Implementation Guidelines - Federal Transit Administration - U.S. ...

Chapter 10. ADMINISTRATIVE
REQUIREMENTS
FTA-covered employers must maintain
certain records documenting their testing
program consistent with the requirements set
forth in Subpart P of Part 40 and §655.71.
These DOT and FTA requirements specify
the type of records that must be kept and the
corresponding length of time they should be
maintained. These requirements should be
considered minimums. Sometimes,
additional records are needed to complete a
paper trail and thoroughly document the
decision-making process. Similarly,
employers may extend the record retention
period to coincide with timelines for other
data uses. For example, the statute of
limitations for accidents in some states may
exceed the minimum retention requirements
for post-accident records set forth in the
FTA regulations. Therefore, it may be
prudent for the employer to establish a
record retention policy that addresses both
the FTA minimum requirements, and other
potential needs for the information.
The regulation [§655.71] clearly
specifies that records must be maintained on
test results, the testing process,
return-to-duty process, and employee
training. In addition, you must submit
annual reports to FTA regarding testing
program activities and results. The
regulations specify record keeping
requirements for both employers [§655.71
and §40.333] and service agents [Part 40
Subpart P].
Section 1. RECORD KEEPING
Employer Record Keeping
Requirements. Employers must maintain
records documenting their program
administration and the test results. Figure
10-1 on the following page summarizes the
employer record retention requirements
[§655.71]. The retention period begins on
the record creation date.
Chapter 10. Administrative Requirements 10-1 August 2002