While we all hope to avoid additional audits, there are steps you should take each year to be prepared in case of a DOT audit. Now is the time to review your policies and procedures, purge or archive old files and plan ahead. Here is a general overview of recordkeeping items you'll need to keep on hand in either by paper or electronically case of a DOT audit.
Your current company policy
Your drug-free workplace policy should be reviewed and updated annually to reflect any changes in state or federal law and cover any employees who are in safety-sensitive positions. This is especially important if you have employees who drive company vehicles, not only those subject to DOT regulations. Driving in particular, is a safety-sensitive position and a leading cause of work-related death or injury, especially if drugs or alcohol is involved.
All employees should have access to this policy and under specific 382.601 DOT FMCSA regulations a signature is required from the employee verifying they have read and received a copy of your policy prior to doing any safety-sensitive functions.
For all DOT modes of drug & alcohol testing, records must be kept in a secure location with limited access and if electronic, easily available to inspectors. If you have a service agent providing some or all of these records for you (i.e. random selection roster), records must be made readily available within two business days for DOT inspectors.
Positive tests or refusals to test
Keep all paperwork relating to refusals to test, substitute, adulterate or positive drug tests or positive alcohol tests greater than .02 for five years. This includes employer copies of drug or alcohol test results, notes made by the collector on the chain-of-custody form and notes taken in conversation with affected employees to document the reasons why you, as employer determined a refusal to test.
Follow-up testing plans
Again, five years is the requirement for any paperwork related to the return-to-duty and follow-up plan. This includes SAP referrals and self-admissions, copies of test results, the SAP plan and proof of any other special conditions required (i.e., participation in a 12-step or out-patient program) needed to complete the SAP plan.
Negative or cancelled drug or alcohol tests that are less than .02
These test records must be kept for a minimum of one year.
Employee and supervisor training
Records of employee and supervisor training must be kept indefinitely + two years after the employee stops performing safety-sensitive functions under DOT.
Records from previous employers
Records from previous employers for inquiries about drug and alcohol tests must be kept for three years. Note – this requirement has been largely replaced by the use of the FMCSA Clearinghouse for FMCSA only, so make sure you are registered as an employer and doing full queries for each new hire and annual queries on your existing drivers, otherwise you'll be subject to fines and penalties.
Annual MIS reports
While you may not necessarily be required to submit these reports, depending on the size of your company, employers should be prepared to provide this report if requested by a DOT auditor. These reports show that you are in compliance with your random selection requirements and must be kept for five years.
Every employer must have an adopted policy that reflects your workplace culture. As a D&A member, we provide you with sample policies as a starting point in developing or revising a drug and alcohol policy for employees covered by the Federal Motor Carrier Safety Administration (FMCSA) and the Federal Transit Administration (FTA).
Questions?
As always, if you have questions about the timelines or anything relating to your drug & alcohol testing program, contact AWC drug & alcohol staff.