DOT Compliance Checklist for Trucking Companies (Parts 391, 382, 396)

If a DOT auditor asks for a record you don't have, it counts against you the same as a violation. Use this checklist before your next new hire, before the new year, and before any audit. FleetCare tracks every item on this page automatically and flags what's missing, expired or due — this guide explains what each item is; the app keeps it current.

Part 391 · New hire

New-hire driver qualification file

Build this file before a new driver's first load. Every item below goes in the driver qualification file the day they're hired.

01
Signed employment application (391.21)
Covering 3 years of employment history — 10 years for CMV driving jobs. Get it before the driver's first day behind your wheel.
02
Pre-hire MVR from every state (391.23(a)(1))
Motor vehicle records from each state where the driver held a license or permit in the past 3 years. Must be in the file within 30 days of hire.
03
Previous-employer safety history (391.23(a)(2))
Safety performance inquiries to every DOT-regulated employer from the past 3 years — also within 30 days. Ask about accidents, violations and drug/alcohol refusals.
04
Drug & alcohol testing history (40.25 / 391.23(e))
Testing records from DOT employers in the past 3 years, with written consent from the driver.
05
Clearinghouse full query (382.701(a))
A full query of the FMCSA Drug & Alcohol Clearinghouse before the driver performs any safety-sensitive function.
06
Road test certificate (391.31)
Your own road test certificate — or a copy of a valid CDL accepted in place of one (391.33).
07
Medical examiner's certificate (391.43)
The DOT medical card. Valid a maximum of 24 months — often less. File the expiration date, not just the card.
08
National Registry verification (391.51(b)(9))
A note confirming the medical examiner is listed on the FMCSA National Registry.
09
Entry-level driver training (380.600s)
Only for drivers who obtained a CDL or an upgrade after Feb 7, 2022 — file the training certificate.

Part 391 · Every year

Annual & recurring driver items

Compliance doesn't end at hire. These items renew while the driver works for you — miss one and the file fails an audit.

01
Annual MVR (391.25(a))
Motor vehicle records from every state the driver is licensed in, at least every 12 months. Mark your review date.
02
Annual review of driving record (391.25(b))
Your own review of the driver's record, signed and dated by the person who reviewed it.
03
Annual Clearinghouse query (382.701(b))
At least a limited query of the Drug & Alcohol Clearinghouse every 12 months — the driver's consent stays on file.
04
Medical card renewal (391.43)
No card may go past its expiration. Track the date, not the paper.
05
Certification of violations (391.27)
Once a year, the driver certifies all non-parking violations from the past 12 months.

Part 382

Drug & alcohol testing program

Every carrier must run a testing program — through a consortium or your own records. Six test reasons, each with its own paperwork.

01
Pre-employment (382.301)
A negative drug test before the driver's first safety-sensitive trip.
02
Random (382.305)
Unannounced testing spread across the year. FMCSA's minimum rates are 50% of drivers for drugs and 10% for alcohol each year.
03
Post-accident (382.303)
After qualifying accidents — have a kit and a clinic lined up before you need it.
04
Reasonable suspicion (382.307)
When a supervisor observes signs of use. Train supervisors and document the observation.
05
Return-to-duty (382.309)
After a positive test or refusal, before the driver returns to safety-sensitive work.
06
Follow-up (382.311)
The unannounced tests a substance abuse professional schedules after return-to-duty.

Part 396

Truck & trailer maintenance records

Maintenance files are per unit, not per company. Each truck and trailer needs its own inspection and repair history.

01
Annual inspection (396.17)
Every truck and trailer inspected once every 12 months. Keep the inspector's report — FMCSA expects it retained 14 months.
02
Driver vehicle inspection reports (396.11)
A DVIR for each vehicle each day. File signed repair-and-certification records; keep them 3 months.
03
Repair and maintenance records (396.3)
A record for every inspection, repair and maintenance job — date, what was done, who did it.
04
Brake work (396.25)
Brakes serviced by a qualified brake inspector; keep proof of qualifications.
05
Tires and safety-critical parts
Tread depth, inflation and steering components — the roadside items that put you out of service.

Record keeping

How long to keep everything

Audits look back years. Keep these retention minimums in mind when you clean out a file cabinet.

01
Driver qualification file
Keep the active file at your principal place of business. Prior employment records: 3 years. Road test certificates: 3 years. Annual reviews and MVRs: 3 years.
02
Drug & alcohol records
Testing records, training and policy acknowledgments under Part 382 — generally 5 years from the test date.
03
Vehicle inspection and maintenance
Annual inspection reports: 14 months. Daily DVIRs: 3 months. Repair and maintenance records: while the vehicle is yours, plus 6 months.
04
Accident register
A 3-year accident register for every FMCSA-recordable accident, with details on file per Part 390.

Stop tracking this on paper

FleetCare turns every item on this checklist into a tracked record for your drivers, trucks and trailers — with expiration alerts, automatic previous-employer requests and a one-click audit export.