This appendix contains the standards and components that must be
included in an antidrug program required by this chapter.
I. General
A. Purpose. The purpose of this appendix is to establish a
program designed to help prevent accidents and injuries resulting from the
use of prohibited drugs by employees who perform safety-sensitive
functions.
B. DOT Procedures. Each employer shall ensure that drug testing
programs conducted pursuant to 14 CFR parts 65, 121, and 135 comply with
the requirements of this appendix and the "Procedures for Transportation
Workplace Drug Testing Programs" published by the Department of
Transportation (DOT) (49 CFR part 40). An employer may not use or contract
with any drug testing laboratory that is not certified by the Department
of Health and Human Services (HHS) under the National Laboratory
Certification Program.
C. Employer Responsibility. As an employer, you are responsible
for all actions of your officials, representatives, and service agents in
carrying out the requirements of this appendix and 49 CFR part 40.
II. Definitions. For the purpose of this appendix, the following
definitions apply:
Accident means an occurrence associated with the operation of an
aircraft which takes place between the time any person boards the aircraft
with the intention of flight and all such persons have disembarked, and in
which any person suffers death or serious injury, or in which the aircraft
receives substantial damage.
Annualized rate for the purposes of unannounced testing of
employees based on random selection means the percentage of specimen
collection and testing of employees performing a safety-sensitive function
during a calendar year. The employer shall determine the annualized rate
by referring to the total number of employees performing a
safety-sensitive function for the employer at the beginning of the
calendar year.
Contractor company means a company that has employees who
perform safety-sensitive functions by contract for an employer.
DOT agency means an agency (or "operating administration") of
the United States Department of Transportation administering regulations
requiring drug testing (14 CFR part 61 et al.; 46 CFR part 16; 49 CFR
parts 199, 219, and 382) in accordance with 49 CFR part 40.
Employee is a person who performs, either directly or by
contract, a safety-sensitive function for an employer, as defined below.
Provided, however, that an employee who works for an employer who holds a
part 135 certificate and who holds a part 121 certificate is considered to
be an employee of the part 121 certificate holder for the purposes of this
appendix.
Employer is a part 121 certificate holder, a part 135
certificate holder, an operator as defined in §135.1(c) of this chapter,
or an air traffic control facility not operated by the FAA or by or under
contract to the U.S. military. Provided, however, that an employer may use
a person who is not included under that employer's drug program to perform
a safety-sensitive function, if that person is subject to the requirements
of another employer's FAA-approved antidrug program.
Performing (a safety-sensitive function): an employee is
considered to be performing a safety-sensitive function during any period
in which he or she is actually performing, ready to perform, or
immediately available to perform such function.
Positive rate means the number of positive results for random
drug tests conducted under this appendix plus the number of refusals to
take random tests required by this appendix, divided by the total number
of random drug tests conducted under this appendix plus the number of
refusals to take random tests required by this appendix.
Prohibited drug means marijuana, cocaine, opiates, phencyclidine
(PCP), and amphetamines, as specified in 49 CFR 40.85.
Refusal to submit means that a covered employee engages in
conduct specified in 49 CFR 40.191.
Safety-sensitive function means a function listed in section III
of this appendix.
Verified negative drug test result means a drug test result from
an HHS-certified laboratory that has undergone review by an MRO and has
been determined by the MRO to be a negative result.
Verified positive drug test result means a drug test result from
an HHS-certified laboratory that has undergone review by an MRO and has
been determined by the MRO to be a positive result.
III. Employees Who Must Be Tested. Each person who performs a
safety-sensitive function directly or by contract for an employer must be
tested pursuant to an FAA-approved antidrug program conducted in
accordance with this appendix:
A. Flight crewmember duties.
B. Flight attendant duties.
C. Flight instruction duties.
D. Aircraft dispatcher duties.
E. Aircraft maintenance or preventive maintenance duties.
F. Ground security coordinator duties.
G. Aviation screening duties.
H. Air traffic control duties.
IV. Substances for Which Testing Must Be Conducted. Each
employer shall test each employee who performs a safety-sensitive function
for evidence of marijuana, cocaine, opiates, phencyclidine (PCP), and
amphetamines during each test required by section V. of this appendix.
V. Types of Drug Testing Required. Each employer shall conduct
the following types of testing in accordance with the procedures set forth
in this appendix and the DOT "Procedures for Transportation Workplace Drug
Testing Programs" (49 CFR part 40):
A. Pre-employment Testing.
1. Prior to the first time an individual performs a safety-sensitive
function for an employer, the employer shall require the individual to
undergo testing for prohibited drug use.
2. An employer is permitted to require pre-employment testing of an
individual if the following criteria are met:
(a) The individual previously performed a covered function for the
employer;
(b) The employer removed the individual from the employer's random
testing program conducted under this appendix for reasons other than a
verified positive test result on an FAA-mandated drug test or a refusal to
submit to such testing; and
(c) The individual will be returning to the performance of a
safety-sensitive function.
3. No employer shall allow an individual required to undergo
pre-employment testing under section V, paragraphs A.1 or A.2 of this
appendix to perform a safety-sensitive function unless the employer has
received a verified negative drug test result for the individual.
4. The employer shall advise each individual applying to perform a
safety-sensitive function at the time of application that the individual
will be required to undergo pre-employment testing to determine the
presence of marijuana, cocaine, opiates, phencyclidine (PCP), and
amphetamines, or a metabolite of those drugs in the individual's system.
The employer shall provide this same notification to each individual
required by the employer to undergo pre-employment testing under section
V, paragraph A.(2) of this appendix.
B. Periodic Testing. Each employee who performs a
safety-sensitive function for an employer and who is required to undergo a
medical examination under part 67 of this chapter shall submit to a
periodic drug test. The employee shall be tested for the presence of
marijuana, cocaine, opiates, phencyclidine (PCP), and amphetamines, or a
metabolite of those drugs during the first calendar year of implementation
of the employer's antidrug program. The tests shall be conducted in
conjunction with the first medical evaluation of the employee or in
accordance with an alternative method for collecting periodic test
specimens detailed in an employer's approved antidrug program. An employer
may discontinue periodic testing of its employees after the first calendar
year of implementation of the employer's antidrug program when the
employer has implemented an unannounced testing program based on random
selection of employees.
C. Random Testing.
1. Except as provided in paragraphs 2-4 of this section, the minimum
annual percentage rate for random drug testing shall be 50 percent of
covered employees.
2. The Administrator's decision to increase or decrease the minimum
annual percentage rate for random drug testing is based on the reported
positive rate for the entire industry. All information used for this
determination is drawn from the statistical reports required by section X
of this appendix. In order to ensure reliability of the data, the
Administrator considers the quality and completeness of the reported data,
may obtain additional information or reports from employers, and may make
appropriate modifications in calculating the industry positive rate. Each
year, the Administrator will publish in the FEDERAL REGISTER the minimum
annual percentage rate for random drug testing of covered employees. The
new minimum annual percentage rate for random drug testing will be
applicable starting January 1 of the calendar year following publication.
3. When the minimum annual percentage rate for random drug testing is
50 percent, the Administrator may lower this rate to 25 percent of all
covered employees if the Administrator determines that the data received
under the reporting requirements of this appendix for two consecutive
calendar years indicate that the reported positive rate is less than 1.0
percent.
4. When the minimum annual percentage rate for random drug testing is
25 percent, and the data received under the reporting requirements of this
appendix for any calendar year indicate that the reported positive rate is
equal to or greater than 1.0 percent, the Administrator will increase the
minimum annual percentage rate for random drug testing to 50 percent of
all covered employees.
5. The selection of employees for random drug testing shall be made by
a scientifically valid method, such as a random-number table or a
computer-based random number generator that is matched with employees'
Social Security numbers, payroll identification numbers, or other
comparable identifying numbers. Under the selection process used, each
covered employee shall have an equal chance of being tested each time
selections are made.
6. The employer shall randomly select a sufficient number of covered
employees for testing during each calendar year to equal an annual rate
not less than the minimum annual percentage rate for random drug testing
determined by the Administrator. If the employer conducts random drug
testing through a Consortium/Third-party administrator (C/TPA), the number
of employees to be tested may be calculated for each individual employer
or may be based on the total number of covered employees covered by the C/TPA
who are subject to random drug testing at the same minimum annual
percentage rate under this part or any DOT drug testing rule.
7. Each employer shall ensure that random drug tests conducted under
this appendix are unannounced and that the dates for administering random
tests are spread reasonably throughout the calendar year.
8. If a given covered employee is subject to random drug testing under
the drug testing rules of more than one DOT agency, the employee shall be
subject to random drug testing at the percentage rate established for the
calendar year by the DOT agency regulating more than 50 percent of the
employee's function.
9. If an employer is required to conduct random drug testing under the
drug testing rules of more than one DOT agency, the employer may --
(a) Establish separate pools for random selection, with each pool
containing the covered employees who are subject to testing at the same
required rate; or
(b) Randomly select covered employees for testing at the highest
percentage rate established for the calendar year by any DOT agency to
which the employer is subject.
10. An employer required to conduct random drug testing under the anti
drug rules of more than one DOT agency shall provide each such agency
access to the employer's records of random drug testing, as determined to
be necessary by the agency to ensure the employer's compliance with the
rule.
D. Post-accident Testing. Each employer shall test each employee
who performs a safety-sensitive function for the presence of marijuana,
cocaine, opiates, phencyclidine (PCP), and amphetamines, or a metabolite
of those drugs in the employee's system if that employee's performance
either contributed to an accident or can not be completely discounted as a
contributing factor to the accident. The employee shall be tested as soon
as possible but not later than 32 hours after the accident. The decision
not to administer a test under this section must be based on a
determination, using the best information available at the time of the
determination, that the employee's performance could not have contributed
to the accident. The employee shall submit to post-accident testing under
this section.
E. Testing Based on Reasonable Cause. Each employer shall test
each employee who performs a safety-sensitive function and who is
reasonably suspected of using a prohibited drug. Each employer shall test
an employee's specimen for the presence of marijuana, cocaine, opiates,
phencyclidine (PCP), and amphetamines, or a metabolite of those drugs. An
employer may test an employee's specimen for the presence of other
prohibited drugs or drug metabolites only in accordance with this appendix
and the DOT "Procedures for Transportation Workplace Drug Testing
Programs" (49 CFR part 40). At least two of the employee's supervisors,
one of whom is trained in detection of the symptoms of possible drug use,
shall substantiate and concur in the decision to test an employee who is
reasonably suspected of drug use; provided, however, that in the case of
an employer other than a part 121 certificate holder who employs 50 or
fewer employees who perform safety-sensitive functions, one supervisor who
is trained in detection of symptoms of possible drug use shall
substantiate the decision to test an employee who is reasonably suspected
of drug use. The decision to test must be based on a reasonable and
articulable belief that the employee is using a prohibited drug on the
basis of specific contemporaneous physical, behavioral, or performance
indicators of probable drug use.
F. Return to Duty Testing. Each employer shall ensure that
before an individual is returned to duty to perform a safety-sensitive
function after refusing to submit to a drug test required by this appendix
or receiving a verified positive drug test result on a test conducted
under this appendix the individual shall undergo a return to duty drug
test. No employer shall allow an individual required to undergo return to
duty testing to perform a safety-sensitive function unless the employer
has received a verified negative drug test result for the individual. The
test cannot occur until after the SAP has determined that the employee has
successfully complied with the prescribed education and/or treatment.
G. Follow-up Testing. 1. Each employer shall implement a
reasonable program of unannounced testing of each individual who has been
hired to perform or who has been returned to the performance of a
safety-sensitive function after refusing to submit to a drug test required
by this appendix or receiving a verified positive drug test result on a
test conducted under this appendix.
2. The number and frequency of such testing shall be determined by the
employer's Substance Abuse Professional conducted in accordance with the
provisions of 49 CFR part 40, but shall consist of at least six tests in
the first 12 months following the employee's return to duty.
3. The employer must direct the employee to undergo testing for alcohol
in accordance with appendix J of this part, in addition to drugs, if the
Substance Abuse Professional determines that alcohol testing is necessary
for the particular employee. Any such alcohol testing shall be conducted
in accordance with the provisions of 49 CFR part 40.
4. Follow-up testing shall not exceed 60 months after the date the
individual begins to perform or returns to the performance of a
safety-sensitive function. The Substance Abuse Professional may terminate
the requirement for follow-up testing at any time after the first six
tests have been conducted, if the Substance Abuse Professional determines
that such testing is no longer necessary.
VI. Administrative and Other Matters. A. MRO Record Retention
Requirements. 1. Records concerning drug tests confirmed positive by
the laboratory shall be maintained by the MRO for 5 years. Such records
include the MRO copies of the custody and control form, medical
interviews, documentation of the basis for verifying as negative test
results confirmed as positive by the laboratory, any other documentation
concerning the MRO's verification process.
2. Should the employer change MROs for any reason, the employer shall
ensure that the former MRO forwards all records maintained pursuant to
this rule to the new MRO within ten working days of receiving notice from
the employer of the new MRO's name and address.
3. Any employer obtaining MRO services by contract, including a
contract through a C/TPA, shall ensure that the contract includes a
recordkeeping provision that is consistent with this paragraph, including
requirements for transferring records to a new MRO.
B. Access to Records. The employer and the MRO shall permit the
Administrator or the Administrator's representative to examine records
required to be kept under this appendix and 49 CFR part 40. The
Administrator or the Administrator's representative may require that all
records maintained by the service agent for the employer must be produced
at the employer's place of business.
C. Release of Drug Testing Information. An employer shall
release information regarding an employee's drug testing results,
evaluation, or rehabilitation to a third party in accordance with 49 CFR
part 40. Except as required by law, this appendix, or 49 CFR part 40, no
employer shall release employee information.
D. Refusal to Submit to Testing. 1. Each employer shall notify
the FAA within 5 working days of any employee who holds a certificate
issued under part 61, part 63, or part 65 of this chapter who has refused
to submit to a drug test required under this appendix. Notification should
be sent to: Federal Aviation Administration, Office of Aviation Medicine,
Drug Abatement Division (AAM-800), 800 Independence Avenue, SW.,
Washington, DC 20591.
2. Employers are not required to notify the above office of refusals to
submit to pre-employment or return to duty testing.
E. Permanent Disqualification From Service. An employee who has
verified positive drug test results on two drug tests required by appendix
I to part 121 of this chapter and conducted after September 19, 1994 is
permanently precluded from performing for an employer the safety-sensitive
duties the employee performed prior to the second drug test.
2. An employee who has engaged in prohibited drug use during the
performance of a safety-sensitive function after September 19, 1994 is
permanently precluded from performing that safety-sensitive function for
an employer.
VII. Medical Review Officer/Substance Abuse Professional, and
Employer Responsibilities. The employer shall designate or appoint a
Medical Review Officer (MRO) who shall be qualified in accordance with 49
CFR part 40 and shall perform the functions set forth in 49 CFR part 40
and this appendix. If the employer does not have a qualified individual on
staff to serve as MRO, the employer may contract for the provision of MRO
services as part of its drug testing program.
A. Medical Review Officer (MRO). The MRO must perform the
functions set forth in 49 CFR part 40, Subpart G, and this appendix. The
MRO shall not delay verification of the primary test result following a
request for a split specimen test unless such delay is based on reasons
other than the fact that the split specimen test result is pending. If the
primary test result is verified as positive, actions required under this
rule (e.g., notification to the Federal Air Surgeon, removal from
safety-sensitive position) are not stayed during the 72-hour request
period or pending receipt of the split specimen test result.
B. Substance Abuse Professional (SAP). The SAP must perform the
functions set forth in 49 CFR part 40, Subpart O.
C. Additional Medical Review Officer, Substance Abuse Professional,
and Employer Responsibilities Regarding 14 CFR part 67 Airman Medical
Certificate Holders. 1. As part of verifying a confirmed positive test
result, the MRO shall inquire, and the individual shall disclose, whether
the individual is or would be required to hold a medical certificate
issued under 14 CFR part 67 to perform a safety-sensitive function for the
employer. If the individual answers in the negative, the MRO shall then
inquire, and the individual shall disclose whether the individual
currently holds a medical certificate issued under 14 CFR part 67. If the
individual answers in the affirmative to either question, in addition to
notifying the employer in accordance with 49 CFR part 40, the MRO must
forward to the Federal Air Surgeon, at the address listed in paragraph 5,
the name of the individual, along with identifying information and
supporting documentation, within 12 working days after verifying a
positive drug test result.
2. The SAP shall inquire, and the individual shall disclose, whether
the individual is or would be required to hold a medical certificate
issued under 14 CFR part 67 of this chapter to perform a safety sensitive
function for the employer. If the individual answers in the affirmative,
the SAP cannot recommend that the individual be returned to a
safety-sensitive function that requires the individual to hold a 14 CFR
part 67 medical certificate unless and until such individual has received
a medical certificate or a special issuance medical certificate from the
Federal Air Surgeon. The receipt of a medical certificate or a special
issuance medical certificate does not alter any obligations otherwise
required by 49 CFR part 40 or this appendix.
3. The employer must forward to the Federal Air Surgeon a copy of any
report provided by the SAP, if available, regarding an individual for whom
the MRO has provided a report to the Federal Air Surgeon under section
VII.C.1 of this appendix, within 12 working days of the employer's receipt
of the report.
4. The employer cannot permit an employee who is required to hold a
medical certificate under part 67 of this chapter to perform a
safety-sensitive duty to resume that duty until the employee has received
a medical certificate or a special issuance medical certificate from the
Federal Air Surgeon unless and until the employer has ensured that the
employee meets the return-to-duty requirements in accordance with 49 CFR
part 40.
5. Reports required under this section shall be forwarded to the
Federal Air Surgeon, Federal Aviation Administration, Attn: Drug Abatement
Division (AAM-800), 800 Independence Avenue, SW., Washington, DC 20591.
VIII. Employee Assistance Program (EAP). The employer shall
provide an EAP for employees. The employer may establish the EAP as a part
of its internal personnel services or the employer may contract with an
entity that will provide EAP services to an employee. Each EAP must
include education and training on drug use for employees and training for
supervisors making determinations for testing of employees based on
reasonable cause.
A. EAP Education Program. Each EAP education program must
include at least the following elements: display and distribution of
informational material; display and distribution of a community service
hot-line telephone number for employee assistance; and display and
distribution of the employer's policy regarding drug use in the workplace.
The employer's policy shall include information regarding the consequences
under the rule of using drugs while performing safety-sensitive functions,
receiving a verified positive drug test result, or refusing to submit to a
drug test required under the rule.
B. EAP Training Program. Each employer shall implement a
reasonable program of initial training for employees. The employee
training program must include at least the following elements: The effects
and consequences of drug use on personal health, safety, and work
environment; the manifestations and behavioral cues that may indicate drug
use and abuse; and documentation of training given to employees and
employer's supervisory personnel. The employer's supervisory personnel who
will determine when an employee is subject to testing based on reasonable
cause shall receive specific training on specific, contemporaneous
physical, behavioral, and performance indicators of probable drug use in
addition to the training specified above. The employer shall ensure that
supervisors who will make reasonable cause determinations receive at least
60 minutes of initial training. The employer shall implement a reasonable
recurrent training program for supervisory personnel making reasonable
cause determinations during subsequent years. The employer shall identify
the employee and supervisor EAP training in the employer's drug testing
plan submitted to the FAA for approval.
IX. Employer's Antidrug Program Plan. A. Schedule for
Submission of Plans and Implementation. 1. Each employer shall submit
an antidrug program plan to the Federal Aviation Administration, Office of
Aviation Medicine, Drug Abatement Division (AAM-800), 800 Independence
Avenue, SW., Washington, DC 20591.
2. (a) Any person who applies for a certificate under the provisions of
part 121 or part 135 of this chapter after September 19, 1994 shall submit
an antidrug program plan to the FAA for approval and must obtain such
approval prior to beginning operations under the certificate. The program
shall be implemented not later than the date of inception of operations.
Contractor employees to a new certificate holder must be subject to an FAA-approved
antidrug program within 60 days of the implementation of the employer's
program.
(b) Any person who intends to begin sightseeing operations as an
operator under 14 CFR 135.1(c) after September 19, 1994 shall, not later
than 60 days prior to the proposed initiation of such operations, submit
an antidrug program plan to the FAA for approval. No operator may begin
conducting sightseeing flights prior to receipt of approval; the program
shall be implemented concurrently with the inception of operations.
Contractor employees to a new operator must be subject to an FAA-approved
program within 60 days of the implementation of the employer's program.
(c) Any person who intends to begin air traffic control operations as
an employer as defined in 14 CFR 65.46(a)(2) (air traffic control
facilities not operated by the FAA or by or under contract to the U.S.
military) after September 19, 1994 shall, not later than 60 days prior to
the proposed initiation of such operations, submit an antidrug program
plan to the FAA for approval. No air traffic control facility may begin
conducting air traffic control operations prior to receipt of approval;
the program shall be implemented concurrently with the inception of
operations. Contractor employees to a new air traffic control facility
must be subject to an FAA-approved program within 60 days of the
implementation of the facility's program.
3. In accordance with this appendix, an entity or individual that holds
a repair station certificate issued by the FAA pursuant to part 145 of
this chapter and employs individuals who perform a safety-sensitive
function pursuant to a primary or direct contract with an employer or an
operator may submit an antidrug program plan (specifying the procedures
for complying with this appendix) to the FAA for approval. Each
certificated repair station shall implement its approved antidrug program
in accordance with its terms.
4. Any entity or individual whose employees perform safety-sensitive
functions pursuant to a contract with an employer (as defined in section
II of this appendix), may submit an antidrug program plan to the FAA for
approval on a form and in a manner prescribed by the Administrator.
(a) The plan shall specify the procedures that will be used to comply
with the requirements of this appendix.
(b) Each contractor shall implement its antidrug program in accordance
with the terms of its approved plan.
5. Each air traffic control facility operating under contract to the
FAA shall submit an antidrug program plan to the FAA (specifying the
procedures for all testing required by this appendix) not later than
November 17, 1994. Each facility shall implement its antidrug program not
later than 60 days after approval of the program by the FAA. Employees
performing air traffic control duties by contract for the air traffic
control facility (i.e., not directly employed by the facility) must be
subject to an FAA-approved antidrug program within 60 days of
implementation of the air traffic control facility's program.
6. Each employer, or contractor company that has submitted an antidrug
plan directly to the FAA, shall obtain appropriate approval from the FAA
prior to changing programs.
B. An employer's antidrug plan must specify the methods by which the
employer will comply with the testing requirements of this appendix. The
plan must provide the name and address of the laboratory which has been
selected by the employer for analysis of the specimens collected during
the employer's antidrug testing program.
C. An employer's antidrug plan must specify the procedures and
personnel the employer will use to ensure that a determination is made as
to the veracity of test results and possible legitimate explanations for
an employee receiving a verified positive drug test result.
D. The employer shall consider its antidrug program to be approved by
the Administrator, unless notified to the contrary by the FAA, within 60
days after submission of the plan to the FAA.
X. Reporting of Antidrug Program Results. A. Annual reports of
antidrug program results shall be submitted to the FAA in the form and
manner prescribed by the Administrator by March 15 of the succeeding
calendar year for the prior calendar year (January 1 through December 31)
in accordance with the provisions below.
1. Each part 121 certificate holder shall submit an annual report each
year.
2. Each entity conducting an antidrug program under an FAA-approved
antidrug plan, other than a part 121 certificate holder, that has 50 or
more employees performing a safety-sensitive function on January 1 of any
calendar year shall submit an annual report to the FAA for that calendar
year.
3. The Administrator reserves the right to require that aviation
employers not otherwise required to submit annual reports prepare and
submit such reports to the FAA. Employers that will be required to submit
annual reports under this provision will be notified in writing by the FAA.
B. Each report shall be submitted in the form and manner prescribed by
the Administrator. No other form, including another DOT Operating
Administration's form, is acceptable for submission to the FAA.
C. Each report shall be signed by the employer's antidrug program
manager or other designated representative.
D. Each report with verified positive drug test results shall include
all of the following informational elements:
1. Number of covered employees by employee category.
2. Number of covered employees affected by the antidrug rule of another
operating administration identified and reported by number and employee
category.
3. Number of specimens collected by type of test and employee category.
4. Number of positive drug test results verified by a Medical Review
Officer (MRO) by type of test, type of drug, and employee category.
5. Number of negative drug test results reported by an MRO by type of
test and employee category.
6. Number of persons denied a safety-sensitive position based on a
verified positive pre-employment drug test result reported by an MRO.
7. Action taken following a verified positive drug test result(s), by
type of action.
8. Number of employees returned to duty during the reporting period
after having received a verified positive drug test result on or refused
to submit to a drug test required under the FAA rule.
9. Number of employees by employee category with tests verified
positive for multiple drugs by an MRO.
10. Number of employees who refused to submit to a drug test and the
action taken in response to the refusal(s).
11. Number of covered employees who have received required initial
training.
12. Number of supervisory personnel who have received required initial
training.
13. Number of supervisors who have received required recurrent
training.
E. Each report with only negative drug test results shall include all
of the following informational elements. (This report may only be
submitted by employers with no verified positive drug test results
during the reporting year.)
1. Number of covered employees by employee category.
2. Number of covered employees affected by the antidrug rule of another
operating administration identified and reported by number and employee
category.
3. Number of specimens collected by type of test and employee category.
4. Number of negative tests reported by an MRO by type of test and
employee category.
5. Number of employees who refused to submit to a drug test and the
action taken in response to the refusal(s).
6. Number of employees returned to duty during the reporting period
after having received a verified positive drug test result on or refused
to submit to a drug test required under the FAA rule.
7. Number of covered employees who have received required initial
training.
8. Number of supervisory personnel who have received required initial
training.
9. Number of supervisors who have received required recurrent training.
F. A C/TPA may prepare reports on behalf of individual aviation
employers for purposes of compliance with this reporting requirement.
However, the aviation employer shall sign and submit such a report and
shall remain responsible for ensuring the accuracy and timeliness of each
report prepared on its behalf by a C/TPA. A C/TPA must not sign the form.
XI. Preemption. A. The issuance of 14 CFR parts 65, 121, and 135
by the FAA preempts any state or local law, rule, regulation, order, or
standard covering the subject matter of 14 CFR parts 65, 121, and 135,
including but not limited to, drug testing of aviation personnel
performing safety-sensitive functions.
B. The issuance of 14 CFR parts 65, 121, and 135 does not preempt
provisions of state criminal law that impose sanctions for reckless
conduct of an individual that leads to actual loss of life, injury, or
damage to property whether such provisions apply specifically to aviation
employees or generally to the public.
XII. Testing Outside the Territory of the United States. A. No
part of the testing process (including specimen collection, laboratory
processing, and MRO actions) shall be conducted outside the territory of
the United States.
1. Each employee who is assigned to perform safety-sensitive functions
solely outside the territory of the United States shall be removed from
the random testing pool upon the inception of such assignment.
2. Each covered employee who is removed from the random testing pool
under this paragraph A shall be returned to the random testing pool when
the employee resumes the performance of safety-sensitive functions wholly
or partially within the territory of the United States.
B. The provisions of this appendix shall not apply to any person who
performs a function listed in section III of this appendix by contract for
an employer outside the territory of the United States.
XIII. Waivers from 49 CFR 40.21. An employer subject to this
part may petition the Drug Abatement Division, Office of Aviation
Medicine, for a waiver allowing the employer to stand down an employee
following a report of a laboratory confirmed positive drug test or
refusal, pending the outcome of the verification process.
A. Each petition for a waiver must be in writing and include
substantial facts and justification to support the waiver. Each petition
must satisfy the substantive requirements for obtaining a waiver, as
provided in 49 CFR 40.21.
B. Each petition for a waiver must be submitted to the Federal Aviation
Administration, Office of Aviation Medicine, Drug Abatement Division
(AAM-800), 800 Independence Avenue, SW., Washington, DC 20591.
C. The Administrator may grant a waiver subject to 49 CFR 40.21(d).