DOT Document Retention Requirements for Employers

Employers are expected to maintain records of their DOT alcohol and drug programs and
are expected to keep those records confidential (in a secure location (with controlled access).

The DOT has specified record keeping requirements for each type of document. Note that the retention period for documents related to test results varies according to whether the test result was positive or negative.

For example, documents related to the reason for reasonable-suspicion testing must be kept for a minimum of two years. Documents generated in connection with decisions on post-accident tests (including why tests were not done, or not done promptly) must also be kept for at least two years.

Some of the documents that must be kept for at least five years are the employer's copy of the alcohol test form and the employer's copy of chain of custody and control forms (CCF's). Documents relating to previous employer alcohol and drug testing must also be retained for a minimum of five years.

A chart describing each of the required documents and the length of time that employers are required to keep them are listed found below:


RECORDS RELATED TO THE COLLECTION PROCESS

Documentation of reason for reasonable suspicion testing 2 years

Documents generated in connection with decisions on post-accident tests (including why tests were not done promptly) 2 years

Documentation verifying a medical explanation for the inability to provide adequate breath or urine for testing 2 years

Consolidated annual calendar year summaries (if required) 5 years

RECORDS RELATED TO THE DRIVERS TEST RESULTS

Employer's copy of the alcohol test form (all return-to-duty and follow-up test information should be kept for 5 years)
Retention Period if Negative/Canceled 1 year
Retention Period if Positive 5 years

Employer's copy of drug test chain of custody and control form (CCF) (all return-to-duty and follow-up test information should be kept for 5 years)
Retention Period if Negative/Canceled 1 year
Retention Period if Positive 5 years

Documents sent to the employer by the Medical Review Officer
Retention Period if Negative/Canceled 1 year
Retention Period if Positive 5 years

Documentation of any driver's refusal to submit to a required alcohol or drug test 5 years

Documents presented by a driver to dispute the results of a test
Retention Period if Negative/Canceled 1 year
Retention Period if Positive 5 years

Documentation of previous employer alcohol and drug testing
Retention Period if Negative/Canceled 3 years
Retention Period if Positive 5 years

Documentation of any other violations of drug use or alcohol misuse rules 5 years

RECORDS RELATED TO EVALUATIONS

Records pertaining to a substance abuse professional's (SAP's) determination of a driver's need for assistance 5 years

Records concerning a driver's compliance with an SAP's recommendations 5 years

Return-to-duty drug/alcohol tests 5 years

Follow-up drug/alcohol tests 5 years

RECORDS RELATED TO EDUCATION AND TRAINING

Materials on drug and alcohol awareness, including a copy of the employer's drug and alcohol policy
For duration of employment and for two years after ceasing to perform function

Documentation of compliance with requirement to provide drivers with educational materials, including the driver's signed receipt of materials
For duration of employment and for two years after ceasing to perform function

Documentation of supervisor reasonable suspicion training
For duration of employment and for two years after ceasing to perform function

Documentation of training for breath alcohol technicians
For duration of employment and for two years after ceasing to perform function

Certification that drug/alcohol training complies with all training requirements
For duration of employment and for two years after ceasing to perform function

RECORDS RELATED TO THE ADMINISTRATION OF ALCOHOL AND DRUG TESTING

Agreements with collection site facilities, laboratories, breath alcohol technicians, medical review officers (M ROs), and consortia 5 years

Names and positions of officials and their role in the employer's drug and alcohol testing program 5 years

Semi-annual statistical summaries of urinalysis received from certified labs (Sec. 40.111) 5 years

Employer's alcohol and drug testing policy and procedures 5 years