+----------------------+-------------------------+--------------------+
| §40.51 The Breath    |                         |                    |
| Alcohol Technician   |                         |                    |
| (BAT)                |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator's     | Look at training   |
|                      | plan specify what       | certifica-tion     |
| §40.51(a)            | training the BAT has    | documentation.     |
|                      | received?               |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does documentation      |                    |
|                      | certify that training   |                    |
| §40.51(a)(1)         | included EBT            |                    |
|                      | methodology, operation, |                    |
| ** YES  NO  N/A** | calibration checks,     |                    |
|                      | fundamentals of breath  |                    |
| §40.51(a)(2)         | analysis for alcohol,   |                    |
|                      | principles of obtaining |                    |
| ** YES  NO  N/A** | breath sample,          |                    |
|                      | interpreting and        |                    |
| §40.51(a)(3)         | recording results?      |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | Does the training       |                    |
|                      | course meet the minimum |                    |
| §40.51(a)(4)         | requirements to NHTSA's |                    |
|                      | model course?           |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the documentation  |                    |
| §40.51(a)(5)         | demonstrate competence  |                    |
|                      | in operation of EBT     |                    |
|                      | that the BAT will use?  |                    |
|                      |                         |                    |
|                      | Does the documentation  |                    |
|                      | indicate the BAT is     |                    |
|                      | proficient to conduct   |                    |
|                      | external calibration    |                    |
|                      | checks of each EBT used |                    |
|                      | by the operator?        |                    |
|                      |                         |                    |
|                      | Does the operator plan  |                    |
|                      | provide for additional  |                    |
|                      | training for the BAT    |                    |
|                      | when new changes in     |                    |
|                      | technology occur?       |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.51 The Breath    |                         |                    |
| Alcohol Technician   |                         |                    |
| (BAT)                |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan stipulate |                    |
|                      | what documentation is   |                    |
| §40.51(a)(6)         | available to establish  |                    |
|                      | training and            |                    |
| ** YES  NO  N/A** | proficiency of each BAT |                    |
|                      | used to conduct alcohol |                    |
| §40.51(b)            | tests?                  |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | that a supervisor shall |                    |
|                      | not serve as the BAT,   |                    |
|                      | if that supervisor      |                    |
|                      | makes the reasonable    |                    |
|                      | cause determination?    |                    |
+----------------------+-------------------------+--------------------+
| §40.53 Devices to be |                         |                    |
| used for breath      |                         |                    |
| alcohol tests        |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that only EBTs listed   |                    |
| §40.53(a)            | on the CPL will be      |                    |
|                      | used?                   |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan specify   |                    |
| §40.53(b)            | that an EBT must be     |                    |
|                      | used for conducting the |                    |
|                      | confirmation test?      |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.55 Quality       |                         |                    |
| assurance plans for  |                         |                    |
| EBTs                 |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator       | The operator       |
|                      | follow the Quality      | should have a      |
| §40.55(a)            | Assurance Plan (QAP)    | contractual        |
|                      | for the EBT used?       | agreement/         |
| ** YES  NO  N/A** |                         |                    |
|                      | If this service is      | letter with the    |
| §40.55(a)            | contracted out does the | agent providing    |
|                      | operator ensure that    | this service.      |
| ** YES  NO  N/A** | the QAP is being        |                    |
|                      | followed according to   | The operator       |
| §40.55(b)(1)         | Section 40.55?          | should             |
|                      |                         | periodically       |
| ** YES  NO  N/A** | Does the operator       | monitor this       |
|                      | maintain specific       | process.           |
| §40.55(b)(2)         | records to demonstrate  |                    |
|                      | the EBTs are subjected  | Each employer or   |
| ** YES  NO  N/A** | to required external    | its agent shall    |
|                      | calibration checks?     | maintain and allow |
| §40.55(b)(3)         |                         | access to these    |
|                      | Does the plan specify   | records.           |
|                      | when an EBT shall be    |                    |
|                      | taken out of service    |                    |
|                      | and under what          |                    |
|                      | circumstances it may be |                    |
|                      | placed back into        |                    |
|                      | service?                |                    |
|                      |                         |                    |
|                      | Does the operator       |                    |
|                      | ensure that required    |                    |
|                      | inspection, maintenance |                    |
|                      | and calibration checks  |                    |
|                      | are conducted by        |                    |
|                      | manufacturer or         |                    |
|                      | maintenance             |                    |
|                      | representative?         |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.55 Quality       |                         |                    |
| assurance plans for  |                         |                    |
| EBTs                 |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator       |                    |
|                      | maintain records of     |                    |
| §40.55(b)(4)         | external calibration?   |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | Does the operator       |                    |
|                      | specify proper storage  |                    |
| §40.55(c)            | of EBT when it is not   |                    |
|                      | in use at testing site? |                    |
+----------------------+-------------------------+--------------------+
| §40.57 Locations for |                         |                    |
| breath alcohol       |                         |                    |
| testing              |                         |                    |
|                      |                         |                    |
| §40.97 Location for  |                         |                    |
| non-evidential       |                         |                    |
| alcohol screening    |                         |                    |
| tests                |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the testing site   |                    |
|                      | afford visual and aural |                    |
| §§40.57(a)/40.97(a)  | privacy to the          |                    |
|                      | individual being        |                    |
| ** YES  NO  N/A** | tested?                 |                    |
|                      |                         |                    |
| §§40.57(a)/40.97(a)  | Does the testing site   |                    |
|                      | have all necessary      |                    |
| ** YES  NO  N/A** | equipment and materials |                    |
|                      | to conduct the tests?   |                    |
| §§40.57(b)/40.97(a)  |                         |                    |
|                      | Does the operator use a |                    |
| ** YES  NO  N/A** | fixed site and/or a     |                    |
|                      | mobile collection       |                    |
| §§40.57(c)/40.97(a)  | facility?               |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that unauthorized       |                    |
| §§40.57(d)/40.97(a)  | personnel are not       |                    |
|                      | allowed in an area      |                    |
|                      | where there is visual   |                    |
|                      | or aural access to test |                    |
|                      | results?                |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | circumstances for       |                    |
|                      | conducting tests        |                    |
|                      | outdoors to provide     |                    |
|                      | visual and aural        |                    |
|                      | privacy to the greatest |                    |
|                      | extent allowable?       |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.57 Locations for |                         |                    |
| breath alcohol       |                         |                    |
| testing              |                         |                    |
|                      |                         |                    |
| §40.97 Location for  |                         |                    |
| non-evidential       |                         |                    |
| alcohol screening    |                         |                    |
| tests                |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that the BAT/STT shall  |                    |
| §§40.57(e)/40.97(b)  | supervise only one      |                    |
|                      | employee's use of the   |                    |
| ** YES  NO  N/A** | EBT at a time?          |                    |
|                      |                         |                    |
| §§40.57(e)/40.97(b)  | Does the plan specify   |                    |
|                      | that the BAT/STT shall  |                    |
|                      | not leave the alcohol   |                    |
|                      | testing location while  |                    |
|                      | the testing process is  |                    |
|                      | in progress?            |                    |
+----------------------+-------------------------+--------------------+
| §40.59 Breath        |                         |                    |
| alcohol testing form |                         |                    |
|                      |                         |                    |
| §40.99               |                         |                    |
| Non-evidential       |                         |                    |
| alcohol screening    |                         |                    |
| test                 |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan prescribe |                    |
|                      | that only the           |                    |
| §§40.59(a)/40.99     | DOT-approved breath     |                    |
|                      | alcohol testing form    |                    |
| ** YES  NO  N/A** | shall be utilized?      |                    |
|                      |                         |                    |
| §§40.59(b)/40.99     | Does the plan specify   |                    |
|                      | the following           |                    |
|                      | distribution of the     |                    |
|                      | form:                   |                    |
|                      |                         |                    |
|                      | Copy (1) *White* -      |                    |
|                      | maintained by employer  |                    |
|                      |                         |                    |
|                      | Copy (2) *Green* -      |                    |
|                      | maintained by employee  |                    |
|                      |                         |                    |
|                      | Copy (3) *Blue* -       |                    |
|                      | maintained by BAT       |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.61 Preparation   |                         |                    |
| for breath alcohol   |                         |                    |
| testing              |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that the employee shall |                    |
| §40.61(a)            | provide a positive      |                    |
|                      | identification through  |                    |
| ** YES  NO  N/A** | use of photo ID or by   |                    |
|                      | employer                |                    |
| §40.61(a)            | representative?         |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that the employee may   |                    |
| §40.61(b)            | request the BAT to      |                    |
|                      | provide positive        |                    |
|                      | identification?         |                    |
|                      |                         |                    |
|                      | Does the plan indicate  |                    |
|                      | that the BAT shall      |                    |
|                      | explain the testing     |                    |
|                      | process to the          |                    |
|                      | employee?               |                    |
+----------------------+-------------------------+--------------------+
| §40.63 Procedures    |                         |                    |
| for screening tests  |                         |                    |
| using EBTs           |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan contain   | Note:              |
|                      | specific instructions   | Non-evidential     |
| §40.63               | for conducting the      | device, saliva     |
|                      | screening test that     | device, or         |
|                      | include:                | evidential breath  |
|                      |                         | testing device     |
|                      | • BAT shall complete    | instructions.      |
|                      | step 1.                 |                    |
|                      |                         |                    |
|                      | • Employee shall        |                    |
|                      | complete step 2 and     |                    |
|                      | sign.                   |                    |
|                      |                         |                    |
|                      | • Refusal to sign shall |                    |
|                      | equal refusal to test.  |                    |
|                      |                         |                    |
|                      | • Individual mouthpiece |                    |
|                      | shall be opened.        |                    |
|                      |                         |                    |
|                      | • BAT shall attach      |                    |
|                      | mouthpiece to EBT.      |                    |
|                      |                         |                    |
|                      | • Employee shall blow   |                    |
|                      | forcefully in EBT.      |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.63 Procedures    |                         |                    |
| for screening tests  |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | • EBT shall indicate    | Note: When using   |
|                      | result.                 | old form, the      |
| §40.63(e)(4)         |                         | screening test     |
|                      | • BAT shall show        | technician (STT)   |
| ** YES  NO  N/A** | employee results.       | will note in the   |
|                      |                         | "Remarks" section  |
| §§40.63(f)/40.93(f)  | • BAT completes step 3. | that a breath,     |
|                      |                         | non-evidential or  |
| ** YES  NO  N/A** | • BAT affixes test      | saliva device was  |
|                      | result to breath        | used.              |
| §§40.63(g)/40.93(f)  | alcohol form.           |                    |
|                      |                         |                    |
|                      | • Results of less than  |                    |
|                      | 0.02. BAT signs in step |                    |
|                      | 3.                      |                    |
|                      |                         |                    |
|                      | • Refusal to sign form  |                    |
|                      | is not a refusal.       |                    |
|                      |                         |                    |
|                      | • Should printed result |                    |
|                      | not match displayed     |                    |
|                      | result, BAT shall note  |                    |
|                      | discrepancy.            |                    |
|                      |                         |                    |
|                      | • Employee and BAT      |                    |
|                      | shall initial.          |                    |
|                      |                         |                    |
|                      | • Test is considered    |                    |
|                      | invalid.                |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | that test results of    |                    |
|                      | less than 0.02 shall be |                    |
|                      | transmitted to operator |                    |
|                      | in a confidential       |                    |
|                      | manner?                 |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | if test result is 0.02  |                    |
|                      | or greater that a       |                    |
|                      | confirmation test shall |                    |
|                      | be conducted?           |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | procedures if a         |                    |
|                      | different BAT will      |                    |
|                      | conduct the             |                    |
|                      | confirmation test?      |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.65 Procedures    |                         |                    |
| for confirmation     |                         |                    |
| tests                |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan provide   |                    |
|                      | guidance for new BAT to |                    |
| §40.65(a)            | conduct confirmation    |                    |
|                      | test?                   |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan specify   |                    |
| §40.65(b)            | procedures to be        |                    |
|                      | followed in conducting  |                    |
| ** YES  NO  N/A** | a confirmation test?    |                    |
|                      |                         |                    |
| §40.65(c)            | Does the plan specify   |                    |
|                      | that a new breath       |                    |
| ** YES  NO  N/A** | alcohol testing form    |                    |
|                      | shall be used?          |                    |
| §40.65(d)            |                         |                    |
|                      | Does the plan specify   |                    |
| ** YES  NO  N/A** | that an air blank shall |                    |
|                      | be conducted prior to   |                    |
| §40.65(e)            | confirmation test?      |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | procedures for EBTs     |                    |
| §40.65(f)            | that are taken out of   |                    |
|                      | service?                |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan specify   |                    |
| §40.65(g)            | what procedures should  |                    |
|                      | be taken if the screen  |                    |
|                      | and confirmation test   |                    |
|                      | results are not         |                    |
|                      | identical?              |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | how the results of the  |                    |
|                      | EBT test shall be       |                    |
|                      | presented to the        |                    |
|                      | employee?               |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.65 Procedures    |                         |                    |
| for confirmation     |                         |                    |
| tests                |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | procedures following    |                    |
| §40.65(h)            | completion of the       |                    |
|                      | confirmation test?      |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan address   |                    |
| §40.65(i)            | the requirements to     |                    |
|                      | transmit the results to |                    |
| ** YES  NO  N/A** | the operator in a       |                    |
|                      | confidential manner?    |                    |
| §40.65(i)            |                         |                    |
|                      | Does the plan specify   |                    |
|                      | procedures to be used   |                    |
|                      | in the transmission of  |                    |
|                      | the test results?       |                    |
+----------------------+-------------------------+--------------------+
| §40.67 Refusals to   |                         |                    |
| test and uncompleted |                         |                    |
| tests                |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO**       | Does the plan specify   |                    |
|                      | procedures concerning   |                    |
| ** N/A**            | an employee's refusal   |                    |
|                      | to test?                |                    |
| §40.67(a)            |                         |                    |
|                      | Does the plan specify   |                    |
| ** YES  NO  N/A** | procedures concerning   |                    |
|                      | the inability to        |                    |
| §40.67(b)            | complete a screening or |                    |
|                      | confirmation alcohol    |                    |
|                      | test?                   |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.69 Inability to  |                         |                    |
| provide an adequate  |                         |                    |
| amount of breath     |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | procedures concerning   |                    |
| §40.69(a             | an employee's inability |                    |
| )/40.93(f)/40.105(a) | to provide an adequate  |                    |
|                      | amount of breath for    |                    |
| ** YES  NO  N/A** | testing?                |                    |
|                      |                         |                    |
| §§40.69(b)/40.105(a) | Does the plan provide   |                    |
|                      | instructions for        |                    |
| ** YES  NO  N/A** | requiring the employee  |                    |
|                      | to attempt again to     |                    |
| §§40.69(c)/40.105(a) | provide adequate amount |                    |
|                      | of breath for testing?  |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the plan specify   |                    |
| §§40.69(d)/40.105(a) | what comments shall be  |                    |
|                      | noted on the test form  |                    |
| ** YES  NO  N/A** | should the employee     |                    |
|                      | fail to provide an      |                    |
| §§40.69(d)/40.105(a) | adequate amount of      |                    |
|                      | breath for testing?     |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | what procedures shall   |                    |
|                      | be followed if an       |                    |
|                      | employee is unable to   |                    |
|                      | provide an adequate     |                    |
|                      | amount of breath for    |                    |
|                      | testing?                |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | procedures regarding    |                    |
|                      | the referral of the     |                    |
|                      | employee to a physician |                    |
|                      | for a medical           |                    |
|                      | evaluation regarding    |                    |
|                      | the inability to        |                    |
|                      | provide an adequate     |                    |
|                      | amount of breath for    |                    |
|                      | testing?                |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.79 Invalid tests |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | under what conditions   |                    |
| §40.79               | that a breath alcohol   |                    |
|                      | test shall be           |                    |
|                      | considered as invalid?  |                    |
+----------------------+-------------------------+--------------------+
| §40.81 Availability  |                         |                    |
| and disclosure of    |                         |                    |
| alcohol testing      |                         |                    |
| information          |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | how the records shall   |                    |
| §§40                 | be maintained in a      |                    |
| .81(a)/40.109/40.111 | secure location?        |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | under what              |                    |
| §§40                 | circumstances a covered |                    |
| .81(c)/40.109/40.111 | employee may have       |                    |
|                      | access to their         |                    |
| ** YES  NO  N/A** | records?                |                    |
|                      |                         |                    |
| §§40                 | Does the plan specify   |                    |
| .81(d)/40.109/40.111 | procedures which permit |                    |
|                      | access to facilities    |                    |
| ** YES  NO  N/A** | used for testing and    |                    |
|                      | authorized types of     |                    |
| §§40                 | officials?              |                    |
| .81(h)/40.109/40.111 |                         |                    |
|                      | Does the plan specify   |                    |
|                      | procedures concerning   |                    |
|                      | the release of          |                    |
|                      | information on a        |                    |
|                      | covered employee to     |                    |
|                      | other officials         |                    |
|                      | involved in any action  |                    |
|                      | that arises by the      |                    |
|                      | employee or on their    |                    |
|                      | behalf?                 |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.91 Authorization |                         |                    |
| for use of           |                         |                    |
| non-evidential       |                         |                    |
| alcohol screening    |                         |                    |
| devices              |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator's     |                    |
|                      | plan specify the only   |                    |
| §40.91               | non-evidential          |                    |
|                      | screening devices that  |                    |
|                      | are listed in the CPL   |                    |
|                      | are used?               |                    |
+----------------------+-------------------------+--------------------+
| §40.93 Screening     |                         |                    |
| Test Technician      |                         |                    |
| (STT)                |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator's     |                    |
|                      | plan specify what       |                    |
| §40.93(b)            | training the STT has    |                    |
|                      | received?               |                    |
| ** YES  NO  N/A** |                         |                    |
|                      | Does the training       |                    |
| §40.93(b)            | course meet the minimum |                    |
|                      | requirements of NHTSA's |                    |
| ** YES  NO  N/A** | model course?           |                    |
|                      |                         |                    |
| §40.93(c)            | Does documentation      |                    |
|                      | certify that training   |                    |
| ** YES  NO  N/A** | included changes,       |                    |
|                      | contrasts, or other     |                    |
| §40.93(d)            | readings that are       |                    |
|                      | indicated on the device |                    |
|                      | in terms of color?      |                    |
|                      |                         |                    |
|                      | Does the plan provide   |                    |
|                      | for additional training |                    |
|                      | for STT when new        |                    |
|                      | changes in technology   |                    |
|                      | occur?                  |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.93 Screening     |                         |                    |
| Test Technician      |                         |                    |
| (STT)                |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the documentation  |                    |
|                      | indicate that the STT   |                    |
| §40.93(e)            | is proficient in using  |                    |
|                      | the non-evidential      |                    |
| ** YES  NO  N/A** | screening device?       |                    |
|                      |                         |                    |
| §40.93(f)            | Does the plan specify   |                    |
|                      | that the supervisor     |                    |
|                      | shall not serve as the  |                    |
|                      | STT, if that supervisor |                    |
|                      | makes the reasonable    |                    |
|                      | cause determination?    |                    |
+----------------------+-------------------------+--------------------+
| §40.95 Quality       |                         |                    |
| assurance plans      |                         |                    |
| (QAP) for            |                         |                    |
| non-evidential       |                         |                    |
| screening devices    |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the operator       |                    |
|                      | follow the QAP for the  |                    |
| §40.95(a)            | non-evidential          |                    |
|                      | screening device that   |                    |
| ** YES  NO  N/A** | is used?                |                    |
|                      |                         |                    |
| §40.95(c)            | Does the plan specify   |                    |
|                      | that the operator or    |                    |
|                      | its agents shall comply |                    |
|                      | with the QAP and        |                    |
|                      | manufacturer's          |                    |
|                      | instructions?           |                    |
+----------------------+-------------------------+--------------------+
| §40.101 Screening    |                         |                    |
| test procedures      |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that the employee shall |                    |
| §40.101(a)           | provide a positive      |                    |
|                      | identification through  |                    |
|                      | use of photo ID or by   |                    |
|                      | employer                |                    |
|                      | representative?         |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.101 Screening    |                         |                    |
| test procedures      |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that the employee may   |                    |
| §40.101(a)           | request the STT provide |                    |
|                      | positive identification |                    |
| ** YES  NO  N/A** | to the employee?        |                    |
|                      |                         |                    |
| §40.101(a)           | Does the plan indicate  |                    |
|                      | that the STT shall      |                    |
| ** YES  NO  N/A** | explain the testing     |                    |
|                      | process to the          |                    |
| §40.101(b)           | employee?               |                    |
|                      |                         |                    |
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that the STT complete   |                    |
| §40.101(b)           | Step 1 and the employee |                    |
|                      | complete Step 2 and     |                    |
| ** YES  NO  N/A** | sign?                   |                    |
|                      |                         |                    |
| §40.101(d)(2)        | Does the plan specify   |                    |
|                      | that refusal to sign    |                    |
| ** YES  NO  N/A** | shall equal refusal to  |                    |
|                      | test?                   |                    |
| §40.101(d)(3)        |                         |                    |
|                      | Does the plan specify   |                    |
|                      | that the STT check      |                    |
|                      | expiration date on      |                    |
|                      | device and verify date  |                    |
|                      | with employee?          |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | that the STT open       |                    |
|                      | sealed device in        |                    |
|                      | presence of employee?   |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.101 Screening    |                         |                    |
| test procedures      |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan address   |                    |
|                      | how the employee or STT |                    |
| §40.101(d)(4)(5)     | will swab mouth of      |                    |
|                      | employee?               |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   | Results of less    |
|                      | that the STT insert the | than 0.02, STT     |
| §40.101(d)(6)        | swab into the device?   | signs and dates    |
|                      |                         | Step 3?            |
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that the STT read the   |                    |
| §40.101(d)(9)        | results and show the    |                    |
|                      | results to the          |                    |
| ** YES  NO  N/A** | employee?               |                    |
|                      |                         |                    |
| §40.101(e)           | Does the plan specify   |                    |
|                      | that the STT complete   |                    |
| ** YES  NO  N/A** | Step 3 of the form?     |                    |
|                      |                         |                    |
| §40.101(e)           | Does the plan specify   |                    |
|                      | that an employee's      |                    |
| ** YES  NO  N/A** | refusal to sign Step 4  |                    |
|                      | of the form is not a    |                    |
| §40.101(e)           | refusal?                |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | that the STT note in    |                    |
|                      | "Remarks" section that  |                    |
|                      | a saliva device was     |                    |
|                      | used?                   |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.103 Refusals to  |                         |                    |
| test and uncompleted |                         |                    |
| tests                |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that a refusal to test  |                    |
| §40.103(a)           | is considered by one of |                    |
|                      | the following?:         |                    |
|                      |                         |                    |
|                      | 1\. Failure to sign in  |                    |
|                      | Step 2 of form;         |                    |
|                      |                         |                    |
|                      | 2\. Refusal to provide  |                    |
|                      | saliva or breath        |                    |
|                      | sample;                 |                    |
|                      |                         |                    |
|                      | 3\. Refusal to provide  |                    |
|                      | adequate amount of      |                    |
|                      | breath; or,             |                    |
|                      |                         |                    |
|                      | 4\. Refusal to          |                    |
|                      | cooperate in a way that |                    |
|                      | prevents successful     |                    |
|                      | completion of test.     |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | that test is terminated |                    |
| §40.103(a)           | and the employer        |                    |
|                      | notified if one of the  |                    |
| ** YES  NO  N/A** | above occurs?           |                    |
|                      |                         |                    |
| §40.103(b)           | Does the plan specify   |                    |
|                      | that a new screening    |                    |
|                      | test should be          |                    |
|                      | conducted if a test is  |                    |
|                      | not completed for other |                    |
|                      | reasons than those      |                    |
|                      | stated above?           |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***

+----------------------+-------------------------+--------------------+
| §40.105 Inability to |                         |                    |
| provide an adequate  |                         |                    |
| amount of breath or  |                         |                    |
| saliva               |                         |                    |
+----------------------+-------------------------+--------------------+
| **COMPLIANCE**       | **CRITERION**           | **GUIDANCE**       |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | procedures concerning   |                    |
| §40.105(b)           | an employee's inability |                    |
|                      | to provide an adequate  |                    |
|                      | amount of saliva for    |                    |
|                      | testing?                |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan provide   |                    |
|                      | instructions for        |                    |
| §40.105(b)           | requiring the employee  |                    |
|                      | to attempt again to     |                    |
| ** YES  NO  N/A** | provide an adequate     |                    |
|                      | amount of saliva for    |                    |
| §40.105(b)           | testing?                |                    |
|                      |                         |                    |
|                      | Does the plan specify   |                    |
|                      | what procedures shall   |                    |
|                      | be followed if an       |                    |
|                      | employee is unable to   |                    |
|                      | provide an adequate     |                    |
|                      | amount of saliva for    |                    |
|                      | testing?                |                    |
+----------------------+-------------------------+--------------------+
| §40.107 Invalid      |                         |                    |
| tests                |                         |                    |
+----------------------+-------------------------+--------------------+
| ** YES  NO  N/A** | Does the plan specify   |                    |
|                      | what would constitute   |                    |
| §40.107(a)           | an invalid test for a   |                    |
|                      | non-evidential saliva   |                    |
| ** YES  NO  N/A** | device?                 |                    |
|                      |                         |                    |
| §40.107(b)           | Does the plan specify   |                    |
|                      | what would constitute   |                    |
|                      | an invalid test for     |                    |
|                      | non-evidential alcohol  |                    |
|                      | testing?                |                    |
+----------------------+-------------------------+--------------------+

***COMMENTS***