Fleet compliance audit checklist for motor carrier records
Version 1 · https://conformata.io/checklists/fleet/fleet-compliance-audit · Made with Conformata. Guidance, not legal advice; sources at https://conformata.io/checklists/fleet/fleet-compliance-audit/sources
Fleet compliance audit checklist for motor carrier records
Free fleet compliance audit checklist for US motor carriers: driver files, drug and alcohol testing, hours of service and maintenance records.
How often: How often you run the full audit is set by your organization. Several records it checks have their own 12-month deadlines: the annual driving record review, the annual Clearinghouse query and each vehicle's periodic inspection.
- Sections
- 7
- Checks
- 60
- Critical
- 6
- Sources
- 123
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Motor carrier legal name *
USDOT number *
Date of the audit *
Name and role of the person doing the audit *
Records sampled for this audit
The carrier operates commercial motor vehicles in interstate commerce *
YesNo
Vehicles operated that meet the commercial motor vehicle definition *
Gross vehicle or combination weight rating, or actual weight, of 10,001 pounds or moreDesigned or used to carry more than 8 passengers, including the driver, for compensationDesigned or used to carry more than 15 passengers, including the driver, not for compensationCarries hazardous materials in a quantity that requires placards
The Motor Carrier Identification Report (Form MCS-150) has been updated within the last 24 months, in the month the filing schedule sets for this USDOT number *
YesNo
The accident register covers the last 3 years and lists, for each accident, the date, city or town and state, driver name, number of injuries, number of fatalities and whether hazardous materials were released *
YesNo
Add one entry for each driver file in your sample, including drivers who left during the last three years.
Review the program records for the audit year, including records held by a consortium or third-party administrator.
Every covered driver is in the random testing pool *
YesNo
Random selections use a scientifically valid method that gives each driver an equal chance each time, and the selection records are kept *
YesNo
Each driver selected was tested during that selection period *
YesNo
Random tests were unannounced and spread reasonably through the calendar year *
YesNo
The number of random alcohol tests and random controlled substances tests for the year meets the minimum annual rates in effect for that calendar year *
YesNo
Clearinghouse results show a driver with a drug or alcohol violation performing safety-sensitive functions before completing the return-to-duty process *
YesNo
A record of each Clearinghouse query and the information received is kept for 3 years *
YesNo
Each person who supervises drivers has documented training of at least 60 minutes on alcohol misuse and at least 60 more minutes on controlled substances use *
YesNo
Testing program records are kept in a secure location with controlled access *
YesNo
Alcohol results of 0.02 or greater, verified positive drug results and refusals are kept for at least 5 years, and negative or canceled drug results and alcohol results below 0.02 for at least 1 year *
YesNo
Drivers and dates of records of duty status sampled *
Drivers record duty status on an electronic logging device (ELD), or the file shows which exception allows paper records *
YesNo
Drivers submitted each record of duty status to the carrier within 13 days *
YesNo
Records of duty status and supporting documents are kept for at least 6 months from the date the carrier received them *
YesNo
Supporting documents (bills of lading or trip schedules, dispatch records, expense receipts, fleet communication records, payroll or settlement records) are kept and can be matched to each driver's record of duty status *
YesNo
The sampled records show driving after 11 hours of driving, after the 14-hour period, more than 8 hours without a 30-minute break, without 10 consecutive hours off duty first, or after 60 hours on duty in 7 days or 70 hours in 8 days *
YesNo
Records of duty status disagree with supporting documents or show signs of false entries or ELD tampering *
YesNo
Add one entry for each vehicle file in your sample. This section checks the records only; use the driver vehicle inspection and DOT annual inspection checklists for the inspections themselves.
Every driver or vehicle with a critical finding was kept from driving or service until the finding was resolved *
YesNoN/A
Findings, each with the record, driver or vehicle it relates to
Corrective actions, owners and due dates
Date of the next audit
Auditor's signature
Sign the printed copy, or sign electronically in Conformata.
I reviewed the records listed above on the audit date and recorded what I found.
Signature
Name and date
Run it with your team in Conformata
- Schedule it per site and assign it to the right people.
- Turn every failed check into a corrective action that someone else verifies.
- Keep signatures, photos and the full audit history across sites.
Answers on this page stay on this device; they are not transferred.
Frequently asked questions
What records does a fleet compliance audit cover?
This checklist covers the driver qualification file for each driver [65], the controlled substances and alcohol testing program records [13], records of duty status and supporting documents [100], and each vehicle's inspection, repair and maintenance records [122]. It also checks the accident register, which is kept for 3 years after the date of each accident [36].
How long must a motor carrier keep driver qualification files?
How long must drug and alcohol testing records be kept?
At least five years for alcohol results of 0.02 or greater, verified positive drug results and refusals [15] [16] [17]. At least one year for negative and canceled drug results [19] and alcohol results below 0.02 [18]. FMCSA can ask to see the records at the carrier's principal place of business within two business days [22].
Built from 123 official sources
Every check traces to the text it is based on. Read the purpose, how to use it, the rules behind it, what it does not cover and every source.
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Guidance, not legal advice. It does not replace the law, the manufacturer's instructions or your organization's competent people, and completing it does not certify that work is safe.