DOT Vehicle Maintenance File Requirements: What the New Entrant Auditor Checks

Three of the 16 violations that automatically fail a New Entrant Safety Audit are about vehicles (49 CFR 385.321). Part 396 is also scored on its own, so a thin maintenance file can sink you even without an auto-fail. Here is what goes in each vehicle file, how long to keep it, and how to close gaps before the auditor asks.

Why vehicle records fail new carriers

The auditor looks at Part 396 two ways. First, three automatic failures: operating a vehicle placed out of service before it is repaired (§ 396.9(c)(2)), operating a vehicle before fixing out-of-service defects a driver listed on a DVIR (§ 396.11(a)(3)), and using vehicles that were not periodically inspected (§ 396.17(a)) (auto-fail at 51% or more of vehicles examined). See the full auto-fail list.

Second, the scoring in Appendix A to Part 385. Parts 393 and 396 form the “Vehicle” factor. Each acute violation scores 1.5 points and each critical violation 1 point. Three or more points means inadequate controls for that factor, and inadequate controls in three or more factors fails the audit. With at least three roadside inspections in the prior 12 months and a vehicle out-of-service rate of 34% or higher, one more point is added. The Part 396 rules on the acute and critical list (Appendix B to Part 385, section VII):

Which vehicles need a file

Part 396 applies to commercial motor vehicles. For a property carrier, that generally means a vehicle or combination with a weight rating or actual weight of 10,001 pounds or more used in interstate commerce, plus vehicles hauling placarded hazmat (definition in § 390.5). Covered farm vehicles are excluded (§ 396.1(c)).

• Maintenance records are required for each motor vehicle you control for 30 consecutive days, owned or leased (§ 396.3(b)).
• For annual inspections, every vehicle in a combination counts on its own: tractor, semitrailer, full trailer and converter dolly (§ 396.17(a)).
• If you don't own it, the file must name the person furnishing it (§ 396.3(b)(1)).

The per-vehicle maintenance file (§ 396.3)

Every carrier must systematically inspect, repair and maintain all vehicles under its control (§ 396.3(a)). The file is your proof. Under § 396.3(b) it must include:

1. Vehicle identification: company unit number if the vehicle is marked with one, make, serial number (VIN) and year, and the owner's name if you don't own it.
2. A schedule: some way to show the nature and due date of the inspection and maintenance operations to be performed. A one-page PM schedule works.
3. A history: a record of inspections, repairs and maintenance showing the date and nature of each. Shop invoices and dated work notes go here.

Good practice, not required by the rule: add the plate number and keep invoices in date order. Keep the file where the vehicle is housed or maintained (§ 396.3(c)).

The annual (periodic) inspection (§§ 396.17–396.21)

You may not use a commercial motor vehicle unless every component listed in Appendix A to Part 396 passed an inspection at least once in the preceding 12 months, and documentation of that inspection is on the vehicle (§ 396.17(c)). That can be the report itself, or a sticker or decal showing the date, where the report is kept, the vehicle's identification if not clearly marked, and a certification that it passed.

Who can do it:

• You, if you meet the inspector qualifications in § 396.19 (§ 396.17(d)).
• A commercial garage, fleet leasing company, truck stop or similar business acting as your agent, with qualified inspectors (§ 396.17(e)).
• A state periodic inspection program meeting Appendix A standards, which counts for 12 months from the last day of the month of the inspection (§ 396.17(f)). If your vehicle is subject to a mandatory state program FMCSA has found equivalent, you meet the requirement through that program (§ 396.23(a)(1)).

The inspector's report must identify the inspector, the motor carrier, the date, the vehicle, and the components inspected with results, and certify the inspection was accurate and complete (§ 396.21(a)). Keep the original or a copy for 14 months where the vehicle is housed or maintained (§ 396.21(b)). If someone else performed the last annual inspection, say on a used truck you just bought, you must still produce a copy of that report on demand (§ 396.21(b)(3)). The simplest path: a fresh annual inspection on each unit, in your company's name, before the first load.

Driver vehicle inspection reports (§§ 396.11, 396.13)

Drivers must prepare a written report at the end of each day's work on each vehicle operated, covering at least brakes, parking brake, steering, lights and reflectors, tires, horn, wipers, mirrors, coupling devices, wheels and rims, and emergency equipment (§ 396.11(a)(1)). Key points:

• For property carriers, a report is only required if a defect or deficiency was found or reported (§ 396.11(a)(2)). The driver signs it.
• Before the vehicle runs again, repair any defect likely to affect safety, then certify on the report that it was repaired or that repair is unnecessary (§ 396.11(a)(3)). Running a vehicle with uncorrected out-of-service defects is auto-fail item 15.
• The next driver reviews the last report and signs it (§ 396.13).
• Keep the report, the repair certification and the driver's review certification for three months (§ 396.11(a)(4)). Electronic DVIRs are allowed (§§ 396.11(a)(6), 390.32).

One-truck exception. Section 396.11 does not apply to a motor carrier operating only one commercial motor vehicle (§ 396.11(a)(5)). FMCSA guidance treats one tractor-trailer combination as one vehicle, but a single tractor with several interchangeable trailers needs DVIRs. Even with the exception, the driver must be satisfied the vehicle is safe before driving (§ 396.13(a)), and unsafe vehicles may not be operated (§ 396.7).

Roadside inspection reports (§ 396.9)

A vehicle declared and marked out of service may not be operated until all required repairs are done, and that includes towing it, except by crane or hoist (§ 396.9(c)(2)). Keep the repair invoice showing the fix happened before the vehicle moved under its own power.

• The driver delivers the report to the carrier, and every violation noted gets corrected (§ 396.9(d)(1)–(2)).
• Within 15 days of the inspection, sign the carrier certification that all violations were corrected, return it to the state if asked, and keep a copy for 12 months (§ 396.9(d)(3)).

How long to keep vehicle records

Doing your own annual inspections or brake work? Keep proof you qualify: qualifying training or certification, or at least one year of relevant experience (§§ 396.19(a), 396.25(d)). No evidence is needed for air brake inspections by someone who passed the CDL air brake tests (§ 396.25(e)). For every other record's calendar, see first 12 months records.

A one-hour vehicle file check before the audit

1. List every power unit and trailer you controlled, with unit number, VIN and owner.
2. For each, confirm an annual inspection dated within the past 12 months, a copy of the report in the file, and proof on the vehicle.
3. Pull every DVIR that lists a defect. Is each one certified repaired, or repair unnecessary, before the next trip?
4. Pull every roadside report. Were out-of-service items repaired before the vehicle moved, and is the certification signed?
5. Check each maintenance file for the three § 396.3(b) elements: identification, schedule, dated history.
6. Scan each unit into its own folder for the upload. The new entrant audit checklist covers the other five areas.

Found a gap? Fix it now and date the fix honestly. If an annual inspection lapsed, get the unit inspected before its next trip. Never backdate a report. Already failed on vehicle items? Your corrective action plan must show the fix and the system that prevents a repeat; start with our corrective action plan guide.

Frequently asked questions

What has to be in a DOT vehicle maintenance file?

For each vehicle you control for 30 consecutive days: an identification of the vehicle (company number if marked, make, serial number and year, plus the owner's name if you don't own it), a way to show the nature and due date of upcoming inspection and maintenance, and a dated record of inspections, repairs and maintenance (49 CFR 396.3(b)).

Does every trailer need its own annual inspection?

Yes. Section 396.17(a) says each vehicle in a combination is a commercial motor vehicle for this purpose, so the tractor, the semitrailer, any full trailer and a converter dolly must each be inspected at least once every 12 months, with documentation on the vehicle.

Do I need DVIRs if I only have one truck?

Section 396.11 does not apply to a motor carrier operating only one commercial motor vehicle (396.11(a)(5)). FMCSA guidance treats one tractor-trailer combination as one vehicle, but a single tractor pulling several interchangeable trailers does need DVIRs. You must still make sure the vehicle is safe before driving it (396.13) and keep up with annual inspections.

How long do I keep annual inspection reports?

Fourteen months from the date of the inspection report, kept where the vehicle is housed or maintained (49 CFR 396.21(b)). Maintenance records are kept for 1 year and for 6 months after the vehicle leaves your control (396.3(c)).

Primary sources

• eCFR Title 49 (current text)
• FMCSA: New Entrant Safety Assurance Program
• FMCSA New Entrant Web System (NEWS) Help Center

Regulation text checked against eCFR Title 49 as of October 15, 2026.