DOT Audit Compliance

Be Prepared for Your Next Audit

The requirements of the Federal Motor Carrier Safety Regulations (FMCSRs) apply to all carriers. This includes, among others: FMCSR Part 382-Controlled Substance and Alcohol Use Testing, Part 391-Drivers Qualification Files, Part 395-Hours of Service Program, and Part 396-Inspection, Repair and Maintenance Records.

If you cannot answer “yes” to each of the following questions, please contact us for assistance. By being in compliance, your concerns in case of a DOT audit or a major loss should be reduced.

General

Do you have a current copy of the Federal Motor Carrier Safety Regulations? (FMCSRs)

Driver Qualifications

Can you produce written policies/procedures that are being followed on all new hires?
Do you have a system established that will ensure driver’s annual reviews and records of violations remain current?
Can you produce a complete Driver Qualification File on each driver?

Do the files contain the following items?

  1. Long form physical or medical card
  2. Completed driver application
  3. Motor Vehicle Record (MVR)
  4. Road test
  5. Background checks from previous employers
  6. Annual review of driver’s driving record

Company Policy and Procedure

Do you have written policies and procedures that you give to all drivers concerning issues such as passengers, load securement, and loading/unloading procedures?

Are you a member of a drug/alcohol consortium?

  1. Before performing a controlled substance or alcohol test, do you notify the driver being tested that the US. Department of Transportation requires the controlled substance and alcohol test?
  2. Have you advised all drivers that they are prohibited from using alcohol while on duty?
  3. Have you advised all drivers of the prohibitions of performing safety-sensitive functions within four hours of using alcohol?
  4. Do you immediately remove drivers from safety-sensitive functions when they refuse to submit to require controlled substance and/or alcohol tests?
  5. Do you allow drivers who have tested positive for a controlled substance, or have a breath alcohol concentration of 0.04 or above, by test, or refused to be tested, to perform safety-sensitive functions?
  6. Do you conduct post-accident controlled substance and alcohol tests within the required time frame?
  7. Do you randomly test at least 10% of your drivers each year for alcohol use?
  8. Are at least 50% of your drivers randomly tested each year for controlled substance use?
  9. When a trained supervisor has determined that there is a reasonable suspicion that a driver violated controlled substance and/or alcohol prohibitions, do you test the driver?

Hours of Service

Do you have an hours-of-service program that regulates the 10/15/70 hour rule?
Do you file and keep the driver’s daily log records for at least 6 months?
Do you monitor the driver’s daily logs for form and manner?
Do you have a system to control the drivers’ hours-of-service on a daily basis?
Do you have a disciplinary policy for logbook violations?

Inspections, Repairs, and Maintenance

Do you have a current annual inspection on each piece of equipment?
Do you have maintenance records on all vehicles in your fleet?

Accident Record Keeping

Do you have an accident register?