[Code of Federal Regulations]
[Title 49, Volume 3]
[Revised as of October1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR199.227]

[Page 191-192]
 
                        TITLE 49--TRANSPORTATION
 
 CHAPTER I--RESEARCH AND SPECIAL PROGRAMS ADMINISTRATION, DEPARTMENT OF 
                       TRANSPORTATION (CONTINUED)
 
PART 199--DRUG AND ALCOHOL TESTING--Table of Contents
 
              Subpart C--Alcohol Misuse Prevention Program
 
Sec. 199.227  Retention of records.

    (a) General requirement. Each operator shall maintain records of its 
alcohol misuse prevention program as provided in this section. The 
records shall be maintained in a secure location with controlled access.
    (b) Period of retention. Each operator shall maintain the records in 
accordance with the following schedule:

[[Page 192]]

    (1) Five years. Records of employee alcohol test results with 
results indicating an alcohol concentration of 0.02 or greater, 
documentation of refusals to take required alcohol tests, calibration 
documentation, employee evaluation and referrals, and MIS annual report 
data shall be maintained for a minimum of five years.
    (2) Two years. Records related to the collection process (except 
calibration of evidential breath testing devices), and training shall be 
maintained for a minimum of two years.
    (3) One year. Records of all test results below 0.02 (as defined in 
49 CFR part 40) shall be maintained for a minimum of one year.
    (c) Types of records. The following specific records shall be 
maintained:
    (1) Records related to the collection process:
    (i) Collection log books, if used.
    (ii) Calibration documentation for evidential breath testing 
devices.
    (iii) Documentation of breath alcohol technician training.
    (iv) Documents generated in connection with decisions to administer 
reasonable suspicion alcohol tests.
    (v) Documents generated in connection with decisions on post- 
accident tests.
    (vi) Documents verifying existence of a medical explanation of the 
inability of a covered employee to provide adequate breath for testing.
    (2) Records related to test results:
    (i) The operator's copy of the alcohol test form, including the 
results of the test.
    (ii) Documents related to the refusal of any covered employee to 
submit to an alcohol test required by this subpart.
    (iii) Documents presented by a covered employee to dispute the 
result of an alcohol test administered under this subpart.
    (3) Records related to other violations of this subpart.
    (4) Records related to evaluations:
    (i) Records pertaining to a determination by a substance abuse 
professional concerning a covered employee's need for assistance.
    (ii) Records concerning a covered employee's compliance with the 
recommendations of the substance abuse professional.
    (5) Record(s) related to the operator's MIS annual testing data.
    (6) Records related to education and training:
    (i) Materials on alcohol misuse awareness, including a copy of the 
operator's policy on alcohol misuse.
    (ii) Documentation of compliance with the requirements of 
Sec. 199.231.
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for alcohol testing based on reasonable suspicion.
    (iv) Certification that any training conducted under this subpart 
complies with the requirements for such training.