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Recordkeeping for alcohol and drug programs

RegSenseezExplanationFleet SafetyFederal Motor Carrier Safety Administration (FMCSA), DOTDrug and Alcohol Testing - DOTBest ResultsFocus AreaEnglishDrug and alcohol recordkeeping - Motor CarrierTransportationUSA

Motor carriers are expected to maintain records of their alcohol and drug programs. The Federal Motor Carrier Safety Regulations (FMCSRs) specify the records to be kept and the length of time that these records must be kept.

Scope

These regulations apply to motor carriers that operate a commercial motor vehicle (CMV) requiring a commercial driver’s license (CDL) in interstate, intrastate, or foreign commerce.

Regulatory citations

Key definitions

  • Commercial driver’s license (CDL): A license issued to an individual by a state or other jurisdiction of domicile, in accordance with the standards contained in 49 CFR 383, to an individual which authorizes the individual to operate a class of a commercial motor vehicle.
  • Commercial motor vehicle (CMV): A motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the motor vehicle is a:
    • Combination Vehicle (Group A) — Having a gross combination weight rating (GCWR) or gross combination weight (GCW) of 26,001 pounds or more, whichever is greater. The towed unit(s) must have a gross vehicle weight rating (GVWR) or gross vehicle weight (GVW) of more than 10,000 pounds, whichever is greater; or
    • Heavy Straight Vehicle (Group B) — Having a GVWR or GVW of 26,001 pounds or more, whichever is greater; or
    • Small Vehicle (Group C) — Does not meet Group A or B requirements but is either:
      • Designed to transport 16 or more passengers, including the driver; or
      • Of any size and is used in the transportation of hazardous materials as defined in 383.5.

Summary of requirements

Records related to drug and alcohol testing must be kept in a secure location with controlled access.

General type of recordDescription
Records related to the collection process:
  • Collection logbooks (if used);
  • Documents related to the random selection process;
  • Calibration documentation of evidential breath testing devices (EBTs);
  • Documentation of breath alcohol technician (BAT) training;
  • Documentation of reasoning for reasonable suspicion testing;
  • Documentation of reasoning for post-accident testing;
  • Documents verifying a medical explanation for the inability to provide an adequate specimen for alcohol or drug testing; and
  • A copy of each annual calendar year summary as required by 382.403.
Records related to the driver’s test results:
  • Employer’s copy of the alcohol test form, including results;
  • Employer’s copy of the drug test chain of custody and control form;
  • Documents sent to the employer by the medical review officer (MRO);
  • Documentation of any driver’s refusal to submit to a required alcohol or drug test;
  • Documents provided by a driver to dispute results of a test; and
  • Previous employer drug and alcohol test results.
Records related to evaluations:
  • Records pertaining to substance abuse professional’s (SAP’s) determination of a driver’s need for assistance; and
  • Records concerning a driver’s compliance with SAP’s recommendations.
Records related to education and training:
  • Materials on drug and alcohol awareness, including a copy of the employer’s policy on drug use and alcohol misuse;
  • Documentation of compliance with requirement to provide drivers with educational material, including driver’s signed receipt of materials;
  • Documentation of reasonable suspicion supervisor training;
  • Documentation of training for BATs; and
  • Certification that training conducted under this rule complies with all requirements of the rule.
Administrative records related to alcohol and drug testing:
  • Agreements with collection site facilities, laboratories, BATs, screening test technicians (STTs), MROs, and consortia/third party providers;
  • Names and positions of officials and their roles in the employer’s alcohol and controlled substance testing program;
  • Semi-annual laboratory statistical summaries; and
  • The employer’s drug test policy and procedures.
Records relating to the Drug and Alcohol Clearinghouse
  • Pre-employment, annual, and follow-on queries
  • Driver consent to limited queries

Documentation of any other violation of drug use or alcohol misuse rules must also be kept in a secure location with controlled access.

The amount of time a motor carrier must retain records varies, based on the type of record.

Retention durationType of record
Five years
  • Alcohol test results indicating a breath alcohol concentration of 0.02 or greater;
  • Verified positive drug test results;
  • Refusals to submit to required alcohol or drug tests;
  • Calibration documentation;
  • Records related to the administration of the alcohol and drug testing programs, including records of all driver violations; and
  • A copy of the annual calendar year summary.
Three years
  • Driver consent to limited queries (3 years from the date of the query it was used for)
  • Clearinghouse query results (may be stored in the database)

Two years
  • Records related to the collection process (except calibration of EBTs).
One year
  • Negative and canceled drug test results; and
  • Alcohol test results indicating a breath alcohol concentration of less than 0.02.
Records related to the education and training of BATs, STTs, supervisors, and drivers must be retained for the entire time an individual performs the functions which require the training plus an additional two years after ceasing to perform those functions.

The Federal Motor Carrier Safety Administration (FMCSA) requires that all documents be maintained in accordance with 390.29. The motor carrier must make the records available at the employer’s principal place of business within two business days of an FMCSA request.

Annual summary. The FMCSA requires a motor carrier to prepare an annual summary only if a carrier is notified by FMCSA to submit a summary on the forms provided by FMCSA. A motor carrier is also required to submit a summary upon demand of a federal, state, or local official with proper authority as part of an inspection, investigation, or special study.

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