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The DOT Doctor:
Maintenance Record Retention with PM Alert
Appendix A to Part 379
SCHEDULE OF RECORDS AND PERIODS OF RETENTION
Appendix A to Part 379
SCHEDULE OF RECORDS AND PERIODS OF RETENTION
   
 
Item and category of records
 Retention period
A. CORPORATE AND GENERAL
1.
Incorporation and reorganization:
 
 
(a) Charter or certificate of incorporation and amendments
Note A.
 
(b) Legal documents related to mergers, consolidations, reorganization, receiverships and similar actions which affect the identity or organization of the company.
Note A.
2.
Minutes of Directors, Executive Committees, Stockholders and other corporate meetings
Note A.
3.
Titles, franchises and authorities:
 
 
(a) Certificates of public convenience and necessity issued by regulating bodies
Until expiration or cancellation.
 
(b) Operating authorizations and exemptions to operate
Until expiration or cancellation.
 
(c) Copies of formal orders of regulatory bodies served upon the company
Note A.
 
(d) Deeds, charters, and other title papers
Until disposition of property.
 
(e) Patents and patent records
Note A.
4.
Annual reports or statement to stockholders
3 years.
5.
Contracts and agreements:
 
 
(a) Service contracts, such as for operational management, accounting, financial or legal services, and agreements with agents.
Until expiration or termination plus 3 years.
 
(b) Contracts and other agreements relating to the construction, acquisition or sale of real property and equipment except as otherwise provided in (a) above.
Until expiration or termination plus 3 years.
 
(c) Contracts for the purchase or sale of material and supplies except as provided in (a) above.
Until expiration.
 
(d) Shipping contracts for transportation or caretakers of freight
Until expiration.
 
(e) Contracts with employees and employee bargaining groups
Until expiration.
 
(f) Contracts, leases and agreements, not specifically provided for in this section
Until expiration or termination plus 1 year.
6.
Accountant’s auditor’s, and inspector’s reports:
 
 
(a) Certifications and reports of examinations and audits conducted by public accountants
3 years.
 
(b) Reports of examinations and audits conducted by internal auditors, time inspectors, and others
3 years.
7.
Other:
Note A.
 
 
B. TREASURY
1.
Capital stock records:
 
 
(a) Capital stock ledger
Note A.
 
(b) Capital stock certificates, records of or stubs of
Note A.
 
(c) Stock transfer register
Note A.
2.
Long–term debt records:
 
 
(a) Bond indentures, underwritings, mortgages, and other long–term credit agreements
Until redemption plus 3 years.
 
(b) Registered bonds and debenture ledgers
Until redemption plus 3 years.
 
(c) Stubs or similar records of bonds or other long–term debt issued
Note A.
3.
Authorizations from regulatory bodies for issuance of securities including applications, reports, and supporting papers
Note A.
4.
Records of securities owned, in treasury, or held by custodians, detailed ledgers and journals, or their equivalent     
 
Until the securities are sold, redeemed or otherwise disposed of.
5.
Other:
Note A.
 
 
C. FINANCIAL AND ACCOUNTING
1.
Ledgers:
 
 
(a) General and subsidiary ledgers with indexes
Until discontinuance of use plus 3 years.
 
(b) Balance sheets and trial balance sheets of general and subsidiary ledgers
3 years.
2.
Journals:
 
 
(a) General journals
Until discontinuance of use plus 3 years.
 
(b) Subsidiary journals and any supporting data, except as otherwise provided for, necessary to explain journal entries
3 years.
3.
Cash books:
 
 
(a) General cash books
Until discontinuance of use plus 3 years.
 
(b) Subsidiary cash books
3 years.
4.
Vouchers:
 
 
(a) Voucher registers, indexes, or equivalent
3 years.
 
(b) Paid and canceled vouchers, expenditure authorizations, detailed distribution sheets and other supporting data including original bills and invoices, if not provided for elsewhere.
3 years.
 
(c) Paid drafts, paid checks, and receipts for cash paid out
3 years.
5.
Accounts receivable:
 
 
(a) Record or register of accounts receivable, indexes thereto, and summaries of distribution
3 years after settlement.
 
(b) Bills issued for collection and supporting data
3 years after settlement.
 
(c) Authorization for writing off receivables
1 year.
 
(d) Reports and statements showing age and status of receivables
1 year.
6.
Records of accounting codes and instructions
3 years after discontinuance.
7.
Other:
Note A.
  
 
D. PROPERTY AND EQUIPMENT
 
NOTE: All accounts, records, and memoranda necessary for making a complete analysis of the cost or value of property shall be retained for the periods shown. If any of the records elsewhere provided for in this schedule are of this character, they shall be retained for the periods shown below, regardless of any lesser retention period assigned.
 
1.
Property records:
 
 
(a) Records which maintain complete information on cost or other value of all real and personal property or equipment.     
3 years after disposition of property.
 
(b) Records of additions and betterments made to property and equipment
3 years after disposition of property.
 
(c) Records pertaining to retirements and replacements of property and equipment
3 years after disposition of property.
 
(d) Records pertaining to depreciation
3 years after disposition of property.
 
(e) Records of equipment number changes
3 years after disposition of property.
 
(f) Records of motor and engine changes
3 years after disposition of property.
 
(g) Records of equipment lightweighed and stenciled
Only current or latest records.
2.
Engineering records of property changes actually made
3 years after disposition of property.
3.
Other:
Note A.
 
 
E. PERSONNEL AND PAYROLL
1.
Personnel and payroll records
1 year.
 
 
F. INSURANCE AND CLAIMS
1.
Insurance records:
 
 
(a) Schedules of insurance against fire, storms, and other hazards and records of premium payments
Until expiration plus 1 year.
 
(b) Records of losses and recoveries from insurance companies and supporting papers
1 year after settlement.
 
(c) Insurance policies
Until expiration of coverage plus 1 year.
2.
Claims records:
 
 
(a) Claim registers, card or book indexes, and other records which record personal injury, fire and other claims against the company, together with all supporting data.
1 year after settlement
 
(b) Claims registers, card or book indexes, and other records which record overcharges, damages, and other claims filed by the company against others together with all supporting data.
1 year after settlement
 
(c) Records giving the details of authorities issued to agents, carriers, and others for participation in freight claims
3 years.
 
(d) Reports, statements and other data pertaining to personal injuries or damage to property when not necessary to support claims or vouchers.
3 years.
 
(e) Reports, statements, tracers, and other data pertaining to unclaimed, over, short, damaged, and refused freight, when not necessary to support claims or vouchers.
1 year.
 
(f) Authorities for disposal of unclaimed, damaged and refused freight
3 years.
3.
Other:
Note A.
 
 
G. TAXES
1.
Taxes
Note A.
 
 
H. PURCHASES AND STORES
1.
Purchases and stores.
Note A.
 
 
I. SHIPPING AND AGENCY DOCUMENTS
1.
Bills of lading and releases:
 
 
(a) Consignors’ shipping orders, consignors’ shipping tickets, and copies of bills of lading, freight bills from other carriers and other similar documents furnished the carrier for movement of freight.
1 year.
 
(b) Shippers’ order–to–notify bills of lading taken up and cancelled.
1 year.
2.
Freight waybills:
 
 
(a) Local waybills
1 year.
 
(b) Interline waybills received from and made to other carriers
1 year.
 
(c) Company freight waybills
1 year.
 
(d) Express waybills
1 year.
3.
Freight bills and settlements:
 
 
(a) Paid copy of freight bill retained to support receipt of freight charges:
 
 
     (1) Bus express freight bills provided no claim has been filed
1 year.
 
     (2) All other freight bills
1 year.
 
(b) Paid copy of freight bill retained to support payment of freight charges to other carriers:
 
 
     (1) Bus express freight bills provided no claim has been filed
1 year.
 
     (2) All other freight bills
1 year.
 
(c) Records of unsettled freight bills and supporting papers
1 year after disposition.
 
(d) Records and reports of correction notices
1 year.
4.
Other freight records:
 
 
(a) Records of freight received, forwarded, and delivered
1 year.
 
(b) Notice to consignees of arrival of freight, tender of delivery
1 year.
5.
Agency records (to include conductors, pursers, stewards, and others):
 
 
(a) Cash books
1 year.
 
(b) Remittance records, bank deposit slips and supporting papers
1 year.
 
(c) Balance sheets and supporting papers
1 year.
 
(d) Statements of corrections in agents’ accounts
1 year.
 
(e) Other records and reports pertaining to ticket sales, baggage handled, miscellaneous collections, refunds, adjustments, etc.
1 year.
 
 
J. TRANSPORTATION
1.
Records pertaining to transportation of household goods:
 
 
(a) Estimate of charges
1 year.
 
(b) Order for service
1 year.
 
(c) Vehicle–load manifest
1 year.
 
(d) Descriptive inventory
1 year.
2.
Records and reports pertaining to operation of marine and floating equipment:
 
 
(a) Ship log
3 years.
 
(b) Ship articles
3 years.
 
(c) Passenger and room list
3 years.
 
(d) Floatmen’s barge, lighter, and escrow captain’s reports, demurrage records, towing reports and checks sheets
2 years.
3.
Dispatchers’ sheets, registers, and other records pertaining to movement of transportation equipment
3 years.
4.
Import and export records including bonded freight and steamship engagements
2 years.
5.
Records, reports, orders and tickets pertaining to weighting of freight
3 years.
6.
Records of loading and unloading of transportation equipment
2 years.
7.
Records pertaining to the diversion or reconsignment of freight, including requests, tracers, and correspondence
2 years.
8.
Other:
Note A.
 
 
K. SUPPORTING DATA FOR REPORTS AND STATISTICS
1.
Supporting data for reports filed with the Federal Motor Carrier Safety Administration, the Surface Transportation Board, the Department of Transportation’s Bureau of Transportation Statistics and regulatory bodies:
 
 
(a) Supporting data for annual financial, operating and statistical reports
3 years.
 
(b) Supporting data for periodical reports of operating revenues, expenses, and income
3 years.
 
(c) Supporting data for reports detailing use of proceeds from issuance or sale of company securities
3 years.
 
(d) Supporting data for valuation inventory reports and records. This includes related notes, maps and sketches, underlying engineering, land, and accounting reports, pricing schedules, summary or collection sheets, yearly reports of changes and other miscellaneous data, all relating to the valuation of the company’s property by the Federal Motor Carrier Safety Administration, the Surface Transportation Board, the Department of Transportation’s Bureau of Transportation Statistics or other regulatory body.




3 years after disposition of the property.
2.
Supporting data for periodical reports of accidents, inspections, tests, hours of service, repairs, etc.
3 years.
3.
Supporting data for periodical statistics of operating results or performance by tonnage, mileage, passengers carried, piggyback traffic, commodities, costs, analyses of increases and decreases, or otherwise.
3 years.
 
 
M. MISCELLANEOUS
1.
Index of records
Until revised as record structure changes.
2.
Statement listing records prematurely destroyed or lost
For the remainder of the period as prescribed for records destroyed.
NOTE A: Records referenced to this note shall be maintained as determined by the designated records supervisory official. Companies should be mindful of the record retention requirements of the Internal Revenue Service, Securities and Exchange Commission, state and local jurisdictions and other regulatory agencies. Companies shall exercise reasonable care in choosing retention periods, and the choice of retention periods shall reflect past experiences, company needs, pending litigation, and regulatory requirements.
[66 FR 49871, Oct. 1, 2001]

Record retention is a vital part of any business. Size of business is irrelevant. You can own one truck or ten-thousand trucks; the law remains the same. Records of all nature need to be retained. The DOT Doctor offers record retention services for DQ files, drug testing results, financial data, company charters, maintenance, licensing, logbooks, dispatch logs and most other data. The DOT Doctor offers the option of hard copy storage services and/or soft copy data retention.

Let the DOT Doctor keep you in compliance with easy storage and access solutions.


396.3 Inspection, repair and maintenance
 
§396.3 Inspection, repair and maintenance.
 
 
 
 
(a) General — Every motor carrier shall systematically inspect, repair, and maintain, or cause to be systematically inspected, repaired, and maintained, all motor vehicles subject to its control.
(a)(1) Parts and accessories shall be in safe and proper operating condition at all times. These include those specified in Part 393 of this subchapter and any additional parts and accessories which may affect safety of operation, including but not limited to, frame and frame assemblies, suspension systems, axles and attaching parts, wheels and rims, and steering systems.
(a)(2) Pushout windows, emergency doors, and emergency door marking lights in buses shall be inspected at least every 90 days.
(b) Required records — For vehicles controlled for 30 consecutive days or more, except for a private motor carrier of passengers (nonbusiness), the motor carriers shall maintain, or cause to be maintained, the following record for each vehicle:
(b)(1) An identification of the vehicle including company number, if so marked, make, serial number, year, and tire size. In addition, if the motor vehicle is not owned by the motor carrier, the record shall identify the name of the person furnishing the vehicle;
(b)(2) A means to indicate the nature and due date of the various inspection and maintenance operations to be performed;
(b)(3) A record of inspection, repairs and maintenance indicating their date and nature; and
(b)(4) A record of tests conducted on pushout windows, emergency doors, and emergency door marking lights on buses.
(c) Record retention — The records required by this section shall be retained where the vehicle is either housed or maintained for a period of 1 year and for 6 months after the motor vehicle leaves the motor carrier's control.
 
 
 
 
 
[44 FR 38526, July 2, 1979, as amended at 48 FR 55868, Dec. 16, 1983; 53 FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 59 FR  60324, Nov. 23, 1994].
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Every company is required to have a WRITTEN PM Plan. 

Maintenance is a vital part of any fleet. A well designed Preventative Maintenance Plan allows a company to operate safe and well maintained equipment. This in turn saves the company money in repair costs, down time and fines while insuring that the equipment is ready for it's annual DOT inspection.

The DOT Doctor can set up a PM program for your company with factory recommended specifications or by your company's specifications. We will maintain your maintenance records for one year or six months after disposal of the vehicle according to FMCSR § Part 393. This record will include a listing of inspections, maintenance performed, citations received, tests conducted and repairs.

The DOT Doctor will set up a PM alert system that will automatically track and contact you when scheduled maintenance is coming due. You can set the notification interval. We can help you locate a service facility or even schedule service for you.

The DOT Doctor will cure all your maintenance ills and keep you in compliance.

 

 

 

These services available by subscription or package services with one year minimum commitment.

* Maintenance record retention with PM alert can be part of a full record retention package or purchased separately.

 

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