What to expect during an audit

Anyone can be audited at any time so it’s important to know what kind of audit that will take place to adequately prepare. There are four kinds of audits which include: Compliance review, New entrant audit, Security audit, and Hazardous materials audit. 

An audit is divided into six inspection factors: 

General– The carrier is required to provide documentation of insurance and type or cargo being transported.

Driver– The carrier is required to provide documentation of the correct licensing for all drivers operating a CMV. The carrier must also maintain records of drug and alcohol testing for all drivers.

Operational– The DOT requires six months of logs and DVIRs for all drivers employed during the six month period being evaluated. These logs will be examined for HOS violations, Form and Manner errors and falsification of logs.

Vehicle–  The carrier is required to provide documentation of records for all repairs, inspections, or maintenance performed on the vehicle, the file should clearly detail the following: Company number or license plate number, Model and year, VIN or serial number, tire size, and owner (if not the motor carrier).

Hazardous Materials: The DOT requires record of any hazmat documentation.  The carrier must also submit proof of required training for transport of hazardous materials.

Accidents: The DOT requires documentation of all driver accidents and injuries for review.

Each factor is reviewed and rated Satisfactory, Conditional, or Unsatisfactory.

Automatic Failure Violations include the following: Alcohol and Drug Violations, Driver Violations, Operator Violations, Repairs and Inspection Violations.

Here’s a checklist to have ready during an audit:

__ A current copy of the Federal Motor Carrier Safety Regulations (FMCSR)

__ An up-to-date MCS-90 form showing liability insurance coverage that meets the limit required for your operation.

__ A written program/policy in place for drug and alcohol use and testing.

__ A summary of all drug and alcohol testing conducted in the past calendar year, along with the current status of any drivers who tested positive.

__ Motor vehicle records (MVRs) on all new and rehired drivers.

__ A copy of pre-employment drug tests for all drivers.

__ Proof that all drivers hold a current commercial drivers license (CDL).

__ Six months of completed driver logs on all drivers.

__ At least 14 months of valid annual inspections for all operating commercial motor vehicle equipment.

__ Complete maintenance records.

__ A current DOT security plan.

__ 90 days of post-trip inspection reports for each commercial vehicle in which defects have been found.

https://ai.fmcsa.dot.gov/NewEntrant/Data/Docs/Safety%20Audit%20Guidebook.pdf