{"operation":"document","citation":"PHMSA DA.2022.01","title":"2022 Drug Alcohol IA Question Set","source_type":"inspection","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2021-12-26","effective_on":"2021-12-26","summary":"PHMSA Drug & Alcohol IA Question Set (DA.2022.01) Drug and Alcohol - General Program Requirements 1. Designated Employer Representative (DER) Has the operator appointed a company employee as the","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-2022-drug-alcohol-ia-question-set.json","markdown":"https://regulus.evalyn.ai/document/phmsa-2022-drug-alcohol-ia-question-set.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-2022-drug-alcohol-ia-question-set","source_url":"https://primis.phmsa.dot.gov/IA-Releases/ia-release-notes/notes/iac-fed.2022.01","body":"<<<PAGE 1>>>\n\nPHMSA Drug & Alcohol IA Question Set (DA.2022.01)\nDrug and Alcohol - General Program Requirements\n1. Designated Employer Representative (DER) Has the operator appointed a company employee as the\nDesignated Employer Representative (DER)? (DA.GENERAL.DER.R) 40.3 (40.15(d);40.355(k))\n2. Operator Oversight of Service Agents Does the process ensure the operator remains responsible for the actions\nof all its service agents, including a Consortium/Third Party Administrator (C/TPA)? (DA.GENERAL.SERVICEAGENTOVERSIGHT.P)\n40.11(b) (40.11(c);40.15(c);40.341(a);40.355(a);40.355(m);40.355(n))\n3. Covered Employees Does the process result in the proper and complete identification of covered employees and the\nexclusion of non-covered employees? (DA.GENERAL.COVEREDEMPLOYEES.P) 199.3 (199.1;40.347(b)(2))\n4. Previous Employer DOT D&A Record Checks Does the process include previous employer DOT D&A record\nchecks for employees seeking to perform covered functions for the first time (i.e., a new hire or an employee transferring into a\nsafety-sensitive position)? (DA.GENERAL.PREVIOUSEMPLOYERRECORDS.P) 40.25(a)\n(40.25(b);40.25(c);40.25(d);40.25(e);40.25(f);40.25(g);40.27;40.321(b);40.351(d))\n5. DOT vs. Non-DOT D&A Tests Does the process separate and prioritize DOT drug and alcohol testing over all non-\nDOT drug and alcohol testing? (DA.GENERAL.NONDOTTESTS.P) 40.13(a) (40.13(b))\n6. Operator Oversight of Contractor D&A Programs If a contractor performs covered functions on the pipeline\nand is allowed to have its own D&A Programs, does the process ensure the contractor fully complies with Parts 199 and 40?\n(DA.GENERAL.CONTRACTOROVERSIGHT.P) 199.115 (199.115(a);199.115(b);199.245(a);199.245(b);199.245(c))\n7. Reporting of Annual D&A Test Results to PHMSA Does the process ensure D&A MIS reports are submitted\nannually to PHMSA as required? (DA.GENERAL.MISREPORTS.P) 199.119(a) (199.3;199.119(f);199.229(a);199.229(d);40.26)\nJanuary 2022 DA.2022.01 Page 1 of 6\n\n<<<PAGE 2>>>\n\nPHMSA Drug & Alcohol IA Question Set (DA.2022.01)\nDrug and Alcohol - Anti-Drug Program\n1. Written Anti-Drug Plan Is a written Anti-Drug Plan in-place and maintained that conforms to the requirements of Part\n199 and Part 40? (DA.DRUG.PLAN.P) 199.101(a) (199.101(a)(1);199.101(a)(2);199.101(a)(3);199.101(a)(4))\n2. Qualification Requirements Do records indicate that Anti-Drug program positions and/or service agents meet the\napplicable qualification requirements of Part 40 and Part 199? (DA.DRUG.SERVICEAGENTQUAL.R) 199.5\n(199.107(a);199.109(b);40.33;40.81(a);40.121;40.281)\n3. Prohibited Drugs Does the process require that DOT drug tests are only conducted for the “prohibited drugs” specified in\nPart 40? (DA.DRUG.PROHIBITEDDRUGS.P) 199.3 (40.3)\n4. Pre-Employment Drug Testing Does the process require that no individual is allowed to perform a covered function\nunless that individual passes a drug test or is covered by an anti-drug program that conforms to Part 199?\n(DA.DRUG.PREMPLOYMENT.P) 199.105(a) (199.105(c)(5))\n5. Post-Accident Drug Testing Does the process ensure that post-accident drug testing is conducted as required?\n(DA.DRUG.POSTACCIDENT.P) 199.105(b) (199.117(a)(5);40.355(g);40.355(h))\n6. Random Drug Testing Does the process ensure that random drug testing is conducted as required?\n(DA.DRUG.RANDOM.P) 199.105(c)(5) (199.105(c)(6);199.105(c)(7);199.105(c)(8);199.105(c)(9))\n7. Reasonable Cause Drug Testing Does the process ensure that reasonable cause drug testing is conducted as\nrequired? (DA.DRUG.REASONABLECAUSE.P) 199.105(d) (199.117(a)(3);40.355(g);40.355(h))\n8. Return-to-Duty Drug Testing Does the process ensure that return-to-duty drug testing is conducted as required?\n(DA.DRUG.RETURNTODUTY.P) 199.105(e) (Part 40 Subpart O;40.67(b);40.285(a);40.289(b);40.305(a))\n9. Follow-Up Drug Testing Does the process ensure that follow-up drug testing is conducted as required?\n(DA.DRUG.FOLLOWUPTEST.P) 199.105(f) (40.67(b);40.307;40.309)\nJanuary 2022 DA.2022.01 Page 2 of 6\n\n<<<PAGE 3>>>\n\nPHMSA Drug & Alcohol IA Question Set (DA.2022.01)\n10. Medical Review Officer (MRO) Duties Does the process ensure the MRO performs functions as required by DOT\nProcedures? (DA.DRUG.MRODUTIES.P) 199.109(c)\n(199.109(a);40.123(a);40.123(b);40.123(c);40.123(e);40.123(f);40.123(g);Part 40 Subpart G)\n11. MRO Drug Test Reports to the Operator Does the process ensure the MRO reports all drug test results to the\nDER as required? (DA.DRUG.MROTESTREPORTS.P) 199.109(d) (Part 40 Subpart\nG;40.345(a);40.345(b);40.345(c);40.355(b);40.355(c))\n12. Employee Stand-Down and Removal From Covered Functions Does the process ensure an employee\nis immediately removed from performing covered functions after failing or refusing a drug test?\n(DA.DRUG.STANDOWNREMOVAL.P) 199.103(a) (199.7(a);40.21(a);40.21(b);40.23(a);40.23(b);40.23(d);40.287)\n13. Employee Assistance Program (EAP) Does the process ensure that an EAP is established and available to\nemployees and supervisory personnel? (DA.DRUG.EAP.P) 199.113(a) (199.113(b);199.113(c))\nDrug and Alcohol - Alcohol Misuse Prevention Program\n1. Written Alcohol Misuse Plan Is a written Alcohol Misuse Plan in-place and maintained that conforms to the\nrequirements of Part 199 and Part 40? (DA.ALCOHOL.PLAN.P) 199.202\n2. Qualification Requirements Do records indicate that Alcohol Misuse Prevention Program positions and/or service\nagents meet the applicable qualification requirements of Part 40 and Part 199? (DA.ALCOHOL.SERVICEAGENTQUAL.R) 199.5\n(40.213)\n3. Alcohol-Related Prohibited Conduct Does the process ensure that a covered employee is not permitted to\nperform covered functions if the employee has engaged in prohibited conduct or an alcohol misuse rule of another DOT agency?\n(DA.ALCOHOL.PROHIBITEDCONDUCT.P) 199.233 (199.215;199.217;199.219;199.221;199.223;40.23(c);40.285(a);40.285(b))\n4. Alcohol Screening Test Devices Does the process for alcohol screening tests restrict the use of alcohol screening\ndevices (ASDs) to the devices and associated requirements referenced by Part 40? (DA.ALCOHOL.SCREENINGTESTDEVICES.P)\n40.229 (40.235(e))\nJanuary 2022 DA.2022.01 Page 3 of 6\n\n<<<PAGE 4>>>\n\nPHMSA Drug & Alcohol IA Question Set (DA.2022.01)\n5. Alcohol Confirmation Test Devices Does the process for alcohol confirmation tests restrict the use of Evidential\nBreath Testing Devices (EBTs) to the devices and associated requirements referenced by Part 40?\n(DA.ALCOHOL.CONFIRMATIONTESTDEVICES.P) 40.231(a) (40.233(c))\n6. Pre-Employment Alcohol Testing (Optional) If pre-employment alcohol testing is conducted, does the process\nensure that such testing is performed within the limits of Part 199? (DA.ALCOHOL.PREMPLOY.P) 199.209(b)\n(199.209(b)(1);199.209(b)(2);199.209(b)(3))\n7. Post-Accident Alcohol Testing Does the process ensure that post-accident alcohol testing is conducted as required?\n(DA.ALCOHOL.POSTACCIDENT.P) 199.225(a) (199.225(a)(1);199.225(a)(2);199.225(a)(3);199.227(b)(4))\n8. Reasonable Suspicion Alcohol Testing Does the process ensure that reasonable suspicion alcohol testing is\nconducted as required? (DA.ALCOHOL.REASONSUSPECT.P) 199.225(b)\n(199.225(b)(1);199.225(b)(2);199.225(b)(3);199.225(b)(4);40.355(g);40.355(h))\n9. Return-to-Duty Alcohol Testing Does the process ensure that return-to-duty alcohol testing is conducted as\nrequired? (DA.ALCOHOL.RETURNDUTY.P) 199.225(c) (199.233;199.243(c);40.67(b);40.285(a);40.305(a))\n10. Follow-Up Alcohol Testing Does the process ensure that follow-up alcohol testing is conducted as required?\n(DA.ALCOHOL.FOLLOWUPTEST.P) 199.225(d) (199.243(c)(2)(ii);40.307(a);40.307(b);40.309(a))\n11. BAT/STT Alcohol Screening Test Reports Does the process ensure that alcohol screening test results are\nreported as required to the DER? (DA.ALCOHOL.SCREENINGTEST.P) 40.247(a)\n12. BAT Alcohol Confirmation Test Reports Does the process ensure that alcohol confirmation test results are\nreported as required to the DER? (DA.ALCOHOL.CONFIRMATIONTEST.P) 40.255(a) (40.355(d))\n13. Other Alcohol-Related Conduct Does the process ensure that a covered employee is prohibited from performing\nor continuing to perform covered functions when found to have an alcohol concentration of 0.02 or greater but less than 0.04?\n(DA.ALCOHOL.OTHERCONDUCT.P) 199.237(a) (199.237(b);40.23(c))\nJanuary 2022 DA.2022.01 Page 4 of 6\n\n<<<PAGE 5>>>\n\nPHMSA Drug & Alcohol IA Question Set (DA.2022.01)\n14. Available Resources for Employees Who Have Engaged in Prohibited Conduct Does the process\nensure that each covered employee who has engaged in prohibited conduct is advised of the resources available to the covered\nemployee in evaluating and resolving problems associated with the misuse of alcohol? (DA.ALCOHOL.EMPLOYEERESOURCES.P)\n199.243(a) (40.285(b))\n15. Alcohol Misuse Program Educational Materials Do records indicate educational materials were provided that\nexplain alcohol misuse requirements and the policies and procedures with respect to meeting those requirements?\n(DA.ALCOHOL.EDUCATION.R) 199.239(a) (199.239(a)(1);199.239(a)(2))\n16. Alcohol Misuse Program Educational Materials Content Do records indicate the alcohol misuse\neducational materials provided by the operator included the required content? (DA.ALCOHOL.EDUCATIONCONTENT.R) 199.239(b)\n17. Supervisory Personnel Alcohol Testing Reasonable Suspicion Training Does the process include\nthe required 60-minute supervisory personnel training related to recognizing reasonable suspicion for alcohol testing?\n(DA.ALCOHOL.SUPERVISORTRAINALCOHOL.P) 199.241\nDrug and Alcohol - Drug and Alcohol Program Records\n1. Drug and Alcohol Program Recordkeeping Are drug and alcohol program records maintained and kept in a\nsecure and proper location? (DA.PROGRAMRECORDS.RECORDKEEPING.R) 199.117(b)\n(199.227(a);199.231(b);40.333(c);40.333(d);40.333(e))\n2. Required Drug Test Records Are drug test records retained for five years, three years, and one year as required and readily\navailable? (DA.PROGRAMRECORDS.DRUG.R) 199.117(a)\n(199.117(a)(1);199.117(a)(2);199.117(a)(3);199.117(a)(4);199.117(a)(5);40.97(b);40.111(a);40.333(a)(1);40.333(a)(2);40.333(a)(4))\n3. Required Alcohol Test Records Are alcohol test records retained for five years, three years, two years, and one\nyear as required and readily available? (DA.PROGRAMRECORDS.ALCOHOL.R) 199.227(b)\n(199.227(b)(1);199.227(b)(2);199.227(b)(3);199.227(b)(4);40.333(a)(1);40.333(a)(2);40.333(a)(3);40.333(a)(4))\nExcept as required to be disclosed by law, any inspection documentation, including completed protocol forms,\nsummary reports, executive summary reports, and enforcement documentation are for internal use only by federal or\nstate pipeline safety regulators. Some inspection documentation may contain information which the operator\nconsiders to be confidential. In addition, supplemental inspection guidance and related documents in the file library\nJanuary 2022 DA.2022.01 Page 5 of 6\n\n<<<PAGE 6>>>\n\nPHMSA Drug & Alcohol IA Question Set (DA.2022.01)\nare also for internal use only by federal or state pipeline safety regulators (with the exception of documents published\nin the federal register, such as advisory bulletins). Do not distribute or otherwise disclose such material outside of the\nstate or federal pipeline regulatory organizations. Requests for such information from other government organizations\n(including, but not limited to, NTSB, GAO, IG, or Congressional Staff) should be referred to PHMSA Headquarters\nManagement.\nJanuary 2022 DA.2022.01 Page 6 of 6","truncated":false,"body_characters":11460}