DOT Audit Preparation in Charleston

Records for a DOT Drug & Alcohol Program Review

The records requested during a review depend on your operating agency, workforce, program structure, and testing history. Through our employer services, we provide audit support and help maintain or coordinate DOT testing-program information.

Program areas that may require organization include:

• Policies and program details: The current drug and alcohol policy, covered employee lists, designated employer representative information, and testing procedures.
• Testing records: Collection documentation, laboratory reports, negative or cancelled results, verified positive results, alcohol results, and refusal records.
• Random-program records: Pool rosters, selection methods and lists, completed tests, selection dates, and explanations for missed or incomplete collections.
• Training and education: Employee education materials and documentation of required supervisor training.
• Annual reporting: Applicable Management Information System (MIS) annual reports summarizing the employer’s DOT testing activity.
• Resolution records: Substance Abuse Professional reports, return-to-duty results, and follow-up testing schedules where applicable. A Substance Abuse Professional is qualified to evaluate employees who violate DOT drug and alcohol rules.

Document Random Testing & Chain of Custody

Random testing records may need to show who was eligible, how selections were made, when tests occurred, and whether required testing was completed throughout the applicable period. Employers may also need explanations for missed collections or other incomplete testing events.

Chain of custody documents how a specimen is handled from collection through laboratory processing and reporting. Collection records should correspond with the required DOT forms, procedures, reporting requirements, and agency rules. We manage random testing pools and provide recurring DOT drug and alcohol testing, including mobile collections for off-site workforces.

How to Start DOT Audit Preparation

An initial discussion can identify your DOT operating agency, covered employees, designated employer representative, testing-program structure, record-storage method, and known review deadline. From there, we can discuss random testing, policy support, documentation concerns, and appropriate next steps.

Employers remain responsible for confirming the records and corrective actions required by their agency’s regulations. Even when a service agent maintains documentation, the employer must be able to produce required records when requested.