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DRUG & ALCOHOL RECORDKEEPING CHECKLIST
We wish to give our members a choice of keeping their drug testing costs
to a minimum by doing their own record keeping as well as doing their own
semi-annual and annual summaries.
However, if you elect NTA Inc to handle these items for you, we will have
to charge you our applicable current fee.
The following are the US DOT rules and regulations reprinted for your
convenience that you will have to follow if you wish to do your own record
keeping and summaries.
According to section 382.401, companies are
required to maintain records of their alcohol misuse and controlled
substances use prevention program. These records must be maintained in a
secure location. Use this checklist to ensure you maintain the proper
records for the correct period of time.
RECORDS TO BE MAINTAINED FOR A MINIMUM OF
5 YEARS:
1.
Employee alcohol test results with results indicating an alcohol
concentration of .02 or greater.
2.
Records of employee-verified positive controlled substances test
results.]
3.
Documentation of refusals to take required alcohol and/or
controlled substance tests.
4.
Documents sent by the medical review officer to the employer for
positive tests, including those required by section 382.407:
a) the
controlled substances test being reported was in accordance with Part 40
b) the
name of the individual for whom the test results are being reported
c) the
type of test indicated on the custody-and-control form (e.g., random,
post-accident, etc.)
d) the
date and location of the test collection
e)
identity of the persons or entities performing the collection analysis of
the specimens and serving as the medical review officer to the specific
test
f)
verified results of controlled substances test, and the identity of the
controlled substance(s) for which the test was verified positive
g)
documents presented by employees to dispute results of alcohol or
controlled substances test that were resolved as positive
h)
calibration and calibration check documentation for alcohol testing
devices
i)
driver SAP evaluation and referrals
j)
records pertaining to a substance abuse professional’s determination of an
employee’s for assistance
k)
records concerning an employee’s compliance with the substance abuse
professional’s recommendation
l)
records related to other violations
RECORDS TO BE MAINTAINED FOR A MINIMUM OF
2 YEARS:
1. Records related to the alcohol and controlled
substances collection process (except calibration
of breath testing devices) and training.
2.
Documents relating to the random selection process
3.
Documentation of breath alcohol technician training
4.
Documentation of screening test technician training
5.
Documents relating to decisions to administer reasonable suspicion
alcohol or controlled substance tests.
6.
Documents in connection with decisions on post-accident tests
7.
Documents verifying a medical explanation of the inability of a
driver to provide adequate breath of urine specimens for testing
8.
Materials related to education and training on alcohol misuse and
controlled substances use awareness, including employer’s policy on
alcohol misuse and controlled substance use
9.
Documentation of compliance with the requirements of section
382.601, including the employee’s signed receipt of educational materials
10.
Documentation of training provided to supervisors for the purpose
of qualifying the supervisors to make a determination concerning the need
for alcohol and/or controlled substances testing
based on a reasonable
suspicion
11. Certification that any training conducted under
this part complies with the requirement for such
training
11.
Agreements with collection site facilities, laboratories, medical
review officers, and consortia
12.
Names and positions of officials and their roles in the employer’s
alcohol and controlled substances testing program(s)
13.
Quarterly laboratory statistical summaries of urinalysis required
by section 40.29(g)(6) the employer’s drug testing policy and procedures
RECORDS TO BE MAINTAINED FOR A MINIMUM
OF 1 YEAR:
1.
Records of negative and cancelled controlled substances test
results and alcohol test results with concentrations of less than .02
2.
Employer’s copies of the alcohol testing form, including negative
results of tests
3.
Employer’s copies of negative controlled substances test
chain-of-custody (custody-and-control) forms
4.
Documents presented by employees to dispute the results of alcohol
or controlled substances tests that were resolved as negative
5.
Documents sent by medical review officers to the employer for
negative tests, including those required by section 382.407(a):
a.
the controlled substances test being reported was in accordance
with part 40
b.
the name of the individual for whom the test results are being
reported
c.
the type of test indicated on the chain-of-custody
(custody-and-control) form (e.g., random, post accident, etc.)
d.
the date and location of the test collection
e.
identity of the persons or entities performing the collection
analysis of the specimens and serving as the medical review officer to the
specific test
f.
verified negative results of controlled substances test |
