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Avoid violations, fines, and increased DOT audit risks with our advanced DOT compliance software solutions.

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DOT Offsite Audit Recordkeeping Checklist

 

The DOT has increased fines for recordkeeping violations yet again, putting you at risk of fines of up to $1,302 per violation for each of the paperwork requirements listed below.

If you aren’t currently using an automated compliance solution, you’ll need to locate all of these documents, create digital files and provide them to the auditor within 48 hours, upon request.

 

Document Regulation Retention ✓
Driver Qualification Files      
Driver application §391.21 Employment, plus 3 years  
Motor vehicle report (MVR) from hire §391.23 Employment, plus 3 years  
Road test/certificate or CDL photocopy §391.31 / §391.33 Employment, plus 3 years  
Safety Performance History (or Previous Employer Checks for hires prior to 10/30/2004) §391.23 Employment, plus 3 years  
Annual MVR & annual review of driving record §391.25 3 years  
Annual list of violations §391.27 3 years  
Medical Examiner’s Certificate, along with any exemptions/waivers §391.43 3 years  
Verification that the medical examiner used is listed on the National Registry of Medical Examiners §391.51 3 years  
Entry-level or Longer Combination Vehicle (LCV) training records §380.509 / §380.401 Employment, plus 3 years  
Drug & Alcohol Testing      
CCFs/MRO results from negative or canceled tests §382.401 1 year from document date  
CCFs/MRO results from positive tests §382.401 5 years from document date  
Refusal to test records §382.401 5 years from document date  
CCFs/MRO results from Return-to-duty and follow-up tests (positive and negative) §382.401 5 years from document date  
SAP reports §382.401 5 years from document date  
Previous pre-employment test documentation §382.401 5 years if violations are noted; 3 years if no violations  
Signed receipt for policy & educational materials §382.401 Employment, plus 2 years  
DOT Drug & Alcohol Policy §382.401 Duration of time enforced, plus 5 years after it has been replaced or revised  
Driver roster for random pull §382.401 2 years  
Names selected for random drug and/or alcohol tests §382.401 2 years  
Tracking drivers who were tested §382.401 2 years  
Semi-annual lab summaries §382.401 5 years  
Service provider contracts §382.401 5 years  
MIS/calendar year summaries §382.401 5 years  
Supervisor reasonable suspicion training §382.401 Duration of employment, plus 2 years  
In-house urine specimen collector or breath alcohol technician training §382.401 Duration of employment, plus 2 years  
DOT Clearinghouse      
Limited consent forms   3 years  
Pre-employment queries   3 years  
Annual queries   3 years  
DOT Accidents      
Log detailing all motor vehicle accidents §390.15 3 years  
Proof of insurance §387.7(d) and §387.31(d) Ongoing  
Hours of Service      
Driver log history & supporting documentation Regulation Part 395 6.5 months  
Vehicle Inspection, Repair & Maintenance      
List of all company vehicles (under your control for at least 30 days) §396.3 1 year  
Comprehensive maintenance records (both preventative and major repairs) §396.3 1 year  
Periodic inspection reports §396.17 12 months  
Annual inspection reports §396.19 14 months  
Driver Vehicle Inspection Reports §396.11 & §396.3 3 months  
Evidence of annual inspector credentials §396.19 Duration of employment, plus one year  
Evidence of brake inspector credentials §396.25 Duration of employment, plus one year  
Fleet Maintenance Shop inspectors Part 396 Duration of employment  

 

How Can Foley Help You?

 The Foley platform maintains up to date and secure records for all of your DOT compliance programs – helping to ensure that you have everything you need if an auditor comes calling. Fill out the form to get started or schedule your free software demo now.

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