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DOT & Fleet Compliance Checklist

A practical self-check tool to help carriers spot common filing, driver records, drug & alcohol program, safety, and registration gaps.

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This checklist helps you identify areas that may need attention before a roadside inspection, audit notice, or filing deadline creates an issue. It is for general guidance only.

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How to use this checklist: Review each section below. If you spot items that are unchecked, outdated, or missing, address them immediately or contact Lumen to help organize your records.

Note that motor carriers must maintain driver qualification files under official regulations, which include ongoing items such as annual driving record inquiries/reviews.

Compliance & Planning Checklist

  • DOT & FMCSA Filings: USDOT information is current and updated biennially via MCS-150
  • DOT & FMCSA Filings: UCR (Unified Carrier Registration) is registered and paid for the current year
  • DOT & FMCSA Filings: BOC-3 process agents are filed and active, if applicable
  • DOT & FMCSA Filings: Operating authority (MC/MX/FF) is active and current
  • Driver Compliance: Driver qualification (DQ) files are organized and complete for all drivers
  • Driver Compliance: CDL licenses are verified and checked for expirations
  • Driver Compliance: Medical certificates are current and documented
  • Driver Compliance: Annual driving record (MVR) inquiries are run and reviewed
  • Driver Compliance: Driver onboarding documents are reviewed before driving begins
  • Drug & Alcohol: Clearinghouse employer registration is complete and active
  • Drug & Alcohol: Consortium (C/TPA) enrollment is current (required for owner-operators)
  • Drug & Alcohol: Pre-employment drug testing is completed with negative results before driving
  • Drug & Alcohol: Random drug and alcohol testing pools are set up and active
  • Drug & Alcohol: Supervisor Reasonable Suspicion training is completed and documented
  • Safety & Audit: Vehicle maintenance folders are organized with inspection sheets
  • Safety & Audit: Hours-of-service records and logs are tracked and reviewed
  • Safety & Audit: Accident register is maintained (even if empty)
  • Safety & Audit: Written safety policies are documented and distributed
  • Fleet Tax & Reg: IFTA credentials and quarterly fuel tax filings are complete
  • Fleet Tax & Reg: IRP apportioned registrations and cab cards are current
  • Fleet Tax & Reg: Heavy Vehicle Use Tax (Form 2290) is filed and paid annually
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Driver Compliance & DQ Files

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Drug & Alcohol Program Services

Get support for DOT drug and alcohol program setup, driver testing program organization, supervisor training, Clearinghouse, and consortium guidance.

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