MMA - Mock DOT Audit Rev1 2023

• Site conducted

  Select

• Conducted on

  Date

• Prepared by

• Location
  Address

• Who is responsible for DOT Compliance, Fleet Management and Fleet Maintenance?

Section 1 - General Information

Insurance

• Does the organization have proper liability coverage (DOT 387.9)

  In Compliance

  Out of Compliance

  N/A

Schedule of Limits - Public Liability (DOT 387.9)

• Property and hazardous material carriers must have either a Form MCS-90 (insurance) or MCS-82 (surety bond) confirming coverage for these minimum levels of insurance(DOT 387.15).

  

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

  In Compliance

  Out of Compliance

  N/A

MCS-90 Form

• If the insurance policy, as identified by the policy number on the Form MCS-90, is still valid upon the renewal of insurance, no new Form MCS-90 is required. If the policy number has changed or the insurance policy has been canceled in accordance with the terms shown on Form MCS-90, then a new Form MCS-90 must be completed and attached to the valid insurance policy.

Accident Register (DOT 390.15)

• Motor carriers are required to maintain a register of all crashes that occurred in the past 3 years. The register must contain, at minimum, the date of the crash, the city or town and state most near where the crash occurred, the driver’s name, the number of injuries or fatalities, and whether hazardous materials, other than fuel spilled from the fuel tanks of motor vehicle involved in the crash, were released. If a crash involves the release of hazardous materials, carriers must also complete a hazardous incident report.

• DOT Recordable Accident Log is accurate, current and maintained for the the past 3 years?

  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

Sample DOT Recordable Accident Log

Vehicle Markings (DOT 390.21)

• Are the vehicles marked on both sides with carrier's legal name and dentification number issued by FMCSA (preceded by the letters “USDOT")? Attach a photo for reference.

  In Compliance

  Out of Compliance

  N/A

Driver Training Requirements

• Alcohol & Drug Testing (DOT 382.601): Drivers who will operate commercial motor vehicles in the United States requiring a commercial driver’s license (CDL) are given educational materials that explain the requirements, and the company’s drug and alcohol policies and procedures. Training documentation maintained for the duration of employment and for 2 years after it ceases.

  Yes

  No

  N/A

• Supervisor Reasonable Suspicion Testing (DOT 382.603): All CDL driver supervisors must receive 60 minutes of alcohol abuse training and 60 minutes of controlled substances (drug) abuse training. Supervisors have to receive this training prior to sending a driver for a DOT reasonable suspicion test. Recurrent training is not required. Training documentation maintained for the duration of employment and for 2 years after it ceases.

  Yes

  No

  N/A

• Hazmat (DOT 172.704) General Hazmat Employees, Hazmat for Drivers: All employees who perform any function subject to the Hazardous Materials Regulations, such as loading and unloading, preparing the packaging and markings, working with hazmat paperwork, and/ or driving the vehicle transporting the hazardous materials, must receive training. The required areas are: General Awareness, Function Specific, Safety, Security, In-Depth Security (if required), and Modal Specific. Initial training must be done prior to performing the function subject to the hazmat regulations. Refresher training must be given every 3 years. Training documentation maintained for the duration of employment and for 90 days after it ceases.

  Yes

  No

  N/A

• In-Depth Hazmat Security Awareness (DOT 172.704): Hazmat employers required to complete a security plan must also provide In-Depth Security training. Hazmat employees affected by a security plan must be trained on company security objectives, specific security procedures, employee responsibilities, actions to take in the event of a security breach, and the organizational security structure. Refresher training must be given every 3 years. Training documentation maintained for the duration of employment and for 90 days after it ceases.

  Yes

  No

  N/A

• Longer-Combination Vehicle (DOT Part 380, Subparts A through D): Operators of LCVs in interstate commerce and LCV-driver instructors are subject to minimum training requirements. A driver who wishes to operate an LCV must successfully complete a driver-training program that includes components addressing both knowledge and skills. The driver must successfully pass a knowledge test and a skills test. Documentation of this must be maintained in the driver’s qualification file. An LCV classroom and skills instructor must meet certain knowledge and training requirements.

  Yes

  No

  N/A

• Annual/Brake Inspector Qualifications: Individuals who conduct periodic/annual inspections and employees who are responsible for brake inspections/maintenance are required to have training and/or experience totalling at least one year. Documentation of each inspector’s qualifications must be maintained by the motor carrier during the time the individual is performing this function and for 1 year after it ceases.

  Yes

  No

  N/A

Driver Deficiencies, Corrective Actions and Discipline Program

• Is a formal system in place to identify driver deficiencies and to provide corrective actions including discipline?

  Yes

  No

  N/A

Progressive Discipline Summary Example

• Are drivers re-trained when deficiencies are identified?

  Yes

  No

  N/A

• Is the organization checking their SMS profile to identify deficiencies?

  Yes

  No

  N/A

• Are detailed records kept for any discipline and corrective actions for driving performance?

  Yes

  No

  N/A

Section 2 - Driver Qualifications

• Driver Qualification Files are maintained for all CDL Drivers (26,001 lbs and greater) and Non-CDL Drivers (10,001 to 26,000 lbs) of Commercial Motor Vehicles.

  In Compliance

  Out of Compliance

  N/A

Driver Qualification File Requirements (Non CDL Drivers):

• Driver Application on file (DOT 391.21)

  In Compliance

  Out of Compliance

  N/A

• Inquiry into previous employers (DOT 391.23) on file. Employer has made a "Good Faith Effort" to obtain information about each driver (Safety Performance, Driver History, Drug & Alcohol Testing Results). Documentation of inquiry and records maintained.

  In Compliance

  Out of Compliance

  N/A

• Motor Vehicle Record (DOT 391.23) authorization request on file.

  In Compliance

  Out of Compliance

  N/A

• DOT Physical (DOT 391.43) Certification cards on file for 3 years

  In Compliance

  Out of Compliance

  N/A

• Road Test Certification on file (DOT 391.31)

  In Compliance

  Out of Compliance

  N/A

• Annual inquiry, statement of violations, and review of driving record on file for 3 years (DOT 391.25)

  In Compliance

  Out of Compliance

  N/A

• Copy of drives license (front and back) maintained on file

  In Compliance

  Out of Compliance

  N/A

• Intermittent or Multiple-Employer Drivers statement of On-Duty Hours on file?

  In Compliance

  Out of Compliance

  N/A

Sample Non-CDL Driver DQ File checklist:

Driver Qualification Files Requirements (CDL Drivers):

• Driver Application on file (DOT 391.21)

  In Compliance

  Out of Compliance

  N/A

• Driver Application Controlled Substance and Alcohol Questionnaire on file

  In Compliance

  Out of Compliance

  N/A

• Inquiry into previous employers (DOT 391.23) on file. Employer has made a "Good Faith Effort" to obtain information about each driver (Safety Performance, Driver History, Drug & Alcohol Testing Results). Documentation of inquiry and records maintained.

  In Compliance

  Out of Compliance

  N/A

• Motor Vehicle Record (DOT 391.23) authorization request on file.

  In Compliance

  Out of Compliance

  N/A

• DOT Physical (DOT 391.43) Certification cards on file for 3 years

  In Compliance

  Out of Compliance

  N/A

• Road Test Certification on file (DOT 391.31): It is recommended the employer conduct upon hire, but it <br>is not required as it is part of obtaining a CDL.

  In Compliance

  Out of Compliance

  N/A

• Annual inquiry, statement of violations, and review of driving record on file for 3 years (DOT 391.25)

  In Compliance

  Out of Compliance

  N/A

• Copy of drives license (front and back) maintained on file

  In Compliance

  Out of Compliance

  N/A

• Intermittent or Multiple-Employer Drivers statement of On-Duty Hours on file?

  In Compliance

  Out of Compliance

  N/A

• Waivers granted by state & federal for drivers with disabilities on file (i.e. Diabetes, DOT 391.49)

  Compliant

  Non-Compliant

  N/A

• Drug & Alcohol Policy Acknowledgement Form on file (DOT 382.601)

  Yes

  No

  N/A

Sample CDL Driver DQ file checklist

Licenses:

• Valid CDL License and endorsement in place for the type of vehicle being driven?

  In Compliance

  Out of Compliance

  N/A

CDL License Types

• 

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

  Yes

  No

  N/A

Drug & Alcohol Testing Policies:

• What types of drivers of Commercial Motor Vehicles are used at the location?

  Select

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

  In Compliance

  Out of Compliance

  N/A

• Random Drug & Alcohol Testing in place?<br>DOT 382.305

  In Compliance

  Out of Compliance

  N/A

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

  Yes

  No

  N/A

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

  In Compliance

  Out of Compliance

  N/A

• CDL specific Drug & Alcohol Testing in place (separate from other D&A testing programs)?<br>DOT 40 & 382

  In Compliance

  Out of Compliance

  N/A

• Does the non-CDL Driver carry placardable amounts of hazardous materials, or operate vehicles carrying 16 passengers including the driver?

  Yes

  No

  N/A

• 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

• Drug and alcohol testing is not required for Non-CDL Drivers of a Commercial Motor Vehicle (10,001 lbs to 26,000 lbs, any combination of truck/trailer).

Drug & Alcohol Testing Policy

• Written Policy in place? (DOT 382.601)

  In Compliance

  Out of Compliance

  N/A

• Written policy has been distributed to CDL drivers? (DOT 382.601)

  Yes

  No

  N/A

• Acknowledgement forms have been signed by drivers?

  Yes

  No

  N/A

• Federal custody and control forms being used by drug and alcohol testing provider?

  Yes

  No

  N/A

• Does the organization use a template for the notification of an employee to drug test? Does the organization delay notifying employees until they are sure the test can be done? Does it include information of an employee is unable to comply?

  Yes

  No

  N/A

Sample testing notification template

Section 3 - Hours of Service Requirements

• Is the employer subject to Hours of Service requirements?

  Yes

  No

  N/A

• Hours of Service Log is in use and records are maintained for at least six months for each driver? (DOT 395)

  In Compliance

  Out of Compliance

  N/A

• Is the Employer following the Short Haul Exception?

  Select

• Do drivers stay within 150 air-miles of work reporting location (DOT 395.1)?

  In Compliance

  Out of Compliance

  N/A

• Do drivers return to work location within 14 hours?

  In Compliance

  Out of Compliance

  N/A

• Are property carrying drivers allowed 10 consecutive hours off between shifts??

  In Compliance

  Out of Compliance

  N/A

• Are passenger carrying drivers allowed 8 consecutive hours off between shifts?

  In Compliance

  Out of Compliance

  N/A

• Is there a time card or other time keeping system in place with at least 6 months of records for each driver?

  Yes

  No

  N/A

• Do drivers stay within 150 air miles of the normal work location?

  In Compliance

  Out of Compliance

  N/A

• Do drivers return to the normal work location at the end of each day?

  In Compliance

  Out of Compliance

  N/A

• The driver does not drive: <br>(A) After the 14th hour after coming on duty on 5 days of any period of 7 consecutive days; and <br>(B) After the 16th hour after coming on duty on 2 days of any period of 7 consecutive days;

  In Compliance

  Out of Compliance

  N/A

• Is there a time card or other time keeping system in place with at least 6 months of records for each driver?

  In Compliance

  Out of Compliance

  N/A

Section 4 - Vehicle Maintenance

Vehicle Maintenance File:

• Is there a maintenance file with a record of inspection, repairs, testing and maintenance of vehicles? Files must be maintained for a period of 1 year and for 6 months after the motor vehicle leaves the motor carrier's control (DOT 396)

  In Compliance

  Out of Compliance

  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

• Are the proper forms being used for DOT Inspections (Federal and/or State inspection form)?

  In Compliance

  Out of Compliance

  N/A

DOT Inspection Forms

• Minnesota DPS DOT inspection form

• FMCSA DOT Inspection Form

CMV Brake Repairs & Maintenance:

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

  In Compliance

  Out of Compliance

  N/A

Roadside Inspections

• Are copies of all roadside inspections maintained for 1 year?

  In Compliance

  Out of Compliance

  N/A

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

Section 5 - Hazardous Materials

• Does the employer transport hazardous materials per the FMCSA?

  Yes

  No

  N/A

• Is the employer registered to Registered to transport hazardous materials?<br>Registration is required if transporting the types and quantities of hazardous materials requiring a safety permit in intrastate commerce (see https://www.ecfr.gov/current/title-49/subtitle-B/chapter-III/subchapter-B/part-385/subpart-E/section-385.403), OR Is used to transport hazardous materials requiring placarding under 49 CFR in interstate commerce (across state lines).

  In Compliance

  Out of Compliance

  N/A

• Has the MCS-150B form been submitted?

  In Compliance

  Out of Compliance

  N/A

FMCSA Instructions for MCS-150B

Section 6 - Additional Information

• Review complete SMS profile on the SAFER website: https://safer.fmcsa.dot.gov/CompanySnapshot.aspx

• Does the individual responsible for DOT compliance have an FMSCA Pin # to access detailed inspection records?

  Yes

  No

  N/A

• Request a Pin #: https://www.fmcsa.dot.gov/registration/request-pin-number

  In Compliance

  Out of Compliance

  N/A

• Has the MCS-150 form been udpdated within the past year?

  In Compliance

  Out of Compliance

  N/A

FMCSA Instructions for MCS-150

• Review Loss Runs (crashes, property damage, etc.)

  Yes

  No

  N/A