How do I prepare for an inspection of my DOT/FAA-mandated drug and alcohol testing program by the FAA?
To facilitate your inspection, it is important that your Designated Employer Representative (DER) can describe and discuss your company’s federal testing program and provide the documentation requested by the FAA’s drug and alcohol compliance and enforcement inspector. The FAA’s drug and alcohol testing program inspection process and authority is described in Drug and Alcohol Compliance and Enforcement Surveillance Handbook Order 9120.1. We encourage you to review the Order prior to your inspection to understand how the process works and contact the inspector assigned to your company if you have any questions. To start the process of an announced inspection, the FAA’s Drug Abatement Division will send you a Letter of Notification, Point of Contact (POC) form, and a list of documents to make available for inspection. Our inspection guide, available in Order 9120.1 and on our Sample Forms and Policies webpage, will describe the questions we ask and records we review. To facilitate our inspection, we request that you return the POC form with your contact information and the information about your service agents (e.g., Medical Review Officer, collection personnel, Substance Abuse Professional, and Consortium/Third Party Administrator). If our inspection will include a review or visit with your service agent (including your Medical Review Officer, collection facility, Substance Abuse Professional, and Consortium/Third Party Administrator), the inspection lead will let you know. We appreciate your assistance in facilitating our visit(s).
In accordance with 49 CFR § 40.331, you and your service agent must release all written, printed, and computer-based records and reports, files, materials, data, documents/documentation, agreements, contracts, policies, and statements related to your drug and alcohol program. During our inspection, our inspector may also need to review some of the following types of records:
- Employment records for each safety-sensitive employee (e.g., records of hire, transfer or termination, and applications or resumes)
- Documentation of your safety-sensitive positions (e.g., position descriptions)
- Documentation of an employee’s performance of a safety-sensitive function (e.g., flight logs, duty records, timesheets, work orders, invoices, receipts, and other maintenance records)
At the conclusion of our inspection, we will conduct an outbriefing and advise you of the result of our inspection. If your inspection results in no findings, we will conclude our inspection and send you a formal closeout letter. If we discover any issues that indicate a deviation from 14 CFR part 120 or 49 CFR part 40, we will send you a Report of Inspection (ROI). The ROI will give you an opportunity to provide a detailed description of your corrective actions to return to full compliance and avoid recurrence, as well as providing documentation of the actions you took. Although your timely and sufficient response is not required, it is critical to demonstrating your willingness and ability to comply under our Compliance Program (outlined in FAA Order 8000.373 and Order 2150.3).
As a best practice, we encourage you to use our inspection guide to conduct your own program audits, including your service agent(s), on an annual or bi-annual basis to ensure continued compliance with 14 CFR part 120 or 49 CFR part 40. If you find discrepancies in your program, we encourage you to consider submitting a voluntary disclosure report in accordance with Advisory Circular 120-117.
If you have any further questions or need additional guidance that is more specific to your situation, please contact the FAA Drug Abatement Division at (202) 267-8442 or drugabatement@faa.gov.
Please visit our website to learn more about our program.