The Ultimate Overview of DOT Record-Keeping Requirements

Welcome to?The Dashboard, your weekly wrap-up of regulatory, safety, hiring, and DOT compliance news.

Click 'Subscribe' to be notified of each edition. This week, we're covering some of the most important DOT record-keeping requirements to help federally regulated companies organize and maintain their files regularly.

The Federal Motor Carrier Safety Administration (FMCSA) requires the companies they regulate to keep records to document their compliance with safety regulations. This documentation must be saved for varying lengths of time as established by the related regulations.

The following is a quick review of record-retention requirements in a few key DOT compliance areas.

DOT Drug & Alcohol Testing Records

Remember all DOT drug and alcohol testing (DAT) records must be maintained in a secure location with controlled access. This means all DAT records must be kept in a separate file under lock and key; they should not be stored with personnel files.

Because the rules make no exceptions for one-driver companies, we advise owner-operators to maintain their DAT files separately as well.

The following records must be maintained for at least five years:

• Alcohol test results indicating a BAC of 0.02 or greater?
• Verified positive controlled substances test results?
• Refusal-to-test documentation?
• Substance Abuse Professional (SAP) evaluation reports?
• Copy of annual calendar year summary if required by 49 CFR 382.403

The following records must be maintained for at least two years:?

• Random selections
• Reasonable-suspicion testing documentation?
• Medical evaluations for "shy lung" and "shy bladder" situations

The following records must be maintained for at least one year:

• Negative and canceled drug test results?
• Alcohol test results with a BAC below 0.02

Additional record retention requirements:

The employer’s policy, driver’s signed receipt, and all records related to employer and supervisor education and training must be retained while the individual performs safety-sensitive and/or supervisory functions and for two years thereafter.

Driver Qualification Files

Both the Driver Qualification and?Safety Performance History Files?must be retained for as long as the safety-sensitive individual is employed by the company, and for three years thereafter.

The following documentation may be discarded from the Driver Qualification File three years from the date of execution:

• Annual List of Violations?
• Annual Inquiry to State Agencies?
• Annual Review of Driving Record
• Medical Examiner’s Certificate?
• Safety Performance Evaluation Certificate (if applicable)

Hours-of-Service Records

The following hours-of-service records must be maintained for six months:

• Drivers' records of duty status (RODS)?
• A backup copy of ELD records on a separate device from which the original is stored

Supporting documents, such as:

• Dispatch records?
• Receipts?
• Statements?
• Bills of lading?
• Weight station tickets
• Phone bill statements

If your drivers operate strictly on?short-haul runs, you are required to document the time your drivers clock in and out, the total time worked during the current period, and the total time worked during the previous seven days.

Find out the rest of your DOT record-keeping requirements on the Foley blog.

Driving Excellence,

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