We’ve been spending some time lately covering certain regulatory requirements, from proper filings to preparing for a Department of Transportation (DOT) audit. Today we want to take some more time delving into DOT audits in greater detail.
As we outlined before, if the DOT initiates an audit of your business, there are several factors they may look into. Those factors include:
- General
- Truck Driver
- Operational
- Vehicle
- Hazardous Materials
- Accidents
Each of these factors is reviewed independently, and comes with its own set of specific documents and procedures that must be reviewed. Let’s go over the first two.
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Factor One: General
This category covers the basics of operating a motor carrier. You will be required to show documentation supporting proper liability coverage. See section 387.9 of the Federal Motor Carrier Safety Regulations (FMCSR) for a complete schedule of the limits.
You will need to have forms MCS-90 or MCS-82 on the ready (section 382.9). One way to tell if you have the right forms is that they will be countersigned by an insurance provider rep.
A general review will also include a request to see your company’s accident register. Anything that meets the definition of an accident, per 390.5, or “DOT recordable accidents” will need to be in the register.
A review of the register is meant to ascertain whether the carrier is maintaining an accurate record of an accident. The record must contain the following information:
- Date of the accident
- Location (city and state)
- Driver’s name
- Number of injuries (if any)
- Number of fatalities (if any)
- Hazardous material spills other than fuel from the affected vehicles (if any)
If you do have a DOT recordable accident on the registry, it must remain there for up to three years from the date of the incident. Even if you haven’t logged a DOT recordable accident, you are still required to maintain an accident register for potential review.
You can also expect your vehicle markings to be checked. Always keep in mind that commercial vehicles must always be marked on both sides with your legal or single-trade name. You must also have your DOT-assigned number on display.
A general review will also include a look at your training records. A key thing to note here is that regulations require fleets to train more than just the truck drivers. Anyone involved in regulatory compliance must be trained on the applicable regulations.
The best way to make sure you display a good level of management control is to keep detailed records of any transportation related training materials. Records of classes and participants are also important.
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Factor Two: Truck Driver
When covering factor two, the DOT will want to see all commercial driver’s licenses (CDL), driver qualifications and drug and alcohol testing information. The CDL should also match the vehicle class and endorsements. A carrier will also be required to demonstrate that it has a means for tracking the license expiration dates.
A verifiable drug and alcohol testing program will be reviewed. Section 382.601 requires a motor carrier to have a written policy in place covering the testing program. Each truck driver should have a signed copy in their file.
The drug and alcohol testing file should be separated into four categories:
- Pre-Employment Testing
- Post-Accident Testing
- Reasonable Suspicion Testing
- Random Testing
If an employee is terminated for testing positive, make sure the records include a substance abuse professional evaluation. If rehab, return to duty, or follow-up testing was initiated in lieu of termination, all of those steps must be properly documented.
The truck driver qualification file is a very big part of factor two. Since we’ve covered what should be in that file, we won’t touch on it again here, but be sure to have everything in it completely up-to-date.
Once you’ve got the first two factors down, it’s time to move on to the next two, which we will cover in the next installment.