DOT Audit Checklist
The Department of Transportation (DOT) routinely conducts assessments to verify that companies adhere to regulatory standards. Since 2010, there has been a notable rise in DOT audits, partly attributed to implementing the Safety Measurement System. This system aggregates data from roadside inspections and weigh stations.
Following the Safety Measurement System data analysis, the DOT assigns a score to each carrier. Companies with a higher number of violations face an increased risk of undergoing audits. DOT audits often occur with minimal notice, so carriers should remain consistently prepared.
Maintaining comprehensive records throughout the year can facilitate a smoother audit process and ensure your business successfully passes. Implementing a system that keeps your company compliant is important for navigating a DOT audit successfully. This system should efficiently capture essential information and maintain data organization.
Types of DOT Audits:
New Entrant Audit:Motor carriers recently registered with the DOT, conducted within three to six months of obtaining a DOT number. It ensures compliance with safety regulations during the initial phase of business operations.
Security Audit: Reviews safety plans, driver training, and security measures.
Hazardous Materials Audit: Focuses on training, policy, shipping documentation, and labeling of hazardous materials.
Compliance Review: Ensures overall compliance with DOT regulations.
The Complete DOT Audit Checklist:
To streamline the audit process and increase the likelihood of success, a company should have these documents readily available:
Current copy of the Federal Motor Carrier Safety Regulations (FMCSR)
Up-to-date MCS-90 form demonstrating liability insurance coverage
Written program and policy for drug and alcohol use and testing
Summary of drug and alcohol testing conducted in the past 12 months
Motor vehicle records (MVRs) for all drivers
Pre-employment drug tests for all drivers
Proof of current commercial driver's license (CDL) for all drivers
Six months of completed driver logs
At least 14 months of valid annual inspections for all commercial motor vehicles
Complete maintenance records
Current DOT security plan
90 days of post-trip inspection reports for vehicles with defects
Updating Driver Qualification Files:
Regularly maintaining up-to-date driver qualification files is essential. Information for each file generally include:
Yearly examination of the driver's record of violations
Record of a valid road test
Documentation of employment history investigation before hiring a driver
Training on drug and alcohol programs with a signed copy from the driver
Instructions to drivers about moving violation convictions (provided within 30 days of the violation)
Reviewing Essential Processes:
Specific processes, when in place and documented, typically contribute to a successful audit:
Current accident register
Progressive disciplinary action system for drivers
Written hiring policies
Process for documenting a drivers medical certificate and removing expired certificates
Procedure for keeping all CDLs current and removing drivers if expired
System for checking drivers’ logs for accuracy
Control system for working hours and ensuring compliance
While a DOT audit may not be eagerly anticipated, being well-prepared with the information on this checklist instills confidence and ensures a smoother audit process. To learn more about how the team at LEC can help you be as prepared as possible, set up a meeting with Clay or Kevin.
