DOT regulations mandate strict hours of service limitations for drivers.
In 2009, there were 14,466 Department of Transportation (DOT) audits, known as Safety Compliance Reviews, conducted by federal and state inspectors at commercial vehicle facilities. Most DOT audits occur with no advance notice. Inspectors are authorized to review any aspect of DOT regulations during their visit as well as conduct employee interviews. Violations may be acute, requiring immediate corrective action, or critical, indicative of a management or operational breakdown. The best way to prepare for a DOT audit is to follow regulations, maintain proper documentation and understand what the audit process requires.
Instructions
1. Review your driver qualification and safety performance files. A DOT audit will review both of these to check your record keeping. Driver qualification files should include driver's license expiration dates, driving records, medical certificates, driver training and investigation history and road test certificates. Safety records should include proof that each driver's motor vehicle violations and driving record are reviewed at least once every 12 months.
2. Review driver log books. DOT auditors will check driver logs to verify records are accurate and complete. Drivers must adhere to the hours of service requirements and logs will be checked closely for evidence of falsification. At least six months of records need to be available for the auditor to review.
3. Review vehicle inspection reports and repair and maintenance records. A DOT audit will check to see that all vehicles are being maintained in safe and proper operating condition. The auditor will review your driver vehicle inspection reports (daily post-trip inspections) for the last 90 days as well as annual inspections, emergency equipment and inspector qualifications. Maintenance records will be reviewed to ensure any problems found during inspections have been resolved.
4. Review accident records. The DOT auditor will review your accident register forms to determine if you are maintaining an accurate record of any accidents. Even if your company has had no DOT recordable accidents, you are still required to have an accident register in place and available for review. The auditor will also check vehicle markings, driver safety training records, and proof of insurance documents.
5. Review your drug and alcohol testing program and documentation. To pass your DOT audit, you need to maintain a random testing program that meets DOT regulations and a drug and alcohol testing file for every driver. You must also have an established method of reporting drug test results. Supervisors should have completed training on recognize the signs of a driver under the influence.
6. Review your bill of material records for completeness. If your company transports hazardous materials, an audit will review your shipping records for the last six months. You may be asked for bills of lading, invoices or load tickets to verify what materials were transported. Required vehicle labeling will also be checked.
Tips Warnings
The best way to stay compliant with DOT regulations is for every driver to do their part to maintain complete and accurate records.
Conduct a mock audit periodically. This enables you to recognize and correct any problems and to train drivers on what to expect.
Don't wait until the DOT auditor is on site to gather and organize your paperwork. It's too late to correct any issues, and any violations found will result in monetary penalties.
Give the auditor the requested files only. Unsolicited information could lead to negative results if there are deficiencies you are not aware of.
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