Mock DOT Audit

Can the carrier produce their DOT pin?

Section #387.7(a) Acute<br>Doe the carrier have the required minimum level of financial responsibility in effect (property carrier)?

Section #387.7(d) Critical<br>Does the carrier have required proof of financial responsibility (property carrier)?

Section #13901 392.9(a)<br>Is the motor carrier authorized to conduct interstate operations in the United States?

Section #390.15 (b)(1)<br>Can the carrier provide a complete accident register of recordable accidents for up to 3 years after each accident?

Can the carrier produce a MCS-90 form?

Section #390.21<br>Does the carrier know the commercial motor vehicles marking requirements?

Does the carrier maintain driver's application in accordance with 391.21?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Is there additional drivers?

Does the file contain a photocopy of the current driver's license?

Does the file contain a copy of the DOT checklist?

Does the file contain a photocopy of the current medical examiners certificate?

Does the file contain a DOT background and investigation?

Does the file contain a fair credit reporting act disclosure statement?

Does the file contain a copy of release statement from background check company?

Does the file contain past employment authorization form and documentation of inquiries (Check three years back - additional seven if they possess or have held a CDL in last 10 years)?

Does the file contain a DOT compliant driver application (meeting the requirements of 49 CFR 391.21)?

Does the file contain a record and certification of road test?

Does the file contain a driver data sheet - Newly hired DOT driver's statement of on-duty hours for previous seven days (must be present for 6 months after hire date)?

Does the file contain a MVR disclosure form?

Does the file contain a MVR- Initial?

Does the file contain MVR - Annual?

Does the file contain a certificate of violation and annual review forms?

Does the file contain accident reports?

Does the file contain a DOT medical examination report?

Does the file contain a DOT physical waiver? (If applicable it must be supplied by applicant)

Does the file contain a DOT driver receipt for FMCSA handbook?

Does the file contain a drug and alcohol policy training receipt?

Does the file contain a driver safety policy training receipt?

Section #395.1(e)(1), 395.1(e)(2)<br>Does the carrier have a system for recording hours of duty status on 150-mile radius drivers, and are they properly utilizing the 150 air-mile radius exemption?

Section #395.8(a) Critical<br>Does the carrier require drivers to make a record of duty status?

Section #395.8(i) Critical<br>Does the carrier require drivers to submit records of duty status within 13 days?

Section #395.8(k)(1) Critical<br>Can the carrier produce records of duty status and supporting documents for selected drivers?

Section #395.3(a)(1) Critical<br>Has the carrier allowed driver(s) to exceed the 11-hour rule?

Section 395.3(a)(2) Critical<br>Has the carrier allowed driver(s) to exceed the 14-hour rule?

Section #395.3(b)(1)Critical<br>Has the carrier allowed driver(s) to drive after having been on duty more than 60 hours in 7 consecutive days?

Section #395.3(b)(2) Critical<br>Has the carrier allowed driver(s) to drive after having been on duty more than 70 hours in 8 consecutive days?

Section #395.3 (a)(3) Critical<br>Has the motor carrier allowed driver(s) to drive beyond 8 hour limit since the end of last off duty of sleeper period of at least 30 minutes?

Section #395.3<br>Has the motor carrier allowed drivers to drive without first taking 10 consecutive hours off duty?

Section #395.8(e) Critical<br>Does the available evidence indicate a selected driver has prepared a false record of duty status?

Section #392.2 Critical<br>Does the motor carrier ensure that drivers operate commercial vehicles in accordance with the laws, ordinances, and regulations of the jurisdictions in which they are operating?

Section #392.9(a)(1)Critical<br>Does the carrier ensure that drivers are not permitted to drive a vehicle without the cargo properly distributed and adequately secured?

Section #392.4(b) Acute<br>Have any drivers operated a commercial motor vehicle while under the influence of, or in possession of, narcotic drugs, amphetamines, or any other substances capable of rendering the drivers incapable of safely operating motor vehicles?

Section #392.5(b)(1) Acute<br>Have any of the drivers operated a commercial motor vehicle while under the influence of, or in possession of, intoxicating beverages?

Section #392.5(b)(2) Acute<br>Have any drivers operated a commercial motor vehicle within 4 hours of having consumed intoxicating beverages?

Section #392.80(b) / 392.82<br>Have any drivers operated a commercial motor vehicle while engaged in texting or using a handheld mobile device?

Section #396.3(b) Critical<br>Can the carrier produce complete maintenance files for requested vehicles?

Section #396.17(a) Critical<br>Doe the motor carrier conduct periodic (annual) inspections for selected vehicles?

Section #396.19<br>Is the carrier using qualified inspectors (mechanic) and maintaining evidence of the inspector's qualifications?

Section #396.21 (b)(1)<br>Can the motor carrier produce evidence of periodic (annual) inspections for selected vehicles?

Section #396.11(a) Critical<br>Does the motor carrier require drivers to complete vehicle inspection reports daily?

Section #396.11(c) Acute<br>Does the carrier ensure that out-of-service defects listed by the driver in the driver vehicle inspection reports are corrected before the vehicle is operated again?

Section #396.9(c)(2) Acute<br>Does the carrier ensure vehicles that have been declared "out-of-service" do not operate before repairs have been made?

Can the carrier explain its systematic, periodic maintenance program?

Section #375.211<br>Does the carrier participate in an Arbitration Program? Was a copy of the arbitration provided?

Section #13702<br>Does the carrier assess shipper freight charges based upon published tariffs?

Section #375.401(c)<br>Does the carrier provide reasonably accurate estimates of moving charges?

Section #375.407(a), 375.703(b)<br>Has the carrier avoided "hostage freight" or other predatory practices?

Section #387.301(a), 387.301(b)<br>Hoes the HHG carrier have sufficient levels of public liability and cargo insurance?

Section #375.215<br>Does the carrier have a published tariff and is the motor carrier charging the applicable rate?

Section #375.213<br>Can the motor carrier identify the five documents required to be given to a prospective individual shipper prior to executing an order for service?

Section #375.217<br>Does the motor carrier ensure that the form of payment is specified when the estimate is prepared?

Section #375.217<br>Does the motor carrier ensure that same form of payment is provided in paragraph (a) when preparing the order for service and the bill of lading?

Section #375.217<br>Does the motor carrier relinquish the shipment if the shipper pays at least 110% of the approximate costs of a non-binding estimate on a collect-on-delivery shipment?

Section #375.221<br>Does the motor carrier identify the charge or credit card plans in their tariff rules as items permitting the acceptance of the charge or credit cards? Are these cards listed in the tariff?

Section #375.515<br>May an individual shipper waive his/her right to observe each weighing? (b) If an individual shipper elects not to observe a reweighing, the shipper must waive that right in writing. The individual shipper may send the waiver notification via fax transmission; e-mail; overnight courier; or certified mail, return receipt requested.