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DOT Compliance Self-Audit

Check your compliance status before FMCSA checks it for you. Go through each category, check what you have in place, and see where the gaps are.

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Operating Authority & Registration

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USDOT number is active and current Check at safer.fmcsa.dot.gov. Your status should show 'ACTIVE'.

MC number is active (if required) Required for for-hire carriers operating interstate. Not required for private carriers or exempt commodities.

MCS-150 form updated within last 2 years Must be updated every 2 years (by the last day of the month your USDOT was issued). FMCSA can revoke your number if not updated.

BOC-3 process agent on file Blanket designation of process agents in all states where you operate. Required for all for-hire and exempt interstate carriers.

UCR (Unified Carrier Registration) current year paid Annual registration required for interstate carriers. Fee is based on fleet size. Due by January 1 each year.

IFTA account current and decals displayed Required for vehicles over 26,000 lbs or with 3+ axles crossing state lines. Quarterly fuel tax returns due even if no travel.

IRP (International Registration Plan) registration current Apportioned plates for vehicles operating in multiple states. Renew annually.

Insurance & Financial Responsibility

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Auto liability insurance meets minimum ($750K for general freight, $1M for hazmat) FMCSA minimum for general freight is $750,000. Household goods is $750K. Hazmat is $1M or $5M depending on classification.

BMC-91 or BMC-91X (proof of insurance) on file with FMCSA Your insurance company files this with FMCSA. Verify at safer.fmcsa.dot.gov under 'Insurance' tab. Should show 'BIPDPD ON FILE'.

Cargo insurance in place (if required by shippers/brokers) Not federally required except for household goods movers, but most brokers require $100K cargo minimum.

Insurance certificates available for all active policies Keep copies of current COIs (Certificates of Insurance) accessible. You'll need them for brokers, shippers, and auditors.

Workers' compensation in place (if you have W-2 employees) Required in almost all states if you have employees. Some states allow owner-operator exemptions.

Driver Qualification Files

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Valid CDL for each driver (correct class and endorsements) Must be valid, not expired, not suspended. Endorsements must match what's being hauled (H for hazmat, T for doubles/triples, etc.).

Medical examiner's certificate (DOT physical) current for all drivers Must be renewed every 2 years (or 1 year if certain health conditions exist). Must be from a certified medical examiner.

Pre-employment drug test completed (negative result on file) Required BEFORE a driver operates a CMV. Cannot allow driving until negative result received.

Annual MVR (motor vehicle record) pulled for each driver Must pull MVR from each state where driver held a license in the past 3 years. Must be done within 30 days of hire, then annually.

Driver application on file for each driver Must include past 10 years of employment history. Previous employers must be contacted for safety performance history.

Road test or equivalent (copy of CDL) on file Must have either a road test certificate OR copy of CDL (CDL serves as equivalent of road test in most cases).

Annual review of driving record completed Must review each driver's record annually and certify it. Document any violations and corrective actions taken.

Drug & Alcohol Testing (Part 382)

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Enrolled in a drug & alcohol testing consortium Owner-operators must be in a consortium. Companies with multiple drivers can run their own program or use a consortium.

Pre-employment drug test on file for each driver Required before first time operating a CMV. Results must be received before driving.

Random testing pool includes all safety-sensitive employees FMCSA requires 50% random drug testing rate and 10% random alcohol testing rate annually.

Drug & alcohol testing policy distributed to all drivers Must provide written policy to each driver. Keep signed acknowledgment on file.

Supervisor training completed (if applicable) Supervisors who make reasonable suspicion determinations must have at least 60 minutes drug and 60 minutes alcohol training.

FMCSA Clearinghouse queries completed Must query the Clearinghouse for pre-employment and annually for each driver. Full query for pre-employment, limited for annual.

Vehicle Maintenance & Inspection

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Annual DOT inspection current for all vehicles Must be inspected by a qualified inspector at least once every 12 months. Keep the inspection report and display the decal.

Driver Vehicle Inspection Reports (DVIRs) being completed Drivers must complete a written report at the end of each day's work on each vehicle operated. Report defects and condition of parts.

Systematic maintenance program in place Must have a systematic inspection, repair, and maintenance program for all vehicles. Can be as simple as a maintenance schedule spreadsheet.

Maintenance records kept for each vehicle Keep records of all inspections, repairs, and maintenance. Must retain for 1 year plus 6 months after vehicle leaves your control.

USDOT number displayed on both sides of each vehicle Must be in letters at least 2 inches high, in a color that contrasts with the background, visible from 50 feet during daylight.

Company name displayed on each vehicle Legal name or single trade name, on both sides of the vehicle. Must contrast with background.

Hours of Service (Part 395)

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ELD (Electronic Logging Device) installed and functioning Required for most CMV drivers. Exemptions exist for drivers who use RODS not more than 8 days in any 30-day period, driveaway-towaway, and vehicles manufactured before model year 2000.

ELD registered with FMCSA Your ELD must be on FMCSA's registered device list. Check at eld.fmcsa.dot.gov.

Drivers trained on ELD use Each driver must be trained on proper ELD use. Keep training documentation.

Supporting documents retained (fuel receipts, BOLs, etc.) Must keep supporting documents for 6 months: fuel receipts, bills of lading, dispatch records, toll receipts.

Records of Duty Status (RODS) available for review Must be able to produce the current 24-hour period plus the previous 7 consecutive days.

Accident Register & Recordkeeping

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Accident register maintained Must maintain an accident register for 3 years for every DOT-recordable accident. Includes date, location, driver, injuries, fatalities, hazmat spill.

Understanding of DOT-recordable accident definition DOT recordable = involves a CMV AND results in: a fatality, OR bodily injury requiring immediate medical treatment away from the scene, OR any vehicle requiring towing from the scene.

Post-accident drug & alcohol testing procedures understood Must test within 32 hours (drug) and 8 hours (alcohol) for qualifying accidents. If you miss the window, document why.

Your Audit Summary

Need Help Getting Compliant?

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Understanding DOT Compliance

What is a New Entrant Safety Audit?

Within the first 18 months of receiving your operating authority, FMCSA will conduct a safety audit. An auditor will review your records — driver files, drug testing, maintenance, hours of service, and insurance. If you fail, you'll get a "conditional" safety rating and could face operational restrictions. A second failure can result in losing your authority.

What Happens if I'm Not Compliant?

Non-compliance consequences range from fines ($1,000-$16,000+ per violation) to being placed out of service. Serious violations — like operating without insurance or allowing an unqualified driver to operate — can result in immediate shutdown. The good news: most compliance issues are fixable if you address them before the auditor arrives.

How Often Should I Self-Audit?

At minimum, review your compliance quarterly. Check driver files monthly (medical certificates expire, licenses get suspended). Run Clearinghouse queries annually. Update your MCS-150 every two years. Pay UCR annually. The best trucking companies build compliance into their daily operations, not just before an audit.