Direct Answer — Part 135 Drug & Alcohol Records Under 14 CFR Part 120
Under 49 CFR §40.333 (incorporated for FAA programs by 14 CFR Part 120), a Part 135 operator must retain: (1) verified positive drug results and chain-of-custody forms for 5 years; (2) alcohol test results at or above 0.02 BAC for 5 years, results below 0.02 for 1 year; (3) refusals to test for 5 years; (4) previous-employer inquiry records for 3 years and EBT calibration records for 2 years; (5) copies of the annual MIS report for 5 years (14 CFR §120.111(f), §120.219) and random selection-process documentation for 2 years (§120.219); and (6) SAP evaluation, return-to-duty, and follow-up testing records for 5 years. The FAA Drug Abatement Division (DAD) — a separate inspectorate from your FSDO PMI — may inspect these records, and inspections may be unannounced. Dual-regulated operators (aviation + commercial motor vehicles) must maintain separate, independent programs under Part 120 (FAA) and 49 CFR Part 382 (FMCSA).
The DAD inspector is not your FSDO PMI — a clean OpSpecs relationship does not protect you
Many Part 135 operators assume strong FSDO relationships buffer all FAA enforcement risk. They do not. The FAA Drug Abatement Division operates independently of your local FSDO and has separate authority under 14 CFR Part 120 to inspect your drug and alcohol program records. An unannounced DAD inspection that finds incomplete random testing documentation, a missing MIS report, or a broken SAP follow-up chain can trigger enforcement independent of your operational compliance.
The Six Categories of Records You Must Retain
Under 14 CFR Part 120 Subpart E (drug testing program requirements) and Subpart F (alcohol testing), read together with 49 CFR Part 40 (DOT agency procedures), aviation employers running Part 135 operations must maintain six categories of records. Each has its own retention clock.
Category 1 — Drug Test Results and Chain-of-Custody (CCF) Forms
Retain: 5 yearsFederal Drug Testing Custody and Control Forms (CCFs) are generated for pre-employment, random, reasonable suspicion, post-accident, return-to-duty, and follow-up tests. CCFs for verified positives, refusals, and adulterated or substituted specimens must be retained for 5 years from the test date — the employer copy of the CCF plus the MRO-verified result. Negative results must also be retained: per 49 CFR §40.333(a)(4), records of negative and cancelled results (including invalid results) must be kept for 1 year; positive, adulterated, and substituted results fall under the 5-year rule of §40.333(a)(1). In practice, retaining all results for 5 years simplifies the compliance posture — distinguishing the 1-year negatives from the 5-year positives in a mixed archive creates unnecessary audit risk.
Category 2 — Alcohol Test Records
Retain: 5 years (results ≥0.02); 1 year (results <0.02)Under 49 CFR §40.333, alcohol test records must be retained as follows: documentation of alcohol test results at a BAC of 0.02 or above — 5 years (§40.333(a)(1)); documentation of alcohol test results below 0.02 — 1 year (§40.333(a)(4)); calibration documentation and quality assurance records for EBTs (Evidential Breath Testing devices) — 2 years (§40.333(a)(3)). The Alcohol Testing Form (ATF) is the corresponding chain-of-custody document for breath alcohol tests. Missing ATFs for any confirmed positive or any result at or above 0.02 BAC is a DAD audit finding.
Category 3 — Random Testing Program Documentation
Retain: 2 years required for selection records (§120.219); current + 2 prior years recommendedRandom testing documentation is one of the most common DAD inspection findings because operators often administer the program correctly but document it inadequately. The required records include: the annual random testing rate applied (must meet or exceed the DOT-published minimum — check the current Federal Register notice for each calendar year); the random pool methodology showing which employees are in the covered pool; documentation of how employees were selected (computer-generated random draws or equivalent documented randomness); and the draw dates, employee selections, and whether each selected employee was tested within the required window. Under 14 CFR §120.109(b) (drug) and §120.217(c) (alcohol), random selections must be scientifically valid and spread reasonably throughout the year — a batch of draws all conducted in January does not constitute a valid random program even if the annual rate target is met numerically.
Category 4 — MIS Annual Summary Reports
Retain: 5 yearsAviation employers with 50 or more covered employees must submit the annual DOT Drug and Alcohol Testing MIS Data Collection Form to the FAA Drug Abatement Division by March 15 of the following calendar year under 14 CFR §120.119 (drug) and §120.219 (alcohol); the form itself is prescribed by 49 CFR §40.26 and Appendix J to Part 40. The MIS report must capture test counts by category, verified positive drug test results broken down by substance (marijuana, cocaine, amphetamines, opioids, PCP), alcohol test results by BAC threshold, and refusals. Operators below the 50-employee threshold are not required to submit but must still be able to produce equivalent summary data during a DAD inspection. A copy of every submitted MIS form must be kept for 5 years under 14 CFR §120.111(f) and §120.219 — both the electronic submission confirmation and a human-readable copy of the data.
Category 5 — MRO and DER Records
Retain: 5 yearsThe Medical Review Officer (MRO) is the licensed physician who reviews all non-negative drug test results, interviews donors when warranted, and issues verified results to the employer. The operator's DER (Designated Employer Representative) must retain: all MRO result notifications (including documentation of any legitimate medical explanation that resulted in a negative determination), any split specimen retest results, and documentation of any employee-disputed result. Under 49 CFR §40.163, the MRO must also keep records that match. The operator must independently retain the DER's copies of all MRO notifications — do not rely solely on your C/TPA or MRO to warehouse the records. If they change vendors and data is not transferred, the operator is left without the required documentation.
Category 6 — SAP Evaluations and Return-to-Duty / Follow-up Testing
Retain: 5 yearsWhen an employee tests positive, refuses a test, or violates the alcohol misuse prohibitions of §120.37 while performing safety-sensitive functions, the return-to-duty process under 49 CFR Part 40 Subpart O generates a distinct document chain that must stay intact. Required records: the SAP's initial evaluation report, any education or treatment completion records the SAP required, the return-to-duty test result (negative drug, BAC <0.02), and the complete follow-up testing record showing every unannounced test conducted under the SAP's follow-up plan (minimum 6 tests in the first 12 months). The follow-up testing period can extend up to 60 months. Every test in the follow-up sequence must be documented with test date, result, and MRO verification. A DAD inspector reviewing a return-to-duty employee's file who finds a gap in the follow-up testing schedule — even one missed test — is holding a compliance finding.
Primary regulations cited: 14 CFR Part 120 (Aviation drug and alcohol testing), 49 CFR Part 40 (DOT drug and alcohol testing procedures). For the companion Part 120 program overview including program design requirements, see the Aviation Compliance hub.
Random Testing Rate Documentation: The Most Common DAD Finding
Of all the records in a Part 120 program, random testing rate documentation is the category most frequently cited in DAD inspection findings. The reason is structural: the test results themselves are generated by third parties (the C/TPA and MRO) and usually retained competently. The randomness methodology and rate documentation are the operator's internal responsibility — and often the weakest link in the record chain.
Under 14 CFR §120.109(b) (drug) and §120.217(c) (alcohol), the random testing rate must meet the DOT-published minimum for each calendar year (verified annually via the Federal Register). DOT sets the minimum drug testing rate and a separate minimum alcohol testing rate for the aviation industry. When the industry-wide positive rate remains below the DOT threshold, rates can be reduced — but operators must document the rate they applied each year and demonstrate they met or exceeded it.
Annual DOT random testing rate in effect for this calendar year (documented)
Keep current + 2 prior years (DAD inspection practice, not a CFR retention rule)
Covered employee count used to calculate the testing target
Keep current + 2 prior years (recommended)
Pool construction methodology — which employees are in the random pool
Keep current + 2 prior years (recommended); update when workforce changes
Random selection draws — date, method (computer-generated), employees selected
Required: 2 years for selection-process records (alcohol program, 14 CFR §120.219); keep current + 2 prior years for DAD readiness
Notification dates — when selected employees were notified to report for testing
Keep current + 2 prior years (recommended)
Testing completion confirmation — test date, result category (negative/positive/refusal)
Retain per test result category
Spread distribution documentation — confirms draws were distributed across the year, not batched
Keep current + 2 prior years (recommended)
Annual rate calculation showing actual tests vs. target — confirms compliance with minimum rate
Keep current + 2 prior years (recommended)
Batched draws fail the "spread reasonably throughout the year" requirement
An operator who conducts all random draws in January and February — even if the total number meets the annual rate target — violates the requirement in 14 CFR §120.109(b) (drug) and §120.217(c) (alcohol) that selection dates be spread reasonably throughout the calendar year. The purpose of random testing is deterrence — deterrence requires genuine unpredictability across the full calendar year, not an annual event employees can anticipate.
MIS Reports, MRO Files, and SAP Chains: The Three Record Categories Most Operators Get Wrong
MIS Annual Reports — Submitted, Confirmed, and Retained
Aviation employers with 50 or more covered employees must submit the annual DOT MIS Data Collection Form to the FAA by March 15 of the following calendar year under 14 CFR §120.119 (drug) and §120.219 (alcohol). The MIS report is filed via the FAA's online reporting system. Three things operators miss:
Submission confirmation is not a retained record
Submitting the MIS online satisfies the reporting obligation, but the confirmation screen is not a retained record. The operator must save both the confirmation of submission and a complete copy of the submitted data. If the FAA system is inaccessible during a future DAD inspection, the operator must have its own backup.
The MIS must be accurate — it is a federal document
Errors in MIS data (understating positives, miscounting refusals, reporting the wrong employee count) are independent violations beyond any underlying testing deficiency. Operators who rely solely on their C/TPA to populate the MIS without reviewing the underlying test data for accuracy carry an additional compliance risk.
Small operators below 50 employees still need equivalent records
An operator below the MIS submission threshold is exempt from the March 15 filing — but is not exempt from having the underlying data that would populate an MIS if requested during a DAD inspection. Keep a year-end internal summary even if no external filing is required.
MRO Result Documentation — Don't Outsource Your Retention to Your Vendor
The Medical Review Officer (MRO) is an independent licensed physician — not an employee of the operator. The MRO retains its own records under 49 CFR §40.163, but the operator's DER must independently retain MRO result notifications. This matters because C/TPA and MRO vendor relationships change: when you switch vendors, your historical test results may not transfer cleanly, and the burden of production during a DAD inspection falls on the operator, not the former vendor. The DER's file for any employee who tested positive, refused, or had an invalid or adulterated result must contain the MRO's written notification of the verified result, including the specific substance (for positive drug results), and any documentation of a legitimate medical explanation that converted a non-negative to a negative.
SAP Follow-up Testing Chains — Every Test Must Be Documented
The return-to-duty and follow-up testing process under 49 CFR Part 40 Subpart O generates the most document-intensive records in the Part 120 program — and the most consequential gaps. The SAP's follow-up testing plan specifies a minimum of 6 unannounced tests in the first 12 months after return to duty, with the SAP having discretion to extend the follow-up period up to 60 months. Every test in the follow-up sequence must be documented. An operator who allows a return-to-duty employee to continue performing safety-sensitive functions after a missed follow-up test — even one — has allowed a safety-sensitive function to be performed contrary to the SAP's plan, in violation of the follow-up testing requirements of 14 CFR §120.109 and 49 CFR §§40.307 and 40.309.
SAP initial evaluation report (signed, dated, credentials of SAP)
Education / treatment program completion evidence
Return-to-duty drug test: negative result + MRO verification
Return-to-duty alcohol test (if applicable): result <0.02 BAC
SAP follow-up testing plan specifying minimum tests and period
Each follow-up test result: date, result, MRO verification
Documentation of ongoing SAP oversight contact during follow-up period
SAP release from follow-up testing (at end of follow-up period)
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The FAA Drug Abatement Division Inspection: What Happens and What They Pull
The FAA Drug Abatement Division (DAD) is headquartered in Washington, D.C., and operates independently of the FSDO field offices. The DAD has authority under 14 CFR Part 120 to inspect aviation employer drug and alcohol programs, and inspections may be unannounced. Based on FAA inspection practice, a DAD visit typically involves the following:
Written Drug and Alcohol Testing Program (DATP)
The inspector first requests the operator's written DATP. Per FAA Drug Abatement guidance, this document should describe the employer's testing program, identify the DER, designate the C/TPA, reference the applicable regulations, and confirm the operator has provided required education materials to covered employees. An absent, outdated, or incomplete DATP is an immediate finding.
Random Program Records (Current Year + 2 Prior)
The DAD inspector will request the random testing documentation described above: pool construction, selection methodology, draw dates, employee notifications, test completion records, and the year-end rate calculation. Inspectors often request all three years simultaneously to verify consistent program administration — not just the most recent year.
Sample Test Files
The inspector may select a sample of individual employee test files to examine — particularly tests that resulted in positives, refusals, or SAP follow-up chains. The inspector will trace the chain-of-custody form through MRO verification and DER notification to confirm the complete record is present and correctly sequenced.
Supervisor Training Records
Under 14 CFR §120.115(c)(2)-(3) (drug) and §120.223(b) (alcohol), supervisors who make reasonable-cause or reasonable-suspicion testing determinations must receive at least 60 minutes of training on the indicators of probable drug use and at least 60 minutes on the physical, behavioral, speech, and performance indicators of probable alcohol misuse. The DAD inspector may request training records demonstrating which supervisors received the required training, when, and on what content. Missing or undated supervisor training records are a common finding.
MIS Submission Records (Current + 4 Prior Years)
For operators above the 50-employee threshold, the DAD inspector will verify that MIS reports were submitted on time for each applicable year. For operators below the threshold, the inspector may request equivalent internal summary data to confirm the program was actually administered.
DAD enforcement can result in civil penalties independent of FSDO action
The DAD can issue Warning Notices, Letters of Correction, and refer cases for civil penalty assessment under 49 U.S.C. § 46301 — entirely independently of any FSDO enforcement action. A Part 135 operator can be in full compliance with its Operations Specifications under Part 135 while simultaneously being in violation of its Part 120 drug and alcohol program, each tracked by a different FAA office. See the Part 135 on-demand charter compliance guide for how the full regulatory stack fits together.
Dual-Regulated Operators: Aviation + Commercial Motor Vehicles
Some Part 135 operators also run commercial motor vehicles subject to FMCSA jurisdiction — shuttle fleets, cargo vehicles over 10,001 lbs, or ground transport supporting air operations. These operators are dual-regulated: their aviation employees fall under the FAA's drug and alcohol program (14 CFR Part 120, DAD inspects), while their CDL drivers fall under FMCSA's program (49 CFR Part 382, FMCSA Safety Investigators inspect). Both programs use the same testing methodology under 49 CFR Part 40, but they are separate obligations with separate record retention, separate DERs, and separate MIS reporting streams.
| Requirement | Aviation (Part 120) | FMCSA (Part 382) |
|---|---|---|
| Governing CFR | 14 CFR Part 120 | 49 CFR Part 382 |
| Inspecting authority | FAA Drug Abatement Division | FMCSA Safety Investigator |
| Employee population | Safety-sensitive aviation functions | CDL drivers in CMV operation |
| MIS reporting deadline | March 15 (FAA) | Upon FMCSA request (same DOT MIS form; Mar 15 when requested) |
| Drug testing rate (minimum) | See current Federal Register | 50% (FMCSA minimum) |
| Alcohol testing rate (minimum) | See current Federal Register | 10% (FMCSA minimum) |
| Clearinghouse requirement | No FAA analog | Yes — FMCSA Clearinghouse (§382.701) |
| Record retention (positive) | 5 years | 5 years |
A dual-function employee — say, a pilot who also drives a company cargo vehicle requiring a CDL — is subject to both programs simultaneously. Under 49 CFR §40.285(a), a violation of either program's rules automatically bars the employee from performing safety-sensitive duties for any DOT-regulated employer, in any mode, until the SAP return-to-duty process is complete — the DER must understand both consequence frameworks (FMCSA Clearinghouse entries and FAA certificate action remain mode-specific) and ensure the employee does not perform safety-sensitive functions under either authority while ineligible. The documentation burden for a dual-function employee in a positive-test scenario is still substantial: the Part 40 SAP process is a single, uniform evaluation and follow-up plan recognized by all DOT agencies, but the operator must document a return-to-duty test under each program before the employee resumes that program's safety-sensitive duties, with follow-up tests conducted and filed under the applicable authority.
Related resources: Part 135 on-demand charter compliance guide — Part 120 drug and alcohol testing program overview — Aviation compliance hub
Frequently Asked Questions
How long must Part 135 operators retain drug and alcohol testing records under 14 CFR Part 120?
Retention periods are set by 49 CFR §40.333 (the DOT recordkeeping rule that 14 CFR Part 120 incorporates for FAA programs). Verified positive drug results and related chain-of-custody documentation, alcohol results at 0.02 BAC or above, and refusals to test must each be retained for 5 years. Negative and canceled results require 1-year retention. Records of previous-employer test-result inquiries are kept 3 years, and EBT calibration and maintenance records 2 years. SAP (Substance Abuse Professional) evaluation, return-to-duty, and follow-up testing records must be retained for 5 years. Copies of the annual MIS (Management Information System) report must be retained for 5 years under 14 CFR §120.111(f) (drug) and §120.219 (alcohol), and documents related to the random selection process for 2 years under §120.219 — giving the FAA Drug Abatement Division a multi-year audit trail. These periods are minimums; many operators and their C/TPAs retain records substantially longer.
What records does the FAA Drug Abatement Division inspect — and how is that different from an FAA PMI visit?
The FAA Drug Abatement Division (DAD) in Washington, D.C., is a separate inspectorate from your local FSDO Principal Operations Inspector (POI). The DAD has independent authority under 14 CFR Part 120 to conduct compliance inspections of aviation employer drug and alcohol programs, and those inspections may be unannounced. A DAD inspector may request: the operator's written drug and alcohol testing plan (DATP), random program documentation (rate, pool construction, selection records), MIS annual reports (current + 4 prior years), chain-of-custody forms for a sample of tests, MRO (Medical Review Officer) verification records, SAP evaluation and follow-up testing records for any return-to-duty employees, DER (Designated Employer Representative) designation, and supervisor training records per 14 CFR §§120.115(c)(2)-(3) (drug) and 120.223(b) (alcohol). Your local FSDO PMI visits cover the GOM, OpSpecs, and operational compliance — the DAD visit covers only the drug and alcohol program. Failing a DAD inspection can trigger enforcement action independent of any FSDO relationship.
What is the current DOT random drug testing rate for aviation employees?
For drug testing, DOT/FAA sets the minimum random testing rate annually. The rate has varied over time — DOT may set it at 25% or 50% of the safety-sensitive employee population per calendar year depending on industry violation data. For alcohol testing, the minimum random testing rate is 10% of the safety-sensitive population per calendar year. As of the FAA's most recent published rate guidance, the minimum drug testing rate was 25% and the minimum alcohol testing rate was 10% — but operators must verify the current rate against the Federal Register or DAD website for the applicable calendar year, as rates can change. Operators who do not document that they tested at or above the applicable minimum rate are non-compliant even if individual test results are clean.
What must the MIS (Management Information System) annual report contain?
Under 49 CFR §40.26 (with the form prescribed at Appendix J to Part 40) and 14 CFR §120.119 (drug) and §120.219 (alcohol), aviation employers with 50 or more employees performing safety-sensitive functions must submit an MIS Data Collection Form (DOT Form MIS) to the FAA by March 15 of the following calendar year. The MIS report must summarize: number of covered employees, number of tests conducted by type (pre-employment, random, reasonable suspicion, post-accident, return-to-duty, follow-up), number of verified positive drug test results by substance, number of alcohol test results at 0.02 BAC and above and at 0.04 BAC and above, and number of refusals. Operators must retain a copy of each submitted MIS report for 5 years. Even operators below the 50-employee reporting threshold should maintain equivalent internal records because the DAD may request a summary equivalent to the MIS during an inspection.
What records must be on file for a Part 135 employee who tested positive and returned to duty through a SAP?
An employee who tests positive or refuses a test under 14 CFR Part 120 cannot return to safety-sensitive functions without: (1) a completed SAP (Substance Abuse Professional) evaluation finding the employee has followed the SAP's prescribed assistance, (2) evidence of completing any education or treatment program the SAP recommended, (3) a negative return-to-duty drug test and/or an alcohol test below 0.02 BAC as applicable, and (4) a follow-up testing plan from the SAP (minimum 6 unannounced tests in the first 12 months following return to duty, with up to 60 months of follow-up testing possible). The operator must retain documentation of each element: the SAP evaluation report, return-to-duty test result, and the complete follow-up testing record for 5 years. Missing any link in this chain — particularly the follow-up test schedule — is a DAD compliance finding.
Does a dual-regulated operator (Part 135 aviation + FMCSA motor carrier) need two separate drug and alcohol programs?
Yes — and it is one of the most common compliance gaps for operators who run both aircraft and commercial motor vehicles. 14 CFR Part 120 governs the aviation drug and alcohol program (FAA authority; DAD inspects it). 49 CFR Parts 382 and 40 govern the DOT drug and alcohol program for CDL drivers under FMCSA authority (FMCSA Safety Investigators inspect it). While both programs use the same testing methodology under 49 CFR Part 40, each has its own employee population definition, its own random testing rate requirements, its own DER, and its own MIS reporting stream (the FAA requires annual submission from employers with 50 or more covered employees; FMCSA collects the same DOT MIS form only upon request). One consequence is automatic and cross-modal: under 49 CFR §40.285(a), an employee who violates either program's drug and alcohol rules cannot perform safety-sensitive duties for any DOT-regulated employer, in any mode, until the SAP return-to-duty process is complete. The formal program consequences — FMCSA Clearinghouse entries, FAA certificate action — and the records remain mode-specific and must be managed separately. Operators who run a combined pool without understanding the separate regulatory frameworks often fail both programs simultaneously when a dual-function employee tests positive.
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