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Back to Index | Relevant Policy - 5.18 Drug and Alcohol Testing of Transportation Employees
5.18.P.2 Drug and Alcohol Testing of Transportation Employees
Records Retention

The District shall maintain records of its alcohol misuse and prevention program in a secure location with controlled access.  The records are to be kept as indicated below.

How long is the employer required to keep records?  [49 CFR 382.401(c)(1)]
  • Five years:
    • Records of alcohol test results showing concentrations of 0.02 or more.
    • Records of driver-verified positive controlled substance tests.
    • Documentation of refusals to take required tests.
    • Calibration documentation.
    • Driver evaluation and referrals.
    • A copy of each annual calendar year summary.
  • Two years:
    • Records related to the alcohol and controlled substance collection process and training.
  • One year:
    • Records of negative and canceled drug test results and alcohol test results with concentrations of less than 0.02.

What types of records must be kept?
  • Records relating to the collection process, as follows: [49 CFR 302.401(c)(1)]
    • Collection logbook, if used.
    • Documents relating to the random selection process.
    • Calibration documents for evidential breath testing devices.
    • Documentation of breath alcohol technician training.
    • Documents regarding decisions to administer reasonable-suspicion tests.
    • Documents regarding decisions of postaccident tests.
    • Documents verifying existence of a medical explanation of the inability of a driver to provide an adequate breath or urine specimen for testing.
    • Consolidated annual calendar year summaries as required by 49 CFR 382.403.
  • Records relating to driver's test results  [49 CFR 382.401(c)(2)]:
    • Employer's copy of alcohol test forms, including the results of the test.
    • Employer's copy of drug test chain of custody and control form.
    • Documents sent by the medical review officer (MRO) to the employer, including those required by 49 CFR 382.407(a).
    • Documents related to refusal by any driver to submit to a drug or alcohol test required by the rules.
    • Documents presented by a driver to dispute the results of an alcohol or substance abuse test required by the rules.
  • Records related to other violations.
  • Records related to evaluations:
    • Records pertaining to a determination by a substance abuse professional (SAP) concerning a driver's need for assistance.
    • Records concerning a driver's compliance with recommendations of the SAP.
  • Records relating to education and training:
    • Materials on alcohol misuse and drug use awareness, including a copy of the employer's policy on both.
    • Documentation of compliance with the requirements of 49 CFR 382.601, including the driver's signed receipt for materials.
    • Documentation of training provided to supervisors for determining the need for reasonable-suspicion testing for alcohol misuse or use of controlled substances.
    • Certification that any training that has been conducted complies with the requirements for such training.
  • Records relating to drug testing:
    • Agreements with the collection site facilities, laboratories, medical review officers, and consortia.
    • Names and positions of officials and their roles in the employer's alcohol and controlled substance testing program.
    • Monthly laboratory statistical summaries of urinalysis required by 49 CFR 40.29(g)(6).
    • The employer's drug and alcohol testing policy and procedures.

How must these records be reported?
  • All records must be kept in prescribed form and be supplied to DOT when requested.  The District will be notified whether to submit the records.  [49 CFR 382.403(b)]

What happens if records are not kept properly?
  • Penalties can be severe; for example, just an error in paperwork can mean a fine of up to five hundred dollars ($500) for each violation.  Other violations can be penalized as high as ten thousand dollars ($10,000) per occurrence and loss of federal funding.  [49 U.S.C. 521(b)]

Where are records to be located? 
  • All records required shall be maintained as required by 49 CFR 390.31 and shall be made available for inspection at the employer's principal place of business within two (2) business days after a request by an authorized representative of the Federal Highway Administration.  [49 CFR 382.401(d)]

What summary records are required?  
  • The District must prepare by March 15th of each year, and maintain, an annual calendar year summary of the results of all controlled substance and alcohol testing performed during the previous calendar year.
  • Each summary that contains verified positive controlled substance test results and alcohol screening tests with concentrations of .02 or greater or any other violations or alcohol misuse must include the following elements:
    • The number of drivers subject to 49 CFR 382.
    • The number of drivers subject to testing under the alcohol misuse or drug use rules of more than one DOT Agency - identified by each Agency.
    • The number of urine specimens collected, by type of test (e.g., random, reasonable suspicion, etc.).
    • The number of positives verified by an MRO for type of test and type of drug.
    • The number of negative drug tests verified by an MRO, by type of test.
    • The number of persons denied positions as drivers following preemployment verified positive drug testing and/or alcohol testing with concentrations of 0.04 or greater.
    • The number of drivers with MRO-verified positive tests for multiple controlled substances.
    • The number of drivers who refused to submit to alcohol or drug tests required by 49 CFR 382.
    • The number of supervisors who have received required alcohol training during the reporting period.
    • The number of supervisors who have received required controlled substances training during the reporting period.
    • The number of screening alcohol tests, by type of test.
    • The number of confirmation alcohol tests, by type of test.
    • The number of confirmation alcohol tests with concentrations of 0.02 or greater but less than 0.04, by type of test.
    • The number of confirmation alcohol tests with concentrations of 0.04 or greater, by type of test.
    • The number of drivers returned to duty, after complying with a SAP's recommendation in this reporting period, who had previously had verified positive drug test results or engaged in prohibited alcohol misuse.
    • The number of drivers who were administered drug and alcohol tests at the same time with both verified positive drug test results and alcohol test results with concentrations greater than 0.04.
    • The number of drivers who were found to have violated any non-testing prohibition of 49 CFR 382.403(b) and any action taken in response to the violation.
    • Each employer with an annual calendar year summary that contains only negative drug test results, alcohol screening test results of less than 0.02, and no other violations may prepare and submit either a standard summary form with information as listed above or an "EZ" report form.  The abbreviated "EZ" form requires selected information from the list above.  [49 CFR 382.403]

Who may have access to the records?
  • The covered employee, to the employee's records, upon written request.
  • The employer.
  • The Secretary of Transportation, upon request.
  • Any DOT agency, upon request.
  • Any state or local official with regulatory authority over the employee, upon request.
  • Any person or employer, upon the employee's written request.
  • National Transportation Safety Board may review postaccident test information upon request and as a part of an accident investigation.  [49 CFR 382.405]

Are the records relating to the drug and alcohol testing program confidential?
  • Yes; therefore, they are not subject to disclosure under the Inspection of Public Records, A.R.S. 39-121 et seq., with the possible exception of the Annual Calendar Year Summary once released to the DOT.  [49 CFR 382.405]