DOT Compliance Reviews Relating to Drug & Alcohol Testing

The USDOT’s FMCSA has increased its staff of investigators in California in anticipation if the NAFTA Agreement. Over the last year or more the agency has increased its scheduling of compliance reviews. For those clients who are interstate carriers, below is a list of what the investigators would likely look for in a typical Compliance Review.

A. Driver qualification files for each driver.
B. Federal Motor Carrier Safety Regulations (each driver has their own copy).
C. Log books or time sheets. (hours of service)
D. Preventive maintenance records for your vehicles.
E. Post-trip inspection reports for each vehicle.
F. Accident register (if you have an accident).
G. Hazardous materials training, shipping documents, knowledge of the Hazardous Materials Regulations, registration with the USDOT, placarding, etc.
H. Drug and alcohol testing records.

There are certain recordkeeping time-period requirements for drug and alcohol testing you are required to follow:

A. Indefinitely:
Education and training on supervisors and drivers while they are working for you, plus two years after. This includes reasonable suspicion training for supervisors/owners. Also, because we have put the drivers’ educational requirements in the policy that we provide to our clients in the Consortium, those policies should be kept for the lifetime of employment of the driver plus two years after. Collectors, breath alcohol technician and saliva test technician training records must be kept for the lifetime they are doing collections, plus two years after. Those documents are kept by each collection site and are available upon request by our clients.

B. Five years:
The annual drug and alcohol summaries that we provide to you every year which shows how much testing and what kind of testing has been done. Those summaries also show if there were any positives and what type of drug it was positive for. Alcohol test results of .02 or greater and verified positive drug tests must be kept. Documents that are generated to conduct a reasonable cause test on a driver (Reasonable Cause Observation Forms). Documents from your determination or the Medical Review Officer’s determination that a driver has refused to test. Documents that prove (or do not prove) the driver had a medical explanation for not being able to provide an adequate urine specimen (shy bladder) or an adequate breath test (shy lung). Documents from a Substance Abuse Professional stating a driver has followed the return-to-duty process (initial and follow-up evaluation letters). Follow-up drug and alcohol test results and the follow-up notices must be kept. Semi-annual laboratory statistical summaries on drug testing that are sent to our members directly from the laboratory every July and January must be kept.

C. Three years:
Documentation of the drug and alcohol testing information that you receive on a driver from the previous employer. Also note that the DOT’s FMCSA has strengthened regulations concerning previous employer background check requirements. These new rules will go into effect after Oct. 29, 2004. We will be running a piece in next months magazine concerning this issue.

D. Two years:
Random notices, custody and control forms for drug testing and the alcohol testing forms must be kept. Any other record relating to the collection process you may have must be kept. Documents relating to the inspection, maintenance and calibration of the evidential breath testing devices are kept by each collection site and the manufacturer of the evidential breath testing devices, which are available upon request by our clients.

E. One year:
Negative and canceled drug test results and alcohol test results of less than .02 alcohol concentration must be kept for at least one year.