How Long to Keep DOT Alcohol Test Records: 40.333 vs FMCSA

A DOT auditor asks for three things in a typical alcohol program review: the Alcohol Testing Forms, proof the evidential breath testing device (EBT) was calibrated, and proof the breath alcohol technician (BAT) was qualified when each test was run. Most employers can find the forms. Fewer can find the calibration records from two or three years ago, and that gap is usually a retention problem, not a testing problem. The schedule lives in 49 CFR 40.333 for every DOT-regulated employer, and some DOT agencies add their own schedule on top. Motor carriers follow FMCSA's 49 CFR 382.401, which keeps some records longer than Part 40 does. This post walks through both, record by record.

How long does Part 40 require employers to keep alcohol test records?

Under 49 CFR 40.333(a), the retention period depends on what the record shows, not on what kind of test produced it. Alcohol test results of 0.02 or greater must be kept for five years, along with documentation of refusals to test, SAP reports, and all follow-up tests and follow-up testing schedules (40.333(a)(1)). Information obtained from previous employers under 40.25 about an employee's drug and alcohol test history is kept for three years (40.333(a)(2)). Records of the inspection, maintenance, and calibration of EBTs are kept for two years (40.333(a)(3)). Alcohol test results below 0.02 are kept for one year, the same period as negative and cancelled drug tests (40.333(a)(4)). The practical effect is that a clean 0.000 result from a random test can leave the file after a year, while a 0.025 result from the same day stays for five. Records must be stored with controlled access (40.333(c)), whoever holds them.

Why do motor carriers keep EBT calibration records longer?

FMCSA's own retention rule, 49 CFR 382.401, lists "calibration documentation" in its five-year category (382.401(b)(1)(v)), while Part 40 sets two years for EBT inspection, maintenance, and calibration records. FMCSA also carves calibration out of its two-year collection-process category on purpose: records related to the collection process are kept two years "except calibration of evidential breath testing devices" (382.401(b)(2)). A motor carrier that follows only the Part 40 schedule will discard calibration certificates three years too early. This matters most when a result is challenged. A 0.04 confirmation test from four years ago is still in the five-year file, and if the carrier cannot also show the EBT was within its calibration check at the time, the result is harder to defend. The simple rule for carriers: keep every EBT calibration certificate and external check log for five years, and file it next to the results it supports. Other DOT agencies have their own rules, so check the agency-specific regulation as well as Part 40.

Which records go in which bucket?

The table compares the two schedules. A blank in either column means that section does not list the record separately, not that the record can be thrown away.

How long must BAT training records be kept?

For motor carriers, records of the education and training of breath alcohol technicians, screening test technicians, supervisors, and drivers are kept as long as the person performs the function that requires the training, and for two years after they stop (382.401(b)(4)). That is the only open-ended period in the schedule, and it is the one employers most often get wrong. A BAT who has worked for a carrier for nine years needs a file that goes back to the original qualification course and proficiency demonstration, plus every refresher since. The BAT has a parallel duty under 49 CFR 40.213(g) to maintain documentation showing they currently meet the qualification requirements and to provide it on request to DOT agency representatives and to employers negotiating to use their services. When the BAT is a contractor, the employer should still hold its own copy. Our post on what a BAT training record needs for an audit lists the documents that belong in that file.

Can a service agent keep the records for us?

Yes. A service agent, such as a consortium or third-party administrator, may maintain the records for the employer (40.333(d)). The employer still owns the obligation. It must be able to produce the records at its principal place of business within the time the DOT agency requires, and the regulation gives the motor carrier example directly: when an FMCSA inspector requests records, the carrier must provide them within two business days. Electronic storage is allowed where Part 40 permits it, as long as the records are easily accessible, legible, and organized. If they are not, the employer must convert them to printed documentation in a rapid and readily auditable manner when DOT agency personnel ask (40.333(e)). Access to the files is also limited by the confidentiality rule in 49 CFR 40.321, which prohibits releasing individual results to third parties without the employee's specific written consent.

How Foster handles alcohol testing records

Foster trains BATs and services the breath testing devices they use, so we see both halves of the file. Every Intoxilyzer we calibrate gets a certificate that names the device serial number and the service date, and the serial is the key that ties a certificate to the Alcohol Testing Forms produced on that device. Our advice to fleet customers is to file calibration certificates by device serial and keep them five years, whether or not FMCSA applies to them, because a two-year file cannot back up a five-year result. On the training side, every BAT who completes Foster's DOT BAT training leaves with documentation of the course and the proficiency demonstration, which the employer should copy into its own records rather than rely on the technician to keep. For device service, see breath alcohol device calibration. Related reading: EBT quality assurance plans and calibration checks and who can see DOT alcohol test results.

Frequently asked questions

Can we shred a 0.000 random test result after one year?

Under Part 40 and FMCSA, alcohol results below 0.02 have a one-year minimum (40.333(a)(4), 382.401(b)(3)). One year is a floor, not a deadline. Company policy, state law, or pending litigation can require keeping them longer.

Does the retention clock change if we store ATFs electronically?

No. The periods are the same for paper and electronic records. What changes is the standard the electronic file must meet: easily accessible, legible, and organized, or printed on request (40.333(e)).

We switched consortiums. Who has to keep the old records?

The employer. A service agent may hold records for you, but you must be able to produce them on the DOT agency's timeline (40.333(d)). Before ending a service agent contract, get a complete copy of every record still inside its retention period.

Do non-DOT alcohol tests follow these periods?

No. 40.333 and 382.401 apply to DOT-required tests. Records from company-authority tests follow your own policy and any state law. Keep the two sets separate so a DOT audit only sees DOT records.

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Sources

• 49 CFR 40.333, What records must employers keep? (eCFR)
• 49 CFR 382.401, Retention of records, FMCSA (eCFR)
• 49 CFR 40.321, General confidentiality rule for drug and alcohol test information (eCFR)
• 49 CFR 40.213, Training requirements for BATs and STTs (eCFR)