pg. 1 

March 7, 2011 

U.S. Department of Transportation

Docket Management System

400 7th Street, SW

Room PL 401

Washington, DC 20591‐0001

Via electronic submission: http://dms.dot.gov/ 

Subject

In advance of the conversion to a Single Operating Certificate, Continental Airlines, in 

accordance with 14 CFR § 11.61(b) is petitioning the Federal Aviation Administration (FAA) for 

an exemption from Part 120, Code of Federal Regulations (14 CFR) and Department of 

Transportation (DOT) procedural regulations, 49 CFR Part 40. Approval of this exemption 

would permit United Airlines (UAL) to migrate its drug and alcohol testing program into the 

existing FAA approved Continental Airlines’ (CAL) drug and alcohol testing program. It is 

assumed that employees covered under Continental’s current operating certificate will not 

require the need for this exemption. At SOC the name reflected on the Continental certificate 

will be revised to read as United Airlines. 

Granting an exemption in the areas of pre-employment requirements, education and training, and 

administration will significantly improve the oversight of both corporations. The capability to 

share program administration combines valuable resources and reduces the burden of managing 

separate programs. The ability to cross-utilize supervisors that are trained to detect the 

symptoms of drug and alcohol use increases the availability of this valuable resource. The 

availability of additional supervisors will have a positive impact on the timeliness of making 

these determinations and will increase the level of safety for both operating certificates. 

Drug and Alcohol Testing Programs

Both Continental and United recognize that many of the critical processes and procedures used 

by each corporation are closely aligned. The best practices that are already in use by each 

corporation will further enhance the Continental Single Operating Certificate. 

Both Continental and United have well-established drug and alcohol testing programs as 

mandated by the Department of Transportation. Both Continental’s and United’s drug and 

alcohol testing programs exceed FAA regulatory requirements. Both corporation’s FAAapproved programs comply with 14 CFR Part 120, which states in part: the drug and alcohol 

testing program is designed to prevent accidents and injuries that result from the use of 

prohibited drugs and the misuse of alcohol by any employee who performs safety-sensitive 

functions for a Part 119 certificate holder with authority to operate under Parts 121 and/or 135, 

or an operator as defined in § 91.147. 

Continental submits a petition for an exemption from the regulatory requirements to maintain 

two separate drug and alcohol testing programs prior to issuance of a single operating certificate 

for its merger with United. 

Pre-Employment Requirements

Continental Airlines and United comply with the pre-employment requirements set forth by Part 

120. All new hire employees have successfully completed pre-employment drug screening and 

background checks. These employees have been continually covered under an FAA drug and 

Safety & Regulatory Compliance 

Post Office Box 4607 HQSSY 

Houston, TX 77210-4607 

Tel 713 324 8598 

Fax 713 324 8538 

continental.com 
pg. 2 

alcohol testing program since they were hired, and have been subjected to random testing as 

required. 

• Continental requests relief from performing pre‐employment drug testing on individuals

that transfer from the United certificate to the Continental Single Operating Certificate.

New‐hires will continue to be screened through pre‐employment drug testing as

required. (item 10)  

Continental and United comply with the Department of Transportation (DOT) procedural 

regulations 49 CFR Part 40, specifically § 40.25, that requires the employer to verify drug and 

alcohol testing records of its employees prior to the employee performing safety-sensitive duties. 

This regulation applies only to employees seeking to begin performing safety-sensitive duties for 

the first time. 

• Continental requests relief from performing drug and alcohol violation checks as

required by § 40.25 on individuals that transfer from the United certificate to the

Continental Single Operating Certificate. New‐hires will continue to be subject to the

requirements of § 40.25. (item 1)    

Service Agents

Both Continental and United use various collection sites, on-site collectors, and vendors to 

perform drug screen collections and breath alcohol testing across our systems. Both companies 

are aware of the requirements in 49 CFR Part 40 for service agents, including collectors and 

breath alcohol technicians, to have the proper DER contact information, and realize the link to 

ensuring the safety of the airline relies on communication between the DER and service agents. 

Prior to and up through commencement of a single operating certificate, all service agents will be 

advised through written correspondence of the changes in the DER name, phone numbers, 

mailing addresses, and additional contact information. This correspondence will be distributed to 

primary service agents in person to ensure compliance with the regulations. However, 

replacement of the chain of custody forms (CCF) and breath alcohol testing forms (ATF) that are 

currently distributed to the service agents will take time and would be next to impossible to 

accomplish on the exact day of the issuance of a single operating certificate. 

• Continental requests immediate temporary relief to extend twelve months from the

issuance of Continental’s Single Operating Certificate from providing chain of custody

forms or breath‐alcohol testing forms which list correct DER contact information.

Furthermore, Continental requests immediate temporary relief of the restriction to

modify the CCF and ATF during the transition phase of programs.(item 2, 3, 4, 5, 6, 7, )

Education and Training

United employees will continue to perform the same safety-critical functions after migrating to 

the Continental Single Operating Certificate, when issued. United employees performing safetycritical functions have been previously educated and trained through the comprehensive FAAapproved drug testing program. 
pg. 3 

FAA drug and alcohol regulations require an Employee Assistance Program to educate and train 

employees on drug and alcohol use. Regulations also require that supervisory personnel be 

trained to make determinations for testing based on reasonable cause/suspicion. 

• Continental requests permanent relief from the education and training requirements for

United employees who are currently trained and transfer to the Continental Airlines

Single Operating Certificate. (item 14, 18)  

United’s supervisory personnel are trained as required by the FAA to detect the signs and 

symptoms of drug and/or alcohol abuse. Granting permanent relief for United’s currently trained 

supervisors for training in determining reasonable cause/suspicion testing would demonstrate 

confidence in the effectiveness of United’s drug and alcohol testing program. 

• Continental requests permanent relief for United’s supervisors who are currently trained

in determining reasonable cause/suspicion testing. (item 11, 14 )

The level of safety for Continental and United would significantly increase by allowing the use 

of supervisors from across operating certificates to make reasonable cause/suspicion testingdeterminations until the issuance of the Single Operating Certificate. The increased number of 

supervisors that would be available to make timely reasonable cause/suspicion determinations 

would increase the level of safety and is in the public’s best interest. 

FAA drug and alcohol regulations require that employers have at least two of the employee’s 

supervisors to substantiate and concur in the decision to test the employee who is reasonably 

suspected of drug use. One of the two supervisors must be trained in the detection of the 

symptoms of possible drug use. 

• Continental requests temporary modification to the requirement that both supervisors

that concur to make reasonable cause determinations be employed under the same

carrier/certificate. Continental requests a grant of exemption that allows the

determination be made by supervisors from either the Continental or United certificate

to be able to concur on reasonable cause/suspicion testing. (item 11,16)

In accordance with 14 CFR Part 120.115, the FAA drug and alcohol regulations require 

distribution of the employer’s policy regarding drug and alcohol use in the workplace. 

• Continental contends that United’s company policy on drug and alcohol use in the

workplace is very closely aligned  to that in place at Continental and therefore should not

require redistribution by Continental. Therefore, Continental requests permanent relief

from redistributing its company policy on drug and alcohol use in the workplace to

employees that transfer from United. (item 17)

Confidentiality and Administrative Rules

Continental and United comply with the FAA drug and alcohol testing regulations, which 

requires that employees’ drug and alcohol testing records be kept confidential. The FAA 

confidentiality requirements are regulated by the DOT’s procedural regulation 49 CFR Part 40, 

specifically § 40.321 and § 120.111. Continental contends that allowing confidentiality 

requirements to be extended across both operating certificates would allow for better 

management of shared laboratory and Medical Review Officer resources. 
pg. 4 

• Continental requests immediate relief and temporary exemption from confidentially

requirements so that information pertaining to each employee’s drug and alcohol testing

records can be shared between Continental and United. (item 8, 13)

FAA drug and alcohol testing regulations require that employers must have the ability to produce 

all records, for the purpose of examination, at the employer’s workplace. 

• Continental requests temporary relief from this requirement. Continental and United will

store historical records at different locations prior to and for 12 months after the

Continental Single Operating Certificate is issued. All drug and alcohol testing records for

both Continental and United will be produced at one central employer location within 12

months of the issuance of the Single Operating Certificate. (item 10, 12, 15)

Conclusion

The FAA has previously issued a precedent-setting grant of exemption (number 6960) in which 

individuals were allowed to transfer from one operating certificate to the other without 

performing pre-employment testing. Continental’s requests for relief from pre-employment 

testing requirements do not differ materially from those of the precedent-setting grant of 

exemption number 6960. 

 

In addition, a grant of relief was issued to Delta Airlines during the merger of Delta and 

Northwest Airlines. Continental closely reviewed the FAA’s public document “Grant of 

Exemption Number 9927” that was issued to Delta Airlines on September 2, 2009. The FAA 

agreed with Delta Airlines’ statement that employees of Northwest Airlines that perform safety 

sensitive functions had already been, and continue to be, screened for substance use. Each of 

Delta’s requests for relief, including supporting materials, that was presented to the FAA is 

similar in most aspects to those presented here by Continental Airlines. 

Most recently, a grant of relief was issued to Continental Airlines during the integration of 

Continental Micronesia. Each of Continental’s requests for relief, including supporting materials, 

that was presented to the FAA is similar to those presented here. 

In each of the three instances cited above, the FAA found that a grant of exemption would not 

adversely impact safety and was in the public interest. Continental contends that good cause 

exists for not publishing a summary of the petition in the Federal Register because the requested 

exemption would not set a precedent, and any delay in acting on this petition would be 

detrimental to Continental and United’s efforts. Continental also contends that good cause exists 

for waiving the requirement for the 120 day advanced notice of request and associated Federal 

Register publication, in accordance with Section 11.87 of the Federal Aviation Regulations. 

Continental further contends there would be no risk to safety and any delay in acting on this 

petition would be detrimental to the flying public and Continental. The following table contains a 

detailed list of each regulation from which Continental seeks relief. 

Request 

Number 

Regulation Summary of 

Requirement 

Exemption Requested Type of 

Relief 

Duration 

of Relief 
pg. 5 

Request 

Number 

Regulation Summary of 

Requirement 

Exemption Requested Type of 

Relief 

Duration 

of Relief 

1 49 CFR 

40.25 

Drug and 

alcohol 

violation 

checks 

Waive requirement to 

conduct drug and alcohol 

records checks on current 

employees covered by UAL 

program. 

Permanent n/a 

2 49 CFR 

40.35 

DER Contact 

Information 

Waive requirement to provide 

appropriate DER contact 

information to collectors on 

pre-printed forms. 

Temporary 12 

moths 

past SOC 

issuance 

3 49 CFR 

40.45.(c) 

(2) 

CCF 

Required 

Information 

Waive the restriction to 

modify and revise the CCF 

during program transition 

phase. 

Temporary 12 

months 

past SOC 

issuance 

4 49 CFR 

40.209(c) 

Corrective 

Action 

Waive enforcement action 

based on lack of 

documentation correcting 

administrative errors on drug 

tests. 

Temporary 12 

months 

past SOC 

issuance 

5 49 CFR 

40.215 

DER Contact 

Information 

Waive requirement to provide 

appropriate DER contact 

information to collectors on 

pre-printed forms. 

Temporary 12 

months 

past SOC 

issuance 

6 49 CFR 

40.225 

Breath 

Alcohol 

Testing ATF 

Waive the restriction to 

modify and revise the ATF 

during program transition 

phase. 

Temporary 12 

months 

past SOC 

issuance 

7 49 CFR 

40.275 

Corrective 

Action – 

BAT 

Waive enforcement action 

based on lack of 

documentation correcting 

administrative errors on 

alcohol tests. 

Temporary 12 

months 

past SOC 

issuance 

8 49 CFR 

40.321 

Confidentiali

ty of Records 

Waive requirement of 

employee consent to release 

information between 

employers to allow sharing of 

personnel information 

between UAL and CAL. 

Temporary Until 

issuance 

of SOC 

9 49 CFR 

40 

Subpart Q 

Service 

Agents 

Waive restrictions of service 

agents so that each airline can 

be mutually used as a service 

agent to each other. 

Temporary Until 

issuance 

of SOC 
pg. 6 

Request 

Number 

Regulation Summary of 

Requirement 

Exemption Requested Type of 

Relief 

Duration 

of Relief 

10 14 CFR 

Part 

120.109 

(a) 

PreEmployment 

Testing 

Waive pre-employment drug 

test requirements for active 

and inactive employees 

currently covered under UAL 

approved programs. 

Permanent n/a 

11 14 CFR 

Part 

120.109 

(d) 

Reasonable 

Cause 

Testing 

Waive requirement of 

employee’s supervisor to 

determine reasonable cause to 

allow for supervisors of CAL 

or UAL to make 

determination of need to 

conduct testing. 

Temporary Until 

issuance 

of SOC 

12 14 CFR 

Part 

120.111 

(a)(2) 

MRO Record 

Retention 

Waive requirement to move 

MRO records within 10 days. 

Temporary 12 

months 

past SOC 

issuance 

13 14 CFR 

Part 

120.111(c) 

Release of 

drug testing 

information 

Waive restrictions for 

releasing employee 

information between CAL 

and UAL during transition of 

programs but prior to SOC. 

Temporary Until 

issuance 

of SOC 

14 14 CFR 

Part 

120.115 

EAP 

Training 

Programs 

Waive requirements for 

employee and supervisor 

training. Allow for all 

currently trained employees 

and supervisors to transition 

training records to 

Continental. 

Permanent n/a 

15 14 CFR 

Part 

120.117 

(d)(iv) 

Ops Specs 

address 

requirement 

Waive requirement to list a 

specific location for all 

testing records. 

Temporary 12 

months 

past SOC 

issuance 

16 14 CFR 

Part 

120.217 

(d) (2) 

Reasonable 

Suspicion 

Alcohol 

Testing 

Waive requirement of 

employee’s supervisor to 

determine reasonable 

suspicion to allow for 

supervisors of CAL or UAL 

to make determination of 

need to conduct testing. 

Temporary Until 

issuance 

of SOC 
pg. 7 

Request 

Number 

Regulation Summary of 

Requirement 

Exemption Requested Type of 

Relief 

Duration 

of Relief 

17 14 CFR 

Part 

120.223 

(a) 

Policy on 

Alcohol 

Misuse 

Waive requirements to 

distribute policy to 

employees. 

Permanent n/a 

18 14 CFR 

Part 

120.223 

(b) 

Supervisor 

Training 

Waive requirements for 

employee and supervisor 

training. Allow for all 

currently trained employees 

and supervisors to transition 

training records to new 

company. 

Permanent n/a 

If you need assistance or further clarification on any of the matters listed above, please contact 

Pat Claiborne, Manager – Drug Abatement at 713-324-5295. 

Sincerely, 

Captain Donald L. Gunther 

Staff Vice President - Safety 

DLG/PAT/rmc