HANDLING OF TEST RESULTS, RECORD RETENTION, AND CONFIDENTIALITY

HANDLING OF TEST RESULTS, RECORD RETENTION, AND CONFIDENTIALITY

ag4162BAdopted April 14, 2020Revised December 9, 2025

4162B - HANDLING OF TEST RESULTS, RECORD RETENTION, AND CONFIDENTIALITY

MAINTENANCE OF RECORDS

The Office of Superintendent shall maintain the following specific records for the time period indicated in the schedule that follows the listing.

  1. Records related to the collection process:
     

    1. Documents relating to the random selection process;

    2. Calibration documentation for evidential breath testing devices;

    3. Documentation of breath alcohol technician training;

    4. Documents generated in connection with decision to administer reasonable suspicion alcohol or controlled substances test;

    5. Documents generated in connection with decisions on post-accident tests;

    6. Documents verifying existence of a medical explanation of the inability of a Commercial Driver’s License ("CDL") holder or employee who performs safety-sensitive functions (collectively, "Covered Employee") to provide adequate breath or to provide a urine specimen for testing;

    7. Consolidated annual calendar year summaries submitted to the Federal Motor Carrier Safety Administration ("FMCSA");

    8. Documents relating to the random selection process;

    9. Documents generated in connection with decisions to administer reasonable suspicion alcohol or controlled substance tests and on post-accident tests;

    10. Documents verifying the existence of a medical explanation of the inability of a driver to provide adequate breath or to provide a urine specimen for testing; and

    11. Documents verifying existence of a medical explanation of the inability of a driver to provide adequate breath or to provide a urine specimen for testing.

  2. Records related to test results:

    1. The Corporation's copy of the alcohol test, including the results of the test;

    2. The Corporation's copy of the controlled substances test chain of custody and control form;

    3. Documents sent by the Medical Review Officer (MRO) to the Corporation;

    4. Documents related to the refusal of any Covered Employee to submit to an alcohol or controlled substances test required by Board Policy or the Superintendent’s Administrative Guidelines; and

    5. Documents presented by a Covered Employee to dispute the result of an alcohol or controlled substances test administered under this part.

  3. Records related to alcohol and controlled substances violations.
  4. Records related to evaluations:

    1. Records pertaining to a determination by a substance abuse professional concerning a Covered Employee's need for assistance; and

    2. Records concerning a Covered Employee's compliance with recommendations of the substance abuse professional.

  5. Records related to education and training:

    1. Materials on alcohol misuse and controlled substance use awareness, including a copy of the Corporation's policy on alcohol misuse and controlled substance use;

    2. Documentation of compliance with the requirements of employee notification, including the Covered Employee's signed receipt of education materials;

    3. Documentation of training provided to the supervisor for the purpose of qualifying the supervisor to make a determination concerning the need for alcohol and/or controlled substances testing based on reasonable suspicion;

    4. Certification that any training conducted complies with Federal requirements;

    5. Documentation of appropriate MRO training;

    6. Training for persons who directly supervise Covered Employees; and

    7. Written notice to every Covered Employee and associated organization as to the availability of the above materials.

  6. Records related to drug testing:

    1. Agreements with collection site facilities, laboratories, medical review officers, and consortia;

    2. Names and positions of officials and their role in the Corporation's alcohol and controlled substances testing program(s);

    3. Monthly laboratory statistical summaries of urinalysis;

    4. The Corporation's drug testing policy and procedures.

  7. Records related to alcohol testing:

    1. Records of the inspection and maintenance of each Evidential Breath Tester ("EBT") used in the testing of Covered Employees (two (2) years);

    2. Documentation of the compliance with the Quality Assurance Plan for each EBT used for alcohol testing; (two (2) years);

    3. Records of the training and proficiency testing of each Breath Alcohol Technician ("BAT") used in the testing of Covered Employees (two (2) years);

    4. Records pertaining to the calibration of each EBT used in alcohol testing, including records of the results of external calibration checks. (five (5) years).

Retention of Records

The Office of the Superintendent shall maintain records of all alcohol misuse and controlled-substances use prevention programs. The records shall be maintained in a secure location with controlled access and in accordance with the following schedule:

  1. Five (5) Years

    1. Records of alcohol test results of Covered Employees indicating an alcohol concentration of 0.02 or greater;

    2. Records of verified positive controlled substances test results of Covered Employees;

    3. Documentation of refusals to take required alcohol and/or controlled substances tests;

    4. Documentation related to a medical inability to provide an adequate breath sample;

    5. Documentation presented to dispute the result of an alcohol or controlled substances test;

    6. Calibration documentation;

    7. Evaluation and referrals of Covered Employees;

    8. A copy of each annual calendar year summary submitted to the FMCSA by March 15th; and

    9. Documents presented by a driver to dispute the result of an alcohol or controlled substances test.

  2. Three (3) Years

    1. A record of each query made to the Clearinghouse and all information received in response to each query. This obligation ends as of January 6, 2023, if the Corporation maintains a valid registration with the Clearinghouse.

    2. The electronic or written consent form provided by each driver permitting the Corporation to query the Clearinghouse. This documentation must be kept for three (3) years from the date of the last query run for the particular Covered Employee.

  3. Two (2) Years

    Records related to the random selection process, documents generated in connection with decisions to administer reasonable suspicion alcohol tests or decisions on post-accident tests, alcohol and controlled substances collection process (except calibration of breath testing devices) and training.

  4. One (1) Year

    Records of negative and canceled controlled substances test results and alcohol test results with a concentration of less than 0.02.

  5. Indefinite Period

    Education and training records must be maintained while the individual performs the functions which require the training and for two (2) years after ceasing to perform those functions.

LOCATION OF RECORDS

All records pertaining to employees shall be maintained as confidential records in accordance with Federal law and Corporation guidelines. All other records shall be maintained by the _Office of the Superintendent and shall be made available for inspection at the central office within two (2) business days after a request has been made by an authorized representative of the FMCSA.

REPORTING OF RESULTS IN A MANAGEMENT INFORMATION SYSTEM

The Office of the Superintendent shall prepare and maintain an annual calendar year summary of the results of its alcohol and controlled substances testing programs. This summary must be completed by March 15th of each year.

If the Corporation is notified, during the month of January, of a request by the FMCSA to furnish the FMCSA Report, the Office of the Superintendent shall prepare and submit the report to the FMCSA by March 15th of that year. The Office of the Superintendent shall ensure that the annual summary report is accurate and received by March 15th at the location that the FMCSA specifies in its request. The report shall be in the form and manner prescribed by the FMCSA in its request. When the report is submitted to the FMCSA by mail or electronic transmission, the information requested shall be typed, except for the signature of the Transportation Secretary.

  1. If an annual calendar year summary contains information on a verified positive controlled substances test result, an alcohol screening test result of 0.02 or greater, or any other violation of alcohol misuse, the following information must be included:

    1. Number of Covered Employees;

    2. Number of urine specimens collected by type of test (e.g., pre-employment, random, reasonable suspicion, post-accident);

    3. Number of verified results by a MRO by type of test and type of controlled substance;

    4. Number of negative controlled substance tests verified by a MRO by type of test;

    5. Number of persons denied a position as a Covered Employee following a pre-employment verified positive controlled substances test and/or a pre-employment alcohol test that indicates an alcohol concentration of 0.04 or greater;

    6. Number of Covered Employees with tests verified positive by the MRO for multiple controlled substances;

    7. Number of Covered Employees who refused to submit to an alcohol or controlled substances test required under this subpart;

    8. Number of supervisors who have received required alcohol and controlled-substances training during the reporting period;

    9. Number of screening alcohol tests by type of test and number of confirmation alcohol tests by type of test;

    10. Number of confirmation alcohol tests indicating an alcohol concentration of 0.02 or greater but less than 0.04, by type of test;

    11. Number of confirmation alcohol tests indicating an alcohol concentration of 0.04 or greater, by type of test;

    12. Number of Covered Employees who were returned to duty, having complied with the recommendations of a substance abuse professional, previously had a verified positive controlled substance test result, or engaged in prohibited alcohol use;

    13. Number of Covered Employees who were administered alcohol and drug tests at the same time, with both a verified positive drug test result and an alcohol test result indicating an alcohol concentration of 0.04 or greater;

    14. Number of Covered Employees who were found to have violated any nontesting prohibitions and any action taken in response to the violation.

  2. If the Corporation's annual calendar year summary contains only negative controlled substance test results, alcohol screening test results of less than 0.02, and does not contain any other violations described in these guidelines, the Office of the Superintendent may prepare and submit either all the information described above or an EZ report containing the following:

    1. Number of Covered Employees;

    2. Number of urine specimens collected by type of test (e.g., pre-employment, random, reasonable suspicion, post-accident);

    3. Number of negatives verified by a Medical Review Officer by type of test;

    4. Number of Covered Employees who refused to submit to an alcohol or controlled substances test required under this subpart;

    5. Number of supervisors who have received required alcohol and controlled substances training during the reporting period;

    6. Number of screen alcohol tests by type of test;

    7. Number of Covered Employees who were returned to duty, have complied with the recommendations of a substance abuse professional in this reporting period, previously had a verified positive controlled substance test result, or engaged in prohibited alcohol use under the provisions of this part.

Note

If the Corporation is involved in a consortium, the consortium may prepare the annual calendar year summaries and reports on behalf of individual Corporations. However, the Transportation Secretary must sign and submit such a report and shall remain responsible for ensuring the accuracy and timeliness of each report prepared on behalf of the Corporation by the consortium.

FMSCA DRUG AND ALCOHOL CLEARINGHOUSE

FMCSA requires that commercial drivers who commit violations of 49 CFR Part 382, Subpart B, be reported into a national FMCSA database called the "FMCSA Drug and Alcohol Clearinghouse." The Clearinghouse will contain records of violations of drug and alcohol prohibitions as outlined in 49 CFR Part 382, Subpart B including positive drug or alcohol test results and test refusals. When a driver completes the return-to-duty process and follow-up testing plan, this information will also be recorded in the Clearinghouse.

The following information will be reported and included in the Clearinghouse:

  1. A verified positive, adulterated, or substituted drug test result.
  2. An alcohol confirmation test with a concentration of 0.04 or higher.
  3. A refusal to submit to any test required by Subpart C of this part.
  4. An employer's report of actual knowledge, as defined in FMCSR Part 382.107. Actual knowledge for the purpose of this part, means actual knowledge by an employer that a driver has used alcohol or controlled substances based on the employer's direct observation of the employee, information provided by the driver's previous employer(s), a traffic citation for driving a CMV while under the influence of alcohol or controlled substances or an employee's admission of alcohol or controlled substance use. Direct observation as used in this definition means observation of alcohol or controlled substances use and does not include observation of employee behavior or physical characteristics sufficient to warrant reasonable suspicion testing.
  5. On duty alcohol use pursuant to FMCSR Part 382.205, which states that no driver shall use alcohol while performing safety-sensitive functions. No employer having actual knowledge that a driver is using alcohol while performing safety-sensitive functions shall permit the driver to perform or continue to perform safety-sensitive functions.
  6. Pre-duty alcohol use pursuant to FMCSR Part 382.207, which states that no driver shall perform safety-sensititve functions within four (4) hours after using alcohol. No employer having actual knowledge that a driver has used alcohol within four (4) hours shall permit a driver to perform or continue to perform safety-sensitive functions.
  7. Alcohol use following an accident pursuant to FMCSR Part 382.209, which states that if a driver is required to take a post-accident alcohol test under FMCSR Part 382.202, then that driver shall not use alcohol for eight (8) hours following the accident, or until that driver undergoes a post-accident alcohol test, whichever occurs first.
  8. Controlled substance use pursuant to FMCSR Part 382.213 which states that:
     
    1. No driver shall report for duty or remain on duty requiring the performance of safety-sensistive functions when the driver uses any drug or substance identified in 21 CFR 1308.11 Schedule I.
    2. No driver shall report for duty or remain on duty requiring the performance of safety sensitive functions when the driver uses any non-Schedule I drug or substance that is identified in the other Schedules in 21 CFR Part 1308 except when the use is purusant to the instructions of a licensed medical practitioner, as defined in FMCSR Part 382.107, who is familiar with the driver's medical history and has advised the driver that the substance will not adversely affect the driver's ability to safely operate a CMV.
    3. No employer having actual knowledge that a driver has used a controlled substance shall permit the driver to perform or continue to perform a safety sensitive function.
    4. An employer may require a driver to inform the employer of any therapeutic drug use. If the driver fails to report this to the Corporation, it is a violation.

Drivers will be provided with instructions and information on how to register in the FMCSA Clearinghouse electronically and will be encouraged to check their data on a regular basis for accuracy. Drivers will be provided with information on how to request corrections in the Clearinghouse. Drivers will be provided with educational materials on the Clearinghouse.

The Board will conduct a Full Query on CDL licensed operators during the hiring process. A driver must have no violations in the Clearinghouse in order to move forward in the hiring process. Limited Queries will be conducted annually. A Full Query will be conducted if the Limited Query shows any violations. The required driver consents will be obtained prior to conducting any queries.

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