APPENDIX J
Alcohol Misuse Prevention
Program
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.
As used in this appendix:
(a) 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;
(b) Alcohol means the intoxicating agent in beverage alcohol, ethyl alcohol,
or other low molecular weight alcohols, including methyl or isopropyl alcohol;
(c) 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;
(d) Alcohol use means the consumption of any beverage, mixture, or
preparation, including any medication, containing alcohol;
(e) Confirmation test means a second test, following a screening test with a
result 0.02 or greater, that provides quantitative data of alcohol
concentration;
(f) 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 ECAA in accordance with this appendix;
(g) Contractor company means a company that has employees who perform
safety-sensitive functions by contract for an employer;
(h) Covered employee means a person who performs, either directly or by
contract, a safety-sensitive function 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;
(i) Employer means a Part 121 certificate holder; a Part 145 certificate
holder; an air traffic control facility and any training agency;
(j) 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;
(k) 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;
(l) Screening test means an analytical procedure to determine whether a
covered employee may have a prohibited concentration of alcohol in his or her
system; and
(m) Violation rate means the number of covered employees 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.
121.aj.5 Requirement
for notice
(a) Before performing an alcohol test under this appendix, each employer
shall notify a covered employee that the alcohol test is required by this
appendix.
(b) 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 ECAA-approved alcohol misuse prevention program
implemented in accordance with this appendix. The covered safety-sensitive
functions are:
(1) Cockpit crewmember duties;
(2) Cabin crew 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; and
(8) Air traffic control duties.
<HD2>(a)((((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:
(i)
The employee has
undergone an alcohol test required by this appendix within the previous 6
months, with a result indicating an alcohol concentration less than 0.04; and
(ii) The employer ensures that no prior employer of the covered employee of
whom the employer has knowledge has records of a violation of this appendix
within the previous 6 months.
(b) <HD2>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 ECAA upon request
of the ECAA or his or her designee;
(3) Employers shall submit to the ECAA each record of a test required by this section that is not completed within 8 hours. The employer's records of tests that are not completed within 8 hours shall be submitted to the ECAA by March 15 for the preceding year (from January till December). Each record shall include the following information:
(i) Type of test (reasonable suspicion/post-accident);
(ii) Triggering event (including date, time, and
location);
(iii) Employee category (do not include employee
name or other identifying information);
(iv)
Reason(s) test could not be completed within 8 hours; and
(v) If blood alcohol testing could have been
completed within eight hours, the name, address, and telephone number of the
testing site where blood testing could have occurred.
(4) 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) <HD2>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 ECAA'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. In order to ensure reliability of the data, the ECAA
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;
(3) When the minimum annual percentage rate for random alcohol testing is 25
percent or more, the ECAA may lower this rate to 10 percent of all covered
employees if the ECAA 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;
(4) When the minimum annual percentage rate for random alcohol testing is 50
percent, the ECAA may lower this rate to 25 percent of all covered employees if
the ECAA 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;
(5) 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 ECAA will increase the minimum
annual percentage rate for random alcohol testing to 25 percent of all covered
employees;
(6) 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 ECAA will increase the minimum annual percentage
rate for random alcohol testing to 50 percent of all covered employees;
(7) 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' I.D. number, 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;
(8) 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 ECAA. 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;
(9) 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;
(10) 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;
(11) 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;
(12) If a given covered employee is subject to random alcohol testing under
the alcohol testing rules of more than one agency, the employee shall be
subject to random alcohol testing at the percentage rate established for the
calendar year by the agency regulating more than 50 percent of the employee's
functions; and
(13) If an employer is required to conduct random alcohol testing under the
alcohol testing rules of more than one agency, the employer may:
(i) Establish separate pools for random selection, with each pool containing the covered employees who are subject to testing at the same required rate; or
(ii)
Randomly select such
employees for testing at the highest percentage rate established for the
calendar year by any agency to which the employer is subject.
(c) <HD2>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 the ECARs;
(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 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) If a test required by this section is not administered within 2 hours
following the determination made under paragraph (3) 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
(3) 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;
(5) Employers shall submit to the ECAA each record of a test required by
this section that is not completed within 8 hours. The employer's records of
tests that are not completed within 8 hours shall be submitted to the ECAA by
March for the preceding calendar year. Each record shall include the following
information:
(i)
Type of test (reasonable
suspicion/post-accident);
(ii)
Triggering event (including date, time,
and location);
(iii) Employee category (do not include employee
name or other identifying information);
(iv)
Reason(s) test could not be completed within 8 hours; and
(v)
If blood alcohol testing could have been completed within eight hours, the
name, address, and telephone number of the testing site where blood testing
could have occurred.
(6) 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:
(i) An alcohol test is administered and the employee's alcohol concentration measures less than 0.02; or
(ii) 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 the ECARs.
(e) <HD2>
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 the ECARs, the employee shall
undergo a return to duty alcohol test with a result indicating an alcohol
concentration of less than 0.02.
(f) <HD2>Follow-up
testing following a determination under 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 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) <HD2>Re-testing 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 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.
121.aj.11 <HD1>Handling
of test results, record retention, and confidentiality
(a) <HD2>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:
(i) 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 ECAA under this appendix shall be
maintained for a minimum of 5 years;
(ii) 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; and
(iii) One year: Records of all test results below
0.02 shall be maintained for a minimum of 1 year.
(b) Types of records:
The
following specific records shall be maintained:
(1) Records related to the collection process:
(i) Collection logbooks, if used;
(ii) Documents relating to the random selection
process;
(iii) Calibration documentation for evidential
breath testing devices;
(iv) Documentation of breath alcohol technician
training;
(v) Documents generated in connection with
decisions to administer reasonable suspicion alcohol tests;
(vi) Documents generated in connection with
decisions on post-accident tests; and
(vii) Documents verifying existence of a medical
explanation of the inability of a covered employee to provide adequate breath
for testing.
(2) Records related to test results:
(i) The employer's copy of the alcohol test form, including the results of the test;
(ii) Documents related to the refusal of any
covered employee to submit to an alcohol test required by this appendix; and
(iii) Documents presented by a covered employee to
dispute the result of an alcohol test administered under this appendix.
(3) Records related to other violations of ECARs;
(4) Records related to evaluations:
(i) Records pertaining to a determination by a substance abuse professional concerning a covered employee's need for assistance;
(ii) Records concerning a covered employee's compliance with the recommendations of the substance abuse professional; and
(iii) Records of notifications to the approved
medical examiner of violations of the alcohol misuse prohibitions.
(c) 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 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; and
(4) Certification that any training conducted
under this appendix complies with the requirements for such training.
(d) Reporting
of results in a management information system:
(1) Annual reports summarizing the results of alcohol misuse prevention programs shall be submitted to the ECAA in the form and manner prescribed by the ECAA by March of each year covering the previous calendar year (January 1 through December 31) in accordance with the provisions below:
(i) Each certificate holder shall submit an
annual report each year;
(ii) Each entity conducting an alcohol misuse
prevention program under the provisions of this appendix, that has 50 or more
covered employees on January 1 of any calendar year shall submit an annual
report to the ECAA for that calendar year; and
(iii) The ECAA reserves the right to require
employers not otherwise required to submit annual reports to prepare and submit
such reports to the ECAA. Employers that will be required to submit annual
reports under this provision will be notified in writing by the ECAA.
(2) Each report shall be submitted in the form and manner prescribed by the ECAA;
(3) Each report shall be signed by the employer's
alcohol misuse prevention program manager or other designated representative;
(4) 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 the ECARs shall include the following informational
elements:
(i)
Number of covered
employees by employee category;
(ii)
Number of covered
employees in each category subject to alcohol testing under the alcohol misuse
rule;
(iii)
Number of screening tests
by type of test and employee category;
(iv)
Number of confirmation
tests, by type of test and employee category;
(v)
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;
(vi)
Number of confirmation
alcohol tests indicating an alcohol concentration of 0.04 or greater, by type
of test and employee category;
(vii) 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;
(viii) 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 this appendix);
(ix)
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;
(x)
Number of covered
employees who were found to have violated other alcohol misuse provisions of
the ECARs, and the action taken in response to the violation;
(xi)
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; and
(xii) Number of supervisors who have received required training during the
reporting period in determining the existence of reasonable suspicion of alcohol
misuse.
(5) Each report with no screening test results of 0.02 or greater or violations of the alcohol misuse provisions of the ECARs shall include the following informational elements. (This report may only be submitted if the program results meet these criteria):
(i) Number of covered employees by employee category;
(ii) Number of covered employees in each category
subject to alcohol testing under the alcohol misuse rule;
(iii) Number of screening tests by type of test and
employee category;
(iv) 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 this
appendix);
(v) 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; and
(vi) Number of supervisors who have received
required training during the reporting period in determining the existence of
reasonable suspicion of alcohol misuse.
(6) An ECAA-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) <HD2>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 ECAA;
(4) When requested by the ECAA 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 decision maker 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 the ECARs
(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; and
(8) Each employer shall permit access to all
facilities utilized in complying with the requirements of this appendix to the
ECAA.
<HD1>g121.aj.13 Consequences for
employees engaging in alcohol-related conduct
(a) <HD2>Removal from safety-sensitive function:
(1) Except as provided in this appendix, no covered employee shall perform safety-sensitive functions if the employee has engaged in conduct prohibited by the ECARs or an alcohol misuse rule; and
(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 the ECARs' alcohol misuse requirements, or who engages in alcohol
use that violates another alcohol misuse provisions and had previously engaged
in alcohol use that violated the provisions of the
ECARs after becoming subject to such prohibitions is permanently precluded from
performing for an employer the safety-sensitive duties the employee performed
before such violation.
<HD2>(c)
Notice to the approved medical examiner:
(1) An employer who determines that a covered employee who holds an airman medical certificate has engaged in alcohol use that violated the alcohol misuse provisions of the ECARs shall notify the approved medical examiner within 2 working days;
(2) Each such employer shall forward to the
approved medical examiner a copy of the report of any evaluation performed
under the provisions of this appendix within 2 working days of the employer's
receipt of the report;
(3) All documents shall be sent to the approved
medical examiner; and
(4) No covered employee who holds an airman
medical certificate shall perform safety-sensitive duties for an employer
following a violation until and unless the approved medical examiner has
recommended that the employee be permitted to perform such duties.
<HD2>(d) Notice
of refusals:
(1) Except as provided in this paragraph, each employer shall notify the ECAA within 5 working days of any covered employee who holds a license and/or certificate that has refused to submit to an alcohol test required under this appendix. Notifications should be sent to: approved medical board or approved medical examiner; and
(2) An employer is not required to notify the
above office of refusals to submit to pre-employment alcohol tests or refusals
to submit to return to duty tests.
<HD2>(e) Required evaluation and testing: No covered
employee who has engaged in conduct prohibited by the ECARs shall perform
safety-sensitive functions unless the employee has met the requirements 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 this appendix.
<HD2>(f) Other alcohol-related conduct:
(1) No covered employee tested under the provisions 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.
(3) Except as provided in 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.
<HD1>121.aj.15 Alcohol misuse
information, training, and referral
<HD2>(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:
(i) 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 ECAA-mandated alcohol misuse prevention program and to each person subsequently hired for or transferred to a covered position; and
(ii) 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:
(i) The identity of the person designated by the employer to answer employee questions about the materials;
(ii) The categories of employees who are subject
to the provisions of these alcohol misuse requirements;
(iii) 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;
(iv) Specific information concerning employee
conduct that is prohibited by this appendix;
(v) The circumstances under which a covered
employee will be tested for alcohol under this appendix;
(vi) 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;
(vii) The requirement that a covered employee
submit to alcohol tests administered in accordance with this appendix;
(viii) An explanation of what constitutes a refusal
to submit to an alcohol test and the attendant consequences;
(ix) 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 this appendix;
(x) The consequences for covered employees
found to have an alcohol concentration of 0.02 or greater but less than 0.04;
and
(xi) 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.
(3) 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:
<HD2>(i) 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;
<HD2>(ii) Referral,
evaluation, and treatment: Each covered employee who has engaged in conduct
prohibited by the ECARs 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; and
(iii) Each covered employee who engages in conduct
prohibited by the ECARs 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.
(4) Before a covered employee returns to duty requiring the performance of a safety-sensitive function after engaging in conduct prohibited by the ECARs, the employee shall undergo a return-to-duty alcohol test with a result indicating an alcohol concentration of less than 0.02.
(5) 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 the
ECARs. 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.
(6) 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.
(7) 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:
(i) A public agency;
(ii) The employer or a person under contract to
provide treatment for alcohol problems on behalf of the employer;
(iii) The sole source of therapeutically appropriate
treatment under the employee's health insurance program; or
(iv) The sole source of therapeutically appropriate
treatment reasonably accessible to the employee.
(8) 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.
<HD1>121.aj.17 Employer's alcohol
misuse prevention program
<HD2>(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 this appendix, in duplicate, to the ECAA, in accordance with the schedule below:
(i) Each employer
that holds a certificate, each approved maintenance organization and each air
traffic control facility affected by this rule shall submit a certification
statement to the ECAA by
(ii) Each employer
that holds a Part 141, 142, 145 or 147 certificate and directly employs from 11
to 50 covered employees shall submit a certification statement to the ECAA by
(2) A company providing covered employees by contract to employers may be authorized by the ECAA to establish an AMPP under the auspices of this appendix by submitting a certification statement meeting the requirements of this appendix directly to the ECAA. Each contractor company that establishes an AMPP shall implement its AMPP in accordance with the provisions of this appendix:
(i) The ECAA may revoke its authorization in the case of any contractor company that fails to properly implement its AMPP; and
(ii) 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 the contractor company's ECAA-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 this appendix directly to the ECAA. Each consortium that so certifies shall implement the AMPP on behalf of the consortium members in accordance with the provisions of this appendix:
(i) The ECAA may revoke its authorization in the case of any consortium that fails to properly implement the AMPP;
(ii) Each employer that participates in ECAA-approved consortium remains individually responsible for ensuring compliance with the provisions of these alcohol misuse requirements and must maintain all records required under this appendix; and
(iii) Each consortium shall notify the ECAA of any
membership termination within 10 days of such termination.
(4)
Any person who applies for a certificate after the effective date of the final
rule shall submit an alcohol misuse prevention program (AMPP) certification
statement to the ECAA prior to beginning operations pursuant to the
certificate. The AMPP shall be implemented concurrently with beginning such
operations or on the date specified in this section, whichever is later.
Contractor employees to a new certificate holder must be subject to an
ECAA-mandated AMPP within 180 days of the implementation of the employer's
AMPP; and <Q
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(5)
Each employer, and each contractor company that submits a certification
statement directly to the ECAA, shall notify the ECAA of any proposed change in
status. The employer or contractor company must ensure that it is continuously
covered by an ECAA-mandated alcohol misuse prevention program.
<HD2>(b)((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:
(i)
The name, address, and telephone number of the employer / contractor company
and for the employer/contractor company AMPP manager;
(ii) ECAA operating certificate number (if
applicable);
(iii) The date on which the employer or contractor
company will implement its AMPP;
(iv) If the submitter is a consortium member, the
identity of the consortium; and
(v)
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 ECAA's alcohol misuse prevention regulations.
(2) Each consortium certification statement shall provide the following information:
(i) The name, address, and telephone number of
the consortium's AMPP manager;
(ii) A list of the specific services the
consortium will be providing in implementation of ECAA-mandated AMPPs; and
(iii) A statement signed by an authorized
representative of the consortium certifying an understanding of and agreement
to comply with the provisions of the ECAA's alcohol misuse prevention
regulations.
<HD1>121.aj.19 Employees
located outside the
(a) No covered employee shall be tested for
alcohol misuse while located outside the territory of the Arab Republic of
Egypt:
(1) Each covered employee who is assigned to
perform safety-sensitive functions solely outside the territory of the Arab
Republic of Egypt shall be removed from the random testing pool upon the
inception of such assignment; and
(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 Arab Republic of Egypt.
(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 Arab Republic of Egypt.