DOT SAFETY AND COMPLIANCE

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The Prelimenary Mock Audit

Registration, Recordkeeping, and Management

Have you registered with FMCSA and obtained a Authority if needed? 49 cfr 385.303 49 cfr 365
Have you updated your registration (Motor Carrier Identification Report) every 2 years (or more often if your business information changes), as required by the biennial update process? 49 cfr 390.19
Do you have proof of the correct levels of insurance (Form: MCS-90) or certificate of insurance to move forward while waiting for the MCS-90? 49 cfr 387.9
Can you produce a copy of the FMCSRs and HMRs?
Do you have a Department of Transportation security plan? 49 cfr 172.800
. Can you produce a current accident record for the past 12 months? 49 cfr 390.15
Do you have the permits needed for your operation (may include trip, mileage, fuel, super load, over dimension, and other types of permits)? Do you have a process for reviewing these permits to ensure they are current?
Do you check your Safety Measurement System record regularly to ensure you are operating in compliance, and use FMCSA’s DataQs process to correct inaccurate information?
How often do you check them?
Do you have a loging to the Data Q sytem and if so what is it
Have you ever put a Data Q through to improve your Safety Score or a Drivers

Vehicle Maintenance , Inspections and Record Keeping

9. Can you produce a current vehicle list (including unit number; vehicle identification number; vehicle make, year, model; and license plate state and number; and tire size)? 49 CFR 396.3
Are all power units marked appropriately? 49 cfr 390.21
(1) The legal name or a single trade name of the motor carrier operating the self-propelled CMV, as listed on the Form MCSA-1, the URS online application, or the motor carrier identification report (Form MCS-150) and submitted in accordance with § 390.201 or § 390.19, as appropriate.
(2) The identification number issued by FMCSA to the motor carrier or intermodal equipment provider, preceded by the letters “USDOT.”
If the name of any person other than the operating carrier appears on the CMV, the name of the operating carrier must be followed by the information required by paragraphs (b)(1), and (2) of this section, and be preceded by the words “operated by.
Other identifying information may be displayed on the vehicle if it is not inconsistent with the information required by this paragraph.
(c) Size, shape, location, and color of marking. The marking must - (1) Appear on both sides of the self-propelled CMV; (2) Be in letters that contrast sharply in color with the background on which the letters are placed; (3) Be readily legible, during daylight hours, from a distance of 50 feet (15.24 meters) while the CMV is stationary; and (4) Be kept and maintained in a manner that retains the legibility required by paragraph (c)(3) of this section.
Rented CMVs and leased passenger-carrying CMVs. A motor carrier operating a self-propelled CMV under a rental agreement or a passenger-carrying CMV under a lease, when the rental agreement or lease has a term not in excess of 30 calendar days, meets the requirements of this section if: (1) The CMV is marked in accordance with the provisions of paragraphs (b) through (d) of this section; or (2) Except as provided in paragraph (e)(2)(v) of this section, the CMV is marked as set forth in paragraph (e)(2)(i) through (iv) of this section: (i) The legal name or a single trade name of the lessor is displayed in accordance with paragraphs (c) and (d) of this section. (ii) The lessor's identification number preceded by the letters “USDOT” is displayed in accordance with paragraphs (c) and (d) of this section; and (iii) The rental agreement or lease as applicable entered into by the lessor and the renting motor carrier or lessee conspicuously contains the following information: (A) The name and complete physical address of the principal place of business of the renting motor carrier or lessee; (B) The identification number issued to the renting motor carrier or lessee by FMCSA, preceded by the letters “USDOT,” if the motor carrier has been issued such a number. In lieu of the identification number required in this paragraph, the following information may be shown in a rental agreement: (1) Whether the motor carrier is engaged in “interstate” or “intrastate” commerce; and (2) Whether the renting motor carrier is transporting hazardous materials in the rented CMV; (C) The sentence: “This lessor cooperates with all Federal, State, and local law enforcement officials nationwide to provide the identity of customers who operate this rental CMV”; and (iv) The rental agreement or lease as applicable entered into by the lessor and the renting motor carrier or lessee is carried on the rental CMV or leased passenger-carrying CMV during the full term of the rental agreement or lease. See the property-carrying leasing regulations at 49 CFR part 376 and the passenger-carrying leasing regulations at subpart G of this part for information that should be included in all leasing documents. (v) Exception. (A) The passenger-carrying CMV operating under the 48-hour emergency exception pursuant to § 390.403(a)(2) of this part does not need to comply with paragraphs (e)(2)(iii) and (iv) of this section, provided the lessor and lessee comply with the requirements of § 390.403(a)(2). (B) A motor carrier operating a self-propelled CMV under a lease subject to subpart G of this part (§§ 390.401 and 390.403) must begin complying with this paragraph (e) on January 1, 2021.
. Do you have maintenance records for each of your units? 49 cfr396.3
Do you have records of inspections of all your vehicles (tractors and trailers) over the past 14 months? Vehicles must be inspected by a certified inspector every 12 months. 49 CFR 396
Do all of your maintenance inspectors have the proper qualifications for the equipment they are inspecting? 49 CFR 396
Do all drivers conduct thorough pre- and post-trip inspections and refuse to operate until all safety defects are addressed? Many of the most common violations could easily be avoided by performing thorough pre- and post-trip inspections. 49 CFR 396.11 49 CFR 396.13
Do you have copies of all post-trip driver vehicle inspection reports for the past 90 days? 49 CFR 396.11
Selecting tires and conducting tire maintenance are important safety considerations to prevent crashes and fires. Have you reviewed this tire advisory on FMCSA’s website about exceeding tire load ratings?

Drivers and Qualifications

17. Do you have a written policy describing your hiring and re-hiring criteria and practices? 49 CFR Part 391
18. Do all of your drivers meet the general qualification requirements? Are reviewing these requirements with the driver part of your application process? 49 CFR 391.11
(a) The rules in this part establish minimum qualifications for persons who drive commercial motor vehicles as, for, or on behalf of motor carriers. The rules in this part also establish minimum duties of motor carriers with respect to the qualifications of their drivers.
19. Using FMCSA’s Pre-employment Screening Program can help you review driver safety records and make well-informed hiring decisions.
20. Do you have a list of all your current drivers, including first and last name, date of birth, date of hire, license number, and license issuing State? 49 CFR Part 391
21. Do all drivers hold valid CDL licenses (as needed) with the proper endorsements based on the vehicle size and commodity transported? 49 CFR Part 391
22. Do you have a current and complete driver qualification file for every driver? 49 CFR 391.51
23. Do you have an employment application for every driver? 49 CFR 391.21
24. Do driver qualification files show a complete investigation of the past employment history of drivers? 49 CFR 391.53(b)(1)
25. Do you have a documented road test certificate or equivalent for all drivers? 49 CFR 391.31(e)
26. For longer combination vehicle drivers: Do you have an LCV Driver-Training Certificate or LCV Certificate of Grandfathering in each driver’s qualification file verifying completion of an LCV driver training course? 49 CFR 380.107
27. Can you produce a motor vehicle record (MVR) obtained within the last 12 months for each driver? 49 CFR 391.25 (a) and (c).
28. Do you have a documented process for reviewing the MVR and all moving violations with the driver once a year and documenting that you did so? 49 CFR 391.25 (c) (2)
29. Do you have a current medical certificate for every driver? Do all non-CDL drivers have their medical certificates with them at all times? Medical certificates for CDL drivers are electronically linked with their CDLs. 49 CFR 391.43
30. Do you have a note in each driver’s file indicating that you verified that the medical examiner listed is on the National Registry of Certified Medical Examiners? Non-CDL drivers: 49 CFR 391.51(b)(9)(i)) CDL drivers: 49 CFR 391.51(b)(9)(ii))
31. Do you have a documented system for ensuring that driver’s licenses and medical certificates (physicals) are current and valid?
32. Do you have a written process to identify drivers that should be disqualified, and a process for reinstatement? 49 CFR 383.37

DRIVING

33. Do your drivers understand what is required of them while operating a CMV? 49 CFR 392
- Yes
- No
- N/A

HOS

34. If you meet the record of duty status (RODS) requirements, can you produce RODS documentation (logbooks) for the past 6 months for all drivers? 49 CFR 395.8
35. Do you have a documented process for checking driver RODS to ensure accuracy, either via independent documents or a software system?
36. Do you have a system in place to monitor compliance with hours of service regulations? 49 CFR 395
37. Do you require new drivers to provide their RODS for the previous seven days on duty (e.g., for example, with another carrier)? 49 CFR 395.8 (a)(2)(ii)
38. Do you provide driver training on hours of service regulations and the importance of complying? 391
39. Do you have a written disciplinary policy addressing non-compliance with hours of service regulations?
40. If you are subject to the ELD final rule, have you purchased and installed an electronic logging device (ELD), or ELDs, that are on FMCSA’s list of registered ELDs? Do you meet all the motor carrier responsibilities for using ELDs? 49 CFR 395.22

CONTROLLED SUBSTANCES

41. Do you have a written drug and alcohol policy?
42. Do you have documentation (certificate of enrollment) describing your drug and alcohol testing program and (if applicable) verifying that you are enrolled in a consortium?
43. Are drug and alcohol policy training materials available to all employees? Is there a signed document acknowledging receipt of drug and alcohol policy in each employee’s file? cfr 49 tiltle 382.601
44. Are all supervisors who are required to conduct employee drug testing properly trained? Is that training documented with a training certificate? 49 CFR 382.603
45. Do you have proof of a pre-employment drug and alcohol test for all CDL-holders? Do you ask all new employees if they have tested positive or refused any drug or alcohol test in the past two years, and do you have documentation to support this? 49 CFR 382.301
46. Are you registered as an employer in the FMCSA CDL Drug and Alcohol Clearinghouse? 49 CFR 382.711
47. Have you purchased a query plan and conducted all necessary annual and preemployment queries in the Drug and Alcohol Clearinghouse to verify that drivers you employ are not prohibited from performing safety-sensitive functions? This includes querying yourself if you are self-employed. 49 CFR 382.701
48. Have you obtained general consent from all employees who perform safetysensitive functions, allowing you to conduct limited queries in the Clearinghouse to determine whether information in their Clearinghouse record prohibits them from performing such functions? Is this general consent kept up-to-date, and can you produce it upon request?
49. For time periods prior to January 6, 2020, do you have documentation showing that you have checked with employees' previous employers to determine if employees have tested positive to a drug or alcohol test in the previous three years? 49 CFR 391.23(e)
50. Can you provide results from random drug tests conducted over the last 12 months? 49 CFR 382
51. Do you have a record of all employee drug and alcohol tests for the last 12 monthsand the status of any employees that tested positive? 49 CFR 382
52. Have you reported to the Drug and Alcohol Clearinghouse any alcohol tests with a concentration of 0.04 or higher; refusals to take an alcohol test; refusals to take a drug test not reported by a medical review officer (MRO); or actual knowledge of a drug or alcohol violation? 49 CFR 382.705(b
53. Have you reported to the Drug and Alcohol Clearinghouse any negative return-toduty test results or successful completion of the follow-up testing plan as prescribed by a DOT-qualified substance abuse professional (SAP)? 49 CFR 382.705(b
54. Have you designated a consortium/third-party administrator (C/TPA) in the Drug and Alcohol Clearinghouse? This is required if you are a self-employed driver who drives a CMV for a company you operate under your own authority (often referred to as an owner-operator). 49 CFR 382.705(c)

Disciplinary/Corrective Action

55. Do you have a written progressive disciplinary action policy?
56. Do you have a documented procedure to identify drivers that should be disqualified (removed from service) and a process for reinstating them?

Hazardous Materials

57. Do you have correct hazardous materials safety permits/placards? FMCSA Safety Permit Program
58. Are all employees that affect the safe transportation of a hazardous material appropriately trained with documentation maintained in their driver qualification files? CFR 49 Parts 100 to 180
59. Are hazardous materials shipping papers (including the information below) properly prepared and retained for the specified period of 375 days? • An identification number • A proper shipping name, identified in the Hazardous Materials Table • The hazard class • The packing group, identified in Roman numerals • The total quantity of hazardous materials • The number and type of packages holding the hazardous contents 49 CFR 172.201

Passenger Carriers

60. Have you trained all employees, dispatchers, drivers, mechanics, sales staff and others about their role in safety? They should understand and apply the regulations in all aspects of their jobs including planning routes, chartering trips, maintaining vehicles and talking with customers

DOT SAFETY AND COMPLIANCE

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Audit of

The Prelimenary Mock Audit

Registration, Recordkeeping, and Management

Vehicle Maintenance , Inspections and Record Keeping

Drivers and Qualifications

DRIVING

HOS

CONTROLLED SUBSTANCES

Disciplinary/Corrective Action

Hazardous Materials

Passenger Carriers

INSPECTION RESULTS and Recommendations

Related checklists

DOT SAFETY AND COMPLIANCE

Free DOT SAFETY AND COMPLIANCE Checklist

Go digital today!

Convert your paper checklists into digital forms

Audit of

The Prelimenary Mock Audit

Registration, Recordkeeping, and Management

Vehicle Maintenance , Inspections and Record Keeping

Drivers and Qualifications

DRIVING

HOS

CONTROLLED SUBSTANCES

Disciplinary/Corrective Action

Hazardous Materials

Passenger Carriers

INSPECTION RESULTS and Recommendations

Related checklists