67 

Federal Aviation Administration, DOT 

§ 120.219 

(B) The start of the employee’s next 

regularly scheduled duty period, but 
not less than 8 hours following the de-
termination made under paragraph 
(d)(2) of this section that there is rea-
sonable suspicion that the employee 
has violated the alcohol misuse provi-
sions in §§ 120.19 or 120.37. 

(iii) No employer shall take any ac-

tion under this subpart against a cov-
ered employee based solely on the em-
ployee’s behavior and appearance in 
the absence of an alcohol test. This 
does not prohibit an employer with au-
thority independent of this subpart 
from taking any action otherwise con-
sistent with law. 

(e) 

Return-to-duty alcohol testing. 

Each employer shall ensure that before 
a covered employee returns to duty re-
quiring the performance of a safety- 
sensitive function after engaging in 
conduct prohibited in §§ 120.19 or 120.37 
the employee shall undergo a return- 
to-duty alcohol test with a result indi-
cating an alcohol concentration of less 
than 0.02. The test cannot occur until 
after the SAP has determined that the 
employee has successfully complied 
with the prescribed education and/or 
treatment. 

(f) 

Follow-up alcohol testing. 

(1) Each 

employer shall ensure that the em-
ployee who engages in conduct prohib-
ited by §§ 120.19 or 120.37, is subject to 
unannounced follow-up alcohol testing 
as directed by a SAP. 

(2) The number and frequency of such 

testing shall be determined by the em-
ployer’s SAP, but must consist of at 
least six tests in the first 12 months 
following the employee’s return to 
duty. 

(3) The employer must direct the em-

ployee to undergo testing for drugs in 
accordance with subpart E of this part, 
in addition to alcohol, if the SAP de-
termines that drug testing is necessary 
for the particular employee. Any such 
drug testing shall be conducted in ac-
cordance with the provisions of 49 CFR 
part 40. 

(4) Follow-up testing shall not exceed 

60 months after the date the individual 
begins to perform, or returns to the 
performance of, a safety-sensitive func-
tion. The SAP may terminate the re-
quirement for follow-up testing at any 
time after the first six tests have been 

conducted, if the SAP determines that 
such testing is no longer necessary. 

(5) A covered employee shall be test-

ed for alcohol under this section only 
while the employee is performing safe-
ty-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 
§ 120.221(f) if the employer chooses to 
permit the employee to perform a safe-
ty-sensitive function within 8 hours 
following the administration of an al-
cohol test indicating an alcohol con-
centration of 0.02 or greater but less 
than 0.04. 

§ 120.219 Handling of test results, 

record retention, and confiden-
tiality. 

(a) 

Retention of records. 

(1) 

General re-

quirement. 

In addition to the records re-

quired to be maintained under 49 CFR 
part 40, employers must maintain 
records required by this subpart in a 
secure location with controlled access. 

(2) 

Period of retention. 

(i) 

Five years. 

(A) Copies of any annual reports sub-

mitted to the FAA under this subpart 
for a minimum of 5 years. 

(B) Records of notifications to the 

Federal Air Surgeon of refusals to sub-
mit to testing and violations of the al-
cohol misuse prohibitions in this chap-
ter by covered employees who hold 
medical certificates issued under part 
67 of this chapter. 

(C) Documents presented by a cov-

ered employee to dispute the result of 
an alcohol test administered under this 
subpart. 

(D) Records related to other viola-

tions of §§ 120.19 or 120.37. 

(ii) 

Two years. 

Records related to the 

testing process and training required 
under this subpart. 

(A) Documents related to the random 

selection process. 

(B) Documents generated in connec-

tion with decisions to administer rea-
sonable suspicion alcohol tests. 

68 

14 CFR Ch. I (1–1–24 Edition) 

§ 120.221 

(C) Documents generated in connec-

tion with decisions on post-accident 
tests. 

(D) Documents verifying existence of 

a medical explanation of the inability 
of a covered employee to provide ade-
quate breath for testing. 

(E) Materials on alcohol misuse 

awareness, including a copy of the em-
ployer’s policy on alcohol misuse. 

(F) Documentation of compliance 

with the requirements of § 120.223(a). 

(G) Documentation of training pro-

vided to supervisors for the purpose of 
qualifying the supervisors to make a 
determination concerning the need for 
alcohol testing based on reasonable 
suspicion. 

(H) Certification that any training 

conducted under this subpart complies 
with the requirements for such train-
ing. 

(b) 

Annual reports. 

(1) Annual reports 

of alcohol testing program results 
must be submitted to the FAA by 
March 15 of the succeeding calendar 
year for the prior calendar year (Janu-
ary 1 through December 31) in accord-
ance with the provisions of paragraphs 
(b)(1)(i) through (iii) of this section. 

(i) Each part 121 certificate holder 

shall submit an annual report each 
year. 

(ii) Each entity conducting an alco-

hol testing program under this part, 
other than a part 121 certificate holder, 
that has 50 or more employees per-
forming a safety-sensitive function on 
January 1 of any calendar year shall 
submit an annual report to the FAA for 
that calendar year. 

(iii) The Administrator reserves the 

right to require that aviation employ-
ers not otherwise required to submit 
annual reports prepare and submit 
such reports to the FAA. Employers 
that will be required to submit annual 
reports under this provision will be no-
tified in writing by the FAA. 

(2) As an employer, you must use the 

Management Information System 
(MIS) form and instructions as re-
quired by 49 CFR part 40 (at 49 CFR 
40.26 and appendix J to 49 CFR part 40). 
You may also use the electronic 
version of the MIS form provided by 
the DOT. The Administrator may des-
ignate means (e.g., electronic program 
transmitted via the Internet) other 

than hard-copy, for MIS form submis-
sion. For information on where to sub-
mit MIS forms and for the electronic 
version of the form, see: 

http:// 

www.faa.gov/about/office

_

org/head-

quarters

_

offices/avs/offices/aam/ 

drug

_

alcohol/. 

(3) A service agent may prepare the 

MIS report on behalf of an employer. 
However, a company official (e.g., Des-
ignated Employer Representative as 
defined in 49 CFR part 40) must certify 
the accuracy and completeness of the 
MIS report, no matter who prepares it. 

(c) 

Access to records and facilities. 

(1) 

Except as required by law or expressly 
authorized or required in this subpart, 
no employer shall release covered em-
ployee information that is contained in 
records required to be maintained 
under this subpart. 

(2) A covered employee is entitled, 

upon written request, to obtain copies 
of any records pertaining to the em-
ployee’s use of alcohol, including any 
records pertaining to his or her alcohol 
tests in accordance with 49 CFR part 
40. The employer shall promptly pro-
vide the records requested by the em-
ployee. Access to an employee’s records 
shall not be contingent upon payment 
for records other than those specifi-
cally requested. 

(3) Each employer shall permit access 

to all facilities utilized in complying 
with the requirements of this subpart 
to the Secretary of Transportation or 
any DOT agency with regulatory au-
thority over the employer or any of its 
covered employees. 

[Docket No. FAA–2008–0937, 74 FR 22653, May 
14, 2009, as amended by Docket DOT–OST– 
2021–0093, 88 FR 27636, May 2, 2023] 

§ 120.221 Consequences for employees 

engaging in alcohol-related con-

duct. 

(a) 

Removal from safety-sensitive func-

tion. 

(1) Except as provided in 49 CFR 

part 40, no covered employee shall per-
form safety-sensitive functions if the 
employee has engaged in conduct pro-
hibited by §§ 120.19 or 120.37, or an alco-
hol misuse rule of another DOT agency. 

(2) No employer shall permit any cov-

ered employee to perform safety-sen-
sitive functions if the employer has de-
termined that the employee has vio-
lated this section.