DOT COMPLIANCE AUDIT

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--- DRIVER QUALIFICATION FILES ---
[ ] Number of Active Drivers
[ ] Date of Last Driver Qualification File Review
[ ] Sample Driver Application Form
[ ] Driver Application Process - Background Checks? (Yes, No)
[ ] Summary of Driver Qualification Process Description
[ ] Are MVRs (Motor Vehicle Records) obtained for all drivers? (Yes, No)
[ ] Frequency of MVR Review (e.g., annual, bi-annual)
[ ] Description of Driver Training Program (Initial & Ongoing)
[ ] Do drivers receive training on Hours of Service regulations? (Yes, No)

--- DRIVER HOURS OF SERVICE (HOS) ---
[ ] Review ELD Certification Date
[ ] Number of Drivers Utilizing ELDs
[ ] Logbook Types Used (Check all that apply) (Electronic Logging Device (ELD), Paper Logs)
[ ] Summary of any HOS Violations Found (if any)
[ ] Number of Drivers Exceeding Daily Driving Limit
[ ] Date of Last Driver HOS Training
[ ] ELD Provider Used: (Trimble, PeopleNet, Omnitracs, KeepTruckin, Other)

--- VEHICLE MAINTENANCE RECORDS ---
[ ] Last Full Vehicle Inspection Date
[ ] Mileage at Last Inspection
[ ] Summary of Maintenance Performed (including parts replaced)
[ ] Attach Vehicle Inspection Report (VIR)
[ ] Number of Preventative Maintenance (PM) Services Completed This Year
[ ] Date of Last Oil Change
[ ] Description of any recurring maintenance issues
[ ] Hours since last engine service

--- VEHICLE INSPECTION REPORTS (VRRS) ---
[ ] VRR Frequency - Days Since Last Inspection
[ ] VRR Date
[ ] Driver Comments/Notes on VRR
[ ] Defects Found (Check All That Apply) (Brakes, Lights, Tires, Suspension, Steering, Engine, Exhaust, Body/Frame, Other)
[ ] Detailed Description of Defect(s) Found
[ ] Severity Rating (1-5, 1=Minor, 5=Critical)
[ ] Corrected By (Mechanic or Driver) (Mechanic, Driver)
[ ] Description of Repair/Correction
[ ] Date of Repair/Correction
[ ] Upload Repair Documentation (Receipt, Invoice)

--- ACCIDENT RECORDS ---
[ ] Total Number of Accidents Reported in the Audit Period
[ ] Date of Most Recent Accident Reported
[ ] Summary of Investigation Process for Accident #1 (if applicable)
[ ] Attach Police Report for Accident #1 (if applicable)
[ ] Was a Root Cause Analysis Performed for Accident #1? (Yes, No, N/A)
[ ] Description of Corrective Actions Implemented Following Accident #1 (if applicable)
[ ] Was Driver Counseling Provided After Accident #1? (Yes, No, N/A)
[ ] Details of any regulatory reporting related to accident #1 (e.g. Form M)

--- DRUG AND ALCOHOL TESTING PROGRAM ---
[ ] Number of drivers subject to random drug testing?
[ ] Number of drivers subject to random alcohol testing?
[ ] Type of MRO used? (Certified MRO, Medical Review Officer Service, Company Employee (Not Certified))
[ ] Date of last program review?
[ ] Description of driver education/awareness training related to drug & alcohol policy (including frequency and content)
[ ] Copy of current Drug & Alcohol Testing Policy (including procedures for positive tests, refusals, and SAP programs)
[ ] Is a Substance Abuse Professional (SAP) utilized for return-to-duty processes? (Yes, No)
[ ] Summary of procedures for handling positive drug test results and return-to-duty processes.

--- CARGO SECUREMENT ---
[ ] Number of Cargo Securement Devices (e.g., straps, chains, posts) per trailer/vehicle?
[ ] Working Load Limit (WLL) of Securement Devices (in pounds)?
[ ] Types of Securement Devices Used (check all that apply): (Straps, Chains, Posts, Blocking, Edge Protection, Other (Specify in Long Text))
[ ] If 'Other' selected above, please specify the type of securement device used.
[ ] Are securement devices inspected before each load? (Yes, No, Not Applicable)
[ ] Describe the procedure for inspecting cargo securement devices.
[ ] Upload example photo of cargo securement process
[ ] Are load plans used for complex or oversized loads? (Yes, No, Not Applicable)
[ ] Date of last cargo securement training for drivers.

--- HAZARDOUS MATERIALS (HAZMAT) COMPLIANCE (IF APPLICABLE) ---
[ ] Is your company a registered Hazmat Shipper? (Yes, No)
[ ] USDOT Hazmat Certificate Number:
[ ] Hazmat Training Completion Date (Driver 1):
[ ] Hazmat Training Recertification Date (Driver 1):
[ ] Driver Hazmat Training Certificates (Driver 1):
[ ] Hazmat Employee Designation: (Security Plan Coordinator, Emergency Response Coordinator, Training Coordinator, Shipping Paper Preparer, Other (Specify in LONG_TEXT))
[ ] If 'Other' designation selected, please specify:
[ ] Shipping Papers - Are they prepared according to 49 CFR 172.200? (Yes, No, N/A)
[ ] Example Shipping Paper:

--- RECORDKEEPING AND RETENTION ---
[ ] Number of Driver Qualification Files Maintained
[ ] Number of Vehicle Maintenance Records Kept
[ ] Last Review Date of Driver Qualification Files
[ ] Last Review Date of Vehicle Maintenance Records
[ ] Number of Completed Accident Reports Retained
[ ] Date of Last Audit of Record Retention Practices
[ ] Description of Record Retention Policy (Summary)
[ ] Record Storage Method (Physical/Digital/Hybrid) (Physical, Digital, Hybrid)
[ ] Number of years driver medical cards are kept

--- COMPANY SAFETY PROGRAM ---
[ ] Describe the company's documented safety policy.
[ ] What safety training is provided to drivers? (Defensive Driving, Cargo Securement, Hours of Service, Hazardous Materials (Hazmat), Drug and Alcohol Awareness, Accident Reporting, Other (Specify in LONG_TEXT))
[ ] How often are company-wide safety meetings held?
[ ] Date of last comprehensive safety program review.
[ ] Attach the most recent safety program documentation.
[ ] How are safety concerns reported by employees? (Directly to Management, Through a Safety Committee, Anonymous Reporting System, Other (Specify in LONG_TEXT))
[ ] Describe the process for investigating safety incidents and near misses.
[ ] How are drivers encouraged to participate in safety improvements? (Suggestion Box, Safety Incentive Programs, Feedback Sessions, Other (Specify in LONG_TEXT))

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