A DOT Audit Checklist will help you prepare for an upcoming DOT audit. If you don’t have a DOT audit coming up, then using one will help make sure that you’re “audit ready”!
What is a DOT Audit?
A DOT audit is also known as a compliance review. This a thorough examination of your trucking company’s safety and compliance programs.
Over the last few years, DOT audits have increasingly been completed online. In the past, it usually involved a State trooper or FMCSA special agent visiting you in person. Even though online audits are less stressful, they are still very intensive.
Here’s a brief overview of the areas that will be reviewed during a DOT audit:
Unsafe Driving
The investigator will review all of the recent unsafe driving DOT violations that have been received by your drivers over the prior 24 months.
We recently underwent a DOT compliance review with one of our clients and we thought that it went really well. We had a handful of speeding and other unsafe driving violations over the last couple of years. But, it wasn’t an atypical amount of activity for a 35 unit fleet.
The investigator left and didn’t have any improvement suggestions to make. We thought that we were good to go. Then, a couple of weeks later, we got hit with a fine of almost $20,000!
So, the FMCSA and their state partners are taking Unsafe Driving much more seriously these days!
Crash Indicator
Having a high Crash CSA BASIC will trigger an audit faster than you can say that twice.
Additionally, if your Recordable Accident Rate (per 1,000,000 miles) is higher than 1.5 then you will automatically fail that portion of a DOT audit and you’ll be moved to a Conditional Safety Rating.
So, make sure that your Vehicle Miles Travelled in your MCS-150 information is accurate and up to date.
If you have more than 2 crashes for ever 1,000,000 miles traveled, you’re a prime target for a DOT audit.
Be sure to use the Crash Preventability Determination Program (CPDP ) to your full advantage if any crashes on your SMS record could be considered not-preventable. Check out the FMCSA CPDP Crash eligibility guide here to see if your crash may qualify.
Hours of Service Compliance
Outside of Vehicle Maintenance, Hours of Service is one of the toughest areas of DOT compliance to effectively manage. Be sure to regularly review (and take action on) the 4 major reports that most ELD systems can provide:
- Hours Violations
- Personal Conveyance Use
- Unidentified Driving Time
- ELD Disconnects
You’ll also want to make sure that you keep all HOS Supporting Documents for at least 6 months after each driver’s trip as these will be reviewed for each driver selected for the audit.
As part of our comprehensive DOT compliance services, we help make sure that you’re “Audit Ready” at all times!
Vehicle Maintenance
Vehicle Maintenance is probably the hardest safety and compliance area to manage effectively. This is especially true if you have leased drivers or owner-operators.
To help prepare for an upcoming DOT audit, make sure that all vehicle maintenance files are in top shape.
Each VM file should include:
- A vehicle information sheet
- A log of repairs and inspections
- A preventative maintenance schedule or calendar
- A copy of the truck or trailer’s most recent annual DOT inspection
- Maintenance and repair receipts for at least the last 12 months
- DVIRs (Driver Vehicle Inspection Reports) for at least the last 3 months
- Copies of any DVERs (Driver Vehicle Examination Reports) received over the last year
The more disorganized this information is, the harder time a DOT investigator will have making sense of everything in the files. So, organization ahead of time is critical. This can also greatly speed up the review process (which is better for everyone)!
Drug and Alcohol
During a DOT audit, the investigator will review your entire drug and alcohol testing program. This will mainly include checking into your pre-employment drug testing methods and your random drug and alcohol testing and selection process.
The DOT auditor will also look into any reasonable suspicion tests conducted as well as any return to duty or follow up testing performed.
Be sure to have a copy of your Drug and Alcohol Testing policy available for review. A copy of each driver’s D & A Policy acknowledgement should be in their Driver Qualification File.
Driver Fitness
Speaking of Driver Qualification Files, you can be 100% sure that these files will be reviewed during a DOT audit.
Check out this article to learn about everything that needs to be included in each DQF.
You can almost certainly tell who will be selected for review ahead of time.
Just use your DOT PIN to log in to your FMCSA CSA website.
Take a look at all of the violations received over the last 24 months and review your crashes.
Any driver who received a violation or was involved in a crash is a prime candidate for a DQF review.
All driver’s files should be in good shape, but make sure that these driver qualification files are spotless!
Why do I need a DOT Audit Checklist?
Each area of your fleet safety management program will be evaluated during an FMCSA safety audit.
Increasingly, the FMCSA has been focusing on the Crash and Unsafe Driving CSA BASIC areas, but the Driver Fitness, Hours of Service and Vehicle Maintenance areas are still being reviewed regularly.
Prior to the audit, it’s important to review each area of compliance. Doing so will help ensure that you are well prepared for the upcoming examination.
By using our DOT Audit checklist, you can seriously reduce the amount of stress that you’ll face when the DOT comes calling!
Check out this article about conducting a mock DOT audit too!
Our checklist will help improve your overall level of DOT compliance and ensure that you’re more prepared for a compliance review. Ultimately, being prepared will help prevent your safety rating be changed to Conditional or Unsatisafactory.
If that does happen, here’s how to fix your DOT conditional rating. We even provide a safety rating upgrade service as well!
How Can I Get a DOT Audit Checklist?
Need a checklist? We can help! To grab your free checklist, just click on the button below:
See Also: How To Prepare for A DOT Audit
In 2023, the FMCSA is changing how they calculate CSA BASIC scores and how they prioritize trucking companies for DOT audits and other interventions. Learn more about these and other upcoming changes to the FMCSA CSA program here!
My Safety Manager is a leading provider of fleet safety management and trucking compliance services for fleets of all sizes.
Our specialized safety management solutions help deliver results—safe drivers out on the road who are staying compliant with regulations.
We work with you to create customized solutions that meet your unique needs, taking what’s typically far too much work off your plate so you have more time to grow your business!
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