Drug and Alcohol Program Checklist

Quick checklist

Verify whether 49 CFR Part 382 applies to your drivers based on vehicle type and CDL requirements.
Save the consortium or TPA enrollment agreement with the current effective date.
Keep pre-employment controlled substances test results and Clearinghouse query records for each hire.
Track random selection pool records by testing cycle — the carrier should have the selection dates and results.
Confirm the Clearinghouse account is active and that query records are saved, not just run.
Save the carrier's written drug and alcohol policy and any driver acknowledgment signatures.
Ask the TPA or consortium for a summary of tests conducted for the audit period.

Why this matters

Drug and alcohol records under 49 CFR Part 382 are frequently held by a consortium or third-party administrator, which creates a common misconception: that the TPA is responsible for audit readiness. The carrier is the regulated party. When an auditor asks for pre-employment records, Clearinghouse query documentation, or random pool information, the carrier needs to produce them or know exactly where to get them and how long retrieval will take. A consortium enrollment alone does not satisfy the record requirement — the records have to be accessible on request.

What to prepare

Area	Records to gather
Program documentation	Written drug and alcohol testing policy Designated employer representative (DER) name and contact Consortium or TPA enrollment agreement with effective date Random testing pool documentation by selection cycle Proof of mandatory supervisor training where applicable
Driver records	Pre-employment controlled substances test results for each driver Clearinghouse pre-employment query records for each driver Random test selection and result documentation Post-accident test documentation where required Reasonable suspicion test documentation where applicable Return-to-duty and follow-up testing records for any positive results
Clearinghouse compliance	Active Clearinghouse employer account Saved query results for each pre-employment query Annual general query documentation where required Violation reporting records where applicable

Common gaps

The carrier believes the consortium maintains the full audit file and has no copies.
No documentation of the pre-employment steps taken before a driver's first dispatch.
Clearinghouse queries were run but the results were not saved or printed.
Random selection pool records cannot be matched to specific drivers and dates.
The TPA or consortium account has lapsed or changed without the carrier updating records.
Supervisor training required under Part 382 was not documented.

Before / During / After audit

Before

Request an audit-period summary from your TPA or consortium before collecting individual records.
Match driver test records to the active and in-scope driver list.
Confirm Clearinghouse query records are saved for each driver in the audit period.

During

Keep the DER or program contact reachable during the audit.
Present records in two categories: program-level documents and driver-level documents.
Note any records still pending from the TPA with an expected retrieval date.

After

Archive TPA packets and Clearinghouse records together by calendar year.
Review the onboarding checklist before the next CDL driver hire.
Set annual Clearinghouse query reminders for current drivers where required.

FAQ

Does Part 382 apply to owner-operators who only drive for themselves?

Part 382 applies to employers of CDL drivers who operate commercial motor vehicles in interstate commerce. An owner-operator who drives under their own authority and is subject to the CDL and CMV rules is considered both the employer and the employee under Part 382. This means pre-employment testing, Clearinghouse registration, and random testing requirements may apply even if there are no other employees. Review 49 CFR 382.103 for the applicability criteria for your operation.

What is the FMCSA Drug and Alcohol Clearinghouse and what records does it require?

The FMCSA Clearinghouse is a federal database that tracks drug and alcohol violations by CDL drivers. Employers subject to Part 382 must query the Clearinghouse before a driver's first CDL-required safety-sensitive function and annually thereafter for current drivers. They must also report violations to the Clearinghouse. Keep a copy of each query result — a query run in the Clearinghouse portal does not automatically create a local record.

How long must drug and alcohol testing records be kept?

Drug and alcohol testing records do not all use the same retention period. Positive results, refusals, and the documentation attached to return-to-duty processes are five-year records. Pre-employment negatives for drivers who were hired run one year. Random testing program documentation also runs one year. Annual MIS data reports are five years. The practical consequence is that a compliance review covering 36 months will expose gaps in any five-year category where records were discarded too early. The full breakdown by record type is in 49 CFR 382.401 — it is worth checking each category independently rather than assuming one period applies across the program.

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Sources

eCFR · regulation

49 CFR Part 382 - Controlled Substances and Alcohol Use and Testing

Drug and alcohol testing program requirements for CDL drivers where applicable.

Last checked: 2026-06-16

FMCSA · official

Drug and Alcohol Clearinghouse

Official FMCSA Clearinghouse portal and education materials.