DOT Compliance Checklist

Confirm each driver holds the correct CDL class (A/B/C) and required endorsements (H, N, P, S, T, X) for the equipment and freight they actually run. Flag any restrictions (E for no manual, L for air-brake) that conflict with the assigned tractor.

Part 391.25 requires an MVR from every state where the driver held a license in the prior 12 months. File the MVR plus the Annual Review of Driving Record (signed by the safety director) in the DQ file. Missing MVRs are the most common DQ-file finding on FMCSA compliance reviews.

Run the annual full query (with driver consent on file) in the FMCSA Drug & Alcohol Clearinghouse. Save the query receipt to the DQ file. Limited queries don't substitute for the annual full query.

Check the expiration date on each driver's Medical Examiner's Certificate (issued by an NRCME-certified examiner). Trigger 60-, 30-, and 7-day renewal reminders for any certificate expiring within 60 days. A lapsed medical card = OOS on roadside inspection.

Per Part 382.501, a driver in prohibited status cannot perform any safety-sensitive function until they complete the return-to-duty process with a qualified SAP. Notify dispatch immediately, recover keys/fuel card, and document the removal date. Do not allow yard moves or PC.

Pull the quarterly selection list from the consortium/TPA and confirm every selected driver was tested within the assigned window. Document refusals, no-shows, and excused absences with re-selection dates.

FMCSA minimums under Part 382.305: 50% controlled-substances and 10% alcohol of the average driver count for the calendar year. Tests completed below the rate by Q3 require a Q4 bump-up to land at or above the minimum.

Request additional random draws from the consortium to close the gap before December 31. Year-end shortfalls are an automatic finding on the next compliance review.

Review every recordable crash from the prior quarter against the Part 382.303 trigger table (fatality; injury treated away from scene with citation to the driver; disabling damage with citation). Document the testing decision rationale even when no test was required.

Every driver receives the written D&A policy plus FMCSA educational materials at hire and whenever the policy changes. Collect signed receipts and file in the driver's qualification file.

Part 396.17 annual inspection. Confirm each power unit and trailer carries a current sticker (or the inspection report in the cab). Build a renewal list for any unit expiring within 60 days.

Pull DVIRs from the ELD or Whip Around/Fleetio. Watch for copy-paste "no defects" patterns on tractors with known shop tickets — that disconnect is what plaintiff attorneys subpoena after a rear-end claim.

Compare A/B/C service intervals in Fleetio (or your shop system) against actual completed dates and odometer readings. Anything more than 10% past mileage interval should be scheduled this week.

Part 390.21 — legal-name (or DBA on file with FMCSA) plus USDOT number visible on both sides of the power unit, contrasting color, readable at 50 feet. Refresh any decals that have faded or peeled.

Export the unassigned-driving, edits-pending, and HOS-violation reports from Motive/Samsara/Geotab. Look for unassigned segments over 3 minutes and pending driver edits older than 14 days.

Every violation needs a written annotation from the driver and a coaching note from the safety manager. Repeat offenders (3+ in a rolling 90 days) escalate to formal counseling. Don't edit driving time — annotate only.

Spot-check fuel receipts, toll records, and BOLs against driver logs for 10% of drivers per cycle. Time/location mismatches are how falsification cases are built — catching them in-house beats finding them in an audit.

List every recordable crash from the prior three years: date, city/state, driver, number of injuries/fatalities, hazmat involvement. Retain copies of the accident reports for three years per the regulation.

Each tractor carries: insurance card and COI, accident scene instructions, witness cards, disposable camera or dashcam reminder, post-accident drug-test information card, and the carrier's 24/7 dispatch number. Restock any cab missing components.

Open the carrier SMS profile and look at percentile changes in Unsafe Driving, HOS, Vehicle Maintenance, and Crash Indicator over the last 6/12/24 months. Any BASIC above the intervention threshold drives a corrective action this cycle.

Document the root cause (driver group, terminal, equipment class), the specific countermeasures (retraining, equipment swap, route change), owner, and a 60-day re-check date. Save the CAP to the safety file in case the BASIC triggers an FMCSA warning letter.

Check dispatch records for any load requiring placards under 49 CFR 172 in the review period. If none, document "no placardable hazmat" and skip the remaining hazmat steps for this cycle.

Every driver assigned to a placardable load needs a valid H (or X) endorsement and current general awareness, function-specific, safety, security-awareness, and (for placardable) in-depth security training. Training repeats every 3 years.

Per 49 CFR 172.602, every shipping paper carries an emergency response phone monitored 24/7 (CHEMTREC or equivalent) and the carrier's signed emergency response info. Missing ERI = OOS for the load plus a likely state environmental fine.

The safety director reviews open findings, confirms corrective actions are owned and dated, and signs off on the cycle. File the completed checklist with the compliance archive so it's accessible on 48-hour notice for an FMCSA compliance review.