Dot Audit Checklist

Driver Qualification

□ Driver qualification files complete
□ Valid commercial driver’s licenses
□ Medical certificates current
□ MVR checks conducted annually
□ Road test documentation
□ Training records maintained
□ Drug/alcohol testing compliant
□ Background checks completed
□ Employment verification done
□ Safety performance history obtained
□ Annual reviews conducted
□ Disqualification tracking active

Drug & Alcohol Testing

□ Testing program documented
□ Pre-employment testing done
□ Random testing conducted
□ Post-accident testing performed
□ Reasonable suspicion procedures
□ Return-to-duty testing
□ Follow-up testing scheduled
□ MRO services contracted
□ SAP services available
□ Testing records maintained
□ Clearinghouse queries done
□ Violations reported properly

Vehicle Maintenance

□ Maintenance program documented
□ Inspection schedules followed
□ Annual inspections current
□ Preventive maintenance performed
□ Repair records maintained
□ Parts/materials documented
□ Qualified mechanics used
□ Brake inspector certified
□ Out-of-service repairs tracked
□ Vehicle files organized
□ Equipment list current
□ Lease agreements documented

Hours of Service

□ Log requirements understood
□ ELD compliance verified
□ Paper logs when required
□ Supporting documents retained
□ Unassigned driving reviewed
□ Edits/annotations documented
□ Violations identified/addressed
□ Training provided
□ Monitoring system active
□ Malfunction procedures ready
□ Data transfer capable
□ Retention requirements met

Vehicle Inspection

□ Pre-trip inspections conducted
□ Post-trip reports completed
□ Defects reported properly
□ Repairs documented/signed
□ Annual inspections current
□ Periodic inspections done
□ Brake adjustments checked
□ Intermodal equipment inspected
□ Inspection reports retained
□ Out-of-service criteria known
□ Roadside inspections tracked
□ Violations corrected promptly

Hazardous Materials

□ HazMat registration current
□ Proper shipping papers
□ Placarding requirements met
□ Driver training completed
□ Security plan implemented
□ Emergency response ready
□ Packaging requirements followed
□ Marking/labeling proper
□ Loading/segregation correct
□ Incident reporting procedures
□ Permits obtained
□ Route planning done

Safety Management

□ Safety policy documented
□ Accident register maintained
□ Accident reports filed
□ Preventable determination made
□ Corrective actions taken
□ Safety meetings conducted
□ Driver training programs
□ Defensive driving promoted
□ Incident analysis performed
□ Safety metrics tracked
□ Insurance requirements met
□ CSA scores monitored

Record Keeping

□ Record retention schedule followed
□ Driver files complete
□ Vehicle files organized
□ Accident register current
□ Drug/alcohol records secure
□ Hours of service records kept
□ Inspection reports filed
□ Training documentation maintained
□ Compliance reviews documented
□ Audit findings tracked
□ Corrective actions documented
□ Supporting documents retained

Insurance & Registration

□ Operating authority active
□ Insurance coverage adequate
□ MCS-90 endorsement current
□ Vehicle registration current
□ IFTA compliance maintained
□ IRP registration active
□ UCR registration current
□ State permits obtained
□ Oversize/overweight permits
□ Cargo insurance adequate
□ Liability limits met
□ Documentation accessible

Technology & Equipment

□ ELD devices compliant
□ GPS tracking operational
□ Communication devices working
□ Safety equipment present
□ Emergency equipment ready
□ Fire extinguishers current
□ Warning devices available
□ Spare fuses carried
□ First aid supplies stocked
□ Personal protective equipment
□ Load securement devices
□ Specialized equipment maintained

Compliance Management

□ Regulatory updates tracked
□ Policy updates implemented
□ Training updates provided
□ Audit schedule maintained
□ Violations tracked/corrected
□ CSA monitoring active
□ DataQs challenges filed
□ Roadside inspection data reviewed
□ Compliance reviews prepared for
□ Legal counsel available
□ Industry standards followed
□ Best practices implemented

Fleet Operations

□ Dispatch procedures documented
□ Route planning effective
□ Load planning optimal
□ Customer requirements met
□ Communication protocols established
□ Emergency procedures ready
□ Weather monitoring active
□ Fuel management program
□ Maintenance scheduling effective
□ Driver availability tracked
□ Performance metrics monitored
□ Continuous improvement pursued