What documents to maintain . . .
The content below was copied from the DOT website on 10/11/2024.
To obtain a recent copy in pdf format:
https://www.transportation.gov/sites/dot.gov/files/docs/ODAPC Recordkeeping Requirements.pdf

Click HERE for the complete document: 49 CFR Part 40: https://www.ecfr.gov/current/title-49/subtitle-A/part-40 [CFR: Code of Federal Regulations].

U.S. Department of Transportation
Office of the Secretary
Office of Drug & Alcohol Policy & Compliance

Employer Record Keeping Requirements
For Drug & Alcohol Testing Information

Requirement: Employers covered under DOT drug & alcohol testing regulations must maintain records that document their testing program consistent with 49 CFR Part 40 and other industry specific regulations.

Click HERE for the complete document: 49 CFR Part 40 document: https://www.ecfr.gov/current/title-49/subtitle-A/part-40 [CFR: Code of Federal Regulations].

Industry specific regulations requiring record keeping are listed in the following:

Note: Employers are required to thoroughly document their program, decision- making and compliance with respective DOT regulations. The drug & alcohol testing documents listed below will only make up a part of the over-all records you will need to keep.

While actually reading the regulations are the best practice, we hope this fact sheet provides a good starting point in answering your questions on record keeping.

What do I keep: Employers are required to keep the following documents:

• Test results.Testing process administration.
• Return-to-duty process administration.
• Employee training.
• Supervisor training.

You may also be required to submit an annual report to a DOT agency regarding testing activity and results. For more information on Management Information Systems (MIS) Data reports, please visit: www.dot.gov/ost/dapc/mis.html.

How do I keep them: All DOT drug & alcohol test records must be kept in a secure location with controlled access. Records should be in locked file cabinets. If records are kept electronically, they should be password protected.

Best Practice: Some employers have found separating their drug & alcohol records from personnel records or medical records limits the access of employees to the drug & alcohol records.

May a consortium or Third Party Administrator keep the records: Yes, you may arrange to have a consortium or third party administrator keep some or all of your records. You do not have to maintain a duplicate set of records, but ultimately, it is the employer’s responsibility to ensure procedures are in place that guarantee accurate and current records are saved according to DOT regulations.

After a request has been made by an authorized representative of the appropriate DOT agency, records need to be made available for inspection at the employer’s principal place of business. Please refer the DOT agency regulation to determine the time frame records need to be made available.

How long must I keep records: Depends on the type of transportation industry in which you are operating. Most DOT agencies have similar requirements, but please see the charts below for a break-down of agency-specific requirements:

Indefinite period: Education and Training records, plus two years after

ceasing to perform functions.

Note: The prudent employer establishes a record retention policy that addresses
both the DOT agency minimum requirement and other business information
needs, e.g. statute of limitations for accidents, etc.

Do I have to keep paper files: Yes. Employers may also keep electronic records for
their own purposes, but DOT requires that paper records be kept. Not only does this help answer questions that arise regarding specific documents, such as the federal custody and control form, but the practice facilitates work by inspectors, who have found many companies reluctant to allow them access to their computer systems.

May employees get drug & alcohol records from their current or previous
DOT covered employer: Yes. Upon request, employees are entitled to all records
about their drug & alcohol tests. An employer must provide records promptly. While
some employers require employees to sign a release before releasing records, release of the records cannot be contingent upon receiving any kind of payment from the employee. Employers are required to provide test results and return-to-duty testing records.

May employees get records from the Medical Review Officer (MRO): Yes.
Upon request, the MRO must provide all records that are available related to the
employee within ten working days. In most instances, the MRO requires a release signed by the employee, and the MRO may charge no more than the cost of preparing,
reproducing and shipping the records. Also, the release of the records cannot be
contingent upon receiving any kind of payment from the employee.

As an employer what records do I release to other employers: You must
provide all the information in your possession concerning employee’s DOT drug &
alcohol tests that occurred in the two years (or three years for FMCSA covered
employees) preceding the request.* This includes information you received from a
former employer.

Note: If you provide information about an employee’s DOT drug & alcohol tests
obtained from a former employer dating back more than two (or three) years, this is not a violation of DOT regulations or DOT agency rules.

* This does not impact the Pilot Record Improvement Act’s 5-year requirement for pilots applying to work for FAA covered employers. (See 49 USC 44703(h)).

For more information: Visit our website at http://www.dot.gov/ost/dapc or e-mail us (DOT) at ODAPC@dot.gov or call 202.366.DRUG (3784).

Random Selection Completed (Consortium) and Options for Reporting and Documentation.

When the random selection for a consortium is completed, a summary page is displayed with the results of the selection, options to print administrative hard-copy reports for documentation, a link to the distribution module you you can send the selection reports to all the member company contacts who are responsible for notifying the participants of their required testing.

The page is divided into multiple sections:

• Random Selection Summary: No. of Participants Selected.
• Distribution / Notification Options
• Administrative Documentation: Print for hard-copy & Export to CSV
• Summary of Participants Selected for each consortium member

Consortium Random Selection Completed: Summary and Options:

Random Selection Summary

This section shows the number of Participants selected for substance and alcohol testing, the date the random was generated, the random selection event ID (Selection ID), and the Consortium ID.  The random selection creates an empty drug/alcohol record for every participant selected.  The event ID is a data component included in the drug/alcohol result record and ties the data record to its random selection event.  When you’re provided the results from the MRO, Clinic, or Lab, and you’re ready to enter results for a random drug/alcohol test, the first step is to find the record for the participant for the specific random event.  The drug/alcohol record has a date component named Origination Date, the date the record was created, which is the date the random selection was generated.

Distribution / Notification Options

Click the link to open the Distribution module. For all the accounts in the consortium the Distribution/Notification module will show all the company contacts, their status (Primary, Alternate, Random Coordinator), email address and preferences for notification.  You’ll be able to show all member accounts, only accounts with participants selected, or only accounts with no selections, and send emails appropriately. For each contact,  check their notification box, and click the button to email or print the selection summary for mailing.

Administrative Documentation

You may want to print the random selection to have a hard-copy to file.  If you’re the collector, you will want to print a Worksheet to take with your for the collections.  You can export the random summary to a CSV (comma separated values) file which will open in Excel.

For security purposes, the participant ID can be limited to the last four digits when printing or sending emails with the participant information.  You can choose to print the list in alphabetical order or the order the participants were selected.  You can include the alternates picked or exclude them from the printed material.

Random Selection Completed (Individual Pool) and Options for Reporting and Documentation.

When the random selection is completed, a summary page is displayed with the summary of the selection and options to print reports for administrative hard-copy documentation and options for the distribution of the selection results to the company contacts who are responsible for notifying the participants of their required testing.

The page is divided into multiple sections:

• Random Selection Summary: No. of Participants Selected.
• Distribution / Notification Options
• Administrative Documentation: Print for hard-copy & Export to CSV
• Participant Notification Letter Print Options
• Summary of Participants Selected

Example of the Random Selection Completed Page and Options:

Random Selection Summary

This section shows the number of Participants selected for substance and alcohol testing, the date and time the random was generated, the reference entered that helps identify the random (First Quarter, March Random Selection, etc.) and the random selection event ID (Selection ID).  The random selection creates an empty drug/alcohol record for each participant selected.  The event ID is carried along with each of those drug/alcohol result records.  The result record will eventually report the results of the tests the participant was required to complete.  When you’re provided the results from the MRO, Clinic, or Lab, and you’re ready to enter results for a random drug/alcohol test, the first step is to find the record for the participant for the specific random event.  The drug/alcohol record has a date component named Origination Date – the date the record was created – and corresponds to the date the random selection was generated.

Distribution / Notification Options

Click the link to open the Distribution module. The page will show all the company contacts, their status (Primary, Alternate, Random Coordinator), email address and preferences for notification.  Check the notification box for each contact, and click the button to email or print the selection summary for mailing.

Administrative Documentation

You may want to print the random selection to have a hard-copy to file.  If you’re the collector, you will want to print a Worksheet to take with your for the collections.  You can export the random summary to a CSV (comma separated values) file which will open in Excel.

For security purposes, since each participant ID could be a social-security number or a driver’s license number, you might choose to limit the printed ID to the last four digits only.  You can choose to print the list in alphabetical order or the order the participants were selected.  You can include the alternates picked or exclude them from the printed material.

DrugTestNetwork provides three data entry editors for drug & alcohol testing results and reporting:

• Full Editor
• Quick Editor
• Collection Editor

Use the Full Editor to create new test result records for existing and new participants so every detail of the report record can be managed, including features for reporting by the Medical Review Officer (MRO).

The Quick Editor is designed for TPAs and Employers to quickly enter a new test result so the entry is efficient with the fewest clicks and data entry fields and allows the user to leverage as much existing data as possible.

The Collection Editor provides data entry for users that operate a clinic with features to create invoices for self-pay customers or services that are automatically added to the customer’s invoice that will be generated later.

Reason for Testing

One consideration for the choice of editors is whether the test result is for random testing or another reason for testing: pre-employment, post-accident, follow-up, return to duty, reasonable cause, etc.

Random Selection

If the reason for testing is Random Selection, the test result record for the report already exists in the database.  When the random selection is conducted, an empty drug/alcohol record is created for each participant selected in the random.  These unresolved records are used to help notify clients that some random selection testing may not be complete. To find an existing test result, from the main page, at the top of the page, near the left, click the Edit Results symbol:

This option will open the Full Result Editor.  Enter a portion of the person’s name and click the button Search by Name.  When names are retrieved, click the edit symbol to open their record and complete the entry for the test.

Pre-Employment, Post Accident, Follow-Up Testing, …

From the Clients page, search for the company to which the report belongs.

On the line that represents the Client, click the symbol to open the module that will allow you to enter a new report record. This option is usually referred to as the Quick Result Editor. Using this resource you can find an existing personnel record for the person tested or enter a new personnel record if their name is not already in the database for the Client.  If the report is for pre-employment testing, their name may have not been yet entered.

To find an existing personnel record, enter a portion of their name and click the search symbol or click the option to Show ALL names in the participant list.
If the participant’s name is found, click the select symbol to choose their name for the report.  If the name is not found, enter their information in the area below.

Scroll down the screen to enter the rest of the information for the result and click Save when you’re done.

DrugTestNetwork: List All Non-Consortium Members

A new feature was released today in the DrugTestNetwork application streamlines the account management: the List All Non-Consortium Members option. This new “search request” is selected from the dropdown list of Consortia, on the main page where users search for companies to manage, or list the accounts that are members of the consortia setup by the subscriber.  The search query is not new. It has simply been added as a one click option.

What Does This Feature Do?

The “List All Non-Consortium Members” option is designed to make it easier for users to identify and manage accounts that are not part of any consortium. By selecting this option from the dropdown, you can instantly view a complete list of all non-consortium member companies under your management. This feature is particularly useful for quickly accessing and updating the random selection parameters (profile) for these accounts, ensuring that no company is overlooked in the random drug and alcohol testing process.

Why Is This Feature Important?

• Simplified Account Management: Quickly access and manage all non-consortium member accounts in one place, without having to sift through individual companies or consortia.
• Enhanced Oversight: Ensure that all accounts, including those not part of a consortium, have their random selection parameters accurately configured and up-to-date.
• Improved Efficiency: Reduce the time and effort required to manage non-consortium members, allowing you to focus on ensuring compliance and maintaining a safe workplace.

How to Use This Feature

1. Navigate to the Main Page: Start by logging into the DrugTestNetwork application and navigating to the main page where you typically search for companies to manage.
2. Open the Dropdown List of Consortia: Locate the dropdown that lists the consortia you have created.
3. Select “List All Non-Consortium Members”: Click on the new “List All Non-Consortium Members” option. This will immediately display a list of all accounts that are not currently part of a consortium.
   From the drop-down the option select ALL Non-Consortium Accounts:
   and click the first symbol on the right
4. Manage Account Profiles: From the list, select an account to review and adjust their random selection parameters (profile) as needed. To open the account profile editor, click the edit symbol on the far left on the line that lists the account:
   

other list options

This search query can also be initiated from the main page, Clients, by clicking on the symbol under Search By:

When you click the symbol more query options are presented to list accounts:

SUMMARY

The addition of the “List All Non-Consortium Members” feature is part of our ongoing commitment to making DrugTestNetwork as user-friendly and efficient as possible. We believe this new feature will greatly enhance your ability to manage non-consortium accounts, ensuring that every company under your management receives the attention and oversight it needs.

We encourage you to explore this new feature and see how it can improve your workflow and account management processes. As always, we welcome your feedback and are here to support you in getting the most out of DrugTestNetwork.

Random Selection: Schedule for Non-Consortium Members / Individual Pools

Introduction

For random drug and alcohol testing, a company may choose to join a consortium, where the random selection is conducted across all the member companies from a list comprised of all the members’ eligible personnel. A company may prefer not to join a consortium and have the random selection pick participants for testing from their list of personnel as a stand alone or individual pool.

For drug and alcohol testing management, one challenge many TPAs face is ensuring that every account has random selection conducted as per the company requirements for DOT regulation and/or their Drug Free Workplace policy. The challenge is especially pronounced for companies that are not part of a consortium, where individual management of employee lists can lead to oversight. DrugTestNetwork addresses this challenge with its proprietary scheduling feature, specifically designed for non-consortium members; stand alone pools.

The Importance of Scheduling for Non-Consortium Members

For companies that do not participate in a consortium—referred to as “Individual Pools”— the task of managing random drug and alcohol testing can be a concern so the company’s random selection is not overlooked.  Unlike consortium members, whose employees are drawn from a shared pool, non-consortium companies are managed individually.

How the Scheduling Feature Works

The scheduling feature in DrugTestNetwork is designed to eliminate the guesswork and manual tracking associated with managing random selections for non-consortium members. Here’s how it works:

• Customizable Frequency: Each account can be set up with a specific random selection profile that includes the frequency of testing. Users can choose from options such as Weekly, Monthly, Twice Annually, or Annually. This ensures that each company’s unique requirements are met without manual intervention.
• Automated Date Tracking: Once a random selection is conducted, DrugTestNetwork automatically updates the “Next” date for the next scheduled random. This is calculated based on the frequency set in the profile, ensuring that no account is ever overlooked.
• Query-Based Alerts: Users can easily query which accounts are due for their next random selection based on the current date. This feature is particularly useful for users who manage multiple accounts, providing a quick overview of upcoming obligations and reducing the risk of missing critical testing dates.
• Historical Records: The system also keeps track of the “Previous” random selection date and the date the random selection list was sent to the company contact. This historical data is invaluable for audits, compliance checks, and internal reviews.

Tutorial: Configuring the Scheduling Parameters

To make full use of the scheduling feature for non-consortium members, it’s essential to correctly configure the account’s scheduling parameters. These parameters are found under the “Random Selection Parameters” section of the account profile editor. Here’s a step-by-step guide on how to set them up:

• Access the Account Profile Editor:
  • Navigate to the specific account you need to configure.
  • Open the account’s profile editor by selecting the account from your list of managed companies.
• Locate the “Random Selection Parameters” Section:
  • Within the account profile editor, scroll down until you find the “Random Selection Parameters” section. This section contains all the settings you need to control the scheduling of random selections for this account.S
• Set the Attribute for the Account: Participates in Random Selections:
  If the TPA is not managing random selections for a company, this attribute should be set to No. Under the Utilities menu the TPA will find a report to show all accounts whose attribute is set to No.

• Set the Frequency:
  • In the “Frequency” dropdown menu, choose how often random selections should occur. Options include Weekly, Monthly, Twice Annually, and Annually. Select the option that aligns with the company’s testing requirements.
• Review the “Next” Date:
  • This is the date the next random selection will be conducted for the account. When the random selection control is opened to generate the randoms, the “Next” date will be calculated automatically, based on the frequency indicated for the account. You can review and adjust this date if necessary, although it’s recommended to let the system handle this automatically for consistency.
• Monitor the “Previous” Random Selection Date:
  • The “Previous” date field will display the last time a random selection was conducted. This field is automatically updated by the system after each random selection, and is useful for tracking and auditing purposes.
• Save Changes:
  • After configuring the scheduling parameters, be sure to save your changes. This will ensure that the system follows the newly set parameters for all future random selections.

Benefits of the Scheduling Feature

• Ensures Compliance: By automating the scheduling of random selections, DrugTestNetwork helps users maintain compliance with regulatory requirements and company policies, reducing the risk of penalties or legal issues.
• Reduces Administrative Burden: The scheduling feature significantly reduces the administrative load associated with managing random drug and alcohol testing, allowing users to focus on other critical tasks.
• Increases Efficiency: With the ability to quickly identify which accounts need their random selections conducted, users can efficiently manage their workload and ensure that no account is left behind.

Summary

The scheduling feature for non-consortium members is a convenience and a great tool for ensuring the integrity and reliability of your drug and alcohol testing program. By automating the process and providing clear, actionable insights, DrugTestNetwork empowers users to manage their responsibilities effectively and with confidence. This feature is essential for any organization committed to maintaining a safe and compliant workplace.

DrugTestNetwork Overview

DrugTestNetwork is an SaaS (Software as a Service), browser-based drug and alcohol data management system application designed to facilitate the management of drug and alcohol testing Third Party Administrators who manage multiple companies, employers who manage their own DOT compliance and drug free workplace, or schools who need to mange drug free sports and a drug free campus. It enables users to oversee and organize lists of people who participate in random drug testing, ensuring compliance and maintaining safety standards across different organizations.

Consortium Feature

One of the standout features of DrugTestNetwork is the Consortium Management functionality. This feature allows users to group together multiple companies under a consortium, making it possible to perform random selections of employees from a shared pool. When a company’s list of employees is declared as part of the consortium, these employees are added to a collective pool from which random selections are made. This is especially useful for organizations that prefer or require pooled testing across several companies, ensuring a broader and more randomized selection process.

• Non-Consortium Companies (Individual Pools): For companies that do not participate in a consortium, DrugTestNetwork provides the option to manage these companies as Individual Pools. In this setup, random selections are conducted exclusively within the company’s own employee list, rather than from a shared pool. This is ideal for companies that prefer or require independent testing protocols.

Random Selection Scheduling

To further enhance the random testing process, DrugTestNetwork offers a robust scheduling feature that allows users to automate and manage the timing of random selections.

• Random Selection Profiles: Each company or individual pool is assigned a Random Selection Profile. This profile includes the following critical components:
  • Frequency: The user can specify how often random selections should occur. Options include Weekly, Monthly, Twice Annually, and Annually.
  • Next Date: The system tracks the next scheduled date for a random selection. This date is automatically updated when a new random selection is generated.
  • Previous Random Date: The date when the last random selection was performed, along with the results, is recorded and can be reviewed at any time.
  • Result Reporting: After a random selection is run, the results are automatically sent to the designated company contact.
• Automatic Scheduling Updates: Once a random selection is generated, DrugTestNetwork automatically calculates and sets the Next Date based on the specified frequency. This automation reduces administrative burden and ensures that random testing schedules are consistently maintained without manual intervention.
• Query-Based Scheduling: Users can easily query which accounts are due for their next random selection based on the current date and the scheduled frequency. This query function simplifies the process of identifying and managing upcoming tests, ensuring that no account is overlooked.

Benefits

• Efficiency: Automates the management of random drug and alcohol testing, reducing manual effort and administrative overhead.
• Flexibility: Accommodates both consortium-based and individual testing models, catering to different organizational needs.
• Compliance: Ensures consistent adherence to testing schedules, helping companies maintain compliance with legal and policy requirements.

Summary

DrugTestNetwork’s comprehensive features, including consortium management, individual pool management, and automated random selection scheduling, make it an indispensable tool for organizations that prioritize effective and compliant drug and alcohol testing practices.

DOT Random Selection Testing Percentages

The DrugTestNetwork Data Management application for Drug & Alcohol Testing tracks annual percentages for random drug and alcohol testing as per DOT Regulations (Department of Transportation).  The application tracks random selection percentages and collection percentages.  Percentages are based on the average size of the participant list across all random selections conducted annually.

DTN: The DrugTestNetwork Data Management Platform is a software application that provides essential tools for managing DOT compliance. As a TPA, C/TPA, or an employer, the DOT may ask for a report to validate that random selections for drug and alcohol testing, for a consortium or individual account pools, have been conducted to meet the annual percentages required for DOT compliance.

This article covers reporting for the Random Selection Summary:

• Consortium
• Individual Account pools – not a member of a consortium.

For a Consortium:  The Random Selection Summary Report

Click the Clients menu to navigate to the main page of the application.

In the Consortium drop-down, choose the consortium for the summary report:

Select the consortium and click the report icon:
When the report window opens, choose the year for the report:

Scroll below the period options under the section Choose a Report, select Random Selection Statistics:

For Individual Accounts:  The Random Selection Summary Report
Search for the Account:

Click the Account’s report icon:
When the report window opens, choose the year for the report:

Scroll below the period options under the section Choose a Report, select Random Selection Statistics: