56 

14 CFR Ch. I (1–1–19 Edition) 

§ 120.221 

(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 H 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

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org/ 

headquarters

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offices/avs/offices/aam/ 

drug

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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. 

§ 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. 

(b) 

Permanent disqualification from 

service. 

(1) An employee who violates 

§§ 120.19(c) or 120.37(c) is permanently 
precluded from performing for an em-
ployer the safety-sensitive duties the 
employee performed before such viola-
tion. 

(2) An employee who engages in alco-

hol use that violates another alcohol 
misuse provision of §§ 120.19 or 120.37, 

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