Comprehensive Guide to DOT Document Retention Requirements
What DOT files do you need to keep and for how long?
The Federal Motor Carrier Safety Administration (FMCSA) mandates that regulated companies maintain records to demonstrate compliance with safety regulations. These records must be retained for specified durations according to relevant regulations.
During safety audits and DOT compliance reviews, auditors meticulously examine your DOT documentation. Clearing out unnecessary records and effectively organizing your files can significantly simplify the review process, potentially enhancing your interaction with DOT officers.
In the following section, we outline essential DOT record-keeping requirements to assist companies in consistently organizing and managing their documentation.
Duration of retention for DOT Records
Here's a brief overview of record retention requirements in several critical DOT compliance areas.
Drug & Alcohol Testing Records
Ensure all DOT drug and alcohol test (DAT) records are securely stored with controlled access. Store these records separately in a locked file and avoid mixing them with personnel files.
Because the regulations do not provide exceptions for single-driver operations, we recommend that owner-operators also keep their DAT files separate.
The following records must be retained for a minimum of five years:
Alcohol test results showing a BAC of 0.02 or higher
Confirmed positive results from controlled substances tests
Documentation of refusals to test
Reports from Substance Abuse Professionals (SAP)
Annual calendar year summaries, if required by 49 CFR 382.403
The following records must be kept for at least two years:
Random selection documentation
Documentation for reasonable suspicion testing
Medical evaluations for "shy lung" and "shy bladder" situations
The following records must be retained for at least one year:
Negative and canceled drug test results
Alcohol test results indicating a BAC below 0.02
Additional requirements for record retention include:
The employer’s policy, acknowledgment of receipt by drivers, and all records related to employer and supervisor education and training must be maintained for the duration of the individual's safety-sensitive or supervisory responsibilities and for two years thereafter.
Driver Qualification Files
The Driver Qualification and Safety Performance History Files must be kept for the duration of the safety-sensitive individual's employment with the company, plus an additional three years.
The following documents may be removed from the Driver Qualification File three years after their creation date:
Annual List of Violations
Annual Inquiry to State Agencies
Annual Review of Driving Record
Medical Examiner’s Certificate
Safety Performance Evaluation Certificate (if applicable)
Records of Duty Status
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.
Truck & Trailer Maintenance Records
DOT-regulated companies must maintain the following records for every vehicle under their control for 30 days or more:
Identifying information such as company number, make, serial number, and tire size must be kept for one year at the location where the vehicle is garaged, and for six months after the vehicle leaves the company’s control.
Other vehicle maintenance recordkeeping requirements include:
Post-trip inspection reports must be retained for a minimum of three months from the date of the report.
Periodic inspection reports (or copies thereof) must be retained for at least 14 months from the report date.
Evidence of an inspector’s qualifications must be kept for one year after the inspector stops performing inspections for the company.
Implement a Structured DOT Record-Keeping System from Day One
Remember, establishing a clean and organized DOT record-keeping system from the outset is crucial. Investing time in a system that barely meets federal regulations can lead to inefficiencies and setbacks.
Transitioning to a secure, fully online platform is the optimal approach to maintaining well-organized and compliant DOT files as per FMCSA guidelines.
Ready to simplify your recordkeeping? Foley's DOT recordkeeping experts are here to assist you in seamlessly transferring your files to our platform, ensuring you're audit-ready at all times.