The documents you generate as a result of your DOT drug and alcohol program must be retained and stored in accordance with the safety regulations and presented in the event of an audit, or you could be cited and fined. 

The following summarizes recordkeeping requirements. For a complete list of documents, check out 49 CFR 382.601 and 40.333.

Secure Storage Requirements for DOT Drug and Alcohol Records

Records related to DOT drug and alcohol testing are considered confidential. So, they must be kept in a secure location with controlled access (382.401(a)). A secured location is typically a physically locked filing cabinet and/or office, or password-protected electronic files. 

The controlled access piece lets the employer determine who within the organization has access to all the records or specific pieces of information.

DOT Drug and Alcohol Record Requests and Release Rules

In addition to safeguarding DOT drug and alcohol information internally, the release of records is regulated.

To provide information on a current or previous driver who was in your DOT testing program, requesters must follow “specific written consent” procedures (40.321). 

These third parties must provide a statement signed by the driver indicating that the driver agrees to the release of a particular piece of information to an explicitly identified person or organization in a specific time. Without this consent, the employer should not release anything about the driver’s testing history.

Note that the requester can’t send a blanket release. In other words, they can’t say, "Send me all the information you have on an individual (e.g., all tests)." 

Driver DOT Drug and Alcohol Records Required for Audits

Enforcement will request records for specific drivers during an audit. A driver’s DOT testing file must contain the following records during the noted minimum retention period:

• A signed receipt of the policy/educational materials: Employment, plus 2 years;

• Chain of custody forms (CCFs) and medical review officer (MRO) results:

  • Negative or canceled drug tests, (except return-to-duty/follow-up tests): 1 year;

  • Positive drug test results: 5 years; and 

  • Return-to-duty/follow-up tests (regardless of results): 5 years;

• Alcohol testing forms (ATFs):

  • Breath alcohol concentration (BAC) less than .02 or a canceled test (except return-to-duty/follow-up tests): 1 year;

  • BAC of .02 or greater: 5 years; and

  • Return-to-duty/follow-up tests (regardless of results): 5 years;

• Refusals to test and actual knowledge: 5 years;

• Substance abuse professional (SAP) reports: 5 years;

• Clearinghouse queries and limited query consents: 3 years; and

• Documentation that the driver was asked about previously failed DOT pre-employment tests: 3 years.

DOT Drug and Alcohol Program Recordkeeping Requirements

Aside from the driver’s personal record, motor carriers create several documents as part of program management.

Administrative records are kept for at least five years. Examples include:

• Agreements with clinics, lab, MROs, and consortia/third-party administrators; 

• Names/positions of officials and their role in your DOT testing program; 

• Semi-annual laboratory statistical summaries; and 

• All versions of your DOT drug and alcohol policy within the past 5 years.

   Records related to the collection process are kept for at least two years. Examples include:

• Random selections, 

• Documentation for reasonable suspicion tests,

• Documented decisions on post-accident tests, and 

• Annual calendar year summaries.

Records related to education and training are kept for the duration of employment, plus 2 years. This includes proof of your supervisor’s reasonable suspicion training. You may also be called upon to ask your clinic to provide proof of training for those performing your alcohol tests.  

Final Tips for DOT Drug and Alcohol Compliance Recordkeeping

In addition to retaining documents for the minimum retention period, neatly organized files help determine when to purge items and make information easy to retrieve when requested. 

Note that the retention periods in the regulations are the minimum for audits. You may need to keep the records longer in the event of litigation.