U.S. Department of Transportation

Office of the Secretary

Office of Drug & Alcohol Policy & Compliance

**Employer Record Keeping Requirements**

**For Drug & Alcohol Testing Information**

**Requirement:** Employers covered under DOT drug & alcohol testing
regulations must maintain records that document their testing program
consistent with 49 CFR Part 40 and other industry specific regulations.

Industry specific regulations requiring record keeping are listed in the
following:

  --------------------------- -------------------------------------------
  **Industry**                **Regulation**

  FAA - Airline               14 CFR part 121 Appendix I, VI; 14 CFR part
                              121 Appendix J, IV; 49 USC 44703(h)

  FMCSA -- Motor Carrier      49 CFR part 382.401

  FRA - Railroad              49 CFR part 219.901 and 219.903

  FTA - Transit               49 CFR part 655.71

  PHMSA - Pipelines           49 CFR part 199.227

  USCG - Maritime             46 CFR Part 16.260
  --------------------------- -------------------------------------------

> [Note]{.underline}: Employers are required to thoroughly document
> their program, decision-making and compliance with respective DOT
> regulations. The drug & alcohol testing documents listed below will
> only make up a part of the over-all records you will need to keep.

While actually reading the regulations are the best practice, we hope
this fact sheet provides a good starting point in answering your
questions on record keeping.

**What do I keep:** Employers are required to keep the following
documents:

-   Test results.

-   Testing process administration.

-   Return-to-duty process administration.

-   Employee training.

-   Supervisor training.

You may also be required to submit an annual report to a DOT agency
regarding testing activity and results. For more information on
Management Information Systems (MIS) Data reports, please visit:
[www.dot.gov/ost/dapc/mis.html](http://www.dot.gov/ost/dapc/mis.html) .

**How do I keep them:** All DOT drug & alcohol test records must be kept
in a secure location with controlled access. Records should be in locked
file cabinets. If records are kept electronically, they should be
password protected.

> [Best Practice]{.underline}: Some employers have found separating
> their drug & alcohol records from personnel records or medical records
> limits the access of employees to the drug & alcohol records.

**May a consortium or Third Party Administrator keep the records:** Yes,
you may arrange to have a consortium or third party administrator keep
some or all of your records. You do not have to maintain a duplicate set
of records, but ultimately, it is the employer's responsibility to
ensure procedures are in place that guarantee accurate and current
records are saved according to DOT regulations.

After a request has been made by an authorized representative of the
appropriate DOT agency, records need to be made available for inspection
at the employer's principal place of business. Please refer the DOT
agency regulation to determine the time frame records need to be made
available.

**How long must I keep records:** Depends on the type of transportation
industry in which you are operating. Most DOT agencies have similar
requirements, but please see the charts below for a break-down of
agency-specific requirements:

**[FMCSA Requirements]{.underline}**

1 Year: Negative drug test results.

> Alcohol test results less than 0.02.
>
> 2 Years: Records related to the alcohol and drug collection process.

3 Years Previous employer records.

> 5 Years: Annual MIS reports.
>
> Employee evaluation and referrals to SAPs.
>
> Follow-up tests and follow-up schedules.
>
> Refusals to test.
>
> Alcohol test results 0.02 or greater.
>
> Verified positive drug test results.
>
> EBT calibration documentation.
>
> Indefinite period: Education and Training records, plus two years
> after ceasing to perform functions.

**[FTA Requirements]{.underline}**

1 Year: Negative drug test results.

> Alcohol test results less than 0.02.

2 Years: Education and training records.

> Records related to the alcohol and drug collection process.

3 Years Previous employer records.

> 5 Years: Annual MIS reports.
>
> Employee evaluation and referrals to SAPs.
>
> Follow-up tests and follow-up schedules.
>
> Refusals to test.
>
> Alcohol test results 0.02 or greater.
>
> Verified positive drug test results.

**[FAA Requirements]{.underline}**

1 Year: Negative drug test results (except for pilot records).

> Alcohol test results less than 0.02(except for pilot records).

2 Years: Education and training records.

> Records related to the alcohol and drug collection process.

3 Years Previous employer records.

> 5 Years: Annual MIS reports.
>
> Employee evaluation and referrals to SAPs.
>
> Follow-up tests and follow-up schedules.
>
> Refusals to test.
>
> Alcohol test results 0.02 or greater.
>
> Verified positive drug test results.
>
> Employee dispute records.
>
> Negative drug test results for pilots.
>
> Alcohol test results less than 0.02 for pilots.

**[PHMSA Requirements]{.underline}**

1 Year: Negative drug test results.

> Alcohol test results less than 0.02.

2 Years: Training records, alcohol only.

> Records related to the alcohol and drug collection process.

3 Years Previous employer records.

Training records, drug only.

> 5 Years: Annual MIS reports.
>
> Employee evaluation and referrals to SAPs.
>
> Follow-up tests, and follow-up schedules
>
> Refusals to test.
>
> Alcohol test results 0.02 or greater.
>
> Verified positive drug test results.
>
> EBT calibration documentation.

**[FRA Requirements]{.underline}**

2 Year: Negative drug test results.

> Alcohol test results less than 0.02.

Education and training records.

> Records related to the alcohol and drug collection process.
>
> Employee dispute records.

3 Years Previous employer records.

> 5 Years: Annual MIS reports.
>
> Employee evaluation and referrals to SAPs.
>
> Follow-up tests and follow-up schedules.
>
> Refusals to test.
>
> Alcohol test results 0.02 or greater.
>
> Verified positive drug test results.

**[USCG Requirements]{.underline}**

1 Year: Negative drug test results.

> Alcohol test results less than 0.02.

2 Years: Records related to the alcohol and drug collection process.

3 Years Previous employer records.

> 5 Years: Employee evaluation and referrals to SAPs.
>
> Follow-up tests and follow-up schedules.
>
> Refusals to test.
>
> Alcohol test results 0.02 or greater.
>
> Verified positive drug test results.
>
> [Note]{.underline}: The prudent employer establishes a record
> retention policy that addresses both the DOT agency minimum
> requirement and other business information needs, e.g. statute of
> limitations for accidents, etc.

**Do I have to keep paper files:** Yes. Employers may also keep
electronic records for their own purposes, but DOT requires that paper
records be kept. Not only does this help answer questions that arise
regarding specific documents, such as the federal custody and control
form, but the practice facilitates work by inspectors, who have found
many companies reluctant to allow them access to their computer systems.

**May employees get drug & alcohol records from their current or
previous DOT covered employer:** Yes. Upon request, employees are
entitled to all records about their drug & alcohol tests. An employer
must provide records promptly. While some employers require employees to
sign a release before releasing records, release of the records cannot
be contingent upon receiving any kind of payment from the employee.
Employers are required to provide test results and return-to-duty
testing records.

**May employees get records from the Medical Review Officer (MRO):**
Yes. Upon request, the MRO must provide all records that are available
related to the employee within ten working days. In most instances, the
MRO requires a release signed by the employee, and the MRO may charge no
more than the cost of preparing, reproducing and shipping the records.
Also, the release of the records cannot be contingent upon receiving any
kind of payment from the employee.

**As an employer what records do I release to other employers:** You
must provide all the information in your possession concerning
employee's DOT drug & alcohol tests that occurred in the two years (or
three years for FMCSA covered employees) preceding the request.\* This
includes information you received from a former employer.

> [Note]{.underline}: If you provide information about an employee's DOT
> drug & alcohol tests obtained from a former employer dating back more
> than two (or three) years, this is not a violation of DOT regulations
> or DOT agency rules.

*\* This does not impact the Pilot Record Improvement Act's 5-year
requirement for pilots applying to work for FAA covered employers. (See
49 USC 44703(h)).*

**For more information:** Visit our website at
<http://www.dot.gov/ost/dapc> or e-mail us at <ODAPC@dot.gov> or call
202.366.DRUG (3784).