• Ensure each employee has an equal chance of being tested each time selections are made.
• Test the selected employees in a way that is unannounced and in a non-predictable manner.
• Conduct random testing at times spread reasonably throughout the calendar year.
• Test enough employees to meet the minimum annual percentage rate set annually by the FAA Administrator and published in the Federal Register each year (copies are available on our website at www.faa.gov/go/drugabatement).
You may decide to hire a C/TPA to help manage your random testing pool and selections. If you do, the C/TPA will need a copy of your current program documentation (i.e., the registration, A449, or A049) to verify that your employees are subject to DOT drug and alcohol testing in accordance with 49 CFR § 40.347(b)(2) and should be included in the random pool. Although the C/TPA is helping to manage your random testing program, you should have a hands-on approach to ensure they are meeting the requirements under 14 CFR §§
120.109(b) and 120.217(c). As the employer, you are responsible for all the actions of your service agents, which includes the C/TPA, as specified in 14 CFR §§ 120.103(c), 120.203(c), and 49 CFR § 40.11(b).
Refer to Appendix B of this AC for more information and best practices for random testing. Additional information (including a random testing video and a sample notification for DOT random testing form) is available at www.faa.gov/go/drugabatement or www.transportation.gov/odapc/employer.
8.3.3 Reasonable Cause/Suspicion Testing. R easonable cause (drug) and suspicion (alcohol) testing are outlined in 14 CFR §§ 120.109(d) and 120.217(d).
This type of testing is used when an employer’s supervisor is trained in detection of symptoms of possible drug and alcohol use and suspects an employee of using a prohibited drug or alcohol. The supervisor’s decision to test must be based on a reasonable and articulable belief of specific contemporaneous physical, behavioral, or performance indicators. Testing cannot be required based solely on a guess or hunch, anonymous tip, or a complaint from another employee. The observations must be based on symptoms of possible drug or alcohol use, which may include an employee’s current appearance, behavior, speech, and/or smell associated with drug or alcohol use. The FAA notes that the regulations do not require a face-to-face evaluation to conclude there is a reasonable and articulable belief that an employee is utilizing a prohibited drug. For example, if your employees work at a location where a trained supervisor is not present (e.g., a remote aircraft dispatcher, mechanic, etc.), you are not obligated to conduct a face-to-face observation in order to require reasonable cause testing and certain performance characteristics may indicate reasonable belief of probable drug use.
14 However, you should establish procedures to conduct a remote evaluation11 (by telephone or video) and ensure your supervisors are trained to detect behavioral or performance indicators when not face-to-face, such as mood swings or changes in attitude or speech.
For reasonable cause drug testing, at least two of the employee's supervisors, one of whom is trained in detection of the symptoms of possible drug use, must substantiate and concur in the decision to test an employee who is reasonably suspected of drug use. For an employer that is not a part 121 certificate holder and that employs 50 or fewer employees who perform safety-sensitive functions, only one supervisor who is trained in the detection of symptoms of possible drug use is required to substantiate and concur in the decision to test.
For reasonable suspicion alcohol testing, the required observations must be made by a supervisor who is trained in detecting the symptoms of alcohol misuse. For alcohol testing, you do not need a second supervisor to make a test determination.
If a test is not administered within 2 hours following a determination, you must prepare and maintain on file a record stating the reasons the test was not promptly administered. If the test is not administered within 8 hours following the determination, you must cease attempts to administer the alcohol test and state in the record the reasons the employee is not tested. You may not take any action against the employee under 14 CFR § 120.217(d) based solely on the employee’s behavior and appearance in the absence of an alcohol test. You are not prohibited from taking any action under your own authority that is otherwise consistent with the law of the state where you operate.
For more information (including an observation checklist), please visit www.faa.gov/go/drugabatement.
8.3.4 Post-Ac cident Testing. An employer must conduct post-accident drug and alcohol testing in accordance with 14 CFR §§ 120.109(c) and 120.217(b) when an employee’s performance either contributed to an accident or cannot be completely discounted as a contributing factor to the accident. For purposes of testing requirements under a 14 CFR part 120, accident is defined in 14 CFR §
120.7(a) as an occurrence associated with the operation of an aircraft that takes place between the time any person boards the aircraft with the intention of flight and all such persons have disembarked in which any person suffers death or serious injury, or the aircraft is substantially damaged. The FAA uses the same definition of serious injury and substantial damage as the National Transportation Safety Board (NTSB) does under 49 CFR part 830.12
11 Refer to FAA’s Chief Counsel letter to Nolan Q. Reidhead, dated January 20, 2016 , for legal interpretation.
12 The NTSB defines serious injury as any injury that (1) Requires hospitalization for more than 48 hours, commencing within 7 days from the date of the injury was received; (2) results in a fracture of any bone (except simple fractures of fingers, toes, or nose); (3) causes severe hemorrhages, nerve, muscle, or tendon damage; (4) involves any internal organ; or (5) involves second- or third-degree burns, or any burns affecting more than 5
When you evaluate the need for post-accident drug and alcohol testing, you should consider the aircraft involved and whether an employee is performing at the time of the accident or not. For example, if the aircraft is registered under a part 119 certificate and used for part 135 operations but is being flown under part 91 (as a check ride or en route to pick up passengers) and there is an accident, the covered pilot is potentially subject to testing. Alternatively, if a corporate aircraft is being flown under part 91 and not registered to the part 135 certificate and there is an accident, testing would not apply.
Testing must be based on the best available information at the time of the accident and meet the following timeframes:
• Drug testing must be conducted as soon as possible, but you must cease attempts to conduct the test after 32 hours. If a test is not administered, it must be based on a determination using the best information available at the time, that the employee’s performance could not have contributed to the accident.
• Alcohol testing must be conducted as soon as practical. If not administered within 2 hours of the accident, you must prepare and maintain on file a statement to explain why it was not promptly administered. You must cease attempts to conduct the test within 8 hours following the accident and maintain the records for two years, as discussed in 14 CFR § 120.219(a)(2)(ii)(C).
If an accident does not meet the criteria outlined above or in the regulation (e.g., a mechanic has a shop incident unrelated to an aircraft accident), you may conduct a test under your own policy using a non-federal or non-DOT testing form. An “incident” would not meet the criteria for an employer or contractor to conduct a DOT/FAA post-accident drug or alcohol test under 14 CFR part 120. Specifically, an incident is defined in 49 CFR part 830 as an occurrence other than an accident, associated with the operation of an aircraft, which affects or could affect the safety of operations. For more information, please visit www.faa.gov/go/drugabatement.
8.3.5 Return-to-Duty Testing. When an employee violates13 14 CFR part 120, that employee cannot work again in a safety-sensitive position until completing Substance Abuse Professional (SAP) evaluation, referral, and education/treatment
percent of the body surface. NTSB defines substantial damage as damage or failure which adversely affects the structural strength, performance, or flight characteristics of the aircraft, and which would normally require major repair or replacement of the affected component. Engine failure or damage limited to an engine if only one engine fails or is damaged, bent fairings or cowling, dented skin, small punctured holes in the skin or fabric, ground damage to rotor or propeller blades, and damage to landing gear, wheels, tires, flaps, engine accessories, brakes, or wingtips are not considered “substantial damage” for the purpose of part 830.”
13 In accordance with 49 CFR § 40.285(b), “a verified positive DOT drug test result, a DOT alcohol test with a result indicating an alcohol concentration of 0.04 or greater, a refusal to test (including by adulterating or substituting a urine specimen) or any other violation of the prohibition on the use of alcohol or drugs under a DOT agency regulation constitutes a DOT drug and alcohol regulation violation.” The FAA’s prohibited conduct violations are listed under 14 CFR part 120, subparts C and D.
16 in accordance with 49 CFR § 40.285(a). If you offer an employee an opportunity to return to safety-sensitive duties following a violation, you must conduct a return-to-duty drug (collected under direct observation for urine testing) or alcohol test in accordance with 14 CFR §§ 120.109(e) and 120.217(e). You must obtain a verified negative drug test result or alcohol test with a breath alcohol concentration of less than 0.02 before permitting the employee to perform safetysensitive work. Keep in mind that you are obligated to conduct the return-to-duty drug or alcohol test based on the violation that triggered the requirement for the test. For example, if an employee tested positive or refused a random drug test, you must conduct a return-to-duty drug test under direct observation or using oral fluids and obtain the verified negative result prior to returning the employee to work.
If you a re hiring an employee who had a previous drug violation and successfully completed the SAP’s education and/or treatment but did not have a return-to-duty test, you may use the negative return-to-duty drug test result to meet your obligation for a pre-employment drug test under 14 CFR § 120.109(a)(1). In this situation, you would include a statement attached to the return-to-duty test result or an annotation on the federal drug testing custody and control form (CCF) explaining that the direct observation return-to-duty test is also serving as the applicant’s or employee’s pre-employment test. If the test is conducted using urine, you must ensure it is collected under direct observation.
For more information (including a checklist on what actions to take and return-toduty testing video), please visit www.faa.gov/go/drugabatement.
8.3.6 Follow-Up T esting. An employer must implement the follow-up testing in accordance with the SAP’s directions and 14 CFR §§ 120.109(f) and 120.217(f) after an employee returns to work following a violation. The amount and frequency of follow-up testing is determined by the SAP, and you must have the SAP’s plan for any employee who returns to duty. You must ensure that the SAP’s follow-up plan meets the minimum of six unannounced tests in the first 12 months and does not exceed 60 months from the individual’s return to the performance of safety-sensitive functions, in accordance with 49 CFR §
40.307(d). You must ensure that the SAP’s initial and follow-up eval uations include the information required by 49 CFR § 40.311(c) and (d) and that the SAP’s follow-up testing directions are clear and consistent with 49 CFR part 40, subpart O. If something in the report is missing or er roneous, you must contact the SAP to make sure it is compliant with the rules. Remember that each employer is responsible for the actions of its service agent, including the SAP, in accordance with 14 CFR §§ 120.103(c) and 120.203(c), and 49 CFR § 40.11(b). If you accept a report that does not meet the rule when returning an employee to duty and starting the follow-up testing, you may be held accountable for any errors in the SAP’s report.
17 You must carry out the testing in accordance with the SAP’s direction and schedule tests on the date of your own choosing once the employee is hired or returns to duty as specified in 49 CFR § 40.309. If the follow-up tests are conducted using urine, you must ensure that all follow-up drug tests are collected under direct observation unless you authorize oral fluid testing. According to the DOT, if you discover an error in your employee’s follow-up testing, either a missed test or one or more tests are not collected under direct observation, you must conduct the missing test(s) or restart the program in accordance with 49 CFR § 40.307(e). You must document the actions you take to fix any errors in the follow-up testing, and we encourage you to contact FAA’s Drug Abatement Division at drugabatement@faa.gov or 202-267-8442 for assistance.
For more information (including a return-to-duty video), please visit www.faa.gov/go/drugabatement.
8.3.7 Retesting for Alcohol. Under 14 CFR § 120.217(g), an employer must retest a covered employee to ensure compliance with the provisions outlined in 14 CFR § 120.221(f) when you choose to permit an employee to perform safetysensitive functions within 8 hours following a confirmation alcohol test indicating an alcohol concentration of 0.02 or greater but less than 0.04. You do not take any action under part 40 against the employee based solely on a test result showing an alcohol concentration less than 0.04. However, a company is not prohibited from taking action otherwise consistent with the law under its own independent authority.
8.4 Wh en to Test. An employer should take care in determining when to test an employee. The timing for random drug testing is different than the timing for random alcohol testing and also differs by the type of test. Employees are subject to drug testing regardless of when the safety-sensitive functions are being performed. This is because using a prohibited drug is illegal and never permitted. However, alcohol is a legal substance, the use of which is prohibited by FAA regulations within prescribed periods related to the performance of safety-sensitive functions. For example, an employee should be notified to report for follow-up alcohol testing under 14 CFR § 120.217(f)(5) while the employee is performing safety-sensitive functions, just before the employee is to perform safety-sensitive functions, or just after the employee has ceased performing such functions. By contrast, any employee may be notified to report for a follow-up drug test under 14 CFR § 120.109(f).
Before you notify an employee for testing, it is important to verify that the collection facility is ready and available for testing. This includes ensuring it can conduct a direct observation test, alcohol test with a working evidential breath testing device, and complete the test prior to closing. Once you notify the employee to report for testing, you must ensure the employee proceeds immediately to the collection facility and the test is completed. If the test is not completed, you are obligated to investigate the situation and determine whether the employee refused to test under 49 CFR §§ 40.191 or 40.261.
8.5 Hiring or Transferring a Safety-Sensitive Employee. Whether you hire an applicant to perform safety-sensitive functions or transfer a non-covered employee into a safety-sensitive position, there are other requirements you must follow in addition to the testing described in Section 7.3 of this AC.
8.5.1 Drug and Alcohol Records Check. Under 49 CFR § 40.25, an employer must check the drug and alcohol testing record of employees it intends to use to perform safety-sensitive duties. Specifically, under these requirements, each employer must obtain an employee’s written consent14 and request drug and alcohol testing information from DOT-regulated15 employers who employed the employee during the two years prior to the date of the employee’s application or transfer into a safety-sensitive position. If feasible, you must obtain and review this information before the employee first performs safety-sensitive functions. If this is not feasible, you must obtain and review the information as soon as possible. Regardless, you must not permit the employee to perform safetysensitive functions after 30 days from the date on which the employee first performed safety-sensitive functions, unless you have obtained or made and documented a “good faith effort” to obtain the consent and drug and alcohol testing information from the DOT regulated employers from the past two years.
The DOT published a Q&A16 stating it considers a good faith effort to consist of a documented attempt or attempts to obtain drug and alcohol testing records from a former employer (e.g., return-receipt, fax confirmation, email reply, or phone call). Information indicating that the former employer did not receive the attempt
(e.g., mail returned “undeliverable as addressed,” fax did not transmit, email returned as undeliverable, phone call not returned) may require an additional attempt. You must retain your documented efforts for three years from the date of the employee’s first performance of safety-sensitive duties for you pursuant to 49 CFR § 40.25(i).
If you hire a pilot to perform flight crewmember duties, you are obligated under 14 CFR part 111 to query the FAA’s Pilot Records Database (PRD).17 The FAA’s PRD Advisory Circular (AC 120-68) provided more information, and you can contact the FAA’s PRD Support Office at 9-amc-avs- PRDSupport@faa.gov for help accessing the PRD and questions about the information obtained via PRD.
Information obtained via PRD does not satisfy the requirements under 49 CFR §
40.25.
14 You must ensure the employee signs the written consent form. Electronic or digital signatures by the employee or applicant are prohibited when requesting drug and alcohol records under 49 CFR § 40.25.
15 You may request a former FAA employee’s testing information from the FAA’s Internal Substance Abuse Program Office at 202-267-0238.
16 See DOT Rule 49 CFR § 40.25 Q&A | U.S. Department of Transportation.
17 FAA’s Pilot Records Improvement Act (PRIA) of 1996 and FAA Form 8060 -12 were discontinued after September 9, 2024, and are no longer applicable.
19 If the previous employer is nonresponsive to your request under 49 CFR § 40.25, contact the FAA’s Drug Abatement Division at drugabatement@faa.gov and provide a copy of the written release and documentation of your efforts so we may verify the employer has an active DOT/FAA drug and alcohol testing program or find out why the employer is not responding to a request in accordance with 49 CFR § 40.25(h).
You must ask employees if they tested positive, or refused to test, on any preemployment drug or alcohol test within the previous two years of their application and were not hired for the position, as required by 49 CFR § 40.25(j). If they answer yes, you are prohibited from allowing the employee to perform safetysensitive functions for you, until and unless the employee documents successful completion of the return-to-duty process. If the employee is not able to provide any documentation and you offer the employee an opportunity to perform safetysensitive duties, you must ensure that the employee 1) has been evaluated by an SAP (meeting the requirements under § 40.281) 2) successfully complied with the SAP’s evaluation in accordance with 49 CFR § 40.289 and 3) passes a return-toduty test in accordance with 49 CFR § 40.305 and 14 CFR §§ 120.109(e) or
120.217(e). This requirement is separate from the records check and you cannot include the answer to the question about prior pre-employment violations to comply with 49 CFR § 40.25(j) on your written release sent to al l or any previous employers.
For more information (including a sample written release and relevant published legal interpretation(s)), please visit www.faa.gov/go/drugabatement.
8.5.2 Initial Training and Education for Employees and their Supervisors.
Whe n you hire or transfer an employee into a safety-sensitive position, you must:
• Conduct initial training under your Employee Assistance Program (EAP) in accordance with 14 CFR § 120.115.
• Display and distribute educational materials on drug use, a community service hot-line telephone number for employee assistance, and the employer’s drug policy and document the distribution in accordance with 14 CFR § 120.115.
• Distribute alcohol educational materials and document the distribution in accordance with 14 CFR §§ 120.219 and 120.223.
Your testing policy will often be part of your EAP training and alcohol misuse education since it contains the effects and consequences of drug use and alcohol misuse. In addition to training and education for employees, the EAP must include education and training on drug use for training for supervisors who make determinations for testing of employees based on reasonable cause, as subsequently discussed in section 7.5.3 of this AC. Neither the FAA nor the DOT have a training program available online. However, you will find resources on www.faa.gov/go/drugabatement and www.transportation.gov/odapc that will help
20 you develop your own training or policies. There are many service agents within the territory of the United States that are happy to help you!
Although you are only obligated under the regulation to conduct initial training, you and your employees may benefit from training on an annual basis. Education and awareness can aid someone in receiving the help they may need.
8.5.3 Supervisor Training. Under 14 CFR § 120.115(c), each employer must conduct initial and recurrent supervisory training for personnel who will determine when an employee is subject to testing based on reasonable cause. The training must include specific and contemporaneous physical, behavioral, and performance indicators of probable drug use. This is in addition to the initial training provided to employees about the (i) effects and consequences of drug use on individual health, safety, and work environment; and (ii) manifestations and behavioral cues that may indicate drug use and abuse under 14 CFR § 120.115(c)(1). You must ensure that supervisors who will make reasonable cause determinations receive at least 60 minutes of initial training and receive recurrent training at reasonable intervals. Although a timeframe for reasonable recurrent training is not defined in 14 CFR part 120, the FAA believes it is a best practice to conduct the recurrent training on a 12 to 18-month schedule.
You must also ensure that supervisors who make reasonable suspicion determinations for alcohol testing receive at least 60 minutes of training on the physical, behavioral, speech, and performance indicators of probable alcohol misuse in accordance with 14 CFR § 120.223(b). Although you are not obligated under the regulations to conduct recurrent training for supervisors making reasonable suspicion alcohol determinations, we believe it is best practice to include a review of the alcohol testing requirements while conducting recurrent training for drug testing.
8.6 Re porting and Recordkeeping Requirements.
8.6.1 Employee Violation Reporting. An employer or its service agent must report the following types of violations in accordance with 14 CFR §§ 120.111(d),
120.113(d), 120.221(c), 120.221(d), and 49 CFR § 40.23(h):
• All verified positive drug test results or refusals to submit to testing for individuals who hold or would be required to hold an airman medical certificate issued under 14 CFR part 67.
• All alcohol misuse violations (including a confirmed result with a breath alcohol concentration of 0.04 or greater; on-duty use; pre-duty use; use following an accident; or refusal to test) for individuals who hold or would be required to hold an airman medical certificate issued under 14 CFR part 67.
• All refusals to submit to drug or alcohol testing for individuals who are subject to drug and alcohol testing under 14 CFR part 120 and hold a certificate issued under 14 CFR part 61, 63, or 65.
For more information (including sample reporting forms), please visit www.faa.gov/go/drugabatement.
8.6.2 Management Information System (MIS) Reporting. Employers must repor t their testing statistics on an annual basis in accordance with the MIS requirements outlined in 14 CFR §§ 120.119(a) and 120.219(b). Reports must be submitted to the FAA by March 15 of the succeeding calendar year for the prior calendar year (January 1 through December 31). The requirement to report applies to all part 121 operators; all employers with 50 or more safety-sensitive employees; and all other employers notified by the FAA in writing of the requirement to submit a report. For more information and MIS instructions, please visit www.faa.gov/go/drugabatement.
8.6.3 Recordkeeping Requirements. Each employer must maintain records in accordance with 14 CFR §§ 120.113(d)(6) and 120.219(a)(2)(i) and (ii), and 49 CFR § 40.333. You are prohibited from sha ring confidential test information with a third party in accordance with 14 CFR §§ 120.111(c) and 120.219(c) , and 49 CFR § 40.321. A third party is defined in 49 CFR § 40.321 as any person or organization to whom other subparts of part 40 do not explicitly authorize or require the transmission of information in the course of the drug and alcohol testing process. A third party may include another employer’s auditor or managed service provider. You are obligated to protect your employee’s expectations of privacy and confidentiality in the testing program. The retention requirements are different depending on the result and type of test. For a list of the recordkeeping time requirements, please refer to the FAA’s Frequently Asked Question at www.faa.gov/go/drugabatement and the DOT’s document at www.transportation.gov/odapc/employer.
You are permitted to maintain your DOT/FAA drug and alcohol testing records electronically; however, they must be easily accessible, legible, formatted, and stored in an organized and reviewable manner. If your electronic records do not meet these criteria, you must convert them to printed documentation in a rapid and readily auditable manner as requested by the FAA in accordance with 49 CFR § 40.333(e). For more information, please visit www.faa.gov/go/drugabatement.
8.6.4 Emergency Maintenance. Under 14 CFR § 120.35(b), no certificate holder or operator may use any contractor to perform a safety-sensitive function unless that contractor tests each employee performing such a function in accordance with subpart E of 14 CFR part 120 (Drug Testing Progra m Requirements). However, 14 CFR §§ 120.35(c) and 120.39(c) provide relief in some emergency maintenance situations. A certificate holder or operator as defined in 14 CFR § 91.147 that conducts an on-demand operation into an airport (either domestic or abroad) or air tour operations at which no maintenance providers are available may use individuals not covered under a FAA-mandated testing program to provide emergency maintenance, subject to certain
22 conditions.18 Specifically, you must ensure that maintenance personnel who are covered reinspect the aircraft when the aircraft is next at an airport where maintenance personnel are available, and you must report the emergency maintenance to the Drug Abatement Division within 10 days of learning about the emergency maintenance (see 14 CFR § 120.35(c)(1) and (2)). For information about reporting emergency maintenance (including a sample reporting form), please visit www.faa.gov/go/drugabatement.
9 ACTIONS WHEN A COVERED EMPLOYEE OR APPLICANT VIOLATES 14 CFR PART 120. Each employer must establish its company policy in accordance with 14 CFR §§
120.115 and 120.219 to address covered employees who violate 14 CFR part 120. You are not required to return an employee to safety-sensitive duties after they successfully complied with the SAP’s evaluation and passed a return-to-duty test. This is a personnel decision at the discretion of each employer, subject to collective bargaining agreements or other legal requirements in accordance with 49 CFR § 40.305(b). It is important that you are prepared to act when a violation occurs.
• Yo u must immediately remove a covered employee from safety-sensitive functions under 14 CFR part 120, subpart C and D, and 49 CFR § 40.23. If the individual is an applicant for a covered position, you are prohibited from hiring the individual until you have a negative pre-employment drug test result as specified in 14 CFR §
120.109(a)(1). If your policy is to terminate an employee after a violation, you must remove them from the random testing pool under 14 CFR §§ 120.109(b)(6)(B) and
120.217(c)(6)(B).
• You must provide a listing of DOT-qualified SAPs to the covered employee or applicant in accordance with 49 CFR § 40.287.
• If the individual holds a medical certificate issued under 14 CFR part 67, you and/or your MRO must report the violation to the FAA’s Federal Air Surgeon within two working days in accordance with 14 CFR §§ 120.113(d)(1) and 120.221(c), and 49 CFR § 40.23(h).
• If the individual holds an airman certificate issued under 14 CFR part 61, 63 or 65 and refuses to submit to a drug or alcohol test conducted under 14 CFR part 120, you must report the violation to the FAA’s Drug Abatement Division within two working days in accordance with 14 CFR §§ 120.111(d) and 120.221(d).
• If you employed the individual as a pilot at the time of the violation, you must enter the information in the FAA’s PRD within 30 calendar days in accordance with 14 CFR § 111.220.19 For more information about entering information or accessing the PRD, please contact the PRD support office at 9-am c-avs-PRDSupport@faa.gov.
• You must maintain the records of your reports to the FAA and the result for the minimum retention period in accordance with 14 CFR §§ 120.113(d)(6) and
120.219(a)(2)(i) and (ii), and 49 CFR § 40.333.
18 Emergency maintenance covers maintenance that is not scheduled and is necessitated by an aircraft condition not discovered prior to the departure for that location in accordance with 14 CFR §§ 120.35(d) and 120.39(d).
19 If a pilot’s violation is related to a pre-employment test and reported to the FAA’s Federal Air Surgeon, it will be added to the PRD by the FAA as an FAA record in accordance with 14 CFR § 111.135(e).
For more information, (including a checklist, sample reports, a return-to-duty procedure video, and employee or employer guide), please visit www.faa.gov/go/drugabatement and www.transportation.gov/odapc
10 PROGRAM AUDITS AND VOLUNTARY DISCLOSURE REPORTING OF APPARENT VIOLATIONS. We believe it is a best practice to self-audit your DOT/FAA- mandated drug and alcohol testing program as well as your service agents (if applicable).
The DOT published a DOT’s Employer Collection Site Audit Brochure and our Inspection Guide as resources to help employers establish their own auditing process. As an employer, it is your responsibility to ensure you have the knowledge to support your company’s compliance with the DOT/FAA drug and alcohol testing regulations (14 CFR part 120 and 49 CFR part 40). In addition, each e mployer is responsible for all actions of its officials, representatives, and agents (including service agents) in carrying out the requirements of the DOT’s procedural regulations in accordance with 49 CFR § 40.11(b). If you conduct your own audits and/or discover an instance of noncompliance with the drug and alcohol testing rules, you may voluntarily report the issue under FAA’s Voluntary Disclosure Reporting Program (VDRP) on a timely basis and without delay. The Drug Abatement Division’s VDRP is outlined in Advisory Circular 120-117 and available to any regulated employer.
Once the A449, A049, or registration is active, you are subject to surveillance20 (either during an inspection or investigation) by an FAA Drug and Alcohol Compliance and Enforcement Inspector to ensure compliance with the DOT and FAA testing rules. To facilitate your inspection or investigation, it is important that your DER can describe and discuss your company’s testing program and provide the documentation requested by the FAA’s inspector. In accordance with 49 CFR § 40.331, you must release all written, printed, and computer-based records and reports, files, materials, data, documents/documentation, agreements, contracts, policies, and statements related to your drug and alcohol testing program. Our inspector may also need to review some of the following types of records to verify your compliance:
• Employment records (e.g., records of hire, transfer or termination, and applications or resumes).
• Documentation of your safety-sensitive positions (e.g., position descriptions).
• Documentation of an employee’s performance of a safety-sensitive function (e.g., flight logs, duty records, timesheets, work orders, invoices, receipts, and other maintenance records).
For an announced inspection, we will send you a letter of notification (LON) and provide a record s list. Please adhere to the instructions outlined in the LON and take the time to review FAA Order 9120.1 and our Frequently Asked Question for more information about planning
20 FAA Order 9120.1 (as amended), titled ‘Drug and Alcohol Compliance and Enforcement Surveillance Handbook’ outlines the surveillance procedures used by the Drug Abatement Division to assess compliance of aviation industry employers, contractors, and service agents with the drug and alcohol testing requirements under 14 CFR part 120 and 49 CFR part 40. The Omnibus Transportation Employee Testing Act of 1991 (49 USC §§ 45101- 45107) and the FAA’s general statutory safety authority outlined in 49 USC §§ 106(g), 40113(a), and 44701 provide the authority to conduct the inspections and investigations described in the aforementioned order.
24 for your inspection or tools to implement your own audit process. We encourage you to provide records in a manner that best helps facilitate the inspection.
Susan E. Nor thrup, M.D.
Federal Air Surgeon Office of Aerospace Medicine, AAM-1