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

**[Anti-Drug Plan and Policy developed by]{.underline}: [Anti-Drug
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

+----------------------+-------------------------+--------------------+
| §199.1 Scope and     |                         |                    |
| compliance           |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| April 20, 1990       | 1\. When did operator   | Plan must specify  |
|                      | commence anti-drug      | date program       |
| August 21, 1990      | program?                | commenced.         |
|                      |                         |                    |
| Other Date           |                         |                    |
|                      |                         |                    |
| §199.1 (b)           |                         |                    |
+----------------------+-------------------------+--------------------+
| §199.3 Definitions   |                         |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 1\. Does plan contain   | Plan must contain  |
|                      | applicable accident     | one or both        |
| §199.3/§195.50       | definition as defined   | definitions.       |
|                      | in §§191.3 or 195.50?   |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 2\. Does plan contain   | Plan should        |
|                      | complete definition of  | address            |
| §199.3/§40.3         | \"covered employee\"?   | "applicants."      |
|                      |                         |                    |
|                      |                         | Covered Employee:  |
|                      |                         | Any person who     |
|                      |                         | performs an        |
|                      |                         | operation,         |
|                      |                         | maintenance, or    |
|                      |                         | emergency-response |
|                      |                         | on the pipeline or |
|                      |                         | LNG facility that  |
|                      |                         | is regulated by    |
|                      |                         | Parts 192, 193, or |
|                      |                         | 195.               |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 3\. Does operator plan  |                    |
|                      | address testing for     |                    |
| §199.3               | only the following      |                    |
|                      | drugs?                  |                    |
|                      |                         |                    |
|                      | Marijuana Opiates       |                    |
|                      |                         |                    |
|                      | Cocaine Amphetamines    |                    |
|                      |                         |                    |
|                      | Phencyclidine(PCP)      |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.7 Anti-drug     |                         |                    |
| plan                 |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 1\. Does the operator   | Plan must address  |
|                      | maintain and follow a   | requirements of    |
| §199.7(a)            | written anti-drug plan  | Part 40,           |
|                      | that confirms to 49 CFR | specifically the   |
|                      | Part 40, Procedures for | collection,        |
|                      | Transportation          | laboratory and MRO |
|                      | Workplace Drug Testing  | procedures.        |
|                      | Programs?               |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 2\. The plan must       | Note:              |
|                      | contain:                | Clarification of   |
| §199.7(a)(1)         |                         | company policy vs. |
|                      | a\. Methods and         | DOT requirements.  |
| **YES NO N/A**       | procedures for          | Company policy     |
|                      | compliance with all     | should be          |
| **YES NO N/A**       | requirements of CFR 49  | identified by      |
|                      | Part 199, including an  | using bold and     |
| **YES NO N/A**       | employees assistance    | underlined type.   |
|                      | program:                |                    |
| **YES NO N/A**       |                         |                    |
|                      | \(1\) Covered positions |                    |
| **YES NO N/A**       | subject to drug         |                    |
|                      | testing; (Operator)     |                    |
| §199.7(a)(2)         |                         |                    |
|                      | \(2\) Supervisor        |                    |
| **YES NO N/A**       | positions that receive  |                    |
|                      | EAP training;           |                    |
| §199.7(a)(3)         |                         |                    |
|                      | \(3\) Person/position   |                    |
|                      | responsible for         |                    |
|                      | recordkeeping;          |                    |
|                      |                         |                    |
|                      | \(4\) Methods for       |                    |
|                      | assuring                |                    |
|                      | confidentiality of      |                    |
|                      | records.                |                    |
|                      |                         |                    |
|                      | b\. The name/address of |                    |
|                      | each laboratory that    |                    |
|                      | analyzes the specimens  |                    |
|                      | collected for drug      |                    |
|                      | testing; and            |                    |
|                      |                         |                    |
|                      | c\. The name/address of |                    |
|                      | the operator's medical  |                    |
|                      | review officer (MRO)    |                    |
|                      | and Substance Abuse     |                    |
|                      | Professional (SAP).     |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.7 Anti-drug     |                         |                    |
| plan                 |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | d\. Specify procedures  | Plan must contain  |
|                      | for notifying employees | specific details   |
| §199.7(a)(4)         | of the coverage and     | on how this is     |
|                      | provision of the plan.  | accomplished and   |
|                      |                         | what information   |
|                      |                         | is provided to     |
|                      |                         | employees.         |
+----------------------+-------------------------+--------------------+
| §199.9 Use of        |                         |                    |
| persons who fail or  |                         |                    |
| refuse a drug test   |                         |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 1\. Does the anti-drug  | Plan should        |
|                      | plan provide that an    | specify action     |
| §199.9(a)(1)         | operator may not use as | taken if           |
|                      | employee any person     | individual fails   |
| **YES NO N/A**       | who:                    | drug test after    |
|                      |                         | returning to duty. |
| §199.9(a)(2)         | a\. Fails a drug test   |                    |
|                      | required by §199.11 and |                    |
| **YES NO N/A**       | the MRO deter-mines     |                    |
|                      | there is no legitimate  |                    |
| §199.9(b)            | medical explanation for |                    |
|                      | the confirmed positive  |                    |
| **YES NO N/A**       | test other than         |                    |
|                      | unauthorized use of a   |                    |
| §199.9(b)(1)         | prohibited drug?        |                    |
|                      |                         |                    |
| **YES NO N/A**       | b\. Refuses to take a   |                    |
|                      | drug test required by   |                    |
| §199.9(b)(2)         | Part 199?               |                    |
|                      |                         |                    |
| **YES NO N/A**       | 2\. Does the plan       |                    |
|                      | specify that a person   |                    |
| §199.9(b)(3)         | may be used in a        |                    |
|                      | covered function if     |                    |
|                      | that person has:        |                    |
|                      |                         |                    |
|                      | a\. Passed a DOT drug   |                    |
|                      | test?                   |                    |
|                      |                         |                    |
|                      | b\. Been recommended by |                    |
|                      | the SAP to              |                    |
|                      | return-to-duty?         |                    |
|                      |                         |                    |
|                      | c\. Not failed a drug   |                    |
|                      | test required by Part   |                    |
|                      | 199 returning to duty?  |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.11 Drug tests   |                         |                    |
| required             |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | **Pre-Employment        | If an employee     |
|                      | Testing**               | transfers from a   |
| §199.11(a)           |                         | covered position   |
|                      | Does the operator       | to a non-covered   |
| **YES NO N/A**       | conduct the             | position, and back |
|                      | pre-employment testing  | again, they should |
| §199.11(a)           | which includes the      | be pre-employment  |
|                      | following:              | tested.            |
|                      |                         |                    |
|                      | a\. All individuals     |                    |
|                      | pass a DOT drug test    |                    |
|                      | for the employer prior  |                    |
|                      | to employment or        |                    |
|                      | assignment in a covered |                    |
|                      | function?               |                    |
|                      |                         |                    |
|                      | b\. Employees who are   |                    |
|                      | promoted or transferred |                    |
|                      | from a non-covered to a |                    |
|                      | covered position shall  |                    |
|                      | be pre-employ-ment      |                    |
|                      | tested?                 |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | **Post-Accident         |                    |
|                      | Testing**               |                    |
| §199.11(b)           |                         |                    |
|                      | Does the operator       |                    |
|                      | conduct the             |                    |
|                      | post-accident testing   |                    |
|                      | which includes the      |                    |
|                      | following:              |                    |
|                      |                         |                    |
|                      | a\. Drug test each      |                    |
|                      | employee, as soon as    |                    |
|                      | possible but no later   |                    |
|                      | than 32 hours after an  |                    |
|                      | accident, whose         |                    |
|                      | performance either      |                    |
|                      | contributed to the      |                    |
|                      | accident or cannot be   |                    |
|                      | completely discounted   |                    |
|                      | as a contributing       |                    |
|                      | factor to the accident? |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.11 Drug tests   |                         |                    |
| required             |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | b\. Decision not to     | Documentation      |
|                      | test has been based     | pertaining to      |
| §199.11(b)           | upon the best           | decision to test   |
|                      | information available   | or not to test     |
| **YES NO N/A**       | immediately after the   | should be          |
|                      | accident that the       | maintained by      |
| §199.11(b)           | employee's performance  | operator or        |
|                      | could not have          | contractor.        |
|                      | contributed to the      |                    |
|                      | accident?               |                    |
|                      |                         |                    |
|                      | c\. Decision not to     |                    |
|                      | test because of the     |                    |
|                      | time between the        |                    |
|                      | employee's performance  |                    |
|                      | and the accident, it is |                    |
|                      | not likely that a drug  |                    |
|                      | test would reveal       |                    |
|                      | whether the performance |                    |
|                      | was affected by drug    |                    |
|                      | use?                    |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | **Random Testing**      | Specify type of    |
|                      |                         | random selection   |
| §199.11(c)           | 1\. Does the operator's | process.           |
|                      | anti-drug plan have     |                    |
| **YES NO N/A**       | specific procedures     | Calculate 25%      |
|                      | that provide for:       | random rate for    |
| §199.11(c)           |                         | each year. Plan    |
|                      | a\. Random employee     | must specify       |
| **YES NO N/A**       | selection process?      | random period (12  |
|                      |                         | times a year, or 4 |
| §199.11(c)(1)        | b\. Determination of    | times a year,      |
|                      | 25% annualized rate?    | etc.)              |
|                      |                         |                    |
|                      | c\. Is plan spread      | **(Semi-annual and |
|                      | reasonably through-out  | annual are         |
|                      | the year?               | unacceptable.)**   |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.11 Drug tests   |                         |                    |
| required             |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 2\. The random          | Note: An employee  |
|                      | selection proce-dure is | should immediately |
| §199.11(c)           | based on a random table | report to the      |
|                      | or on a computer-based  | collection site or |
| **YES NO N/A**       | number generation       | within 30 minutes, |
|                      | system, or another      | plus travel time,  |
| §199.11(c)           | method meeting DOT      | once notified by a |
|                      | requirements.           | company official.  |
|                      |                         |                    |
|                      | 3\. The annualized rate | Determine random   |
|                      | of un-announced testing | pool size at       |
|                      | on random selection is  | beginning of       |
|                      | based on the total      | calendar year or   |
|                      | number of personnel in  | average pool size  |
|                      | covered positions.      | over 12-month      |
|                      |                         | period, based on   |
|                      |                         | the number of      |
|                      |                         | employees at the   |
|                      |                         | time of each test  |
|                      |                         | cycle or any other |
|                      |                         | similar scheme     |
|                      |                         | that will take     |
|                      |                         | into account the   |
|                      |                         | variable number of |
|                      |                         | employees during   |
|                      |                         | the year.          |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | **Reasonable Cause**    |                    |
|                      |                         |                    |
| §199.11(d)           | 1\. Each employee who   |                    |
|                      | performs a covered      |                    |
|                      | function, and who is    |                    |
|                      | reasonably suspected of |                    |
|                      | using prohibited drugs, |                    |
|                      | is tested for the       |                    |
|                      | presence of drugs in    |                    |
|                      | accordance with the     |                    |
|                      | regulations.            |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.11 Drug tests   |                         |                    |
| required             |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 2\. At least two        | In the case of an  |
|                      | supervisors, one of     | operator with 50   |
| §199.11(d)           | whom is trained in      | or fewer covered   |
|                      | detection of the        | employees subject  |
| **YES NO N/A**       | symptoms of drug use,   | to testing, only   |
|                      | substantiate and concur | one supervisor of  |
| §199.11(d)           | in the decision to test | the employee,      |
|                      | an employee who is      | trained in         |
|                      | reasonably suspected of | detecting possible |
|                      | drug use.               | drug use symptoms  |
|                      |                         | shall              |
|                      | 3\. Decisions to test   | substan-tiate the  |
|                      | are reason-able and     | decision to test.  |
|                      | articulable, and based  |                    |
|                      | on specific             | The concurrence    |
|                      | contemporaneous         | between the two    |
|                      | physical, behavioral or | supervisors may be |
|                      | performance indicators  | by telephone.      |
|                      | of probable drug use.   |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | **Return-to-Duty**      |                    |
|                      |                         |                    |
| §199.11(e)           | 1\. All employees in    |                    |
|                      | covered positions who   |                    |
| **YES NO N/A**       | have been hired or have |                    |
|                      | returned to duty after  |                    |
| §199.11(f)           | having failed a DOT     |                    |
|                      | required drug test or   |                    |
| **YES NO N/A**       | who have refused to     |                    |
|                      | submit to a DOT         |                    |
| §199.11(f)           | required drug test,     |                    |
|                      | must be evaluated       |                    |
|                      | face-to-face by a SAP,  |                    |
|                      | have properly followed  |                    |
|                      | any prescribed          |                    |
|                      | assistance, and be      |                    |
|                      | subject to a            |                    |
|                      | return-to-duty test.    |                    |
|                      |                         |                    |
|                      | 2\. Return-to-duty      |                    |
|                      | testing is per-formed   |                    |
|                      | on an unannounced       |                    |
|                      | basis, at a frequency   |                    |
|                      | estab-lished by the     |                    |
|                      | SAP, for a period of    |                    |
|                      | not more than 60        |                    |
|                      | months.                 |                    |
|                      |                         |                    |
|                      | 3\. At least six tests  |                    |
|                      | must be conducted       |                    |
|                      | within the first 12     |                    |
|                      | months following the    |                    |
|                      | covered employee's      |                    |
|                      | return to duty.         |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.13 Drug testing |                         |                    |
| laboratory           |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | Does the operator use   | Check labs listed  |
|                      | only those drug testing | by operator        |
| §199.13(a)           | laboratories certified  | against latest     |
|                      | by the Department of    | NIDA certified lab |
|                      | Health and Human        | list.              |
|                      | Services (DHHS) under   |                    |
|                      | the DOT Procedures for  |                    |
|                      | all drug testing        |                    |
|                      | required by 49 CFR 199? |                    |
+----------------------+-------------------------+--------------------+
| §199.15 Review of    |                         |                    |
| drug testing results |                         |                    |
| and MRO procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | **MRO Qualifications    |                    |
|                      | and Responsibilities**  |                    |
| §199.15(a)           |                         |                    |
|                      | 1\. Does the            |                    |
|                      | operator\'s plan        |                    |
|                      | designate a medical     |                    |
|                      | review officer?         |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 2\. Does the operator's | What documentation |
|                      | plan state that the MRO | is available to    |
| §199.15(b)           | is a licensed physician | determine MRO's    |
|                      | with knowledge of drug  | knowledge of drug  |
|                      | abuse disorders?        | abuse?             |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 3\. Is the MRO an       | There must be a    |
|                      | employee of the         | clear separation   |
| §199.15(c)           | laboratory conducting   | to prevent the     |
|                      | the drug tests?         | appearance of a    |
| **YES NO N/A**       |                         | conflict of        |
|                      | 4\. Does the MRO        | interest.          |
| §199.15(c)(1)        | conduct an              |                    |
|                      | administrative review   | What documentation |
|                      | of all negative results | does MRO provide   |
|                      | prior to trans-mission  | on negative test   |
|                      | of results to employer  | results?           |
|                      | or administrative       |                    |
|                      | officials?              |                    |
|                      |                         |                    |
|                      | 5\. Does the operator's |                    |
|                      | anti-drug plan require  |                    |
|                      | the MROs to perform the |                    |
|                      | following functions:    |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.15 Review of    |                         |                    |
| drug testing results |                         |                    |
| and MRO procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | a\. Review confirmed    | What documentation |
|                      | positive results prior  | does the MRO       |
| §199.15(c)(1)        | to the transmission of  | provide on         |
|                      | results to employer or  | positive test      |
| **YES NO N/A**       | administrative          | results to company |
|                      | officials?              | official?          |
| §199.15(c)(2)        |                         |                    |
|                      | b\. Review and          |                    |
| **YES NO N/A**       | interpret posi-tive     |                    |
|                      | test results as follows |                    |
| §199.15(c)(2)(i)     | to determine if there   |                    |
|                      | is an alternate medical |                    |
| **YES NO N/A**       | explanation for an      |                    |
|                      | individuals confirmed   |                    |
| §199.15(c)(2)(ii)    | positive:               |                    |
|                      |                         |                    |
| **YES NO N/A**       | \(1\) Conduct a medical |                    |
|                      | interview with          |                    |
| §199.15(c)(2)(iii)   | individual tested?      |                    |
|                      |                         |                    |
| **YES NO N/A**       | \(2\) Review the        |                    |
|                      | medical history and any |                    |
| §199.15(c)(2)(iv)    | relevant bio-medical    |                    |
|                      | factors?                |                    |
| **YES NO N/A**       |                         |                    |
|                      | \(3\) Review all        |                    |
| §199.15(c)(2)(v)     | medical records made    |                    |
|                      | available by the        |                    |
|                      | individ-ual tested to   |                    |
|                      | determine if a          |                    |
|                      | confirmed positive test |                    |
|                      | resulted from legally   |                    |
|                      | prescribed medica-tion? |                    |
|                      |                         |                    |
|                      | \(4\) If necessary,     |                    |
|                      | reanalyze the original  |                    |
|                      | specimen to determine   |                    |
|                      | the accuracy of test    |                    |
|                      | result?                 |                    |
|                      |                         |                    |
|                      | \(5\) Verify that the   |                    |
|                      | laboratory report and   |                    |
|                      | assessment are correct? |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.15 Review of    |                         |                    |
| drug testing results |                         |                    |
| and MRO procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | c\. For an employee who | MRO should         |
|                      | has returned to duty:   | document on an     |
| §199.15(c)(3)        |                         | individual case    |
|                      | \(1\) Ensure the        | basis the          |
| **YES NO N/A**       | testing is in           | specified periods  |
|                      | accordance with DOT     | of unannounced     |
| §199.15(d)(2)(i)     | proce-dures before      | testing.           |
|                      | he/she returns to duty. |                    |
| **YES NO N/A**       |                         |                    |
|                      | 6\. After appropriate   |                    |
| §199.15(d)(2)(ii)    | review does the MRO     |                    |
|                      | refer the individual    |                    |
| **YES NO N/A**       | tested to a personnel   |                    |
|                      | or administrative       |                    |
| §199.15/§40.33(c)(1) | officer for further     |                    |
|                      | proceedings in          |                    |
|                      | accordance with the     |                    |
|                      | operator's anti-drug    |                    |
|                      | plan?                   |                    |
|                      |                         |                    |
|                      | 7\. Does the MRO refer  |                    |
|                      | the individual for      |                    |
|                      | evaluation by a SAP,    |                    |
|                      | who shall determine     |                    |
|                      | what assistance, if     |                    |
|                      | any, is needed?         |                    |
|                      |                         |                    |
|                      | **Positive Test         |                    |
|                      | Result**                |                    |
|                      |                         |                    |
|                      | 8\. Prior to making a   |                    |
|                      | final decision to       |                    |
|                      | verify a positive test  |                    |
|                      | result for an           |                    |
|                      | individual, does the    |                    |
|                      | MRO give the individual |                    |
|                      | an opportunity to       |                    |
|                      | discuss the test result |                    |
|                      | with him or her?        |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 9\. Does the MRO        | (A staff person    |
|                      | contact the individual  | under the MRO's    |
| §199.15/§40.33(c)(2) | directly, on a          | supervision may    |
|                      | confidential basis, to  | make the initial   |
|                      | determine whether the   | contact, and a     |
|                      | employee wishes to      | medically licensed |
|                      | discuss the test        | or certified staff |
|                      | results?                | person may gather  |
|                      |                         | information from   |
|                      |                         | the employee.)     |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.15 Review of    |                         |                    |
| drug testing results |                         |                    |
| and MRO procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 10\. Except as listed   |                    |
|                      | in paragraph 14 below,  |                    |
| §40.33(c)(2)         | does the MRO talk       |                    |
|                      | directly with the       |                    |
| **YES NO N/A**       | employee before         |                    |
|                      | verifying a test as     |                    |
| §40.33(c)(3)         | positive?               |                    |
|                      |                         |                    |
| **YES NO N/A**       | 11\. If, after making   |                    |
|                      | all reasonable efforts  |                    |
| §40.33(c)(3)         | and documenting them,   |                    |
|                      | the MRO is unable to    |                    |
| **YES NO N/A**       | reach the individual    |                    |
|                      | directly, does the MRO  |                    |
| §40.33(c)(4)         | contact a designated    |                    |
|                      | management official who |                    |
| **YES NO N/A**       | shall direct the        |                    |
|                      | individual to contact   |                    |
| §40.33(c)(5)         | the MRO as soon as      |                    |
|                      | possible?               |                    |
|                      |                         |                    |
|                      | 12\. If it becomes      |                    |
|                      | necessary to reach the  |                    |
|                      | individual through the  |                    |
|                      | designated management   |                    |
|                      | official, does the      |                    |
|                      | designated management   |                    |
|                      | official employ         |                    |
|                      | procedures that ensure, |                    |
|                      | to the maximum extent   |                    |
|                      | practicable, the        |                    |
|                      | requirement that the    |                    |
|                      | employee contact the    |                    |
|                      | MRO is held in          |                    |
|                      | confidence?             |                    |
|                      |                         |                    |
|                      | 13\. If designated      |                    |
|                      | management official is  |                    |
|                      | unable to contact the   |                    |
|                      | employee, does employer |                    |
|                      | place the individual on |                    |
|                      | temporary medically     |                    |
|                      | unqualified status or   |                    |
|                      | medical leave?          |                    |
|                      |                         |                    |
|                      | 14\. Does the MRO       |                    |
|                      | verify a test as        |                    |
|                      | positive without having |                    |
|                      | communicated directly   |                    |
|                      | with the employee about |                    |
|                      | the test in these three |                    |
|                      | circumstances:          |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.15 Review of    |                         |                    |
| drug testing results |                         |                    |
| and MRO procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | a\. The employee        |                    |
|                      | expressly declines the  |                    |
| §40.33(c)(5)(i)      | opportunity to discuss  |                    |
|                      | the test;               |                    |
| **YES NO N/A**       |                         |                    |
|                      | b\. Neither the MRO nor |                    |
| §40.33(c)(5)(ii)     | the designated employer |                    |
|                      | represen-tative, after  |                    |
| **YES NO N/A**       | making all reason-able  |                    |
|                      | efforts, has been able  |                    |
| §40.33(c)(5)(iii)    | to contact the employee |                    |
|                      | within 14 days of the   |                    |
| **YES NO N/A**       | date on which the MRO   |                    |
|                      | receives the confirmed  |                    |
| §40.33(c)(6)         | positive test results   |                    |
|                      | from the laboratory;    |                    |
|                      |                         |                    |
|                      | c\. The designated      |                    |
|                      | employer representative |                    |
|                      | has successfully made   |                    |
|                      | and documented a        |                    |
|                      | contact with the        |                    |
|                      | employee and instructed |                    |
|                      | the employee to contact |                    |
|                      | the MRO, and more than  |                    |
|                      | five (5) days have      |                    |
|                      | passed since the date   |                    |
|                      | the employee was        |                    |
|                      | successfully contacted  |                    |
|                      | by the designated       |                    |
|                      | employer                |                    |
|                      | repre-sentative.        |                    |
|                      |                         |                    |
|                      | 15\. If a test is       |                    |
|                      | verified positive under |                    |
|                      | the circumstances       |                    |
|                      | specified in paragraph  |                    |
|                      | 14.b. or 14.c. above,   |                    |
|                      | can the employee        |                    |
|                      | present to the MRO      |                    |
|                      | informa-tion            |                    |
|                      | documenting that        |                    |
|                      | serious illness,        |                    |
|                      | injury, or other        |                    |
|                      | circumstances           |                    |
|                      | unavoidably prevented   |                    |
|                      | the employee from       |                    |
|                      | timely contacting the   |                    |
|                      | MRO?                    |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.15 Review of    |                         |                    |
| drug testing results |                         |                    |
| and MRO procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 16\. Does the MRO       |                    |
|                      | reopen the verification |                    |
| §40.33(c)(6)         | allowing the employee   |                    |
|                      | to present information  |                    |
| **YES NO N/A**       | concerning a legitimate |                    |
|                      | explanation for the     |                    |
| §40.33(c)(6)         | confirmed positive      |                    |
|                      | test?                   |                    |
| **YES NO N/A**       |                         |                    |
|                      | 17\. If the MRO         |                    |
| §40.33(c)(7)         | concludes that there is |                    |
|                      | a legitimate            |                    |
|                      | explanation, does the   |                    |
|                      | MRO declare the test to |                    |
|                      | be negative?            |                    |
|                      |                         |                    |
|                      | 18\. Following          |                    |
|                      | verification of a       |                    |
|                      | positive test result,   |                    |
|                      | does the MRO, as        |                    |
|                      | provided in the         |                    |
|                      | employer's policy:      |                    |
|                      |                         |                    |
|                      | a\. Refer the case to   |                    |
|                      | the employer employee   |                    |
|                      | assistance or           |                    |
|                      | rehabilitation program? |                    |
|                      |                         |                    |
|                      | b\. Refer the case to   |                    |
|                      | the management official |                    |
|                      | empow-ered to recommend |                    |
|                      | or take administrative  |                    |
|                      | action (or the          |                    |
|                      | official's designated   |                    |
|                      | agent)?                 |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | **Verification For      | (This requirement  |
|                      | Opiates; Review For     | does not apply if  |
| §40.33(d)            | Prescription            | the employer's     |
|                      | Medication**            | GC/MS confirmation |
|                      |                         | testing for        |
|                      | 1\. Before the MRO      | opiates confirms   |
|                      | verifies a confirmed    | the presence of    |
|                      | positive result for     |                    |
|                      | opiates, does he/she    | 6-m                |
|                      | determine that there is | onocetylmorphine.) |
|                      | clinical evidencein     |                    |
|                      | addition to the urine   |                    |
|                      | testof unauthorized use |                    |
|                      | of any opium, opiate,   |                    |
|                      | or opium derivative?    |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.15 Review of    |                         |                    |
| drug testing results |                         |                    |
| and MRO procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | **Reanalysis            | Note: If a split   |
|                      | Authorized**            | specimen container |
| §40.33(e)            |                         | is used the        |
|                      | 1\. If any question     | employee has 72    |
| **YES NO N/A**       | arises as to the        | hours to request   |
|                      | accuracy or validity of | reanalysis after   |
| §40.33(e)            | a posi-tive test        | receiving notice   |
|                      | result, is the MRO the  | of a positive test |
| **YES NO N/A**       | only person authorized  | result.            |
|                      | to order a reanalysis   |                    |
| §40.33(e)            | of the original sample? |                    |
|                      |                         |                    |
| **YES NO N/A**       | 2\. Are retests         |                    |
|                      | authorized only at      |                    |
| §40.33(e)            | laboratories certified  |                    |
|                      | by DHHS?                |                    |
| **YES NO N/A**       |                         |                    |
|                      | 3\. Does the MRO        |                    |
| §40.33(g)            | authorize a reanalysis  |                    |
|                      | of the original sample  |                    |
|                      | if requested to do so   |                    |
|                      | by the employee within  |                    |
|                      | 60 days of the employee |                    |
|                      | having received actual  |                    |
|                      | notice of the positive  |                    |
|                      | test?                   |                    |
|                      |                         |                    |
|                      | 4\. If the retest is    |                    |
|                      | negative, does the MRO  |                    |
|                      | cancel the test?        |                    |
|                      |                         |                    |
|                      | **Result Scientifically |                    |
|                      | Insufficient**          |                    |
|                      |                         |                    |
|                      | 1\. Has the MRO, based  |                    |
|                      | on review of inspection |                    |
|                      | reports, quality        |                    |
|                      | control data, multiple  |                    |
|                      | sample, and other       |                    |
|                      | pertinent results,      |                    |
|                      | determined that a test  |                    |
|                      | result is               |                    |
|                      | scientifically          |                    |
|                      | insufficient for        |                    |
|                      | further action and      |                    |
|                      | declared the test       |                    |
|                      | specimen as negative?   |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.15 Review of    |                         |                    |
| drug testing results |                         |                    |
| and MRO procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 2\. Before declaring    |                    |
|                      | the test speci men      |                    |
| §40.33(g)            | negative did the MRO:   |                    |
|                      |                         |                    |
| **YES NO N/A**       | a\. Request a           |                    |
|                      | reanalysis of the       |                    |
| §40.33(g)            | original sample         |                    |
|                      | performed by the same   |                    |
| **YES NO N/A**       | laboratory?             |                    |
|                      |                         |                    |
| §40.33(g)            | b\. Request a           |                    |
|                      | reanalysis of the       |                    |
| **YES NO N/A**       | original sample to an   |                    |
|                      | alternate laboratory    |                    |
| §40.33(i)(1)         | which is certified in   |                    |
|                      | accordance with the     |                    |
|                      | DHHS Guidelines?        |                    |
|                      |                         |                    |
|                      | c\. Receive specific    |                    |
|                      | consulta-tion from the  |                    |
|                      | drug testing laboratory |                    |
|                      | concerning the drug     |                    |
|                      | test results as         |                    |
|                      | required by the         |                    |
|                      | employer?               |                    |
|                      |                         |                    |
|                      | **Disclosure of         |                    |
|                      | Information**           |                    |
|                      |                         |                    |
|                      | 1\. Does the MRO or SAP |                    |
|                      | disclose to the         |                    |
|                      | employer, a DOT agency  |                    |
|                      | or other Federal safety |                    |
|                      | agency, or a physician  |                    |
|                      | responsible for         |                    |
|                      | determining the medical |                    |
|                      | qualification of the    |                    |
|                      | employee under an       |                    |
|                      | applicable DOT agency   |                    |
|                      | regulation, any medical |                    |
|                      | information provided by |                    |
|                      | the individual to the   |                    |
|                      | MRO or SAP as part of   |                    |
|                      | the testing and         |                    |
|                      | rehabilitation process  |                    |
|                      | only if:                |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.15 Review of    |                         |                    |
| drug testing results |                         |                    |
| and MRO procedures   |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | a\. An applicable DOT   | Currently there    |
|                      | regulation permits or   | are no physical    |
| §40.33(i)(1)(ii)     | requires such           | qualifications     |
|                      | disclosure;             | required for       |
| **YES NO N/A**       |                         | pipeline           |
|                      | b\. In the MRO's or     | personnel.         |
| §40.33(i)(1)(ii)     | SAP's reasonable        |                    |
|                      | medical judgment, the   |                    |
| **YES NO N/A**       | information could       |                    |
|                      | result in the employee  |                    |
| §40.33(i)(1)(iii)    | being determined to be  |                    |
|                      | medically unqualified   |                    |
| **YES NO N/A**       | under an applicable DOT |                    |
|                      | agency rule; or         |                    |
| §40.33(i)(2)         |                         |                    |
|                      | c\. In the MRO's or     |                    |
|                      | SAP's reasonable        |                    |
|                      | medical judgment, in a  |                    |
|                      | situation in which      |                    |
|                      | there is no DOT agency  |                    |
|                      | rule establishing       |                    |
|                      | physical qualification  |                    |
|                      | standards applicable to |                    |
|                      | the employee, the       |                    |
|                      | information indicates   |                    |
|                      | that continued          |                    |
|                      | performance by the      |                    |
|                      | employee of his/her     |                    |
|                      | safety-sensitive        |                    |
|                      | function could pose a   |                    |
|                      | significant safety      |                    |
|                      | risk?                   |                    |
|                      |                         |                    |
|                      | 2\. Before obtaining    |                    |
|                      | medical information     |                    |
|                      | from the employee as    |                    |
|                      | part of the             |                    |
|                      | verification or         |                    |
|                      | rehabilitation process, |                    |
|                      | does the MRO or SAP     |                    |
|                      | inform the employee     |                    |
|                      | that information may be |                    |
|                      | disclosed to third      |                    |
|                      | parties as provided in  |                    |
|                      | this paragraph and the  |                    |
|                      | identity of any parties |                    |
|                      | to whom information may |                    |
|                      | be disclosed?           |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.17 Retention of |                         |                    |
| sample and retesting |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 1\. If the MRO          | Note: If a single  |
|                      | determines there is no  | specimen container |
| §199.17(b)           | legitimate medical      | is used, an        |
|                      | reason for a confirmed  | employee has       |
| **YES NO N/A**       | positive test result,   | within 60 days to  |
|                      | do the procedures       | request a          |
| §199.17(b)           | permit the employee to  | reanalysis after   |
|                      | submit a written        | being notified of  |
| **YES NO N/A**       | request for a retest    | a positive test    |
|                      | within 60 days of       | result. If a split |
| §199.17(b)           | receipt of the final    | specimen container |
|                      | test results from the   | is used, an        |
| **YES NO N/A**       | MRO?                    | employee has       |
|                      |                         | within 72 hours to |
| §199.17(b)           | a\. The operator may    | request a          |
|                      | require the employee to | reanalysis after   |
| **YES NO N/A**       | pay the associated      | receiving          |
|                      | retest costs in         | notification of a  |
| §199.17(c)           | advance.                | positive test      |
|                      |                         | result.            |
|                      | b\. The employee must   |                    |
|                      | be reimbursed if the    |                    |
|                      | retest is nega-tive.    |                    |
|                      |                         |                    |
|                      | c\. The employee may    |                    |
|                      | request retesting by a  |                    |
|                      | second DHHS certified   |                    |
|                      | lab.                    |                    |
|                      |                         |                    |
|                      | 2\. If the employee     |                    |
|                      | requests retesting by a |                    |
|                      | second labora-tory does |                    |
|                      | the original            |                    |
|                      | labora-tory follow      |                    |
|                      | approved custody        |                    |
|                      | transfer procedures?    |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.17 Retention of |                         |                    |
| sample and retesting |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 3\. Because it is       |                    |
|                      | possible that some      |                    |
| §199.17(d)           | analyses may            |                    |
|                      | deteriorate during      |                    |
|                      | storage, the results of |                    |
|                      | a retest are to be      |                    |
|                      | reported as             |                    |
|                      | confirmation of the     |                    |
|                      | original test results   |                    |
|                      | if the detected level   |                    |
|                      | of the drug are (a)     |                    |
|                      | below the DOT           |                    |
|                      | established limits and, |                    |
|                      | (b) equal to or greater |                    |
|                      | than the sensitivity of |                    |
|                      | the test.               |                    |
+----------------------+-------------------------+--------------------+
| §199.19 Employee     |                         |                    |
| Assistance Program   |                         |                    |
| (EAP)                |                         |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 1\. Does the operator   |                    |
|                      | provide an EAP for its  |                    |
| §199.19(a)           | employees and           |                    |
|                      | supervisory personnel?  |                    |
| **YES NO N/A**       |                         |                    |
|                      | a\. Does the EAP        |                    |
| §199.19(a)           | include education and   |                    |
|                      | training about drug     |                    |
|                      | use?                    |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 2\. Does the operator,  |                    |
|                      | as part of the EAP,     |                    |
| §199.19(b)           | display and distribute: |                    |
|                      |                         |                    |
| **YES NO N/A**       | a\. Information         |                    |
|                      | material?               |                    |
| §199.19(b)           |                         |                    |
|                      | b\. Community service   |                    |
| **YES NO N/A**       | hot-line telephone      |                    |
|                      | number for employee     |                    |
| §199.19(b)           | assistance?             |                    |
|                      |                         |                    |
| **YES NO N/A**       | c\. The employer\'s     |                    |
|                      | policy regarding the    |                    |
| §199.19(b)           | use of prohibited       |                    |
|                      | drugs?                  |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.19 Employee     |                         |                    |
| Assistance Program   |                         |                    |
| (EAP)                |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 3\. Does the operator   |                    |
|                      | provide at least a      |                    |
| §199.19(c)           | 60-minute period of     |                    |
|                      | training for            |                    |
|                      | supervisory personnel   |                    |
|                      | which teaches the       |                    |
|                      | specific                |                    |
|                      | contemporaneous         |                    |
|                      | physical, behavioral,   |                    |
|                      | and performance         |                    |
|                      | indicators of probable  |                    |
|                      | drug use?               |                    |
+----------------------+-------------------------+--------------------+
| §199.21 Contractor   |                         |                    |
| employees            |                         |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | Does the operator       | The contractor can |
|                      | provide, by contract,   | provide the        |
| §199.21              | that the drug testing,  | services through a |
|                      | education and training  | consortia or       |
|                      | of contractor employees | third-party        |
|                      | required by 49 CFR Part | provider.          |
|                      | 199 be carried out by   |                    |
|                      | contractor?             |                    |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 1\. Does the operator   | How does the       |
|                      | remain responsible for  | employer "monitor" |
| §199.21(a)           | ensuring com-pliance    | the contractor's   |
|                      | with the requirements   | compliance with    |
| **YES NO N/A**       | of 49 CFR 199, and      | Parts 199 and 40?  |
|                      |                         |                    |
| §199.21(b)           | 2\. Does the contractor |                    |
|                      | allow access to         |                    |
|                      | property and records by |                    |
|                      | the operator, DOT and   |                    |
|                      | any jurisdictional      |                    |
|                      | state agency for the    |                    |
|                      | purpose of monitoring   |                    |
|                      | the operator\'s         |                    |
|                      | compliance with the     |                    |
|                      | requirements of 49 CFR  |                    |
|                      | 199?                    |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.23              |                         |                    |
| Recordkeeping        |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | 1\. Does the anti-drug  |                    |
|                      | plan require the        |                    |
| §199.23(a)           | operator to keep the    |                    |
|                      | following record; and   |                    |
| **YES NO N/A**       | do records verify that  |                    |
|                      | the plan is being       |                    |
| §199.23(a)(1)        | carried out?            |                    |
|                      |                         |                    |
| **YES NO N/A**       | a\. Records to be kept  |                    |
|                      | for 3 years:            |                    |
| §199.23(a)(5)        |                         |                    |
|                      | \(1\) Records           |                    |
| **YES NO N/A**       | demonstrating that the  |                    |
|                      | collection process      |                    |
| §199.23(a)(2)        | con-forms to 49 CFR     |                    |
|                      | Part 40, §40.25,        |                    |
| **YES NO N/A**       | Specimen collection     |                    |
|                      | procedures.             |                    |
| §199.23(a)(2)        |                         |                    |
|                      | \(2\) Records           |                    |
| **YES NO N/A**       | confirming that         |                    |
|                      | supervisors and         |                    |
| §199.23(a)(2)        | employees have been     |                    |
|                      | trained as required by  |                    |
|                      | §199.19, Employee       |                    |
|                      | Assis- tance Program.   |                    |
|                      |                         |                    |
|                      | b\. Records to be kept  |                    |
|                      | for 5 years:            |                    |
|                      |                         |                    |
|                      | \(1\) A record of the   |                    |
|                      | number of employees     |                    |
|                      | tested by type of test, |                    |
|                      | (e.g., post-accident).  |                    |
|                      |                         |                    |
|                      | \(2\) Records that show |                    |
|                      | an employee failed a    |                    |
|                      | drug test, the type of  |                    |
|                      | test failed, (e.g.,     |                    |
|                      | post-accident) and      |                    |
|                      | records that            |                    |
|                      | demonstrate             |                    |
|                      | rehabilitation, if any. |                    |
|                      | Records must include    |                    |
|                      | the following           |                    |
|                      | information:            |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.23              |                         |                    |
| Recordkeeping        |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       | \(a\) The functions     |                    |
|                      | performed by employee   |                    |
| §199.23(a)(2)(i)     | who failed a drug test. |                    |
|                      | (Welder, Field Tester,  |                    |
| **YES NO N/A**       | Leak Surveyor, etc.)    |                    |
|                      |                         |                    |
| §199.23(a)(2)(ii)    | \(b\) The prohibited    |                    |
|                      | drugs that were used by |                    |
| **YES NO N/A**       | the employee who failed |                    |
|                      | the drug test.          |                    |
| §199.23(a)(2)(iii)   |                         |                    |
|                      | \(c\) The disposition   |                    |
| **YES NO N/A**       | of each employee who    |                    |
|                      | failed the drug test    |                    |
| §199.23(a)(3)        | (e.g., termination,     |                    |
|                      | rehabili-tation, leave  |                    |
| **YES NO N/A**       | without pay, etc.).     |                    |
|                      |                         |                    |
| §199.23(b)           | c\. Records to be kept  |                    |
|                      | for 1 year:             |                    |
| **YES NO N/A**       |                         |                    |
|                      | Records showing an      |                    |
| §199.23(b)           | employee passed a drug  |                    |
|                      | test.                   |                    |
|                      |                         |                    |
|                      | 2\. Does the procedures |                    |
|                      | prohibit the release of |                    |
|                      | an individual's drug    |                    |
|                      | test results except as  |                    |
|                      | follows:                |                    |
|                      |                         |                    |
|                      | a\. Upon written        |                    |
|                      | consent of the          |                    |
|                      | individual; or          |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §199.23              |                         |                    |
| Recordkeeping        |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| **YES NO N/A**       |                         |                    |
|                      |                         |                    |
| §199.23(b)           |                         |                    |
|                      |                         |                    |
| **YES NO N/A**       |                         |                    |
|                      |                         |                    |
| §199.23(b)           |                         |                    |
|                      |                         |                    |
| **YES NO N/A**       |                         |                    |
|                      |                         |                    |
| §199.23(b)           |                         |                    |
|                      |                         |                    |
| **YES NO N/A**       |                         |                    |
|                      |                         |                    |
| §199.23(b)           |                         |                    |
|                      |                         |                    |
| b\. Upon request by  |                         |                    |
| DOT or a state       |                         |                    |
| agency;              |                         |                    |
|                      |                         |                    |
| \(1\) As part of an  |                         |                    |
| accident             |                         |                    |
| investigation; or    |                         |                    |
|                      |                         |                    |
| \(2\) For            |                         |                    |
| statistical          |                         |                    |
| evaluation (only     |                         |                    |
| without names); or   |                         |                    |
|                      |                         |                    |
| \(3\) For training   |                         |                    |
| records?             |                         |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

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