MMA - Mock DOT Audit

• Conducted on

  Date

• Prepared by

• Location
  Address

• Who is responsible for DOT Compliance?

Factor 1 - General

Insurance

• Does the organization have proper liability coverage? <br>DOT 387.9

  In Compliance

  Out of Compliance

  N/A

• Is the information on the MCS-90 (or MCS-82) accurate and current? <br>DOT 382.15

  In Compliance

  Out of Compliance

  N/A

Accident Register

• DOT Recordable Accident Log

  In Compliance

  Out of Compliance

  N/A

• Does the log include: Date, Driver, Location, # of injuries, # of deaths, hazardous materials other than fuels, tow away, ambulance for anyone involved?

  In Compliance

  Out of Compliance

  N/A

• Are police reports, accident reports, repair estimates kept in the accident log as well?

  In Compliance

  Out of Compliance

  N/A

• Is the accident register kept for 3 years?

  Yes

  No

  N/A

Vehicle Markings

• Are the vehicles marked with carrier's legal name on both sides? Are they proceeded by "US DOT" <br>DOT 390.21

  In Compliance

  Out of Compliance

  N/A

• Take a picture of the driver & passenger sides of the vehicle:

  Media

Training

• Is the client performing on going training not required but it is a best practice:

  Yes

  No

  N/A

• Are detailed records kept of any DOT training that is provided?

  Yes

  No

  N/A

• Yes

  No

  N/A

Discipline & Corrections

• Are detailed records kept for any discipline & corrections for driving performance?

  Yes

  No

  N/A

• Are drivers re-trained when deficiencies are identified?

  Yes

  No

  N/A

• Are drivers with repeat offenses dealt with properly?

  Yes

  No

  N/A

• Is the organization checking their SMS profile and disciplining employees as necessary?

  Yes

  No

  N/A

Factor 2 - Driver

Driver Qualification Files:

• Driver Application:<br>DOT 391.21

  In Compliance

  Out of Compliance

  N/A

• Previous 3 year employment documentation- Good Faith Effort by the organization: <br>DOT 391.23

  In Compliance

  Out of Compliance

  N/A

• Safety Performance - History of the Driver: <br>DOT 391.23

  In Compliance

  Out of Compliance

  N/A

• Drug & Alcohol Test Results History:<br>DOT 391.23

  In Compliance

  Out of Compliance

  N/A

• Motor Vehicle Record check for the past 3 years:<br>DOT 391.23

  In Compliance

  Out of Compliance

  N/A

• DOT Physical certification cards for 3 years<br>DOT 391.43

  In Compliance

  Out of Compliance

  N/A

• Annual Reviews for 3 years:<br>DOT 391.25

  In Compliance

  Out of Compliance

  N/A

• Road Test Certification<br>DOT 391.31

  In Compliance

  Out of Compliance

  N/A

• Annual Statement of Violations for 3 years:<br>DOT 391.25

  In Compliance

  Out of Compliance

  N/A

• Waivers granted by state & federal for drivers with disabilities? (i.e. Diabetes)<br>DOT 391.49

  Compliant

  Non-Compliant

  N/A

• Drug & Alcohol Policy Acknowledgement Form:

  Yes

  No

  N/A

Licenses:

• Valid Type for vehicles being driven? (Commercial Drivers License for greater than 26,001)

  In Compliance

  Out of Compliance

  N/A

• Are expiration dates tracked to avoid driving on expired license?

  Yes

  No

  N/A

• Driver Summaries - 26,000 lbs GVWR or CVWR<br>Does location have CMV's on site?

  Yes

  No

  N/A

Drug & Alcohol Testing Policies:

• Pre-employement drug testing?<br>DOT 382.301

  In Compliance

  Out of Compliance

  N/A

• Random Drug & Alcohol Testing (CDL Drivers)<br>DOT 382.305

  In Compliance

  Out of Compliance

  N/A

• Post-accident Drug & Alcohol Testing?<br>DOT 382.303

  Yes

  No

  N/A

• Reasonable Suspicion Training for supervisors?<br>DOT 382.307

  In Compliance

  Out of Compliance

  N/A

• CDL Drug & Alcohol Testing - Separate from other D&A testing<br>DOT 40 & 382

  In Compliance

  Out of Compliance

  N/A

Testing Policy

• Written<br>DOT 382.601

  In Compliance

  Out of Compliance

  N/A

• Distributed to drivers:

  Yes

  No

  N/A

• Signed by drivers:

  Yes

  No

  N/A

Recordkeeping:

• Federal custody & control Forms

  Yes

  No

  N/A

• Yes

  No

  N/A

• Drug & Alcohol Testing Training for Supervisors?

  Yes

  No

  N/A

• Does the organization have a "canned" email notificatio of the need to drug test? Does the organization delay notifying employees until they are sure the test can be done? "Please contact me if you can't comply"

  Yes

  No

  N/A

Factor 3 - Operational

• Hours of Service Logs - six months of logs need to be kept?<br>DOT 395

  In Compliance

  Out of Compliance

  N/A

• Does the organization maintain a file for each driver?

  Yes

  No

  N/A

100- Air Mile Exception

• Do drivers stay within 100 air miles of work location?<br>DOT 395.1

  In Compliance

  Out of Compliance

  N/A

• Do drivers return to work location within 12 hours?

  In Compliance

  Out of Compliance

  N/A

• Are limited to driving a CMV for less than 11 horus in one day?

  In Compliance

  Out of Compliance

  N/A

• Are drivers allowed 10 consecutive hours off between shifts?

  In Compliance

  Out of Compliance

  N/A

• Is there a time card or other time keeping system in place?

  Yes

  No

  N/A

Factor 4 - Vehicle

Vehicle Maintenance File:

• Is there a maintenance file for repairs & maintenance?<br>DOT 396

  In Compliance

  Out of Compliance

  N/A

• Yes

  No

  N/A

DOT Inspections:

• Are these inspections performed by a certified inspector?

  In Compliance

  Out of Compliance

  N/A

• Are DOT Inspection files kept for 14 months?

  In Compliance

  Out of Compliance

  N/A

• Is there a copy in the vehicle of the most recent DOT inspection?

  In Compliance

  Out of Compliance

  N/A

• Unit Number?

  In Compliance

  Out of Compliance

  N/A

• VIN or Serial Number

  In Compliance

  Out of Compliance

  N/A

• License Number

  In Compliance

  Out of Compliance

  N/A

• Model & Year?

  In Compliance

  Out of Compliance

  N/A

• Tire Size?

  In Compliance

  Out of Compliance

  N/A

CMV Brake Repairs & Maintenance:

• Are these repairs & maintenance performed by a certified inspector?

  In Compliance

  Out of Compliance

  N/A

Roadside Inspections

• Is a copy of all roadside inspections kept for 1 year?

  In Compliance

  Out of Compliance

  N/A

Review Complete SMS Profile:

Post-Trip Inspection Reports:

• Are the post-trip inspections kept for 90 days?

  In Compliance

  Out of Compliance

  N/A

• Are the inspection reports including:

  Yes

  No

  N/A

• Are the inspection reports including the following (check all that apply):

  Select Date Vehicle Identifier Items Inspected Deficiencies Found Signature of Inspecting Driver

  • Date
  • Vehicle Identifier
  • Items Inspected
  • Deficiencies Found
  • Signature of Inspecting Driver

Factor 5 - Hazardous Materials

Training Records:

• Do training records include: (Check all that apply)

  Select Driver Name Training Date Insturctor Name Description of Training Certification of Training

  • Driver Name
  • Training Date
  • Insturctor Name
  • Description of Training
  • Certification of Training

• Does training program include: General Awareness, Function Specifics, Safety, Security, Defensive Driving?

  Yes

  No

  N/A

• Do the Driver's Licenses have the proper endorsements for hazardous materials being transported?

  In Compliance

  Out of Compliance

  N/A

• Review Driver's Alert if Applicable?

  Yes

  No

  N/A

• FMSCA Pin #:

  Yes

  No

  N/A

• Review Loss Runs:

  Yes

  No

  N/A