Trucking Company Compliance Checklist

Trucking Company Compliance Checklist to audit DOT records before an FMCSA review: driver files, HOS retention, maintenance, drug testing, operating authority.

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Trucking Company Compliance Checklist



Operating Authority And Registration

1. The USDOT number is active and reflects the current operating status


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2. Interstate operations are covered by an active MC number or operating authority


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3. The MCS-150 biennial update has been filed within the required period


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4. Unified Carrier Registration is current for the registration year


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5. Form MCS-90 evidencing financial responsibility is on file


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6. Commercial auto liability coverage meets the minimum required for the cargo hauled


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7. State and intrastate registrations required for the operating area are current


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Driver Qualification Files

1. A qualification file is maintained for every driver currently employed


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2. Each file has been reviewed for completeness within the past 12 months


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3. Commercial driver's licenses on file are current with the endorsements the role requires


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4. Medical examiner's certificates on file are unexpired and tracked for renewal


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5. Files for departed drivers are retained for three years after separation


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Hours Of Service Records

1. Drivers use a registered electronic logging device, or a documented exemption applies


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2. Electronic logging device records are retained for at least six months


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3. Supporting documents for each driver are retained for the required period


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4. Records for drivers using the air-mile short-haul exemption are complete and current


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5. Unassigned driving time is reviewed and either assigned or annotated


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6. Malfunction procedures and blank paper logs are available in each vehicle


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Vehicle Maintenance And Inspection Records

1. A maintenance file is maintained for every vehicle under the carrier's control


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2. Each file identifies the vehicle and shows the systematic maintenance schedule applied


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3. Annual inspection reports are on file and retained for at least 14 months


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4. Driver vehicle inspection reports are retained for at least three months


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5. Reports listing defects show certification that repairs were completed


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6. Roadside inspection defects are certified as corrected within 15 days


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7. Certified roadside inspection reports are retained for 12 months from the inspection date


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Drug And Alcohol Testing Program

1. A written testing policy meeting federal requirements is on file


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2. Every driver has signed acknowledgment of receipt of the testing policy


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3. Pre-employment test results are on file for all safety-sensitive employees


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4. The random testing pool and annual testing rate meet the required minimum


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5. Post-accident, return-to-duty, and follow-up test records are on file where applicable


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6. Supervisors have completed the required reasonable suspicion training


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7. Clearinghouse queries are completed and documented within the required intervals


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8. Testing records are stored separately with access limited to authorized personnel


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Accident Register And Crash Records

1. An accident register is maintained covering the required retention period


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2. Each recordable crash is entered with date, location, injuries, fatalities, and hazmat release


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3. Supporting reports and correspondence for each crash are retained with the register


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4. The register is retained for three years from the date of each recorded crash


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Hazardous Materials

1. The hazardous materials safety permit or registration is current where required


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2. Training records for hazmat employees are within the three-year refresher cycle


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3. Shipping paper, labeling, and placarding procedures are documented


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4. Emergency response information is carried in every vehicle transporting hazardous materials


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5. A security plan is in place for shipments that require one


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Policies, Training And Internal Review

1. A current copy of the federal motor carrier safety regulations is accessible to staff


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2. Drivers have acknowledged receipt of the regulations and company safety policies


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3. A named individual is responsible for compliance recordkeeping and audit readiness


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4. Internal file reviews are carried out on a documented schedule


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5. Corrective actions from the previous internal or agency audit are closed


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6. Safety Measurement System scores are reviewed and acted on for flagged categories


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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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