Who this is for: fleet managers, compliance assistants
Clearinghouse Recordkeeping Checklist
Clearinghouse query records, drug and alcohol test results, and SAP referral/completion records must be retained for specific periods. This checklist covers what to keep in the DQ file and what to keep in your testing records.
Checklist
Checkboxes reset on page reload. This is a reference tool only — not a saved record.
Where to keep Clearinghouse records
Clearinghouse query records should be kept in the driver's DQ file. Drug and alcohol testing records — positives, negatives, refusals — are typically maintained in a separate confidential testing file, not mixed into the general DQ file. DOT regulations limit who can access drug and alcohol testing records; keeping them separate from the DQ file makes access control easier.
Who can access drug and alcohol testing records
Access to drug and alcohol testing records is restricted under 49 CFR 40.321–40.333. The driver can access their own records. Employers can access records for employees in their testing program. DOT agencies conducting compliance investigations have access. Courts with jurisdiction in litigation involving the employer or driver may compel access. Third parties — including other employers — may only access records with the driver's written consent. This is why a driver requesting their records from a prior employer needs to provide written authorization.
When you can destroy records
Records can be destroyed after the required retention period expires: 1 year for negative drug tests, 5 years for positives and refusals, and 5 years for SAP-related records. Before destroying, confirm that no litigation, investigation, or compliance review is pending that might require the records. When in doubt, retain longer — the downside of keeping records past their retention date is minimal compared to producing a record that no longer exists.
Organizing testing records for quick retrieval
Testing records are most useful — and most defensible — when organized to answer a clear question quickly: was this driver in a testing program? Were all required tests conducted? Are records intact for the required period? A simple structure works: one folder or file per driver, with sub-sections for pre-employment test, random test results by year, post-accident results, and Clearinghouse query documentation. In a compliance review or litigation, an investigator or attorney asking for Driver X's testing records from a specific period should get them in minutes, not hours. Disorganized records, even if technically complete, communicate that the program is poorly managed.
Litigation holds — when normal destruction schedules stop
Standard retention periods assume no litigation is pending. When an accident, a regulatory investigation, or a legal claim involves a driver, normal destruction schedules must stop. All records related to that driver — testing history, Clearinghouse query results, DQ file, accident reports — must be placed on a hold until the matter is fully resolved. Destroying records on schedule while litigation is pending can be treated as spoliation, which has serious legal consequences. If you receive a complaint, a government subpoena, or even a lawyer's letter about an incident, immediately flag all related records and consult legal counsel before destroying anything.
What a C/TPA keeps vs. what the carrier must keep
Many C/TPAs maintain testing records in a client portal that the carrier can access. This is convenient but not the same as maintaining your own copies. If you switch C/TPAs or your C/TPA closes, portal access may end — and with it, your access to historical records. Keep your own copies: exported PDFs or printed results stored in each driver's testing file. The legal obligation for retention rests with the carrier. Relying entirely on the C/TPA's portal to meet your retention requirement is a risk that becomes obvious the first time you need a record that's no longer accessible.
Frequently Asked Questions
Do I need to keep paper copies of drug test results?
Electronic copies are acceptable as long as they are readily accessible, legible, and complete. Many MROs and C/TPAs provide electronic result documents. Print or save the result and store it in the driver's testing file.
Do I need to keep query records for drivers who left the company?
Keep Clearinghouse query records as part of the DQ file for the standard DQ retention period — 3 years after the driver's departure. Drug and alcohol test records have their own schedules: 1 year for negatives, 5 years for positives and refusals. Departing the company doesn't shorten the retention obligation.
Who has the right to access a driver's drug test records?
Under 49 CFR Part 40.321–40.333, access is restricted to the driver (their own records), the employer (for employees in their program), DOT agencies conducting compliance investigations, and courts with jurisdiction in related litigation. Other employers may only access drug and alcohol testing records with the driver's written consent — which is why previous employer safety performance inquiries specifically ask about Part 382 violations.
Does the Clearinghouse portal replace the carrier's own recordkeeping obligation?
No. The Clearinghouse maintains a federal record, but the carrier's obligation to retain documentation is independent. If the Clearinghouse is queried or reviewed years later, you will need your own records — not just a reference to the federal database. Keep printed or saved copies of all query results and violation reports in your DQ files and testing records.