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USDOT AUDIT Checklist Guide

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22 views10 pages

USDOT AUDIT Checklist Guide

You and me

Uploaded by

expresspaintingandflooring
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
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USDOT Audit Checklist

This Guide Will Go Over:

What You Need to Pass Your Audits

7 Files Needed to Maintain Your Authority

16 Reasons Why Companies Fail Audits

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Checklist Info
Each of the following checkboxes will require their own file to
keep track of the mentioned documents.

Auditors like to see each section stored in it's own manila


folder. (They want to see that you are organized)

In order to see a sample of the materials needed, see the


Safety Audit Resource Guide.

This guide goes hand in hand with this Audit Checklist.

You can get the Safety Audit Guide Here:


(https://ai.fmcsa.dot.gov/NewEntrant/Data/Docs/Safety%20Audit%20Guidebook.pdf)

After the information for each checkbox, you will find the
related page number of the Safety Audit Resource Guide.

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Audit Checklist
General Documents - Company Information and
Equipment & Driver List
Insurance (MCS-90 copy filed from your insurance), predicted gross income,
Formation of Corporation, DBA filing, EIN#, Access to current copy of
FMCSRs (Federal Motor carrier Safety Regulation)
Online version: https://www.fmcsa.dot.gov/regulations/title49/b/5/3

Accident Register (365 Day Reporting Period)


Must have all reportable crash on file, a reportable crash is one in which a
vehicle was towed from the scene or an injury or fatality took place.
(See Page 11 of Safety Audit Resource Guide)

Driver Qualification File


Driver Application—( must include first and last name, date of birth, date of
hire, license number and license state & employment history), Medical Card,
CDL, Road test certification, MVR (DMV motor vehicle report)
(See Page 2 of Safety Audit Resource Guide)

Drug and Alcohol Program Enrollment


Copy of all driver test, copy of enrollment in program.
(See Page 10 of Safety Audit Resource Guide)

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Audit Checklist
(Continued)

Driver's Records of Duty & Supporting


Documents
Last 6 month of log books and supporting documents such as bill of ladings,
gas receipts, elog.
(See Page 4 of Safety Audit Resource Guide)

Vehicle List & Maintenance Documents


List of vehicles, all vehicles inspections documents (looking for last 3
months of vehicle maintance. Make sure to include Unit number, Vin#, plate
# and State.
(See Page 7 of Safety Audit Resource Guide)

Hazardous Material Documents


Proper paperwork showing hazmat compliant.
(See Page 8 of Safety Audit Resource Guide)

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7 Files
To Maintain
Your Authority
This is not a requirement to acquire your authority it is a requirement to keep your
authority ACTIVE.

- All motor carriers with an MC# will have a USDOT audit within the first 12 months of
business.
- All motor carriers are required to stay compliant and can have a USDOT audit at any
time.

There are 7 factors that DOT checks for in compliance:


(Each one should have its own Manilla Folder)

1. Company Information, Equipment + Driver List


Required Items:
- Articles of Incorporation or Organization
- EIN Letter from IRS (EIN number)
- Current Motor Carrier Identification Report (MCS-150)
- Current UCR Filing Receipt (pay unified carrier registration fee prior to December
31st)
- Driver List – List of all drivers working under your authority

2. Insurance Coverage
Required Items:
- Form MCS-90 for property carriers or MCS-908 for Hazmat/Passenger carriers
(MC#
only)
- Active insurance Policy

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7 Files
To Maintain
Your Authority (Page 2)
3. Accident Register
Required Items:
- Accident Register – Maintain a file for all accidents for a period of 3 years after
accident occurs. Include time & place of accident + drivers name and number of
injuries, fatalities.
- Accident Report – Motor Carriers required to maintain at their principal place of
business the accident report for a period of no less than 12 months from the
occurrence.
- Loss Runs – Document showing any losses or claims that your insurance company
paid out as a claim.
- CVSA (Commercial Vehicle Safety Alliance) – Post Accident Inspection, obtain a
copy
from the agency conducting the investigation
- Post Accident Drug & Alcohol Test – required anytime there is a fatality or for any
accident YOUR driver is at fault. Alcohol test must be taken within 32 hours of
occurrence

4. Driver Qualification File – Each driver


Required Items:
- Must maintain a driver qualification file for every driver.
- Auditors don’t need and don’t want to see other employee info in the Qualification
file
- The file is to be kept at the carriers principal place of business for as long as the
driver is employed and for 3 years after the driver no longer works for the carrier.
- Employers are to investigate a driver’s employment information, crash record, and
alcohol-controlled substance history from all DOT regulated employers. Investigation
must be completed within 30 days of employment.

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7 Files
To Maintain
Your Authority (Page 3)

5. Enrolled into a Drug & Alcohol Consortium. (Over 26,0001lbs)


- Consortium contract should include the eligible member of the random pool for
your company.
- Drug & Alcohol Policy – the policy should be signed by each driver to
acknowledge
they have read and agreed to its terms.
- Driver Information Booklet – The DOT requires that you provide drivers with
information on the effects of controlled substances and where they can go if
they need help.
- All Drug & Alcohol Test Results – Include pre-employment, random, post-
accident,
and reasonable suspicion test results that have been conducted by the company
to keep for proof of compliance with testing requirements. Keep all files
confidential in a secure area.
· Previous Employer Inquiry-drug & Alcohol – (Only applies if the driver was
regulated by the DOT in the past three years) Previous employers for the past 3
years must provide written consent for release of information. Records must be
maintained and remain confidential.

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16 Reasons Why Companies Fail Audits

1) Failing to implement alcohol and/or controlled substance testing


program Domestic and Motor carrier. (must be approved by FMCSA)

2) Using a driver known to have an alcohol content of 0.04 or greater


when driving (prescription included)

3) Driver who refuses to take an alcohol test. If you put them on you can
get your authority revoked.

4) Using a driver known to have tested positive for a controlled


substance.

5) Failing to a random controlled substance and/or alcohol testing


program (10,000 Fine) (Not all drug & Alcohol programs meet FMCSA
Qualification)

6) Knowingly using a driver who does not posses a Valid CDL - You
need to have a process (have a copy of the license and violations
INCLUDING YOURSELF) All fines must be paid,

7) Knowingly allowing, requiring, permitting, or authorizing an employee


with a commercial drivers license which is suspended revoked or
canceled by a state or who is disqualified to operate a commercial
motor vehicle. (YOU are responsible to check drivers license)

8) Knowingly allowing a driver who is disqualified to drive a commercial


motor vehicle. Medical and physical condition. (like they tell you there
eye site is bad and you let them drive anyways)

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16 Reasons Why Companies Fail Audits
(Cont.)
9) Having no insurance in place

10) Having no insurance in place for private passenger

11) Knowingly using a disqualified driver

12) Knowingly using a physical unqualified driver. You are required to


know the regulations

13) Failing to require a driver to make a record of duty status (must


show last 6 months) Only show them 6 months and that's it. DONT show
them the other (not required) (Be cautious about what you say.. don't
volunteer information that is not required.)

14) Requiring or permitting the operation of a commercial motor vehicle


declared "out-of-service" before repairs are made. (must have file of all
service and repairs, add notes that its taken care of)(got to show you
fixed it before you drive again, if you do the repairs after you drive again
you will be in trouble

15) Failing to correct out of service inspection report before the vehicle
is operated again. (required to keep records for 3 months if more than
one driver)

16) Using a commercial motor vehicle not periodically inspected. You


are required to keep maintenance records for your trucks. Keep a log of
services done, even if you do them your self. (It shows that you care
about being safe)

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Additional Helpful Links:
- Motor Carrier Safety Planner
(https://csa.fmcsa.dot.gov/safetyplanner/)

- New Entrant Audit Page


()

Need a USDOT/MC Authority


Insurance Quote?
Give Us A Call
(315) 239-4476

Visit
Goldriverinsurance.com
for even more helpful
information!

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