đź“‹ Key Takeaways
DOT recordkeeping requirements are the federal mandates that specify which documents motor carriers must maintain, how long they must be retained, and how they must be organized for FMCSA compliance [1]. Proper recordkeeping is essential for passing compliance reviews—incomplete or missing records are among the most common violations discovered during FMCSA audits. Charlotte-area fleet managers must maintain records across multiple categories: driver qualification, drug testing, hours of service, vehicle maintenance, and accidents.
Charlotte DOT Exam Center provides properly formatted medical documentation that meets FMCSA recordkeeping requirements. Every DOT physical includes documentation formatted for easy filing and audit readiness.
| Record Category | Retention Period | FMCSA Regulation |
|---|---|---|
| Driver Qualification Files | 3 years after employment ends | 49 CFR 391.51 |
| Medical Examiner’s Certificate | 3 years | 49 CFR 391.51(b)(7) |
| Drug Test Results (negative) | 1 year | 49 CFR 382.401 |
| Drug Test Results (positive/refused) | 5 years | 49 CFR 382.401 |
| Alcohol Test Results (0.02 or higher) | 5 years | 49 CFR 382.401 |
| Hours of Service Records | 6 months | 49 CFR 395.8 |
| Vehicle Inspection Reports | 3 months | 49 CFR 396.11 |
| Annual Vehicle Inspections | 14 months | 49 CFR 396.21 |
| Accident Register | 3 years | 49 CFR 390.15 |
The Driver Qualification (DQ) File must contain specific documents [2]:
The medical portion of DOT recordkeeping has specific requirements [3]:
| Record Type | Retention Period |
|---|---|
| Negative drug test results | 1 year |
| Positive drug test results | 5 years |
| Alcohol test results (0.02+) | 5 years |
| Refusal to test documentation | 5 years |
| Random selection records | Indefinitely (good practice) |
| Consortium agreements | Duration of agreement + 1 year |
| SAP reports (return-to-duty) | 5 years |
| Follow-up testing schedules | 5 years |
FMCSA permits electronic record retention provided certain conditions are met [4]:
Many Charlotte-area fleets maintain hybrid systems: electronic databases for tracking with paper copies of signed documents in physical files.
| Violation | Common Cause | Prevention |
|---|---|---|
| Missing medical certificate | Driver never submitted; expired not replaced | Track expiration dates; request copies |
| No annual MVR inquiry | Overlooked annual requirement | Calendar reminders; annual review process |
| Incomplete application | Sections skipped; unsigned | Review applications before filing |
| Missing previous employer info | 30-day investigation deadline missed | Track new hire deadlines |
| Expired drug test records | Records destroyed too early | Follow retention schedule strictly |
Every DOT physical examination at our facility includes properly formatted documentation:
Yes, FMCSA allows fully electronic recordkeeping systems provided records are readily accessible, backed up, and printable on demand. Many carriers use fleet management software that integrates document storage with compliance tracking.
Missing records are documented as violations during compliance reviews. Each missing document can result in fines up to $16,864. Multiple missing records may result in an Unsatisfactory safety rating and potential out-of-service orders.
Best practice is alphabetical by driver name with consistent internal organization. Each file should have tabbed sections: application/employment, medical, MVR/driving record, drug testing, training certifications. Maintain a master index of all active and separated drivers.
Follow the retention periods strictly. Create a records destruction schedule and document what was destroyed and when. Never destroy records that are subject to ongoing investigations or litigation holds.
Charlotte DOT Exam Center
8415 Pineville-Matthews Road, Suite 102
Charlotte, NC 28226
Phone: 704-544-3494
Email: appt@tebbyclinic.com