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General

DOT Audit Preparation Checklist for Trucking Companies

A DOT compliance review can require a carrier to produce extensive safety and operational records. A structured internal audit helps identify gaps before an official review. Official reference: https://www.fmcsa.dot.gov/safety/compliance-reviews

  1. Review registration. Verify USDOT, operating authority, insurance, BOC-3, UCR, and applicable state registrations.
  2. Review driver records. Audit DQ files, MVRs, medical qualification, CDL information, and required training records.
  3. Review drug and alcohol records. Check testing program records and Clearinghouse documentation.
  4. Review HOS and ELD. Sample driver logs and supporting documents for compliance.
  5. Review vehicle files. Check annual inspections, maintenance, repairs, and inspection records.
  6. Document corrective actions. Create a written plan for every identified deficiency and track completion.
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