Drugs & Alcohol
(Parts 40 and 382) |
Records related to the education
and training of:- breath alcohol technicians (BATs),
- screening test technicians (STTs),
- supervisors, and
- drivers.
Required documentation includes:- Materials on drug and alcohol awareness, including a copy of
company policy;
- Documentation of compliance with
requirement to provide drivers with educational material, including
driver’s signed receipt of materials;
- Documentation of supervisor
training;
- Documentation of BAT training (§40.51(a));
and
- Certification that training complies
with the rules.
See §40.333 and §382.401. | 2 years after the individual ceases to perform those
functions | In a secure location with controlled access.
Note: If combined with other files (personnel or driver
qualification files, for example) then all the files must be
secured. |
- Alcohol test results* with
concentration of 0.02 or more;
- Verified positive drug test results*;
- Documentation of refusals;
- Calibration documentation;
- Evaluation and referral records, including:
- Records pertaining to SAP’s determination of a need for
assistance, and
- Records concerning a driver’s
compliance with SAP’s recommendations; and
- Records related to program administration, including:
- Agreements with collection sites, labs, BATs, MROs, and
consortia;
- Names and positions of officials and
their role in the employer’s testing program;
- Semiannual laboratory statistical
summaries of urinalysis (§40.111(a));
and
- Company testing policy and
procedures; and
- Annual calendar year summary.
| 5 years | |
*“Test results” includes:- Copy of alcohol test form, with results;
- Copy of drug test chain of custody
form;
- Documents sent to the employer by the
MRO;
- Documentation of any refusal to
submit;
- Documents provided by a driver to
dispute results; and
- Previous employer test results (see
§§382.301(c), 40.25, and
391.23).
See §40.333 and §382.401. | | |
Records related to the collection
process (except EBT calibration records):- Collection logbooks (if used);
- Documents related to the random
selection process;
- Documentation
of BAT training;
- Documentation of reasoning for
reasonable suspicion testing;
- Documentation of reasoning for
post-accident testing;
- Documents verifying a medical
explanation for the inability to provide adequate breath or urine
for testing; and
- Consolidated annual calendar year
summaries.
See §40.333 and §382.401. | 2 years | |
- Negative and cancelled drug test
results*, and
- Alcohol test results* with concentration less than 0.02.
*“Test results” includes:- Copy of alcohol test form, with results;
- Copy of drug test chain of custody form;
- Documents sent to the employer by the MRO;
- Documentation of any refusal to submit;
- Documents provided by a driver to dispute results; and
- Previous employer test results (see §§382.301(c), 40.25, and
391.23)
See §40.333 and §382.401. | 1 year | |
For employers using the exception to pre-employment testing in
§382.301(b):- Names and addresses of the testing programs in which the
prospective employee participated;
- Verification that the driver
participates or participated in the program(s);
- Verification that the program(s)
conforms to Part 40;
- Verification that the driver is
qualified under the rules of Part 40, including that the driver has
not refused to be tested for controlled substances;
- The date the driver was last
tested for controlled substances; and
- The
results of any tests taken within the previous six months and any
other violations of Subpart
B.
Note: An employer who uses but does not employ a driver more
than once per year to operate CMVs must obtain the above
information at least once every six months.
See §382.301(c). | 5 years for any positive results, 1 year for negative
results | |
CDL Drug and Alcohol Clearinghouse (effective 1/6/2020)
(Part 382) |
- A record of each request for information (query) sent to the Clearinghouse, and
- All information received in response to each query.
See §382.701. Note: The Clearinghouse itself will maintain these records electronically for any employer that maintains an active Clearinghouse registration, eliminating the need to create or store additional records. | 3 years | In a secure location with controlled access. |
A driver’s written or electronic consent to query the Clearinghouse on an annual basis to determine whether a record exists (known as a “limited” query) (§382.703).
Note: Consent for a “full” query must be done electronically through the Clearinghouse website. | 3 years from the date of the last query authorized by the consent |
Driver Training
(Parts 380 and 397) |
| Entry-level driver training certificate (before February 7, 2022). (§380.509). | Employment + 1 year | Personnel or Driver Qualification file |
| Longer Combination Vehicle (LCV) Driver-Training Certificate (§380.401) or Certificate
of Grandfathering (§380.111). | Unspecified | Driver Qualification file |
LCV driver-instructor qualification file, including:- Evidence that the instructor has met the requirements of §380.301 or §380.303; and
- A copy of the individual’s currently valid CDL with the
appropriate endorsements. (§391.55)
| For as long as the company employs or uses the instructor | LCV Driver-Instructor Qualification file or personnel file |
| Certificate of training for drivers transporting highway route
controlled Class 7 (radioactive) materials (§397.101(e)). | Employment + 3 years | Driver Qualification file |
| For entry-level driver training providers listed on the FMCSA’s Training Provider Registry (TPR), the documents listed in §380.725. | 3 years | Unspecified |
CDLs
(Part 383) |
Notification of conviction for
driver violations. Must include the information listed in §383.31(c).
Note: Notifications of CDL suspensions (§383.33) have no
recordkeeping requirements.
See §383.31 and the
interpretations to
§391.27. | 3 years | Driver Qualification file |
Financial Responsibility
(Part 387) |
- Current Form MCS-90 or
MCS-82, or an FMCSA document authorizing self-insurance, for motor
carriers.
- Current Form MCS-90B or MCS-82B for passenger carriers.
See §387.7(d) and
§387.31(d). | Unspecified | Principal place of business |
| For vehicles operated within the United States by motor carriers domiciled in a contiguous foreign country, a legible copy (in English) of proof of required financial responsibility (Sec. 387.7). | Unspecified | In vehicle |
Accidents
(Part 390) |
- Accident register.
- Copies of accident reports required by states, other
governmental entities, or insurers.
See §390.15(b). | 3 years | Unspecified |
Driver Qualification
(Part 391) |
- Application for employment (§391.21);
- Motor vehicle record(s) (MVR) from issuing driver’s licensing authorities obtained at time of hire (§391.23(a)(1));
- Road test form and certificate (§391.31(g)),
or CDL license or certificate accepted in lieu of road test (§391.33);
- Medical exam certificate (original or a copy) (§391.43(g)) or, for CDL/CLP drivers whose MVR contains current medical and self-certification information, a copy of the MVR (note that the paper certificate may only be used as proof of a CDL/CLP driver’s medical certification for up to 15 days after issuance)* (§391.23(m));
- Documentation verifying that the medical examiner was listed on the National Registry at the time of the exam* (§391.23(m));
- Any documentation of a medical variance*;
- Annual driving record* (§391.25(a));
- Note relating to annual review* (§391.25(c)(2));
- Driver’s annual list of violations* (§391.27) (obtained prior to May 9, 2022); and
- Certificate of training, for drivers transporting highway route
controlled Class 7 (radioactive) materials (§397.101).
*The following may be removed 3 years after execution:- Medical examiner’s certificate or copy of MVR with medical certification information,
- Note relating to verification of medical examiner listing on the National Registry,
- Annual MVR from issuing driver’s licensing authority,
- Note relating to annual review of driving record,
- Annual list of violations (prepared by the driver through May 8, 2022), and
- Medical variance documentation.
See §391.51.
NOTE: A screenshot of a driver’s MVR containing the required medical certification information, obtained through an official licensing agency website, may be used in place of a standard MVR for verifying the medical certification of a CDL/CLP driver within 15 days after a medical exam. Screenshots may not be used in place of MVRs required at the time of hire or annually. | Employment + 3 years | Driver Qualification file
Note: May be combined with personnel file. |
- Safety performance history of driver/applicants (i.e., previous
employer information), including name and address, date of contact
(or attempts made), and information received about a
driver/applicant (§391.23) (must be placed
into file within 30 days of hire).
- A copy of
the driver’s written authorization for the motor carrier to seek
information about the driver’s DOT drug and alcohol testing history, if required under §391.23(e).
- Corrections or rebuttals received from former or current drivers
concerning their safety performance histories (§391.23(j))
(should be placed in appropriate file where corrected or rebutted
information is stored).
NOTE: Drug/alcohol inquiries sent to a driver’s former
employer(s) in compliance with §391.23 are deemed to be
in compliance with the inquiries required under §40.25(b). Also, previous-employer inquiries for drivers hired before October 30,
2004, may remain in drivers’ qualification files (§391.23). | Employment + 3 years | Driver Investigation History File in a secure location with
controlled access
Note: May be combined with personnel file, Driver Qualification
file, Drug/Alcohol file, etc., but must be in a secure location
with limited access. |
| A record of each inquiry received from other employers
concerning a driver’s safety performance history, and the response,
including the date, the party to whom it was released, and a
summary identifying what was provided (§391.23(g)(4)). | One year | Unspecified |
| For companies using the FMCSA’s optional Pre-employment Screening Program (PSP), the driver’s disclosure and authorization
form (whether the driver was hired or not) | 3 years | Unspecified |
Multiple-employer drivers
(Part 391) |
Keep the following records for a multiple-employer driver when the exception in §391.63 is used (and a complete driver file is not created, for drivers used or employed by more than one motor carrier in any seven-day period):- Medical exam certificate, original or a copy (§391.43(g)), or MVR showing CDL driver’s medical certification status and self-certification information;
- Road test form and certificate (§391.31(g)),
or license or certificate accepted in lieu of road test (§391.33);
- Driver’s name and Social Security number; and
- Identification number, type, and issuing state of motor vehicle
operator’s license.
See §391.63. | Employment + 3 years | Driver Qualification file |
Drivers from other employers
(Part 391) |
For drivers furnished by other motor carriers, keep the signed
certificate required in §391.65(a)(2).
See §391.65. | 3 years | Driver Qualification file |
Hours of Service
(Part 395) |
For all drivers using the 150-air-mile exception (CDL and non-CDL), “accurate and true time records” showing:- The time the driver reports for duty each day,
- The time the driver is released from duty each day,
- Total number of hours on duty each day, and
- Total time on duty for the preceding 7 days for drivers used for
the first time or intermittently.
See §395.1(e). | 6 months | Unspecified |
For drivers used intermittently, a signed statement showing:- The total time on duty during the immediately preceding 7 days,
and
- The time at which the driver was last relieved from duty.
See §395.8(j)(2). | 6 months | Unspecified |
| Records of duty status (driver logs), whether on paper or electronic. Logs must be submitted to the motor carrier within 13
days of completion (§395.8(a)(2)(ii)). | 6 months from date of receipt | Unspecified |
Supporting
documents, up to 8 per driver per day. Supporting documents in a driver’s possession must be presented to roadside enforcement personnel upon request and must be submitted to the motor carrier within 13 days of receipt.
See §395.11. | 6 months from date of receipt | Unspecified; must be kept in a way that allows them to be matched to the driver's logs |
A copy of each log for the previous 7 consecutive days (whether
hand-written or electronic)
See §395.8(k)(2) and
§395.15(b)(4). | 7 days | In vehicle |
For drivers using electronic logging devices (ELDs), an information packet containing:- An ELD user manual,
- An instruction sheet describing how to transfer data (including step-by-step instructions for getting the driver’s records to an enforcement official),
- An instruction sheet describing what to do when the ELD malfunctions, and
- Enough blank paper logs to last at least 8 days.
See §395.22. | Unspecified | In vehicle |
For companies using ELDs, a back-up copy of the ELD records.
See §395.22(i). | 6 months | On a device separate from that on which the original data are stored |
Inspections/Maintenance
(Part 396) |
For any motor
vehicle controlled for 30 days or more:- An identification of the vehicle including co. number (if so
marked), make, serial number, year, and tire size, and vehicle
owner’s name if the motor carrier does not own the vehicle;
- A means to
indicate the nature and due date of the various inspection and
maintenance operations to be performed;
- A record of
inspection, repairs and maintenance indicating their date and
nature; and
- A record of
tests conducted on pushout windows, emergency doors, and emergency
door marking lights on buses.
| 1 year and for 6 months after the vehicle leaves your
control | Where the vehicle is either housed or maintained |
Note: Intermodal equipment providers must also maintain (or
cause to be maintained) the above records for each unit of
intermodal equipment they tender or intend to tender to a motor
carrier.
See §396.3(b). | 1 year and for 6 months after the vehicle leaves your
control | Where the vehicle is either housed or maintained |
Copy of roadside inspection form.
See §396.9(d)(3)(ii). | 12 months from date of inspection | Principal place of business or where vehicle is housed |
Original Driver Vehicle Inspection Report (DVIR), including the certification of repairs and certification of driver’s review.
Note pre-trip requirements in §392.7, §392.8, §392.9, and §396.13. Only §396.13 has
recordkeeping requirements.
See §396.11(a)(2)
and Question 18 in the
interpretations. | 3 months | Principal place of business or where vehicle is housed or
maintained |
Intermodal equipment providers must maintain drivers’ intermodal
equipment inspection reports, including:- The original driver report,
- The certification of repairs, and
- The certification of the driver’s pre-inspection review.
See §396.12(d). | 3 months | Unspecified |
Documentation of periodic inspection (a report or other document
such as a sticker or decal).
See §396.17(c)
and §396.23(a). | Continuously | In or on vehicle |
Evidence of an individual’s qualifications to conduct annual
inspections.
See §396.19(b). | Until 1 year after employee stops performing inspections | Unspecified |
Periodic inspection report (original or copy).
See §396.21(b)(1). | 14 months | Where the vehicle is housed or maintained |
Evidence of a brake inspector’s qualifications.
See §396.25(e). | Until 1 year after employee stops performing inspections | Principal place of business or where employee is based |
Records of engine changes.
See App. A to Part 379 | Until 3 years after disposal | Unspecified |
Hazardous Materials
(Part 397) |
Signed receipt documenting that
hazmat driver has received a copy of the regulations and emergency
instructions per §397.19(a).
Applies to transportation of explosives only.
See §397.19(b). | 1 year | Unspecified |
| A written route plan, for transporting highway route controlled
Class 7 (radioactive) materials, per §397.101(d). | Unspecified. | In driver’s possession, and filed with the FMCSA and
shipper. |
| Certificate of training, for drivers transporting highway route
controlled Class 7 (radioactive) materials, per §397.101(e). | Employment + 3 years | Driver Qualification file, and in driver’s immediate
possession |
Other
(Part 379) |
| Business records. See Part 379 for
details. This regulation is a “holdover” from when the Interstate
Commerce Commission regulated trucking (before the FMCSA was
created). | See regulation | See regulation |
