How to Prepare for a DOT Safety Audit
A DOT Safety Audit reviews whether a motor carrier has basic safety management controls in place and is following applicable Federal Motor Carrier Safety Regulations.
New interstate motor carriers generally operate under the New Entrant Safety Assurance Program during their initial monitoring period and must successfully complete a Safety Audit. FMCSA explains that new entrants must maintain current records, properly maintain their vehicles, operate safely, and pass the audit. (FMCSA)
Documents Commonly Reviewed During an Audit:
Company and Operating Information
USDOT and operating authority information.
Current insurance documentation.
Company ownership and contact information.
List of vehicles and drivers.
Applicable licenses, permits, and registrations.
Driver Qualification Files
Employment applications.
Motor vehicle records.
Previous-employer investigations.
Medical qualification documentation.
Road-test certificates or equivalents.
Annual reviews and other required qualification records.
Drug and Alcohol Testing Program
Written company policy.
Pre-employment drug test results.
Random testing program documentation.
Clearinghouse queries.
Supervisor training records, when required.
Records from the consortium or third-party administrator.
Hours-of-Service Records
ELD records or other records of duty status.
Supporting documents.
Unassigned-driving reports.
Personal-conveyance and yard-move records.
Documentation of corrections and driver certifications.
Records showing that the carrier reviews logs for violations.
Vehicle Maintenance Records
Vehicle identification information.
Preventive maintenance records.
Annual inspection reports.
Driver Vehicle Inspection Reports, when required.
Repair orders and proof that reported defects were corrected.
Roadside inspection reports and signed certifications of repair.
Accident Register
A current accident register.
Copies of required accident-related records.
Documentation showing whether an accident met the federal recordable-accident definition.
Additional Records
Depending on the carrier’s operations, the auditor may also review hazardous materials compliance, cargo securement, insurance, financial responsibility, and other operational records.
FMCSA’s Safety Audit Resource Guide is specifically designed to help carriers identify records auditors may request. (A&I Online)
Steps to Take Before the Audit
Review every driver qualification file.
Confirm that medical certifications and licenses are current.
Verify completion of pre-employment drug tests and Clearinghouse queries.
Review ELD records and supporting documents.
Correct unassigned driving and Hours-of-Service issues.
Organize vehicle maintenance and annual inspection records.
Review all roadside inspections and confirm that repairs were documented.
Update the accident register.
Make sure company policies match actual company practices.
Keep records organized and easy to retrieve.
A carrier should not create or alter records to hide noncompliance. Missing information should be addressed honestly, and the carrier should document any corrective actions it has implemented.