DOT Compliance Checklist
Here is a list of items you should be prepared to show whenever have a DOT Audit. Note that for owner/operators that a number of these items will not apply when you don't have any employees or haul any hazardous materials. However, remember you are an employee of your company.
- Can the company produce a current copy of the Federal Motor Carrier Safety Regulations (FMCSR)?
- Can the company produce a current copy of the Hazardous Material Regulations?
- Can the company produce a current MCS-90 with the required limit of insurance coverage noted?
- Can the company produce a current accident register?
- Does the company have a progressive disciplinary action system for drivers?
- Does the company have written hiring policies (criteria) that are followed on all new hires and re-hires?
- Have all commercial motor vehicles (power units) been marked with company name and U.S. DOT Number?
- Is there a system that will ensure drivers' medical certificates (physicals) are current?
- Is there a system to ensure all CDL licenses remain current and valid?
- Does the company require all drivers to report violations in a timely manner, and do driver qualification files reflect documentation of these moving violations?
- Do driver qualification files reflect a valid documented review of the driver’s certificate of violations annually?
- Do driver qualification files reflect record of a valid road test or documentation of the equivalent of a road test?
- Can the company produce complete and accurate driver qualification files?
- Do driver qualification files show a complete and accurate investigation of past employment history of drivers?
- Are Motor Vehicle Records (MVRs) obtained on all new and re-hired drivers?
- Does the company have a written program and policy in place for drugs and alcohol testing?
- Can the company produce the past calendar year summary of all tests, with disposition of the driver that tested positive?
- Are all supervisors, who may be required to have a driver tested under reasonable suspicion, given the one hour each of training for drug and alcohol recognition?
- Does the company provide drug and alcohol training materials and information with a signed receipt from the driver in the qualification file?
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- Do all drivers hold valid CDL licenses with the proper endorsements based on the vehicle size and commodity transported?
- Can the company produce a copy of a pre-employment drug test for all drivers that possess a CDL?
22. Can the company produce copies of the past calendar year random drug and alcohol test results?
- Does the driver qualification file reflect instruction to drivers regarding their notification of convictions for moving violations within 30 days to the employer?
- Does the company have a system to recognize drivers that should be disqualified, which results in the drivers’ removal from service and subsequent reinstatement?
- Can the company produce six months of completed driver logs on all drivers?
- Are drivers’ logs checked for accuracy by using independent documents or software system?
- Does the company have a system in place to effectively control hours of service?
- Does the company have a written disciplinary action policy addressing non-compliance with hours of service?
- Does the company require new drivers to provide their past seven days of on-duty time?
- Can the company produce 14 months of valid annual inspections for all operating commercial motor vehicle equipment, both tractors and trailers?
- Can the company produce 90 days of valid copies of post-trip inspection reports for each commercial motor vehicle equipment?
- Can the company produce maintenance records for all equipment?
- Can the company produce a current DOT security plan?
- Can the company produce a current copy of the Hazardous Material Registration?
- Are all employees that affect the safe transportation of a hazardous material trained on Hazardous Materials with documentation maintained on-file?
- Are Hazardous Materials shipping papers properly prepared and retained for the specified period of 375 days?
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