For any DOT-regulated business, a surprise audit can be complicated. If your business is not prepared, then the next audit by the DOT could damage your reputation, make an impact on your financial statements, and, in worse case scenarios, even put you out of business.

The best practice to stay ahead of the curve is to prepare for a DOT audit beforehand by conducting an internal site audit on a biannual basis. These audits are extremely beneficial because they can highlight problematic areas that you may be unaware of but could be discovered during a DOT site audit. Read on to learn how to conduct a workplace safety audit so you can make DOT Audits one less concern for your company and team.

The Four Types of DOT Audits – Guiding You On How To Provide Safety In The Workplace

Before looking at best practices and the steps that should be taken when preparing for a site audit by the DOT, you should understand the differences in the four types of government transportation audits.

New Entrant Safety Audit (NESA)

This audit is the easiest to predict and prepare for. Any driver who recently obtained a USDOT number and/or an MC Number will be considered a New Entrant Motor Carrier. A monitoring period of 18 months will follow, during which time The New Entrant Safety Audit will occur – usually within the first 3 to 6 months.

The results of this audit are either “Pass” or Fail” and are a prime determinant of whether your driver’s registration will be suspended or become permanent. This audit focuses on ensuring that your business understands how to provide safety in the workplace and has adequate safety management controls to operate safely on the roadways.

Compliance Review

A DOT compliance review is the FMCSA’s way of ensuring that your company is following all safety protocols outlined by the FMCSA. Typically, this on-site audit occurs if your company has recently had:

• Poor CSA BASIC scores
• A request to change a safety rating
• A major accident
• A compliance investigation
• Roadside inspections that resulted in “out-of-service” violations
• A failed new entrant safety audit

Security Audit

A Security Audit can happen at any time and typically goes hand in hand with a Hazardous Material audit. Security Audits specifically look at your company’s safety plan, driver training program, and company security measures.

Hazardous Material Audit

This audit is only relevant for companies who haul placardable amounts of hazardous materials – requiring extra assistance on how to provide safety in the workplace. If your company falls under HazMat regulations, this audit will review all HazMat shipping papers, material safety data sheets, and hazardous materials incident records.

Tips to Ensure Your Business Is Prepared for Your Next DOT Audit:

The DOT Audit Checklist

While each of the four audits is unique, there is some common information your company should have on file if you want to know how to conduct a workplace safety audit. This information has been broken down into three areas: Drivers, Vehicles, and Carrier/Programmatic Documents.

Drivers

When considering how to practice safety in the workplace, it is best practice to ensure the following information is on-hand for each of your drivers at all times:

• Application for Employment: This is a summary of the character of your driver. It should include accident history, work history, and reasons for leaving previous employers.
• Driver’s Licenses: All drivers must have an active and compliant commercial driver’s license (or operator’s license with proper endorsements). Any driver exemptions must also be noted.
• Drivers List: You must provide the name, date of birth, license number, license state, and date of hire for each of your drivers.
• Records of Duty (ROD) and Supporting Documentation: This should outline your hours of services tracking and ties directly to the electronic logging device requirements.
• Motor Vehicle Record: You must keep a record of each driver’s MVR for the past three years at all times. These records will need to be updated every year.
• Certificate of Violations: You must list all moving violations given to your drivers throughout the past year.
• Driver’s Safety Performance History: You will need to either produce records for the past three years or show an effort of good-faith if a driver was previously with a different employer.
• Medical Certificate: Each driver must pass a physical given by a certified medical examiner every two years. Your company will always need to be able to provide documentation of this. Any waivers that your drivers have been granted must be included in this file.
• Road Test and Entry Level Driver Training Documents: You will need to supply documentation that your drivers have passed adequate driving skills evaluation.

Vehicles

During your site audit, your auditor will not only need to have your driver’s information on file but also your vehicle’s.

• Proof of Vehicle Inspections:  Each vehicle in your fleet needs to have passed a vehicle inspection within the previous 12 months and have the documentation to prove it.
• Vehicle List: This list must include the unit number, vehicle identification number, plate number, and registration number for each vehicle in your fleet.
• Vehicle Markings: Trucks need to ensure that the USDOT number and business name are visible on both sides of the truck.
• Hazardous Materials Shipping Documents: If your company ships hazardous materials, you will need to provide shipping papers and emergency response information for each load. You must keep this information on file for one year after acceptance of shipment. However, if the shipment is hazardous waste, then you will need to keep these documents on file for three years. 

Carrier/Programmatic Documents 

• Proof of Insurance: Each carrier must provide proof of a minimum of $750,000 of insurance. This number can extend up to $5,000,000 if your company ships hazardous materials or heavy freight.
• Accident Register: If your carrier has been involved in a reported crash within the last 365 days, you must provide an accident register. This record must be kept for three years after the date of the crash.
• Drug and Alcohol Program: You must be able to provide documentation of your drug and alcohol testing program at all times. This documentation should include a report of pre-employment drug and alcohol tests. You must also provide documentation that proves you have a random testing procedure in place that aligns with FMCSA regulations, along with a list of drivers in the random testing program. You must also provide proof of your alcohol misuse prevention programs and how they guide employees on how to practice safety in the workplace.

Automatic Failures

Curious about how to conduct a workplace safety audit and best practices when preparing for your DOT site audit? There are some violations which are so extreme that they oftentimes result in an automatic failure. Here are some common (but serious) violations:

1. Not having (or having an inadequate) alcohol and/or drug testing program.
2. Utilizing a driver who refused an alcohol or drug test.
3. Utilizing a driver who failed alcohol or drug test procedures and didn’t properly follow up.
4. Utilizing a driver who isn’t actively licensed with a CDL.
5. Utilizing a driver who failed their medical exam.
6. Operating a vehicle without the needed level of insurance.
7. Inadequate HOS records
8. Utilizing a vehicle without adequate inspection.

Summary – Practicing Safety in the Workplace and Being Prepared for Your Next DOT Site Audit

While it can be easy to identify some of the critical aspects to keep in mind during a site audit, it can be challenging to ensure that all of your files are adequately kept up to date and fully encompass all required information. That’s why it’s imperative to be prepared in advance with safety audit services that address any issues before the DOT or FMCSA do.

One of the best ways to ensure your business is prepared for a DOT audit is to schedule a preliminary, detailed audit with Protected at Work. Once our site safety consultants have completed the audit, we will formulate a custom plan for your organization, based on our findings, to ensure you are fully prepared for your next DOT or FMCSA audit.

Get in touch with us below to discuss scheduling a site safety audit for your company.