimum of six   |                    |
|                      | tests be conducted      |                    |
| ** YES  NO  N/A** | within the first 12     |                    |
|                      | months following an     |                    |
| §199.243(c)(2)(ii)   | employee's              |                    |
|                      | return-to-duty test?    |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan specify   |                    |
| §199.243(c)(2)(ii)   | that follow-up testing  |                    |
|                      | may include testing for |                    |
| ** YES  NO  N/A** | drugs?                  |                    |
|                      |                         |                    |
| §199.243(d)          | Does the plan specify   |                    |
|                      | that follow-up testing  |                    |
|                      | cannot exceed a 60      |                    |
|                      | month period?           |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | that the SAP may        |                    |
|                      | terminate follow-up     |                    |
|                      | testing after           |                    |
|                      | completion of the first |                    |
|                      | six tests?              |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | evaluation and          |                    |
|                      | rehabilitation maybe    |                    |
|                      | provided by the         |                    |
|                      | operator, SAP under     |                    |
|                      | contract, or SAP not    |                    |
|                      | affiliated with the     |                    |
|                      | operator?               |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.243 Referral,   |                         |                    |
| evaluation, and      |                         |                    |
| treatment            |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | SAP can't refer an |
|                      | provisions regarding    | employee to the    |
| §199.243(e)          | referral to SAPs and    | SAP's private      |
|                      | restrictions that may   | practice, to a     |
|                      | apply?                  | person or          |
|                      |                         | organization from  |
|                      |                         | which the SAP      |
|                      |                         | receives           |
|                      |                         | remuneration or in |
|                      |                         | which the SAP has  |
|                      |                         | financial          |
|                      |                         | interests.         |
+----------------------+-------------------------+--------------------+
| §199.245 Contractor  |                         |                    |
| employees            |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that the contractor may |                    |
| §199.245(a)          | carry out alcohol       |                    |
|                      | testing, training, and  |                    |
| ** YES  NO  N/A** | education?              |                    |
|                      |                         |                    |
| §199.245(b)          | Does the plan stipulate |                    |
|                      | that an operator is     |                    |
| ** YES  NO  N/A** | responsible for         |                    |
|                      | ensuring compliance     |                    |
| §199.245(c)          | with the                |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | alcohol provisions?     |                    |
|                      |                         |                    |
| §199.245(c)          | Does the plan specify   |                    |
|                      | that the operator, RSPA |                    |
|                      | Administrator, and      |                    |
|                      | DOT/State agency        |                    |
|                      | representatives have    |                    |
|                      | access to property and  |                    |
|                      | records?                |                    |
|                      |                         |                    |
|                      | Does the plan have      |                    |
|                      | detailed specifications |                    |
|                      | for monitoring          |                    |
|                      | contractor's compliance |                    |
|                      | with the requirements   |                    |
|                      | of 49 CFR Parts 199 and |                    |
|                      | 40?                     |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

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