[Federal Register Volume 59, Number 31 (Tuesday, February 15, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-2032]


[[Page Unknown]]

[Federal Register: February 15, 1994]


_______________________________________________________________________

Part IV





Department of Transportation





_______________________________________________________________________



Federal Aviation Administration



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14 CFR Parts 61, et. al.



Alcohol Misuse Prevention Program and Antidrug Program for Personnel 
and Employees of Foreign Air Carriers Engaged in Specified Aviation 
Activities; Rule and Proposed Rules
DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 61, 63, 65, 121, and 135

[Docket No. 27065; Amendment No. 61-94, 63-29, 65-37, 121-237, and 135-
48; Docket Nos. 24706; 26233; 26872]
RIN 2120-AE43

 

Alcohol Misuse Prevention Program for Personnel Engaged in 
Specified Aviation Activities

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: This final rule prescribes regulations establishing the 
aviation industry alcohol misuse prevention program. It includes 
requirements for an alcohol testing program for air carrier employees 
who perform safety-sensitive duties, in implementation of the FAA-
related provisions of the Omnibus Transportation Employee Testing Act 
of 1991, which was enacted on October 28, 1991. Employees who perform 
safety-sensitive duties directly or by contract for aviation employers 
that hold a certificate issued under certain FAA regulations, operators 
as defined in the regulations, or air traffic control facilities not 
operated by the FAA or the U.S. military must be subject to an FAA-
mandated alcohol misuse prevention program (AMPP). This final rule 
requires alcohol testing of these employees, proscribes certain 
alcohol-related conduct, and establishes specified consequences for 
engaging in alcohol misuse. Employers must provide written materials to 
covered employees explaining the program and educating employees about 
the dangers of alcohol misuse. Employers must also submit reports to 
the FAA on the results of the program. This rule is intended to ensure 
that public safety is maintained by preventing alcohol misuse by 
safety-sensitive aviation employees.

DATES: This rule is effective on March 17, 1994.

FOR FURTHER INFORMATION CONTACT: Office of Aviation Medicine, Drug 
Abatement Division (AAM-800), Federal Aviation Administration, 400 7th 
Street, SW., Washington, DC 20590; telephone (202) 366-6710.

SUPPLEMENTARY INFORMATION:

Availability of Final Rule

    Any person may obtain a copy of this final rule by submitting a 
request to the Federal Aviation Administration, Office of Public 
Affairs, Attn: Public Inquiry Center (APA-230), 800 Independence 
Avenue, SW., Washington, DC 20591, or by calling (202) 267-3484. 
Requests must include the notice number of this final rule.
    Persons interested in being placed on a mailing list for future 
rulemaking actions should request a copy of Advisory Circular 11-2A, 
Notice of Proposed Rulemaking Distribution System, which describes the 
application procedures.

Background

    On December 15, 1992, the FAA published a notice of proposed 
rulemaking (NPRM) in which it proposed to require air carriers to 
institute alcohol misuse prevention programs similar to the antidrug 
programs already in place (57 FR 59458). The NPRM was published as part 
of a coordinated effort by the Office of the Secretary of 
Transportation (OST) and four other DOT agencies to address the issue 
of alcohol misuse in the transportation industries. With the exception 
of the NPRM published by the Research and Special Programs 
Administration, the rulemakings were initiated under the provisions of 
the Omnibus Transportation Employee Testing Act of 1991 (Pub.L. 102-
143, Title V).
    In conjunction with OST and the other DOT agencies, the FAA held a 
series of public hearings on the regulations proposed in the NPRM. The 
FAA-specific sections of each of these hearings were recorded by a 
court reporter and the transcripts of the hearings with copies of any 
material submitted to the hearing panel have been placed in the docket. 
The testimony and written materials were considered in development of 
this final rule.

Current Laws and Regulations

    A variety of laws and regulations currently restrict the 
consumption of alcohol by some aviation employees. Federal criminal law 
prohibits any person from operating or directing the operation of a 
common carrier while under the influence of alcohol. 18 U.S.C. 342. A 
blood alcohol level of .10 percent is considered presumptive evidence 
that the person is under the influence. 18 U.S.C. 343(1).
    The FAA's regulations concerning alcohol misuse are supplemented 
but not changed by this rule. Currently, under the FAA's rules, no 
person may act or attempt to act as a crewmember of a civil aircraft 
within 8 hours after consuming any alcoholic beverage, while under the 
influence of alcohol, or while having 0.04 percent by weight or more of 
alcohol in the blood. (14 CFR 91.17(a).) In limited circumstances, the 
FAA's regulations require crewmembers to submit to alcohol tests 
requested by State or local law enforcement officers and, upon request, 
to furnish the results of such tests to the Administrator. (14 CFR 
91.17(c).) Refusal to take a properly authorized law enforcement 
alcohol test or to furnish the results can result in the denial, 
revocation, or suspension of an airman certificate issued under part 61 
or 63. (14 CFR 61.16 and 63.12a.)
    Holders of or applicants for medical certificates issued under 14 
CFR part 67 are subject to additional regulations regarding alcohol 
use. First, a diagnosis of alcoholism is a disqualifying factor for a 
medical certificate. A diagnosed alcoholic must be evaluated by the 
Federal Air Surgeon and meet certain recovery criteria prior to 
receiving a medical certificate. However, to facilitate recovery and to 
prevent the unnecessary loss of skilled employees, a program 
established by the FAA, the airline industry, and the pilots' unions 
has enabled hundreds of alcoholic pilots to safely return to duty. The 
program combines confrontation, therapy, and stringently monitored 
aftercare.
    Part 67 also provides that any individual who applies for a medical 
certificate must permit access by the Administrator to information in 
the National Driver Register concerning drug- and alcohol-related 
driving offenses. (14 CFR 67.3.) If an individual has had two or more 
such offenses within 3 years after the effective date of the rule, the 
FAA may suspend or revoke a part 61 airman certificate held by the 
individual or deny the individual's application for such certificate. 
(14 CFR 61.15.)

Discussion of Comments and Final Rule

The Common Preamble

    A common preamble to all of the related NPRMs proposing alcohol 
testing rules was published on December 15, 1992 (57 FR 59382, et 
seq.). This common preamble contained a thorough discussion of the 
comments submitted to the DOT advance notice of proposed rulemaking 
(ANPRM) published on November 2, 1989, and an overview of the general 
issues related to alcohol use in the transportation industries. A 
similar introductory discussion is found in the common preamble to this 
final rule and the final alcohol misuse prevention rules published by 
the other affected DOT agencies elsewhere in today's Federal Register. 
The common preamble also responds to comments submitted to the various 
DOT agency dockets that raise multimodal aspects of the final rules or 
the Act. This common preamble is incorporated into this final rule by 
reference. Because the majority of the issues raised in comments were 
addressed in the common preamble, the FAA views comments addressed to 
other DOT agencies as part of its docket, even though copies of those 
comments are not physically stored with the other comments. Interested 
persons can request access to those comments through the FAA docket. 
Any aspects of the final rule that are not discussed below are 
addressed in the common preamble.

Alcohol Misuse Prevention Program (AMPP)

    The essential provisions of the AMPP proposed by the FAA in the 
NPRM have remained largely unchanged in this final rule. The rule uses 
three primary tools for reducing the threat of alcohol misuse in 
aviation. First, by amending parts 65, 121, and 135, the rule prohibits 
certain alcohol-related conduct by employees performing safety-
sensitive duties. Second, under the provisions of new appendix J to 
part 121, such employees must be subject to pre-employment, random, 
post-accident, reasonable suspicion, return to duty, and follow-up 
alcohol testing. This testing is federally-mandated but will be 
administered by the affected employers. Third, in accordance with 
requirements in appendix J, employees subject to the rule must be 
provided with materials designed to educate them about the provisions 
of the rule and the consequences of engaging in alcohol misuse.

Other Requirements Imposed by Employers; Requirement for Notice

    Only a few commenters addressed the issue of possible conflicts or 
confusion regarding company-required programs and FAA-mandated 
programs. These commenters (representing both labor and management) 
focused on the issue of alcohol test results of 0.02 to 0.039. The 
commenters noted that although the FAA's NPRM proposed specific actions 
for test results falling within this range, an employer is not 
precluded from taking severe employment action based on these results 
should the employer so choose. A number of labor organizations wanted 
the FAA to preclude such action in its final rule.
    The FAA has not adopted these comments. The choice of whether to 
continue to employ an individual should properly remain within the 
discretion of the employer. We also note that employment or other 
consequences outside those required by the rule may be subject to both 
State law and labor-management negotiation.
    With respect to the establishment of a separate company policy, a 
number of commenters noted that companies already had alcohol testing 
or prevention programs in place. These commenters stated that 
established programs should suffice for compliance with the FAA's rule, 
or that the FAA's rule would unnecessarily duplicate these programs.
    The FAA recognizes that, as was the case when the antidrug rule was 
first implemented, some employers might have programs that encompass 
some or all of this rule's requirements. To ensure complete and uniform 
compliance with a single regulatory standard, however, we are not 
permitting company programs to substitute for programs required by this 
rule. Should an aviation employer determine that, as a matter of 
company policy, a different program should be implemented or continued, 
the program must be clearly separate from the program required under 
this rule, with appropriate notice given prior to tests under this 
rule. The FAA will not permit commingling of employer-directed and FAA-
mandated programs.

Employers Required To Establish Programs

    The NPRM reflected the FAA's best assessment, based on the 
developments in the FAA's industry antidrug program, of the categories 
of employers that should be subject to the alcohol misuse rule. Like 
the antidrug rule, the FAA determined that the minimal benefit to 
public safety that might accrue from inclusion of operators that did 
not hold part 121 or part 135 certificates did not warrant the cost and 
intrusiveness of alcohol testing. A few commenters addressed this issue 
and requested additional relief for the small aviation employers we did 
propose to cover. The FAA has assessed its requirements and has elected 
to retain most of its regulatory provisions unchanged from the NPRM. We 
have, however, reduced the reporting requirement burden, which will be 
addressed below.
    The final rule will include essentially the same classes of 
employers as are covered by the anti-drug rule: 14 CFR part 121 
certificate holders, 14 CFR part 135 certificate holders, sightseeing 
operators who meet the criteria of 14 CFR 135.1(c), and air traffic 
control (ATC) facilities not operated by the FAA or by or under 
contract to the U.S. military will have to establish alcohol misuse 
prevention programs. Companies with employees who perform safety-
sensitive functions by contract for these employers will be permitted 
to establish and manage programs under this appendix. However, while a 
contractor company that manages its own program will perform all of the 
functions required of an ``employer'' in appendix J, the certificate 
holders, operators, and ATC facilities will remain responsible for 
ensuring that all covered employees who perform services for them are 
subject to an FAA-mandated program.

Employees Subject to the Rule

    The NPRM proposed to retain essentially the same coverage as the 
antidrug rule. The covered categories included persons performing any 
of the following duties: flight crewmember, flight attendant, flight 
instruction, aircraft dispatch, aircraft maintenance, ground security 
coordinator, aviation screening, and air traffic control. The category 
of flight test personnel was not included because it was redundant. The 
category of ground security coordinator duties was specified separately 
to reflect the coverage intended by the term ``aviation security'' in 
the antidrug rule.
    In order to determine if any changes should be made in the 
categories of covered employees, the FAA asked a number of questions in 
the NPRM. The questions were intended to solicit comment on whether the 
increased benefit to safety that could accrue by including other 
functions would warrant the imposition of an alcohol testing 
requirement on individuals performing those functions or if, consistent 
with safety, categories of employees could be eliminated from the rule.
    The comments on this issue ranged from those stating that since the 
rule was unnecessary it should provide only the minimum coverage 
required by the Act to a few comments stating that every aviation 
employee who could even possibly affect safety should be subject to 
alcohol testing. Most labor organizations favored the former approach. 
A number of commenters supporting limited application of the rule 
recommended that only maintenance personnel who actually return 
aircraft to service should be covered by the rule. A few commenters 
supported adding to the coverage proposed in the NPRM. These commenters 
primarily identified refuelers and deicers as categories of employees 
that should be subject to alcohol testing.
    The FAA has chosen to retain the categories of covered employees 
proposed in the NPRM. Although a system of checks and inspections does 
exist to ensure that maintenance activities are properly performed, the 
FAA has determined that it is essential that the individuals who 
perform aircraft maintenance activities be subject to this rule. (The 
term preventive maintenance has been added to maintenance not because 
the FAA intends to increase the reach of the rule, but rather to ensure 
that, as was intended in the NPRM, the rule clearly parallels the 
coverage of the antidrug rule.)
    The FAA carefully reviewed the comments supporting the inclusion of 
additional categories of covered employees. For a number of reasons, 
the FAA has elected not to adopt these recommendations. First, the FAA 
is aware that the costs associated with this rule will be significant. 
Each additional requirement that was considered was therefore 
scrutinized with respect to the cumulative burden that would accrue. 
Based on that consideration, the FAA has determined that the possible 
marginal benefit that might be achieved by adding categories of covered 
employees is outweighed by the burden associated with such a change.

Prohibited Alcohol-Related Conduct

    This rule will prohibit specific alcohol-related conduct by covered 
employees and will also prohibit an employer from using a covered 
employee if the employer has actual knowledge that the employee has 
engaged in such conduct. Each of the prohibitions has been carefully 
tailored to minimize the restriction on the otherwise lawful use of 
alcohol by covered employees. With the exception of use of alcohol 
after an accident, each prohibition is limited to prohibiting alcohol 
use that may affect the performance of covered functions. Some 
commenters requested that the FAA list the specific actions within a 
safety-sensitive function that trigger coverage under this rule. Given 
the variety of tasks encompassed within each category and the 
differences in the conduct of aviation operations by different 
employers, however, a comprehensive regulatory listing of such 
activities is not possible. Therefore, as was proposed in the NPRM, 
coverage under the rule will be determined by the employer based on the 
requirements of the FAA's regulations and the employer's experience and 
knowledge of the employees' duties.
    The identification of the activities that will subject employees to 
this rule shall be included in the company policy required under 
appendix J and are subject to FAA review.
    The specific prohibitions are:
    Alcohol Concentration: The OST common preamble contains a detailed 
discussion of the prohibited alcohol concentrations and a disposition 
to the comments regarding this issue. It should be noted however, that 
although this rule will contain a bifurcated system of test results and 
consequences (0.02-0.039 and 0.04 or greater) the rule will not affect 
the current regulatory provision in 14 CFR 91.17 under which 
crewmembers are subject to sanction by the FAA for having a blood 
alcohol concentration of 0.04% or greater.
    Performance of covered functions while under the influence of 
alcohol: As noted above, the FAA's current regulations prohibit any 
person from acting or attempting to act as a crewmember while under the 
influence of alcohol. While the FAA's experience in enforcing this 
provision indicates that it is a useful tool in preventing alcohol 
misuse, it has been determined that such a prohibition in the context 
of an employer-based program, with no intervention by a Federal agency 
or right to review, could lead to unacceptable treatment of employees. 
This provision has therefore been removed as a violation of the rule.
    The concept of ``under the influence'' remains present in this 
final rule, however, as part of the reasonable suspicion testing 
requirement. Under the final rule, if an employer were to determine 
that sufficient evidence existed to believe that a covered employee was 
under the influence of alcohol, the employer would be required to 
administer a reasonable suspicion test. If no test could be performed, 
safety would still be protected because the employee must be removed 
from performing safety-sensitive duties temporarily.
    This rule does not limit the employer's authority to remove the 
employee from the performance of safety-sensitive duties if the 
employer believed, notwithstanding an alcohol test result of less than 
0.04 or no test at all, that the employee was impaired. As noted 
previously, the employer must remove the employee, at least 
temporarily, if the employee's alcohol concentration was 0.02 or 
greater but less than 0.04 or if no test could be performed. However, 
any action other than a temporary removal in either the absence of a 
test result or with a test result under 0.04 would have to be under the 
employer's independent authority.
    On-duty use: A number of commenters expressed concern that the 
FAA's proposed definition of ``performing safety-sensitive functions'' 
could result in the application of the on-duty use prohibition to 
employees who might be at home on reserve status for days at a time. 
Given the dramatic effect of a violation of this provision (i.e., it 
invokes the permanent bar addressed below), these commenters requested 
clarification of this provision.
    This provision applies to any covered employee who, while not 
actually performing a safety-sensitive function, could be called at any 
time to perform. The FAA intends the provision to reach only employees 
who are at work. Affected employees include, for example, a maintenance 
supervisor who is in her office who could be called at any time to take 
over on a maintenance task. Such employees would have to refrain from 
using alcohol or would be in violation of the on-duty use provision. 
On-call or reserve employees who are not at work, such as those 
mentioned above, will, however, be subject to the prohibitions on pre-
duty use of alcohol.
    Additionally, the rule should not be read as permitting on-duty use 
to be presumed from an alcohol concentration above the prohibited 
levels. This would of necessity require the application of back 
extrapolation to the results, which, as analyzed in detail in the 
common preamble, is not permitted. To assert a violation of this 
provision, the employer would have to have clear evidence of 
consumption of alcohol by a safety-sensitive employee (e.g., an 
admission, credible witnesses). One important aspect of the prohibition 
is that it is triggered by the consumption of items other than 
alcoholic beverages. Use of a medication containing alcohol while on 
duty will violate this rule and will trigger the permanent bar 
provisions discussed below. The FAA encourages employers and labor 
organizations to take appropriate steps to warn affected employees of 
this prohibition.
    Pre-duty use: As was proposed in the NPRM, this rule provides a 
two-tiered prohibition with respect to pre-duty use of alcohol. No 
commenter opposed prohibiting alcohol use by a crewmember prior to 
duty, and many commenters wanted the prohibition extended to up to 24 
hours before a flight. As noted above, the FAA already prohibits any 
person from acting or attempting to act as a crewmember within 8 hours 
after the consumption of any alcoholic beverage. This prohibition was 
based on a determination by the FAA that a specified period of 
abstinence would decrease the likelihood that an individual would be 
impaired by alcohol while acting as a crewmember. The FAA is aware that 
individuals who drink to excess may still be impaired even after 
abstaining for 8 hours; however, the 8-hour rule establishes an 
adequate behavioral limitation for the majority of persons who are not 
heavy drinkers. The FAA has determined that the 8-hour limit remains 
appropriate for crewmembers. Additionally, in order to ensure 
consistency between the prohibitions affecting FAA and other air 
traffic controllers, the pre-duty use period for these employees has 
been changed to 8 hours.
    Although with respect to crewmembers, this provision does, to some 
extent, duplicate the restrictions in 14 CFR 91.17(a), it is limited in 
application to the covered employees of the specified employers under 
the rule. The rule also prohibits the employers from using covered 
employees who have impermissibly used alcohol--a restriction on 
employers that does not currently exist in the FAA's regulations.
    A number of commenters objected to the FAA proposal to add a 4-hour 
pre-duty use limitation for other classes of covered employees. Some 
commenters believed that imposition of a 4-hour rule on all covered 
employees would have little safety benefit while intruding 
significantly into the lives of employees. The FAA agrees that the 
nature of the safety-sensitive functions other than crewmember duties 
is sufficiently different that an 8-hour limitation on pre-duty use of 
alcohol for those classes could constitute an unwarranted intrusion by 
the Federal government into the off-duty lives of aviation industry 
employees. The FAA continues to believe, however, that the minimal 
disruption that might be caused by a 4-hour limitation is outweighed by 
the safety benefit that is achieved by moderating the use of alcohol by 
safety-sensitive employees before they perform their duties.
    The FAA is also not adopting a suggestion made in the public 
hearings regarding other DOT agencies' rules under which employees 
subject to short notice calls to work would have to abstain from 
consuming alcohol for 4 hours prior to duty or after being called to 
duty, whichever is shortest. The FAA does not believe that in the 
context of the aviation industry there is any situation in which the 
need for the employee to perform safety-sensitive functions is so 
exigent that a 4- or 8-hour limitation should be waived.
    Use following an accident: As proposed in the NPRM, a covered 
employee with actual knowledge of an accident involving an aircraft for 
which he or she performed a safety-sensitive function at or near the 
time of the accident would be required to refrain from using alcohol 
for 8 hours unless the employee had been given a post-accident test or 
the employer had determined that the employee's performance could not 
have contributed to the accident. The restriction on use, as proposed, 
would primarily affect those employees whose performance of duties just 
around the time of the accident may have contributed to the accident 
and whose consumption of alcohol prior to the time of the accident 
would be relevant information.
    A number of commenters questioned the FAA's ability to enforce this 
provision and the employees' ability to comply. Some commenters stated 
that it was unfair of the FAA to consider denying individuals who had 
been traumatized by an accident the relief that a drink might provide. 
The FAA recognizes that the rule might be difficult to enforce, and we 
encourage employers to attempt to control the actions of the affected 
employees as circumstances permit. The final rule also includes, as in 
the NPRM, an actual notice requirement so that employees who are 
unaware of an accident or who do not realize that their performance of 
duties may be implicated are not held to have violated the rule if, 
unknowingly, they use alcohol during the post-accident period. The FAA 
notes that the prohibition only applies if an employee performed a 
safety-sensitive function on the aircraft involved in an accident at or 
near the time of the accident. The rule does not, for example, affect 
individuals who performed maintenance on the aircraft days or weeks 
prior to the accident.
    Despite the potential difficulties associated with this provision, 
however, and the commonly accepted practice of using alcohol to handle 
stressful situations, the prohibition is necessary to ensure that use 
of alcohol before an accident is not masked by allegedly post-accident 
consumption of alcohol.

Refusal To Submit to a Required Alcohol Test

    A number of commenters objected to the FAA's proposal to treat 
refusal to submit to random, post-accident, reasonable suspicion, or 
follow-up testing as a rule violation (as discussed in the common 
preamble), or as a potential basis for the denial, suspension, or 
revocation of a certificate issued under 14 CFR part 61, 63, or 65. A 
few of these commenters stated that because alcohol testing was 
unconstitutional there should be no sanction attached to refusing to be 
tested. The Constitutional aspects of this rule are addressed in the 
common preamble.
    A number of labor groups expressed concern that employees who were 
subjected to harassing tests or who became aware that proper procedures 
were not being followed (e.g., the breath alcohol technician (BAT) 
reuses a mouthpiece) would be placed in the position of having to 
submit to questionable tests or face possibly severe sanctions. As with 
any potentially problematic test, the employee will have to determine 
whether to proceed with the test or to decline. It would then be for 
the employer in either situation to evaluate the facts, review the 
provisions of this rule and in 49 CFR part 40, and make a decision on 
the validity of the test or the legitimacy of the employee's asserted 
bases for declining the test. The FAA would have to similarly evaluate 
all of the available information if the FAA considers taking action in 
the case of an alleged refusal. As a practical matter, these situations 
can be avoided if each employer ensures that its supervisors and BATs 
are thoroughly trained and if a knowledgeable employer representative 
is available to respond quickly to concerns raised during the course of 
an alcohol test.
    No commenter objected to the FAA's decision not to attach any 
consequences other than preclusion from performing a safety-sensitive 
function to an individual's choice not to submit to pre-employment or 
return to duty testing. These provisions are consistent with the FAA's 
choice in the antidrug rule not to base certificate action on refusals 
of pre-employment drug tests, and therefore, these provisions remain 
unchanged.

Required Alcohol Testing

    The common preamble discusses in detail the types of alcohol tests 
that are required under this rule and those of the other DOT agencies. 
There are, however, certain aspects of alcohol testing raised by the 
commenters that are specific to the aviation industry. Those issues are 
addressed below.
    Pre-employment testing: As discussed more fully in the common 
preamble, the nomenclature used to describe this type of test has been 
changed from ``pre-employment/pre-duty,'' as used in the NPRM, to 
simply ``pre-employment.'' It should be noted that this change is not 
intended to affect the substantive requirements for this type of 
testing, or to imply that the testing must occur prior to hiring an 
individual. As was proposed in the NPRM, under this final rule 
employers may conduct pre-employment testing at any time prior to the 
first time the individual is used to perform (i.e., is ``employed'' in) 
a safety-sensitive function. An individual may be tested prior to 
completion of the hiring process; after he or she has been hired for a 
safety-sensitive position but before actual commencement of duties; or, 
in the case of a current employee, prior to transferring the employee 
from performing non-safety-sensitive duties to performing safety-
sensitive duties.
    In the NPRM, the FAA requested specific comment on whether the 
proposed procedure for using the results of prior pre-employment 
alcohol tests would be useful. The majority of commenters did not feel 
that the provision should be retained. Labor groups were concerned that 
the confidentiality of information regarding employees' past alcohol 
use would be breached by this provision. Many employers expressed 
concern about the possibility of liability if they released the 
results, even in response to a specific employee consent. One commenter 
recommended that the FAA develop a standard consent form to be used for 
release of alcohol misuse information from an employer to any third 
party. Finally, some commenters stated that even if the use of prior 
test results was authorized, they would not use the option. They saw 
little utility in the option or expressed reservations about relying on 
tests the quality of which the employer could not ensure.
    Although the FAA recognizes that few employers may choose to use 
the option of relying on an applicant's prior test results, the FAA has 
elected to retain this option. The difficulties, if any, associated 
with choosing this option would be one accepted voluntarily by the 
employer who so chooses. Further, the FAA notes that even in the 
absence of such a provision, a prospective employer could still seek 
information regarding the past performance of an applicant. The FAA has 
not adopted the recommendation to prepare a standard consent form for 
use in this or any other disclosure situation. The rule does contain 
specific language regarding the content of the consent; the FAA 
expresses no preference as to the format of the document.
    Finally, one commenter stated that the pre-employment testing 
provision did not meet the requirements of the Act because it does not 
require testing for use of alcohol in violation of law or Federal 
regulation. While a strict reading of the Act may indicate that this 
commenter is correct, upon review of the legislative history of the 
Act, the FAA believes that the pre-employment testing provision in this 
rule meets the intent of Congress.
    Post-accident testing: The NPRM proposed that post-accident alcohol 
testing would be essentially the same as in the antidrug rule. The 
triggering event would be an aircraft accident (as specifically defined 
in the rule) and the employees subject to testing would be the same--
covered employees whose performance of safety-sensitive functions 
either contributed to an accident or cannot be completely discounted as 
a contributing factor.
    Although commenters generally supported the concept of post-
accident testing, some were concerned about the practical difficulties 
associated with determining which employees to test and ensuring the 
tests are performed in the very short and usually extremely hectic 
period just following an accident. Some commenters specifically cited 
the difficulty faced in determining if persons performing maintenance 
may have contributed to the accident and problems associated with 
reaching the remote locations in which aircraft accidents can occur.
    These same concerns have arisen in the context of post-accident 
drug testing. With respect to identifying employees to test, both rules 
provide that the decisions must be based on the best available 
information. Although the purpose of a post-accident alcohol test is to 
identify individuals who should be removed from safety-sensitive 
duties, the focus of a post-accident alcohol test is evidence of 
alcohol use that may have affected the performance of safety-sensitive 
functions that contributed to the accident. Test subjects should be 
restricted to those for whom an alcohol test conducted after an 
accident would be relevant to whether the individual possibly 
contributed to the accident as a result of impermissibly using alcohol.
    A number of commenters also questioned the requirement that 
individuals who may be subject to post-accident testing must, with 
limited exceptions, remain at the scene of the accident. These 
commenters noted that an aircraft accident is always an extremely 
traumatic event for the crewmembers involved and it would be unduly 
harsh to prevent these crewmembers from leaving the immediate vicinity 
of the accident.
    The FAA accepts these concerns and has amended the provision in the 
final rule to require the employee to remain readily available for 
testing. This could include going to a crew lounge or airline office; 
however, the employee would have to take appropriate steps to ensure 
that if the employer determined that the employee must undergo post-
accident testing, the employer would be able to rapidly locate the 
employee and have him or her tested. It would not, for example, be 
acceptable for the employee to leave the scene of the accident at an 
airport without informing the employer or a designated point of contact 
of the employee's location--even if the employee remained at the 
airport and technically ``available'' for testing.
    The issues associated with remote site testing and conduct of tests 
within the required timeframes are addressed in the common preamble. As 
mentioned in that document, the FAA is not adopting the recommendation 
that employers be allowed to substitute for FAA-mandated tests post-
accident tests conducted by law enforcement officers (LEOs) for law 
enforcement purposes. The FAA already has in place a provision (14 CFR 
91.17) under which crewmembers required to submit to alcohol tests by 
LEOs may be required to provide the results of such tests to the FAA. 
The possible conflicts between the employer's obligations and the 
intent of post-accident tests under this rule and those of LEOs 
outweigh any benefit that might be achieved from such a proposal. (As 
discussed in the preamble to 49 CFR part 40, however, a LEO could serve 
as an employer's BAT, but any tests would have to be conducted pursuant 
to this rule and 49 CFR part 40.)
    Random testing: As required by the Act, the rule includes random 
alcohol testing for covered employees. The FAA has tailored the testing 
to ensure that testing reasonably serves the FAA's interest in aviation 
safety. Selection procedures like those in current FAA-approved 
antidrug plans must be used to ensure randomness of testing.
    The majority of comments received on random testing (other than 
those asserting it was unconstitutional and/or unnecessary) cited the 
particular difficulties associated with testing of crewmembers at or 
near the time of the flight. These commenters noted that pre-flight 
time for crewmembers, especially pilots, is very tightly scheduled, 
with little built in flexibility. The commenters asserted that 
employers would be faced with two choices: either arrange for all 
crewmembers to report for duty early every day (because testing is 
supposed to be both unannounced and random) to ensure that the 
employees were available for testing if they were selected, or accept 
that a certain number of flights might be delayed to accommodate the 
additional time required to conduct testing. These commenters asked 
that the FAA revise its rule to eliminate random testing or to permit 
all random testing to occur after flights terminate.
    While the FAA is extremely sensitive to the financial and 
operational implications of this rule, it cannot adopt the 
recommendation of these commenters. Random alcohol testing is required 
by the Act. An effective random testing program must be designed to 
detect and deter all of the prohibited conduct: pre-duty use of 
alcohol, on-duty use of alcohol, and reporting for duty or remaining on 
duty with an impermissible alcohol concentration. Because post-flight 
testing (especially on long flights) would realistically only address 
on-duty use of alcohol, it would not serve the overall purpose of 
random alcohol testing. Similarly, if all testing were performed before 
flights (as recommended by one commenter), the testing program would 
have no deterrent effect for on-duty use of alcohol. The FAA intends to 
work with the aviation industry to assist employers in implementing the 
most cost-effective random alcohol testing programs possible.
    The final rule retains the provision from the NPRM under which 
employees selected for testing must proceed immediately to the testing 
site. The rule also provides that an employee notified of his or her 
selection while in the midst of performing a safety-sensitive function 
would be directed to cease performing the function and proceed to the 
testing site as soon as possible. Obviously, the FAA does not expect 
any safety-sensitive employee to simply abandon his or her duties upon 
notification of selection for random testing. Such an employee would 
have to arrange for a replacement or otherwise cease performing the 
safety-sensitive function as soon as it could be safely terminated.
    The term ``immediately'' was used by the FAA intentionally. To the 
extent possible, employees notified of selection for a random test 
should take whatever steps are necessary to report to the testing site 
without any delay or detour. The time between notification and testing 
should be the absolute minimum necessary. The FAA recognizes that in 
some situations employees will have to advise supervisors that the 
employees must report for testing. Employers should ensure that they 
have instituted procedures to accommodate this provision (for example, 
the employer could arrange for the BAT to coordinate with designated 
supervisors to approve the employees' departure to a testing site 
before notifying the selected employees). The FAA expects that, with 
limited exceptions, the time between notification and testing will be 
no more than the requisite travel time to the testing site. If 
notification and testing occur at an airport, this time should be a 
matter of minutes.
    Reasonable suspicion testing: Most of the commenters to the NPRM 
supported the provision for reasonable suspicion alcohol testing, 
although some labor organizations asserted that two supervisors should 
be required. The FAA has not adopted this recommendation. The common 
preamble discusses in detail the substantive revisions to this 
provision.
    Return to duty and follow-up testing: The specific requirements for 
these types of tests are discussed in the common preamble.
    Retesting after result of 0.02 or greater but less than 0.04: In 
the NPRM, the FAA sought comment on whether the proposed ``retest or 
return'' procedure gives employers enough flexibility (or too much) in 
handling covered employees with low-level alcohol concentrations. 
Because most commenters supported a single cut-off level, very few 
addressed this provision. One commenter stated that if the bifurcated 
cut-off system was adopted, all employees testing between 0.02 and 
0.039 should be subject to another test before returning to work; 
employers should not have the option of waiting until the next duty 
period in lieu of a test.
    The FAA has not adopted this recommendation. The primary intent of 
this rule is to protect safety, and that goal is adequately 
accomplished whether an employee tests below 0.02 or is made to wait at 
least 8 hours before performing safety-sensitive functions. No 
additional benefit would be achieved by instituting a return-to-duty 
testing requirement for all employees who test in the 0.02 to 0.039 
range. Further, the rule does not preclude, and would in fact require, 
the employer to conduct a reasonable suspicion test if, when the 
employee next reported for duty, the employee showed indicators of 
alcohol misuse.

Recordkeeping and Reporting; Confidentiality

    The requirements of the final rule with respect to recordkeeping 
are largely unchanged from the NPRM. The records must be maintained in 
a secure location and are releasable only as required under the rule or 
with the express written consent of the employee. This rule requires 
the release of employee-specific information to a subsequent employer 
or other identified individual if the original employer receives a 
written request from the employee. Contrary to the concerns expressed 
by some commenters, the FAA believes that providing a regulatory 
mandate for such release and removal of employer discretion will 
minimize possible liability.
    The rule also provides express authority to the FAA to conduct on-
site inspections of employer's alcohol programs, including the alcohol 
testing process. As stated in the preamble to the NPRM, the FAA's 
experience with compliance monitoring under the antidrug rule has 
indicated that the individuals managing employers' programs are often 
unaware of the FAA's authority to conduct such inspections. While the 
Administrator or his designee has such authority even absent a 
regulatory provision, the FAA determined that inclusion of such a 
provision in this rule is necessary to ensure industry awareness of the 
FAA's authority to monitor compliance.
    Although the NPRM proposed reporting of statistical information by 
all employers and other aviation entities with separate AMPPs, this 
final rule has been revised to limit the number of entities required to 
submit reports. The FAA similarly amended its antidrug rule, primarily 
to relieve the burdens associated with these rules on small employers. 
The formats to be used for reporting the statistical information are 
published as exhibits following this rule. No other form, including 
another DOT Agency's form is acceptable for submission to the FAA.

Consequences of Engaging in Misuse of Alcohol or Refusing To Submit to 
Testing

    The Omnibus Transportation Employee Testing Act of 1991 (the Act) 
amended the Federal Aviation Act of 1958 (the FAAct) and the statutes 
that apply to the Federal Railroad Administration, the Federal Highway 
Administration, and the Federal Transit Administration. While these 
amendments have much common language, especially in the area of 
testing, they are not identical. Of greatest significance, the 
amendments to the FAAct contain a section entitled ``Prohibition on 
service,'' which does not appear in the amendments to the other DOT 
agencies' statutes.
    The ``Prohibition on Service'' section is found at new FAAct 
section 614(b). Under subsection 614(b)(1), an individual may not 
remain on duty in a safety-sensitive function if he or she has violated 
the prohibitions on the use of alcohol. This legislative provision on 
continued duty is reflected in each of the subsections of the FAA's 
rule addressing prohibited conduct (see, e.g., 14 CFR 65.46a). Each 
section states either directly or by implication that the employee may 
not report for duty or remain on duty requiring the performance of 
safety-sensitive functions while engaging in conduct prohibited by the 
rule. These sections further provide that no employer who has actual 
knowledge that an employee is in violation of the rule may permit the 
employee to perform or continue to perform safety-sensitive functions. 
Additionally, appendix J, section V, paragraph A expressly prohibits an 
employee who has engaged in conduct prohibited by the rule from 
performing safety-sensitive functions. This section, consistent with 
the rules of the other DOT agencies, also requires removal from duty 
for refusal to submit to a required alcohol test.
    Section 614(b)(2) of the FAAct, ``Effect of Rehabilitation,'' 
states that no covered employee may perform a safety-sensitive function 
after engaging in prohibited conduct unless he or she has completed a 
rehabilitation program under the provisions of section 614(c) of the 
FAAct. Section 614(c)(1) requires the Administrator to prescribe 
regulations that provide, at a minimum, for the identification of 
employees in need of assistance in resolving problems with misuse of 
alcohol. Further, the section gives the Administrator the authority to 
determine the circumstances under which such employees would be 
required to participate in any required rehabilitation. The provisions 
recognize that rehabilitation may not be appropriate or warranted in 
all cases of prohibited conduct.
    The legislative requirement of section 614(b)(2) is implemented in 
appendix J, section V, paragraph E, ``Required evaluation.'' This 
section requires that the employee be evaluated in accordance with 
section VI of the appendix prior to performing covered functions. The 
evaluation process is discussed further below.
    The rule also contains a provision, analogous to the one in the 
antidrug rule, under which employers are required to notify the Federal 
Air Surgeon of any instance in which a holder of a part 67 medical 
certificate violated the provisions of the rule or refused to submit to 
a required alcohol test (with the exception of pre-employment tests). 
The employer also has to forward to the FAA copies of the evaluations 
conducted by the SAP. The Federal Air Surgeon will use this information 
to determine whether further action should be taken with respect to the 
medical certificate. No employee requiring an airman medical 
certificate shall return to the performance of safety-sensitive 
functions without the Federal Air Surgeon's recommendation.
    Section 614(b)(3) of the FAAct, ``Performance of prior duties 
prohibited,'' provides sanctions for employees who engage in prohibited 
use of alcohol after the date of the Omnibus Transportation Employee 
Testing Act. This subsection is found only in the amendments to the 
FAAct and has no parallel in the amendments to the other DOT agencies' 
statutes. It provides that, under certain circumstances discussed 
below, an individual shall not be permitted to perform the duties 
related to air transportation that he or she performed prior to the 
date he or she engaged in the impermissible use of alcohol. The 
legislation does not require that the individual's employment be 
terminated, nor that he or she be reassigned to perform non-safety-
sensitive functions. However, it is an absolute bar to the performance 
of the same duties the employee performed before the violation.
    This bar applies under four circumstances. The first occurs if the 
individual misuses alcohol ``while on duty.'' The remaining 
prohibitions all relate to rehabilitation: the absolute bar to 
returning to duty applies if an employee misuses alcohol after the date 
of enactment, and
    1. Had previously misused alcohol and undergone a program of 
rehabilitation under the regulations promulgated pursuant to the Act;
    2. Refused to undertake any required rehabilitation; or
    3. Failed to complete any required rehabilitation.
    This rule implements the prohibitions in two ways. First, appendix 
J, section V, paragraph B, ``Permanent disqualification for service'' 
applies if an employee is determined to have violated the on-duty use 
prohibition or if the employee twice violated other provisions of the 
rule after its effective date. Under this section the employee is 
permanently barred from performing the safety-sensitive functions he or 
she performed before such a determination.
    As proposed in the NPRM, this bar would have applied to the 
performance of any safety-sensitive function. The FAA noted in the NPRM 
that a narrow bar, limited only to the safety-sensitive functions the 
individual previously performed, could lead to anomalous results. 
Commenters differed in responding to the proposed bar, some favoring a 
broad exclusion while another wanted the bar removed as inconsistent 
with the Americans with Disabilities Act (ADA). The latter commenter 
failed to note that the Act requires a permanent bar and that the 
regulations implementing the ADA provide for the necessity of complying 
with the regulations of another Federal agency (29 CFR 1630.15(e)). 
However, the FAA has concluded that a bar limited to the statutory 
requirement is more likely to be seen as clearly consistent with the 
ADA and other legal constraints, and has thus adopted this change in 
the final rule. It should be noted that employers retain any discretion 
they may have under independent authority to preclude such employees 
from performing other safety-sensitive functions. The FAA expects that 
employers will exercise responsible judgment in deciding whether 
employees not expressly barred from service will be permitted to 
perform other safety-sensitive functions.
    As addressed in the NPRM, the bar on two-time violators will apply 
both to persons who had gone through rehabilitation and to those who, 
after evaluation by a substance abuse professional (SAP), are 
determined not to need treatment. Otherwise, an employee who was found 
to need treatment and had an instance of recidivism would be 
sanctioned, but an employee who did not need assistance but simply 
chose to engage in misuse of alcohol would not be sanctioned.
    A number of commenters objected to the FAA's proposal to apply the 
permanent bar to individuals who engage in multiple instances of 
alcohol misuse. They noted that recidivism is often a normal part of 
the rehabilitative process. Given the Act's requirements, these 
comments cannot be adopted. The Act requires that individuals complete 
rehabilitation prior to returning to safety-sensitive functions. 
Therefore, once an employee has been deemed by the SAP to have 
completed rehabilitation and is returned to the performance of safety-
sensitive functions, the employee must conform his or her conduct to 
the requirements of the rule.
    The bar following a refusal or failure of rehabilitation is 
implicitly implemented in this rule by the requirement that prior to 
returning to duty performing safety-sensitive functions each employee 
must be evaluated by an SAP to determine whether the employee properly 
met the requirements for rehabilitation established during the initial 
evaluation. An employee who does not meet the requirements, whether by 
failure or refusal, will be precluded from returning to the performance 
of safety-sensitive functions. Commenters supported the FAA's choice in 
the NPRM not to propose a definite time period during which the 
employee must comply. They agreed that the rule will thus allow for the 
denial phase that most people go through when first confronted with 
evidence of an alcohol problem.

Alcohol Misuse Information and Training

    In the NPRM, the FAA specifically sought comment on whether the 
rule should include alcohol awareness training for all employees. 
Commenters split almost equally between two positions: Labor 
organizations and employees favored employee training, and employers 
stated that such training would be unnecessary and costly. The common 
preamble addresses these issues in greater detail; however, it should 
be noted that while the FAA is not requiring formal employee training, 
the FAA did adopt the recommendation to provide more detailed written 
materials to employees. Further, nothing in this rule precludes an 
employer from providing training to its employees under the employer's 
own authority.

Employee Referral, Evaluation, and Treatment

    As was noted in the NPRM, the FAA recognized the sometimes 
conflicting needs of employer flexibility and employee health. The FAA 
did not propose to prescribe regulations with respect to specific types 
of rehabilitation and maintains that position in the final rule. This 
rule does include the process proposed in the NPRM under which each 
covered employee who engages in alcohol misuse or who refuses to submit 
to testing must be advised of all resources available to the employee. 
It also requires that each such employee be evaluated by a SAP to 
determine whether and what assistance the employee needed in resolving 
problems associated with alcohol misuse.
    Some commenters, primarily labor organizations and employees, 
stated that the rule should include a mechanism to protect employees 
from overzealous, biased, or unprofessional SAPs. These commenters 
suggested that employees be entitled to obtain a second opinion from 
another SAP, that the SAP evaluations be reviewed by a medical review 
officer, or that the employee be permitted to choose the SAP. The FAA 
has not adopted these suggestions. Each person authorized by this rule 
to act as an SAP has obligations independent of this rule which require 
him or her to perform the duties in this rule professional and ethical 
manner. Aside from the financial restrictions discussed in the common 
preamble, the FAA does not believe that any additional protection of 
employees is necessary. The use of a second opinion system would be 
especially difficult and problematic in a program such as this one 
where, in the exercise of reasonable, good faith analysis of a case, 
two SAPs could very possibly arrive at different conclusions on the 
appropriate therapeutic intervention. As was the case in the NPRM, 
however, the final rule provides that selection of the SAP should be 
made in accordance with employer/employee agreements and employer 
policies.

Employer Alcohol Misuse Prevention Program Plans; Certification 
Statements

    The FAA proposed in the NPRM to include a requirement that 
employers submit detailed alcohol misuse prevention program (AMPP) 
plans to the FAA for approval prior to implementation of a program 
under the rule. Many commenters stated that the use of specific plans 
would be unduly cumbersome in the context of an AMPP. These commenters 
stated that unlike drug testing, in which a single laboratory is 
generally used, it is likely that alcohol testing will be conducted 
using a variety of breath testing devices. Additionally, since the SAPs 
must personally evaluate each employee who violates the rule, large 
companies will probably arrange to have many SAPs available wherever 
they are necessary. These commenters requested that the FAA limit its 
plan submission requirements to address these concerns.
    The FAA agrees with these comments. Although the use of detailed, 
preapproved plans was and remains beneficial in the context of the 
antidrug rule, the FAA has chosen to minimize the requirements for the 
final alcohol rule. Instead, the FAA will require submission of a 
certification statement that will provide specified identifying 
information and an agreement to comply with this rule. Like the plan 
submission requirement, the certification statements will provide the 
FAA with the ability to readily determine which companies are failing 
or refusing to comply with the rule.
    Commenters generally supported the FAA proposal to permit companies 
whose employees perform covered services by contract to an employer to 
establish independent alcohol misuse prevention programs. Under the 
revised procedures in this rule, contractor companies are able to 
submit certification statements directly to the FAA and may be 
authorized to implement AMPPs for their own employees. An aspect of the 
NPRM that has not changed is the requirement that each entity that 
establishes an AMPP, whether a contractor company or an employer, must 
maintain its program in accordance with the final rule. A contractor 
company, for example, is required to maintain the confidentiality of 
records pertaining to its employees and must disclose such records only 
in accordance with the rule. The FAA has retained the ability to revoke 
its authorization for any contractor company that fails to properly 
implement its AMPP. Because employers are only able to use contractor 
employees who are subject to an FAA-mandated program, potential 
revocation of authorization to establish an AMPP provides a strong 
incentive to contractor companies to properly implement their programs.
    The FAA has also retained the provisions under which employers and 
contractor companies may join consortia for purposes of complying with 
the rule. A consortium certification statement must set forth the 
aspects of the AMPP that the consortium intends to provide to aviation 
employers.
    Generally, the final rule provides that aviation entities must 
submit the certification statements in duplicate. The FAA will annotate 
receipt on one of the copies and return it to the submitter, after 
which the submitter can implement its AMPP.

Phased Implementation

    The NPRM included a proposed schedule for phased implementation of 
the AMPP for the aviation industry. Most commenters that addressed the 
schedule favored the FAA's proposal and this schedule has been 
maintained in the final rule. For each class of employers, the rule 
requires submission of a certification statement by a certain date and 
implementation of the FAA-mandated AMPP approximately 6 months later. 
One change was made in response to comments: As proposed, employers 
would have had 8 months after their specified submission date to ensure 
that contractor employees were subject to an approved program. Many 
commenters did not think, given the complexity of the new requirements, 
that they could both implement their own programs and monitor their 
contractor companies' compliance. The FAA has therefore revised the 
timetable to require employers to ensure compliance by contractors 12 
months after the date on which the employers' must submit their 
certification statements.
    Under the final rule, part 121 and large part 135 certificate 
holders (more than 50 covered employees) and air traffic control 
facilities are required to comply with the rule first, with 
implementation scheduled to occur on January 1, 1995. Part 135 
certificate holders with 11 to 50 covered employees are in the second 
phase of implementation (June 1, 1995), and small part 135 certificate 
holders and Sec. 135.1(c) operators in the last phase (January 1, 
1996).

Employees Located Outside the U.S.

    The NPRM proposed that the rule would apply to direct employees of 
U.S. air carriers who perform safety-sensitive functions outside the 
U.S. after January 2, 1995. The NPRM also proposed that the FAA would 
not permit testing of such employees, however, if the FAA received 
written documentation from an employer demonstrating that such testing 
would be inconsistent with the laws and regulations of the country in 
which the testing would occur. Upon review of the comments submitted to 
this docket and to FAA Docket Number 27066 (which addressed possible 
testing requirements for foreign air carriers), the FAA has determined 
that it will not require testing of any employees located outside the 
territory of the United States.
    To ensure proper selection for random testing, an employer is 
required to remove from the random testing pool any employee assigned 
to perform covered functions solely outside the territory of the United 
States, since such an employee would not be available for testing. The 
employee must be returned to the random testing pool as soon as the 
employee once more begins to perform functions wholly or partially 
within the territory of the United States. Although the FAA is 
cognizant of concerns about safety and economic parity that would be 
raised by such an exclusion, the FAA has determined that 
extraterritorial application of this rule, with its significant 
logistical issues and possible conflicts with local laws, should not be 
pursued.

Paperwork Reduction Act Approval

    Appendix J to part 121 requires each employer to submit to the FAA: 
An alcohol misuse prevention program certification statement; 
notification to the FAA of alcohol misuse by holders of airman medical 
certificates issued under 14 CFR part 67; notification to the FAA of 
refusals to submit to alcohol testing by holders of airman certificates 
issued under 14 CFR parts 61, 63, and 65; and annual statistical 
reports summarizing data on the employer's alcohol misuse prevention 
program. To provide the notifications and reports to the FAA, employers 
are required to maintain records related to each covered employee, 
including test results. In accordance with the Paperwork Reduction Act 
of 1980 (Pub. L. 96-511), the recordkeeping and reporting requirements 
in this final rule have been submitted to the Office of Management and 
Budget (OMB) for approval. Information collection requirements are not 
effective until the paperwork reduction act package has been received.

Economic Summary

    A full regulatory evaluation has been prepared by the FAA and 
placed in the docket that provides detailed estimates of the economic 
consequences of this regulatory action. The FAA certifies that the 
annual costs to be imposed on small operators will not exceed the 
thresholds for significant impact and that this rule will not have a 
significant economic impact on a substantial number of small entities.

International Trade Impact Analysis

    The FAA finds that this rule affects all part 121 and part 135 air 
carriers. The FAA finds that this rule will not have an adverse impact 
on trade opportunities for either U.S. firms doing business overseas or 
foreign firms doing business in the United States.

Federalism Implications

    This rule does not have substantial direct effects on the States, 
on the relationship between the national government and the States, or 
on the distribution of power and responsibilities among the various 
levels of government. Therefore, in accordance with Executive Order 
12612, the FAA has determined that this rule does not have sufficient 
federalism implications to warrant preparation of a Federalism 
Assessment.

Significance

    This rule is not likely to result in an annual effect on the 
economy of $100 million or more, although it may result in an increase 
in costs for consumers, industry, or Federal, State, or local agencies. 
The FAA has determined, however, that this rule involves issues of 
substantial interest to the public. Therefore, the FAA has determined 
that the rule is significant under the Executive Order 12866 and the 
Regulatory Policies and Procedures of the Department of Transportation 
(44 FR 11034; February 2, 1979).
    A Regulatory Impact Analysis of the rule has been placed in the 
regulatory docket. A copy may be obtained by contacting the office 
identified under ``FOR FURTHER INFORMATION CONTACT.''

Other Regulatory Matters

    The FAA has received three petitions for rulemaking that address 
issues concerning alcohol use in aviation. The docket numbers for those 
petitions are 24706, 26233, and 26872. Because the issues raised in the 
petitions have been resolved in this final rule, the FAA has closed 
these actions.
    A number of commenters also asked that the FAA amend 14 CFR 
91.13(a) to provide that crewmembers would only be held liable for the 
actions of a fellow crewmember if they have actual knowledge that the 
crewmember was impaired by drugs or alcohol. The comments cited the 
case of Johnson v. National Transportation Safety Board, 979 F.2d 618 
(7th Cir. 1992), in which a pilot lost his airman certificate after his 
copilot was determined to have been intoxicated. Revision of this 
provision was neither explicitly nor implicitly contemplated in the 
NPRM, and the FAA finds that the issue is outside the scope of this 
rulemaking.

List of Subjects

14 CFR Part 61

    Air safety, Air transportation, Aircraft, Aircraft pilots, Airmen, 
Alcohol, Alcoholism, Aviation safety, Safety, Transportation.

14 CFR Part 63

    Air safety, Air transportation, Aircraft, Airmen, Alcohol, 
Alcoholism, Aviation safety, Safety, Transportation.

14 CFR Part 65

    Air safety, Air traffic, Air transportation, Aircraft, Airmen, 
Alcohol, Alcoholism, Aviation safety, Safety, Transportation.

14 CFR Part 121

    Air carriers, Air transportation, Aircraft, Aircraft pilots, 
Airmen, Airplanes, Alcohol, Alcoholism, Aviation safety, Pilots, 
Safety, Transportation.

14 CFR Part 135

    Air carriers, Air taxi, Air transportation, Aircraft, Airmen, 
Airplanes, Alcohol, Alcoholism, Aviation safety, Pilots, Safety, 
Transportation.
    In consideration of the foregoing, the Federal Aviation 
Administration amends 14 CFR parts 61, 63, 65, 121, and 135 as follows:

PART 61--CERTIFICATION: PILOTS AND FLIGHT INSTRUCTORS

    1. The authority citation for part 61 is revised to read as 
follows:

    Authority: 49 U.S.C. 1354(a), 1355, 1421, 1422, and 1427 
(revised, Pub. L. 102-143, October 28, 1991); 49 U.S.C. 106(g) 
(revised, Pub. L. 97-449, January 12, 1983).

    2. Section 61.14 is revised to read as follows:


Sec. 61.14  Refusal to submit to a drug or alcohol test.

    (a) This section applies to an employee who performs a function 
listed in appendix I or appendix J to part 121 of this chapter directly 
or by contract for a part 121 certificate holder, a part 135 
certificate holder, or an operator as defined in Sec. 135.1(c) of this 
chapter.
    (b) Refusal by the holder of a certificate issued under this part 
to take a drug test required under the provisions of appendix I to part 
121 or an alcohol test required under the provisions of appendix J to 
part 121 is grounds for--
    (1) Denial of an application for any certificate or rating issued 
under this part for a period of up to 1 year after the date of such 
refusal; and
    (2) Suspension or revocation of any certificate or rating issued 
under this part.

PART 63--CERTIFICATION: FLIGHT CREW-MEMBERS OTHER THAN PILOTS

    3. The authority citation for part 63 is revised to read as 
follows:

    Authority: 49 U.S.C. 1354(a), 1355, 1421, 1422, 1427, 1429, and 
1430 (revised, Pub. L. 102-143, October 28, 1991); 49 U.S.C. 106(g) 
(revised, Pub. L. 97-449, January 12, 1983).

    4. Section 63.12b is revised to read as follows:


Sec. 63.12b  Refusal to submit to a drug or alcohol test.

    (a) This section applies to an employee who performs a function 
listed in appendix I or appendix J to part 121 of this chapter directly 
or by contract for a part 121 certificate holder, a part 135 
certificate holder, or an operator as defined in Sec. 135.1(c) of this 
chapter.
    (b) Refusal by the holder of a certificate issued under this part 
to take a drug test required under the provisions of appendix I to part 
121 or an alcohol test required under the provisions of appendix J to 
part 121 is grounds for--
    (1) Denial of an application for any certificate or rating issued 
under this part for a period of up to 1 year after the date of such 
refusal; and
    (2) Suspension or revocation of any certificate or rating issued 
under this part.

PART 65--CERTIFICATION: AIRMEN OTHER THAN FLIGHT CREWMEMBERS

    5. The authority citation for part 65 is revised to read as 
follows:

    Authority: 49 U.S.C. 1354(a), 1355, 1421, 1422, and 1427 
(revised, Pub. L. 102-143, October 28, 1991); 49 U.S.C. 106(g) 
(revised, Pub. L. 97-449, January 12, 1983).

    6. Section 65.23 is revised to read as follows:


Sec. 65.23  Refusal to submit to a drug or alcohol test.

    (a) General. This section applies to an employee who performs a 
function listed in appendix I or appendix J to part 121 of this chapter 
directly or by contract for a part 121 certificate holder, a part 135 
certificate holder, an operator as defined in Sec. 135.1(c) of this 
chapter, or an air traffic control facility not operated by the FAA or 
the U.S. military.
    (b) Refusal by the holder of a certificate issued under this part 
to take a drug test required under the provisions of appendix I to part 
121 or an alcohol test required under the provisions of appendix J to 
part 121 is grounds for--
    (1) Denial of an application for any certificate or rating issued 
under this part for a period of up to 1 year after the date of such 
refusal; and
    (2) Suspension or revocation of any certificate or rating issued 
under this part.
    7. Section 65.46a is added to read as follows:


Sec. 65.46a  Misuse of alcohol.

    (a) This section applies to employees who perform air traffic 
control duties directly or by contract for an employer that is an air 
traffic control facility not operated by the FAA or the U.S. military 
(covered employees).
    (b) Alcohol concentration. No covered employee shall report for 
duty or remain on duty requiring the performance of safety-sensitive 
functions while having an alcohol concentration of 0.04 or greater. No 
employer having actual knowledge that an employee has an alcohol 
concentration of 0.04 or greater shall permit the employee to perform 
or continue to perform safety-sensitive functions.
    (c) On-duty use. No covered employee shall use alcohol while 
performing safety-sensitive functions. No employer having actual 
knowledge that a covered employee is using alcohol while performing 
safety-sensitive functions shall permit the employee to perform or 
continue to perform safety-sensitive functions.
    (d) Pre-duty use. No covered employee shall perform air traffic 
control duties within 8 hours after using alcohol. No employer having 
actual knowledge that such an employee has used alcohol within 8 hours 
shall permit the employee to perform or continue to perform air traffic 
control duties.
    (e) Use following an accident. No covered employee who has actual 
knowledge of an accident involving an aircraft for which he or she 
performed a safety-sensitive function at or near the time of the 
accident shall use alcohol for 8 hours following the accident, unless 
he or she has been given a post-accident test under appendix J to part 
121 of this chapter, or the employer has determined that the employee's 
performance could not have contributed to the accident.
    (f) Refusal to submit to a required alcohol test. No covered 
employee shall refuse to submit to a post-accident, random, reasonable 
suspicion, or follow-up alcohol test required under appendix J to part 
121 of this chapter. No employer shall permit an employee who refuses 
to submit to such a test to perform or continue to perform safety-
sensitive functions.
    8. Section 65.46b is added to read as follows:


Sec. 65.46b  Testing for alcohol.

    (a) Each air traffic control facility not operated by the FAA or 
the U.S. military (hereinafter employer) must establish an alcohol 
misuse prevention program in accordance with the provisions of appendix 
J to part 121 of this chapter.
    (b) No employer shall use any person who meets the definition of 
covered employee in appendix J to part 121 to perform a safety-
sensitive function listed in that appendix unless such person is 
subject to testing for alcohol misuse in accordance with the provisions 
of appendix J.

PART 121--CERTIFICATION AND OPERATIONS: DOMESTIC, FLAG, AND 
SUPPLEMENTAL AIR CARRIERS AND COMMERCIAL OPERATORS OF LARGE 
AIRCRAFT

    9. The authority citation for part 121 is revised to read as 
follows:

    Authority: 49 U.S.C. 1354(a), 1355, 1356, 1357, 1401, 1421-1430, 
1485, and 1502 (revised, Pub. L. 102-143, October 28, 1991); 49 
U.S.C. 106(g) (revised, Pub. L. 97-449, January 12, 1983).

    10. Section 121.458 is added to subpart O to read as follows:


Sec. 121.458  Misuse of alcohol.

    (a) General. This section applies to employees who perform a 
function listed in appendix J to this part for a certificate holder 
(covered employees). For the purpose of this section, a person who 
meets the definition of covered employee in appendix J is considered to 
be performing the function for the certificate holder.
    (b) Alcohol concentration. No covered employee shall report for 
duty or remain on duty requiring the performance of safety-sensitive 
functions while having an alcohol concentration of 0.04 or greater. No 
certificate holder having actual knowledge that an employee has an 
alcohol concentration of 0.04 or greater shall permit the employee to 
perform or continue to perform safety-sensitive functions.
    (c) On-duty use. No covered employee shall use alcohol while 
performing safety-sensitive functions. No certificate holder having 
actual knowledge that a covered employee is using alcohol while 
performing safety-sensitive functions shall permit the employee to 
perform or continue to perform safety-sensitive functions.
    (d) Pre-duty use. (1) No covered employee shall perform flight 
crewmember or flight attendant duties within 8 hours after using 
alcohol. No certificate holder having actual knowledge that such an 
employee has used alcohol within 8 hours shall permit the employee to 
perform or continue to perform the specified duties.
    (2) No covered employee shall perform safety-sensitive duties other 
than those specified in paragraph (d)(1) of this section within 4 hours 
after using alcohol. No certificate holder having actual knowledge that 
such an employee has used alcohol within 4 hours shall permit the 
employee to perform or continue to perform safety-sensitive functions.
    (e) Use following an accident. No covered employee who has actual 
knowledge of an accident involving an aircraft for which he or she 
performed a safety-sensitive function at or near the time of the 
accident shall use alcohol for 8 hours following the accident, unless 
he or she has been given a post-accident test under appendix J of this 
part, or the employer has determined that the employee's performance 
could not have contributed to the accident.
    (f) Refusal to submit to a required alcohol test. No covered 
employee shall refuse to submit to a post-accident, random, reasonable 
suspicion, or follow-up alcohol test required under appendix J to this 
part. No certificate holder shall permit an employee who refuses to 
submit to such a test to perform or continue to perform safety-
sensitive functions.
    11. Section 121.459 is added to subpart O to read as follows:


Sec. 121.459  Testing for alcohol.

    (a) Each certificate holder must establish an alcohol misuse 
prevention program in accordance with the provisions of appendix J to 
this part.
    (b) No certificate holder shall use any person who meets the 
definition of covered employee in appendix J to this part to perform a 
safety-sensitive function listed in that appendix unless such person is 
subject to testing for alcohol misuse in accordance with the provisions 
of appendix J.
    12. Appendix J to part 121 is added to read as follows:

Appendix J to Part 121--Alcohol Misuse Prevention Program

    This appendix contains the standards and components that must be 
included in an alcohol misuse prevention program required by this 
chapter.

I. General.

    A. Purpose. The purpose of this appendix is to establish 
programs designed to help prevent accidents and injuries resulting 
from the misuse of alcohol by employees who perform safety-sensitive 
functions in aviation.
    B. Alcohol testing procedures. Each employer shall ensure that 
all alcohol testing conducted pursuant to this appendix complies 
with the procedures set forth in 49 CFR part 40. The provisions of 
49 CFR part 40 that address alcohol testing are made applicable to 
employers by this appendix.
    C. Definitions.
    As used in this appendix--
    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 the time all such persons 
have disembarked, and in which any person suffers death or serious 
injury or in which the aircraft receives substantial damage.
    Administrator means the Administrator of the Federal Aviation 
Administration or his or her designated representative.
    Alcohol means the intoxicating agent in beverage alcohol, ethyl 
alcohol, or other low molecular weight alcohols, including methyl or 
isopropyl alcohol.
    Alcohol concentration (or content) means the alcohol in a volume 
of breath expressed in terms of grams of alcohol per 210 liters of 
breath as indicated by an evidential breath test under this 
appendix.
    Alcohol use means the consumption of any beverage, mixture, or 
preparation, including any medication, containing alcohol.
    Confirmation test means a second test, following a screening 
test with a result 0.02 or greater, that provides quantitative data 
of alcohol concentration.
    Consortium means an entity, including a group or association of 
employers or contractors, that provides alcohol testing as required 
by this appendix and that acts on behalf of such employers or 
contractors, provided that it has submitted an alcohol misuse 
prevention program certification statement to the FAA in accordance 
with this appendix.
    Contractor company means a company that has employees who 
perform safety-sensitive functions by contract for an employer.
    Covered employee means a person who performs, either directly or 
by contract, a safety-sensitive function listed in section II of 
this appendix for an employer (as defined below). For purposes of 
pre-employment testing only, the term ``covered employee'' includes 
a person applying to perform a safety-sensitive function.
    DOT agency means an agency (or ``operating administration'') of 
the United States Department of Transportation administering 
regulations requiring alcohol testing (14 CFR parts 65, 121, and 
135; 49 CFR parts 199, 219, and 382) in accordance with 49 CFR part 
40.
    Employer means a part 121 certificate holder; a part 135 
certificate holder; an air traffic control facility not operated by 
the FAA or by or under contract to the U.S. military; and an 
operator as defined in 14 CFR 135.1(c).
    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 functions.
    Refuse to submit (to an alcohol test) means that a covered 
employee fails to provide adequate breath for testing without a 
valid medical explanation after he or she has received notice of the 
requirement to be tested in accordance with this appendix, or 
engages in conduct that clearly obstructs the testing process.
    Safety-sensitive function means a function listed in section II 
of this appendix.
    Screening test means an analytical procedure to determine 
whether a covered employee may have a prohibited concentration of 
alcohol in his or her system.
    Substance abuse professional means a licensed physician (Medical 
Doctor or Doctor of Osteopathy), or a licensed or certified 
psychologist, social worker, employee assistance professional, or an 
addiction counselor (certified by the National Association of 
Alcoholism and Drug Abuse Counselors Certification Commission) with 
knowledge of and clinical experience in the diagnosis and treatment 
of alcohol-related disorders.
    Violation rate means the number of covered employees (as 
reported under section IV of this appendix) found during random 
tests given under this appendix to have an alcohol concentration of 
0.04 or greater plus the number of employees who refused a random 
test required by this appendix, divided by the total reported number 
of employees in the industry given random alcohol tests under this 
appendix plus the total reported number of employees in the industry 
who refuse a random test required by this appendix.
    D. Preemption of State and local laws.
    1. Except as provided in subparagraph 2 of this paragraph, these 
regulations preempt any State or local law, rule, regulation, or 
order to the extent that:
    (a) Compliance with both the State or local requirement and this 
appendix is not possible; or
    (b) Compliance with the State or local requirement is an 
obstacle to the accomplishment and execution of any requirement in 
this appendix.
    2. The alcohol misuse requirements of this title shall not be 
construed to preempt provisions of State criminal law that impose 
sanctions for reckless conduct leading to actual loss of life, 
injury, or damage to property, whether the provisions apply 
specifically to transportation employees or employers or to the 
general public.
    E. Other requirements imposed by employers.
    Except as expressly provided in these alcohol misuse 
requirements, nothing in these requirements shall be construed to 
affect the authority of employers, or the rights of employees, with 
respect to the use or possession of alcohol, including any authority 
and rights with respect to alcohol testing and rehabilitation.
    F. Requirement for notice.
    Before performing an alcohol test under this appendix, each 
employer shall notify a covered employee that the alcohol test is 
required by this appendix. No employer shall falsely represent that 
a test is administered under this appendix.

II. Covered Employees

    Each employee who performs a function listed in this section 
directly or by contract for an employer as defined in this appendix 
must be subject to alcohol testing under an FAA-approved alcohol 
misuse prevention program implemented in accordance with this 
appendix. The covered safety-sensitive functions are:
    1. Flight crewmember duties.
    2. Flight attendant duties.
    3. Flight instruction duties.
    4. Aircraft dispatcher duties.
    5. Aircraft maintenance or preventive maintenance duties.
    6. Ground security coordinator duties.
    7. Aviation screening duties.
    8. Air traffic control duties.

III. Tests Required

A. Pre-employment

    1. Prior to the first time a covered employee performs safety-
sensitive functions for an employer, the employee shall undergo 
testing for alcohol. No employer shall allow a covered employee to 
perform safety-sensitive functions unless the employee has been 
administered an alcohol test with a result indicating an alcohol 
concentration less than 0.04. If a pre-employment test result under 
this paragraph indicates an alcohol concentration of 0.02 or greater 
but less than 0.04, the provisions of paragraph F of section V of 
this appendix apply.
    2. An employer is not required to administer an alcohol test as 
required by this paragraph if:
    (a) The employee has undergone an alcohol test required by this 
appendix or the alcohol misuse rule of another DOT agency under 49 
CFR part 40 within the previous 6 months, with a result indicating 
an alcohol concentration less than 0.04; and
    (b) The employer ensures that no prior employer of the covered 
employee of whom the employer has knowledge has records of a 
violation of Sec. 65.46a, 121.458, or 135.253 of this chapter or the 
alcohol misuse rule of another DOT agency within the previous 6 
months.

B. Post-accident

    1. As soon as practicable following an accident, each employer 
shall test each surviving covered employee for alcohol if that 
employee's performance of a safety-sensitive function either 
contributed to the accident or cannot be completely discounted as a 
contributing factor to the accident. The decision not to administer 
a test under this section shall be based on the employer's 
determination, using the best available information at the time of 
the determination, that the covered employee's performance could not 
have contributed to the accident.
    2. If a test required by this section is not administered within 
2 hours following the accident, the employer shall prepare and 
maintain on file a record stating the reasons the test was not 
promptly administered. If a test required by this section is not 
administered within 8 hours following the accident, the employer 
shall cease attempts to administer an alcohol test and shall prepare 
and maintain the same record. Records shall be submitted to the FAA 
upon request of the Administrator or his or her designee.
    3. A covered employee who is subject to post-accident testing 
shall remain readily available for such testing or may be deemed by 
the employer to have refused to submit to testing. Nothing in this 
section shall be construed to require the delay of necessary medical 
attention for injured people following an accident or to prohibit a 
covered employee from leaving the scene of an accident for the 
period necessary to obtain assistance in responding to the accident 
or to obtain necessary emergency medical care.

C. Random testing

    1. Except as provided in paragraphs 2-4 of this section, the 
minimum annual percentage rate for random alcohol testing will be 25 
percent of the covered employees.
    2. The Administrator's decision to increase or decrease the 
minimum annual percentage rate for random alcohol testing is based 
on the violation rate for the entire industry. All information used 
for this determination is drawn from alcohol MIS reports required by 
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 
violation rate. Each year, the Administrator will publish in the 
Federal Register the minimum annual percentage rate for random 
alcohol testing of covered employees. The new minimum annual 
percentage rate for random alcohol testing will be applicable 
starting January 1 of the calendar year following publication.
    3. (a) When the minimum annual percentage rate for random 
alcohol testing is 25 percent or more, the Administrator may lower 
this rate to 10 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 violation rate is less than 0.5 percent.
    (b) When the minimum annual percentage rate for random alcohol 
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 
violation rate is less than 1.0 percent but equal to or greater than 
0.5 percent.
    4. (a) When the minimum annual percentage rate for random 
alcohol testing is 10 percent, and the data received under the 
reporting requirements of this appendix for that calendar year 
indicate that the violation rate is equal to or greater than 0.5 
percent but less than 1.0 percent, the Administrator will increase 
the minimum annual percentage rate for random alcohol testing to 25 
percent of all covered employees.
    (b) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or less, and the data received under the 
reporting requirements of this appendix for that calendar year 
indicate that the violation rate is equal to or greater than 1.0 
percent, the Administrator will increase the minimum annual 
percentage rate for random alcohol testing to 50 percent of all 
covered employees.
    5. The selection of employees for random alcohol 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 alcohol testing determined by the Administrator. If the 
employer conducts random testing through a consortium, 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 
who are subject to random alcohol testing at the same minimum annual 
percentage rate under this appendix or any DOT alcohol testing rule.
    7. Each employer shall ensure that random alcohol tests 
conducted under this appendix are unannounced and that the dates for 
administering random tests are spread reasonably throughout the 
calendar year.
    8. Each employer shall require that each covered employee who is 
notified of selection for random testing proceeds to the testing 
site immediately; provided, however, that if the employee is 
performing a safety-sensitive function at the time of the 
notification, the employer shall instead ensure that the employee 
ceases to perform the safety-sensitive function and proceeds to the 
testing site as soon as possible.
    9. A covered employee shall only be randomly tested 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.
    10. If a given covered employee is subject to random alcohol 
testing under the alcohol testing rules of more than one DOT agency, 
the employee shall be subject to random alcohol testing at the 
percentage rate established for the calendar year by the DOT agency 
regulating more than 50 percent of the employee's functions.
    11. If an employer is required to conduct random alcohol testing 
under the alcohol 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 such employees for testing at the highest 
percentage rate established for the calendar year by any DOT agency 
to which the employer is subject.

D. Reasonable Suspicion Testing

    1. An employer shall require a covered employee to submit to an 
alcohol test when the employer has reasonable suspicion to believe 
that the employee has violated the alcohol misuse prohibitions in 
Sec. 65.46a, 121.458, or 135.253 of this chapter.
    2. The employer's determination that reasonable suspicion exists 
to require the covered employee to undergo an alcohol test shall be 
based on specific, contemporaneous, articulable observations 
concerning the appearance, behavior, speech or body odors of the 
employee. The required observations shall be made by a supervisor 
who is trained in detecting the symptoms of alcohol misuse. The 
supervisor who makes the determination that reasonable suspicion 
exists shall not conduct the breath alcohol test on that employee.
    3. Alcohol testing is authorized by this section only if the 
observations required by paragraph 2 are made during, just 
preceding, or just after the period of the work day that the covered 
employee is required to be in compliance with this rule. An employee 
may be directed by the employer to undergo reasonable suspicion 
testing for alcohol only 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.
    4. (a) If a test required by this section is not administered 
within 2 hours following the determination made under paragraph 2 of 
this section, the employer shall prepare and maintain on file a 
record stating the reasons the test was not promptly administered. 
If a test required by this section is not administered within 8 
hours following the determination made under paragraph 2 of this 
section, the employer shall cease attempts to administer an alcohol 
test and shall state in the record the reasons for not administering 
the test.
    (b) Notwithstanding the absence of a reasonable suspicion 
alcohol test under this section, no covered employee shall report 
for duty or remain on duty requiring the performance of safety-
sensitive functions while the employee is under the influence of or 
impaired by alcohol, as shown by the behavioral, speech, or 
performance indicators of alcohol misuse, nor shall an employer 
permit the covered employee to perform or continue to perform 
safety-sensitive functions until:
    (1) An alcohol test is administered and the employee's alcohol 
concentration measures less than 0.02; or
    (2) The start of the employee's next regularly scheduled duty 
period, but not less than 8 hours following the determination made 
under paragraph 2 of this section that there is reasonable suspicion 
that the employee has violated the alcohol misuse provisions in 
Sec. 65.46a, 121.458, or 135.253 of this chapter.
    (c) Except as provided in paragraph 4(b), no employer shall take 
any action under this appendix against a covered employee based 
solely on the employee's behavior and appearance in the absence of 
an alcohol test. This does not prohibit an employer with authority 
independent of this appendix from taking any action otherwise 
consistent with law.

E. Return to Duty Testing

    Each employer shall ensure that before a covered employee 
returns to duty requiring the performance of a safety-sensitive 
function after engaging in conduct prohibited in Sec. 65.46a, 
121.458, or 135.253 of this chapter, the employee shall undergo a 
return to duty alcohol test with a result indicating an alcohol 
concentration of less than 0.02.

F. Follow-up Testing

    Following a determination under section VI, paragraph C.2 of 
this appendix that a covered employee is in need of assistance in 
resolving problems associated with alcohol misuse, each employer 
shall ensure that the employee is subject to unannounced follow-up 
alcohol testing as directed by a substance abuse professional in 
accordance with the provisions of section VI, paragraph C.3(b)(2) of 
this appendix. A covered employee shall be tested under this 
paragraph only 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.

G. Retesting of Covered Employees With an Alcohol Concentration of 
0.02 or Greater but Less Than 0.04

    Each employer shall retest a covered employee to ensure 
compliance with the provisions of section V, paragraph F of this 
appendix, if the employer chooses to permit the employee to perform 
a safety-sensitive function within 8 hours following the 
administration of an alcohol test indicating an alcohol 
concentration of 0.02 or greater but less than 0.04.

IV. Handling of Test Results, Record Retention, and Confidentiality

A. Retention of Records

    1. General Requirement. Each employer shall maintain records of 
its alcohol misuse prevention program as provided in this section. 
The records shall be maintained in a secure location with controlled 
access.
    2. Period of Retention. Each employer shall maintain the records 
in accordance with the following schedule:
    (a) Five years. Records of employee alcohol test results with 
results indicating an alcohol concentration of 0.02 or greater, 
documentation of refusals to take required alcohol tests, 
calibration documentation, employee evaluations and referrals, and 
copies of any annual reports submitted to the FAA under this 
appendix shall be maintained for a minimum of 5 years.
    (b) Two years. Records related to the collection process (except 
calibration of evidential breath testing devices) and training shall 
be maintained for a minimum of 2 years.
    (c) One year. Records of all test results below 0.02 shall be 
maintained for a minimum of 1 year.
    3. Types of Records. The following specific records shall be 
maintained.
    (a) Records related to the collection process:
    (1) Collection logbooks, if used.
    (2) Documents relating to the random selection process.
    (3) Calibration documentation for evidential breath testing 
devices.
    (4) Documentation of breath alcohol technician training.
    (5) Documents generated in connection with decisions to 
administer reasonable suspicion alcohol tests.
    (6) Documents generated in connection with decisions on post-
accident tests.
    (7) Documents verifying existence of a medical explanation of 
the inability of a covered employee to provide adequate breath for 
testing.
    (b) Records related to test results:
    (1) The employer's copy of the alcohol test form, including the 
results of the test;
    (2) Documents related to the refusal of any covered employee to 
submit to an alcohol test required by this appendix.
    (3) Documents presented by a covered employee to dispute the 
result of an alcohol test administered under this appendix.
    (c) Records related to other violations of Secs. 65.46a, 
121.248, or 135.253 of this chapter.
    (d) Records related to evaluations:
    (1) Records pertaining to a determination by a substance abuse 
professional concerning a covered employee's need for assistance.
    (2) Records concerning a covered employee's compliance with the 
recommendations of the substance abuse professional.
    (3) Records of notifications to the Federal Air Surgeon of 
violations of the alcohol misuse prohibitions in this chapter by 
covered employees who hold medical certificates issued under part 67 
of this chapter.
    (e) Records related to education and training:
    (1) Materials on alcohol misuse awareness, including a copy of 
the employer's policy on alcohol misuse.
    (2) Documentation of compliance with the requirements of section 
VI, paragraph A of this appendix.
    (3) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination 
concerning the need for alcohol testing based on reasonable 
suspicion.
    (4) Certification that any training conducted under this 
appendix complies with the requirements for such training.

B. Reporting of Results in a Management Information System

    1. Annual reports summarizing the results of alcohol misuse 
prevention programs shall be submitted to the FAA in the form and 
manner prescribed by the Administrator by March 15 of each year 
covering the previous calendar year (January 1 through December 31) 
in accordance with the provisions below.
    (a) Each part 121 certificate holder shall submit an annual 
report each year.
    (b) Each entity conducting an alcohol misuse prevention program 
under the provisions of this appendix, other than a part 121 
certificate holder, that has 50 or more covered employees on January 
1 of any calendar year shall submit an annual report to the FAA for 
that calendar year.
    (c) The Administrator reserves the right to require employers 
not otherwise required to submit annual reports to 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.
    2. Each employer that is subject to more than one DOT agency 
alcohol rule shall identify each employee covered by the regulations 
of more than one DOT agency. The identification will be by the total 
number and category of covered function. Prior to conducting any 
alcohol test on a covered employee subject to the rules of more than 
one DOT agency, the employer shall determine which DOT agency rule 
or rules authorizes or requires the test. The test result 
information shall be directed to the appropriate DOT agency or 
agencies.
    3. Each employer shall ensure the accuracy and timeliness of 
each report submitted.
    4. Each report shall be submitted in the form and manner 
prescribed by the Administrator.
    5. Each report shall be signed by the employer's alcohol misuse 
prevention program manager or other designated representative.
    6. Each report that contains information on an alcohol screening 
test result of 0.02 or greater or a violation of the alcohol misuse 
provisions of Sec. 65.46a, 121.458, or 135.253 of this chapter shall 
include the following informational elements:
    (a) Number of covered employees by employee category.
    (b) Number of covered employees in each category subject to 
alcohol testing under the alcohol misuse rule of another DOT agency, 
identified by each agency.
    (c)(1) Number of screening tests by type of test and employee 
category.
    (2) Number of confirmation tests, by type of test and employee 
category.
    (d) Number of confirmation alcohol tests indicating an alcohol 
concentration of 0.02 or greater but less than 0.04 by type of test 
and employee category.
    (e) Number of confirmation alcohol tests indicating an alcohol 
concentration of 0.04 or greater, by type of test and employee 
category.
    (f) Number of persons denied a position as a covered employee 
following a pre-employment alcohol test indicating an alcohol 
concentration of 0.04 or greater.
    (g) Number of covered employees with a confirmation alcohol test 
indicating an alcohol concentration of 0.04 or greater who were 
returned to duty in covered positions (having complied with the 
recommendations of a substance abuse professional as described in 
section V, paragraph E, and section VI, paragraph C of this 
appendix).
    (h) Number of covered employees who were administered alcohol 
and drug tests at the same time, with both a positive drug test 
result and an alcohol test result indicating an alcohol 
concentration of 0.04 or greater.
    (i) Number of covered employees who were found to have violated 
other alcohol misuse provisions of Secs. 65.46a, 121.458, or 135.253 
of this chapter, and the action taken in response to the violation.
    (j) Number of covered employees who refused to submit to an 
alcohol test required under this appendix, the number of such 
refusals that were for random tests, and the action taken in 
response to each refusal.
    (k) Number of supervisors who have received required training 
during the reporting period in determining the existence of 
reasonable suspicion of alcohol misuse.
    7. Each report with no screening test results of 0.02 or greater 
or violations of the alcohol misuse provisions of Secs. 65.46a, 
121.458, or 135.253 of this chapter shall include the following 
informational elements. (This report may only be submitted if the 
program results meet these criteria.)
    (a) Number of covered employees by employee category.
    (b) Number of covered employees in each category subject to 
alcohol testing under the alcohol misuse rule of another DOT agency, 
identified by each agency.
    (c) Number of screening tests by type of test and employee 
category.
    (d) Number of covered employees who engaged in alcohol misuse 
who were returned to duty in covered positions (having complied with 
the recommendations of a substance abuse professional as described 
in section V, paragraph E, and section VI, paragraph C of this 
appendix).
    (e) Number of covered employees who refused to submit to an 
alcohol test required under this appendix, and the action taken in 
response to each refusal.
    (f) Number of supervisors who have received required training 
during the reporting period in determining the existence of 
reasonable suspicion of alcohol misuse.
    8. An FAA-approved consortium 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 
consortium.

C. Access to Records and Facilities

    1. Except as required by law or expressly authorized or required 
in this appendix, no employer shall release covered employee 
information that is contained in records required to be maintained 
under this appendix.
    2. A covered employee is entitled, upon written request, to 
obtain copies of any records pertaining to the employee's use of 
alcohol, including any records pertaining to his or her alcohol 
tests. The employer shall promptly provide the records requested by 
the employee. Access to an employee's records shall not be 
contingent upon payment for records other than those specifically 
requested.
    3. Each employer shall make available copies of all results of 
alcohol testing conducted under this appendix and any other 
information pertaining to the employer's alcohol misuse prevention 
program, when requested by the Secretary of Transportation or any 
DOT agency with regulatory authority over the employer or covered 
employee.
    4. When requested by the National Transportation Safety Board as 
part of an accident investigation, each employer shall disclose 
information related to the employer's administration of a post-
accident alcohol test administered following the accident under 
investigation.
    5. Records shall be made available to a subsequent employer upon 
receipt of written request from the covered employee. Disclosure by 
the subsequent employer is permitted only as expressly authorized by 
the terms of the employee's request.
    6. An employer may disclose information required to be 
maintained under this appendix pertaining to a covered employee to 
the employee or to the decisionmaker in a lawsuit, grievance, or 
other proceeding initiated by or on behalf of the individual and 
arising from the results of an alcohol test administered under this 
appendix or from the employer's determination that the employee 
engaged in conduct prohibited under Secs. 65.46a, 121.458, or 
135.253 of this chapter (including, but not limited to, a worker's 
compensation, unemployment compensation, or other proceeding 
relating to a benefit sought by the employee).
    7. An employer shall release information regarding a covered 
employee's records as directed by the specific, written consent of 
the employee authorizing release of the information to an identified 
person. Release of such information by the person receiving the 
information is permitted only in accordance with the terms of the 
employee's consent.
    8. Each employer shall permit access to all facilities utilized 
in complying with the requirements of this appendix to the Secretary 
of Transportation or any DOT agency with regulatory authority over 
the employer or any of its covered employees.

V. Consequences for Employees Engaging in Alcohol-Related Conduct

A. Removal From Safety-sensitive Function

    1. Except as provided in section VI of this appendix, no covered 
employee shall perform safety-sensitive functions if the employee 
has engaged in conduct prohibited by Secs. 65.46a, 121.458, or 
135.253 of this chapter or an alcohol misuse rule of another DOT 
agency.
    2. No employer shall permit any covered employee to perform 
safety-sensitive functions if the employer has determined that the 
employee has violated this paragraph.

B. Permanent Disqualification From Service

    An employee who violates Secs. 65.46a(c), 121.458(c), or 
135.253(c) or who violates other alcohol misuse provisions of 
Secs. 65.46a, 121.458, or 135.253 of this chapter and had previously 
engaged in conduct that violated the provisions of Secs. 65.46a, 
121.458, or 135.253 of this chapter after March 18, 1994 is 
permanently precluded from performing for an employer the safety-
sensitive duties the employee performed before such violation.

C. Notice to the Federal Air Surgeon

    1. An employer who determines that a covered employee who holds 
an airman medical certificate issued under part 67 of this chapter 
has violated the provisions of Secs. 65.46a, 121.458, or 135.253 of 
this chapter shall notify the Federal Air Surgeon within 2 working 
days.
    2. Each such employer shall forward to the Federal Air Surgeon a 
copy of the report of any evaluation performed under the provisions 
of section VI of this appendix within 2 working days of the 
employer's receipt of the report.
    3. All documents shall be sent to the Federal Air Surgeon, 
Office of Aviation Medicine, Drug Abatement Division (AAM-800), 400 
7th Street SW., Washington, DC 20590.
    4. No covered employee who holds a part 67 airman medical 
certificate shall perform safety-sensitive duties for an employer 
following a violation until and unless the Federal Air Surgeon has 
recommended that the employee be permitted to perform such duties.

D. Notice of Refusals

    1. Except as provided in subparagraph 2 of this paragraph, each 
employer shall notify the FAA of any covered employee who holds a 
certificate issued under part 61, part 63, or part 65 who has 
refused to submit to an alcohol test required under this appendix. 
Notifications should be sent to: Federal Aviation Administration, 
Aviation Standards National Field Office, Airmen Certification 
Branch, AVN-460, P.O Box 25082, Oklahoma City, OK 73125.
    2. An employer is not required to notify the FAA of refusals to 
submit to pre-employment alcohol tests or refusals to submit to 
return to duty tests.

E. Required Evaluation and Testing

    No covered employee who has engaged in conduct prohibited by 
Secs. 65.46a, 121.458, or 135.253 of this chapter shall perform 
safety-sensitive functions unless the employee has met the 
requirements of section VI, paragraph C of this appendix. No 
employer shall permit a covered employee who has engaged in such 
conduct to perform safety-sensitive functions unless the employee 
has met the requirements of section VI, paragraph C of this 
appendix.

F. Other Alcohol-Related Conduct

    1. No covered employee tested under the provisions of section 
III of this appendix who is found to have an alcohol concentration 
of 0.02 or greater but less than 0.04 shall perform or continue to 
perform safety-sensitive functions for an employer, nor shall an 
employer permit the employee to perform or continue to perform 
safety-sensitive functions, until:
    (a) The employee's alcohol concentration measures less than 
0.02; or
    (b) The start of the employee's next regularly scheduled duty 
period, but not less than 8 hours following administration of the 
test.
    2. Except as provided in subparagraph 1 of this paragraph, no 
employer shall take any action under this rule against an employee 
based solely on test results showing an alcohol concentration less 
than 0.04. This does not prohibit an employer with authority 
independent of this rule from taking any action otherwise consistent 
with law.

VI. Alcohol Misuse Information, Training, and Referral

A. Employer Obligation to Promulgate a Policy on the Misuse of 
Alcohol

    1. General requirements. Each employer shall provide educational 
materials that explain these alcohol misuse requirements and the 
employer's policies and procedures with respect to meeting those 
requirements.
    (a) The employer shall ensure that a copy of these materials is 
distributed to each covered employee prior to the start of alcohol 
testing under the employer's FAA-mandated alcohol misuse prevention 
program and to each person subsequently hired for or transferred to 
a covered position.
    (b) Each employer shall provide written notice to 
representatives of employee organizations of the availability of 
this information.
    2. Required content. The materials to be made available to 
employees shall include detailed discussion of at least the 
following:
    (a) The identity of the person designated by the employer to 
answer employee questions about the materials.
    (b) The categories of employees who are subject to the 
provisions of these alcohol misuse requirements.
    (c) Sufficient information about the safety-sensitive functions 
performed by those employees to make clear what period of the work 
day the covered employee is required to be in compliance with these 
alcohol misuse requirements.
    (d) Specific information concerning employee conduct that is 
prohibited by this chapter.
    (e) The circumstances under which a covered employee will be 
tested for alcohol under this appendix.
    (f) The procedures that will be used to test for the presence of 
alcohol, protect the employee and the integrity of the breath 
testing process, safeguard the validity of the test results, and 
ensure that those results are attributed to the correct employee.
    (g) The requirement that a covered employee submit to alcohol 
tests administered in accordance with this appendix.
    (h) An explanation of what constitutes a refusal to submit to an 
alcohol test and the attendant consequences.
    (i) The consequences for covered employees found to have 
violated the prohibitions in this chapter, including the requirement 
that the employee be removed immediately from performing safety-
sensitive functions, and the procedures under section VI of this 
appendix.
    (j) The consequences for covered employees found to have an 
alcohol concentration of 0.02 or greater but less than 0.04.
    (k) Information concerning the effects of alcohol misuse on an 
individual's health, work, and personal life; signs and symptoms of 
an alcohol problem; and available methods of evaluating and 
resolving problems associated with the misuse of alcohol; and 
intervening when an alcohol problem is suspected, including 
confrontation, referral to any available employee assistance 
program, and/or referral to management.
    (l) Optional provisions. The materials supplied to covered 
employees may also include information on additional employer 
policies with respect to the use or possession of alcohol, including 
any consequences for an employee found to have a specified alcohol 
level, that are based on the employer's authority independent of 
this appendix. Any such additional policies or consequences must be 
clearly and obviously described as being based on independent 
authority.

B. Training for Supervisors

    Each employer shall ensure that persons designated to determine 
whether reasonable suspicion exists to require a covered employee to 
undergo alcohol testing under section II of this appendix receive at 
least 60 minutes of training on the physical, behavioral, speech, 
and performance indicators of probable alcohol misuse.

C. Referral, Evaluation, and Treatment

    1. Each covered employee who has engaged in conduct prohibited 
by Secs. 65.46a, 121.458, or 135.253 of this chapter shall be 
advised by the employer of the resources available to the employee 
in evaluating and resolving problems associated with the misuse of 
alcohol, including the names, addresses, and telephone numbers of 
substance abuse professionals and counseling and treatment programs.
    2. Each covered employee who engages in conduct prohibited under 
Secs. 65.46a, 121.458, or 135.253 of this chapter shall be evaluated 
by a substance abuse professional who must determine what 
assistance, if any, the employee needs in resolving problems 
associated with alcohol misuse.
    3. (a) Before a covered employee returns to duty requiring the 
performance of a safety-sensitive function after engaging in conduct 
prohibited by Secs. 65.46a, 121.458, or 135.253 of this chapter, the 
employee shall undergo a return-to-duty alcohol test with a result 
indicating an alcohol concentration of less than 0.02.
    (b) In addition, each covered employee identified as needing 
assistance in resolving problems associated with alcohol misuse--
    (i) Shall be evaluated by a substance abuse professional to 
determine whether the employee has properly followed any 
rehabilitation program prescribed under subparagraph 2 of this 
paragraph, and,
    (ii) Shall be subject to unannounced follow-up alcohol tests 
administered by the employer following the employee's return to 
duty. The number and frequency of such follow-up testing shall be 
determined by a substance abuse professional, but shall consist of 
at least six tests in the first 12 months following the employee's 
return to duty. The employer may direct the employee to undergo 
testing for drugs (both return to duty and follow-up), in addition 
to alcohol testing, if the substance abuse professional determines 
that drug testing is necessary for the particular employee. Any such 
drug testing shall be conducted in accordance with the requirements 
of 49 CFR part 40. Follow-up testing shall not exceed 60 months from 
the date of the employee's return to duty. The substance abuse 
professional may terminate the requirement for follow-up testing at 
any time after the first six tests have been administered, if the 
substance abuse professional determines that such testing is no 
longer necessary.
    4. Evaluation and rehabilitation may be provided by the 
employer, by a substance abuse professional under contract with the 
employer, or by a substance abuse professional not affiliated with 
the employer. The choice of substance abuse professional and 
assignment of costs shall be made in accordance with employer/
employee agreements and employer policies.
    5. Each employer shall ensure that a substance abuse 
professional who determines that a covered employee requires 
assistance in resolving problems with alcohol misuse does not refer 
the employee to the substance abuse professional's private practice 
or to a person or organization from which the substance abuse 
professional receives remuneration or in which the substance abuse 
professional has a financial interest. This paragraph does not 
prohibit a substance abuse professional from referring an employee 
for assistance provided through--
    (a) A public agency, such as a State, county, or municipality;
    (b) The employer or a person under contract to provide treatment 
for alcohol problems on behalf of the employer;
    (c) The sole source of therapeutically appropriate treatment 
under the employee's health insurance program; or
    (d) The sole source of therapeutically appropriate treatment 
reasonably accessible to the employee.
    6. The requirements of this paragraph with respect to referral, 
evaluation, and rehabilitation do not apply to applicants who refuse 
to submit to pre-employment testing or have a pre-employment test 
with a result indicating an alcohol concentration of 0.04 or 
greater.

VII. Employer's Alcohol Misuse Prevention Program

A. Schedule for Submission of Certification Statements and 
Implementation

    1. Each employer shall submit an alcohol misuse prevention 
program (AMPP) certification statement as prescribed in paragraph B 
of section VII of this appendix, in duplicate, to the FAA, Office of 
Aviation Medicine, Drug Abatement Division (AAM-800), 400 7th Street 
SW., Washington, DC 20590, in accordance with the schedule below.
    (a) Each employer that holds a part 121 certificate, each 
employer that holds a part 135 certificate and directly employs more 
than 50 covered employees, and each air traffic control facility 
affected by this rule shall submit a certification statement to the 
FAA by July 1, 1994. Each employer must implement an AMPP meeting 
the requirements of this appendix on January 1, 1995. Contractor 
employees to these employers must be subject to an AMPP meeting the 
requirements of this appendix by July 1, 1995.
    (b) Each employer that holds a part 135 certificate and directly 
employs from 11 to 50 covered employees shall submit a certification 
statement to the FAA by January 1, 1995. Each employer must 
implement an AMPP meeting the requirements of this appendix on July 
1, 1995. Contractor employees to these employers must be subject to 
an AMPP meeting the requirements of this appendix by January 1, 
1996.
    (c) Each employer that holds a part 135 certificate and directly 
employs ten or fewer covered employees, and each operator as defined 
in 14 CFR 135.1(c) shall submit a certification statement to the FAA 
by July 1, 1995. Each employer must implement an AMPP meeting the 
requirements of this appendix on January 1, 1996. Contractor 
employees to these employers must be subject to an AMPP meeting the 
requirements of this appendix by July 1, 1996.
    2. A company providing covered employees by contract to 
employers may be authorized by the FAA to establish an AMPP under 
the auspices of this appendix by submitting a certification 
statement meeting the requirements of paragraph B of section VII of 
this appendix directly to the FAA. Each contractor company that 
establishes an AMPP shall implement its AMPP in accordance with the 
provisions of this appendix.
    (a) The FAA may revoke its authorization in the case of any 
contractor company that fails to properly implement its AMPP.
    (b) No employer shall use a contractor company's employee who is 
not subject to the employer's AMPP unless the employer has first 
determined that the employee is subject to another FAA-mandated 
AMPP.
    3. A consortium may be authorized to establish a consortium AMPP 
under the auspices of this appendix by submitting a certification 
statement meeting the requirements of paragraph B of section VII of 
this appendix directly to the FAA. Each consortium that so certifies 
shall implement the AMPP on behalf of the consortium members in 
accordance with the provisions of this appendix.
    (a) The FAA may revoke its authorization in the case of any 
consortium that fails to properly implement the AMPP.
    (b) Each employer that participates in an FAA-approved 
consortium remains individually responsible for ensuring compliance 
with the provisions of these alcohol misuse requirements and must 
maintain all records required under section IV of this appendix.
    (c) Each consortium shall notify the FAA of any membership 
termination within 10 days of such termination.
    4. Any person who applies for a certificate under the provisions 
of parts 121 or 135 of this chapter after the effective date of the 
final rule shall submit an alcohol misuse prevention program (AMPP) 
certification statement to the FAA prior to beginning operations 
pursuant to the certificate. The AMPP shall be implemented 
concurrently with beginning such operations or on the date specified 
in paragraph A.1. of this section, whichever is later. Contractor 
employees to a new certificate holder must be subject to an FAA-
mandated AMPP within 180 days of the implementation of the 
employer's AMPP.

    5. 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 March 18, 1994 shall, not later 
than 60 days prior to the proposed initiation of such operations, 
submit an alcohol misuse prevention program certification statement 
to the FAA. The AMPP shall be implemented concurrently with the 
inception of operations or on the date specified in paragraph A.1 of 
this section, whichever is later. Contractor employees to a new air 
traffic control facility must be subject to an FAA-approved program 
within 180 days of the implementation of the facility's program.

    6. Any person who intends to begin sightseeing operations as an 
operator under 14 CFR 135.1(c) after March 18, 1994 shall, not later 
than 60 days prior to the proposed initiation of such operations, 
submit an alcohol misuse prevention program (AMPP) certification 
statement to the FAA. The AMPP shall be implemented concurrently 
with the inception of operations or on the date specified in 
paragraph A.1 of this section, whichever is later. Contractor 
employees to a new operator must be subject to an FAA-mandated AMPP 
within 180 days of the implementation of the employer's AMPP.

    7. The duplicate certification statement shall be annotated 
indicating receipt by the FAA and returned to the employer, 
contractor company, or consortium.

    8. Each consortium that submits an AMPP certification statement 
to the FAA must receive actual notice of the FAA's receipt of the 
statement prior to performing services as an FAA-approved consortium 
under this appendix on behalf of employers or contractor companies.

    9. Each employer, and each contractor company that submits a 
certification statement directly to the FAA, shall notify the FAA of 
any proposed change in status (e.g., join a consortium or another 
carrier's program, change consortium, etc.) prior to the effective 
date of such change. The employer or contractor company must ensure 
that it is continuously covered by an FAA-mandated alcohol misuse 
prevention program.

B. Required Content of AMPP Certification Statements

    1. Each AMPP certification statement submitted by an employer or 
a contractor company shall provide the following information:
    (a) The name, address, and telephone number of the employer/
contractor company and for the employer/contractor company AMPP 
manager;
    (b) FAA operating certificate number (if applicable);
    (c) The date on which the employer or contractor company will 
implement its AMPP;
    (d) If the submitter is a consortium member, the identity of the 
consortium; and
    (e) A statement signed by an authorized representative of the 
employer or contractor company certifying an understanding of and 
agreement to comply with the provisions of the FAA's alcohol misuse 
prevention regulations.
    2. Each consortium certification statement shall provide the 
following information.
    (a) The name, address, and telephone number of the consortium's 
AMPP manager;
    (b) A list of the specific services the consortium will be 
providing in implementation of FAA-mandated AMPPs (e.g., random 
testing, SAP).
    (c) A statement signed by an authorized representative of the 
consortium certifying an understanding of and agreement to comply 
with the provisions of the FAA's alcohol misuse prevention 
regulations.

VIII. Employees Located Outside the U.S.

    A. No covered employee shall be tested for alcohol misuse while 
located outside the territory of the United States.
    1. Each covered 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 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 safety-sensitive function by contract for an employer 
outside the territory of the United States.

PART 135--AIR TAXI OPERATORS AND COMMERCIAL OPERATORS

    13. The authority citation for part 135 is revised to read as 
follows:

    Authority: 49 U.S.C. 1354(a), 1355(a), 1421-1431, and 1502 
(revised, Pub. L. 102-143, October 28, 1991); 49 U.S.C. 106(g) 
(revised, Pub. L. 97-449, January 12, 1983).

    14. In Sec. 135.1 paragraphs (c) and (d) are revised to read as 
follows:


Sec. 135.1  Applicability.

* * * * *
    (c) For the purpose of Secs. 135.249, 135.251, 135.253, 135.255, 
and 135.353, operator means any person or entity conducting non-stop 
sightseeing flights for compensation or hire in an airplane or 
rotorcraft that begin and end at the same airport and are conducted 
within a 25 statute mile radius of that airport.
    (d) Notwithstanding the provisions of this part and appendices I 
and J to part 121 of this chapter, an operator who does not hold a part 
121 or part 135 certificate is permitted to use a person who is 
otherwise authorized to perform aircraft maintenance or preventive 
maintenance duties and who is not subject to FAA-approved anti-drug and 
alcohol misuse prevention programs to perform--
    (1) Aircraft maintenance or preventive maintenance on the 
operator's aircraft if the operator would otherwise be required to 
transport the aircraft more than 50 nautical miles further than the 
repair point closest to operator's principal place of operation to 
obtain these services; or
    (2) Emergency repairs on the operator's aircraft if the aircraft 
cannot be safely operated to a location where an employee subject to 
FAA-approved programs can perform the repairs.
    15. Section 135.253 is added to subpart E to read as follows:


Sec. 135.253  Misuse of alcohol.

    (a) This section applies to employees who perform a function listed 
in appendix J to part 121 of this chapter for a certificate holder or 
operator (covered employees). For the purpose of this section, a person 
who meets the definition of covered employee in appendix J is 
considered to be performing the function for the certificate holder or 
operator.
    (b) Alcohol concentration. No covered employee shall report for 
duty or remain on duty requiring the performance of safety-sensitive 
functions while having an alcohol concentration of 0.04 or greater. No 
certificate holder or operator having actual knowledge that an employee 
has an alcohol concentration of 0.04 or greater shall permit the 
employee to perform or continue to perform safety-sensitive functions.
    (c) On-duty use. No covered employee shall use alcohol while 
performing safety-sensitive functions. No certificate holder or 
operator having actual knowledge that a covered employee is using 
alcohol while performing safety-sensitive functions shall permit the 
employee to perform or continue to perform safety-sensitive functions.
    (d) Pre-duty use. (1) No covered employee shall perform flight 
crewmember or flight attendant duties within 8 hours after using 
alcohol. No certificate holder or operator having actual knowledge that 
such an employee has used alcohol within 8 hours shall permit the 
employee to perform or continue to perform the specified duties.
    (2) No covered employee shall perform safety-sensitive duties other 
than those specified in paragraph (d)(1) of this section within 4 hours 
after using alcohol. No certificate holder or operator having actual 
knowledge that such an employee has used alcohol within 4 hours shall 
permit the employee to perform or continue to perform safety-sensitive 
functions.
    (e) Use following an accident. No covered employee who has actual 
knowledge of an accident involving an aircraft for which he or she 
performed a safety-sensitive function at or near the time of the 
accident shall use alcohol for 8 hours following the accident, unless 
he or she has been given a post-accident test under appendix J of part 
121 of this chapter, or the employer has determined that the employee's 
performance could not have contributed to the accident.
    (f) Refusal to submit to a required alcohol test. No covered 
employee shall refuse to submit to a post-accident, random, reasonable 
suspicion, or follow-up alcohol test required under appendix J to part 
121 of this chapter. No operator or certificate holder shall permit a 
covered employee who refuses to submit to such a test to perform or 
continue to perform safety-sensitive functions.
    16. Section 135.255 is added to subpart E to read as follows:


Sec. 135.255  Testing for alcohol.

    (a) Each certificate holder and operator must establish an alcohol 
misuse prevention program in accordance with the provisions of appendix 
J to part 121 of this chapter.
    (b) No certificate holder or operator shall use any person who 
meets the definition of ``covered employee'' in appendix J to part 121 
to perform a safety-sensitive function listed in that appendix unless 
such person is subject to testing for alcohol misuse in accordance with 
the provisions of appendix J.

    Issued in Washington, DC, on January 25, 1994.
Federico Pena,
Secretary of Transportation.
David R. Hinson,
Administrator.

    Note: These exhibits will not appear in the Code of Federal 
Regulations.

Exhibits--FAA Alcohol Testing Management Information System Data 
Collection Forms

BILLING CODE 4910-13-P

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[FR Doc. 94-2032 Filed 2-3-94; 1:00 pm]
BILLING CODE 4910-13-C