DOT Compliance Audit Checklist
Ensure your logistics operations are DOT compliant! Download our comprehensive checklist to avoid fines, protect drivers, and maintain safety. Covers vehicle maintenance, driver qualifications, hours of service, and more. Stay ahead of regulations - get your DOT Compliance Audit checklist now!
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Driver Qualification Files
Review driver records to ensure compliance with DOT regulations regarding hiring, training, and medical certification.
Number of Active Drivers
Date of Last Driver Qualification File Review
Sample Driver Application Form
Driver Application Process - Background Checks?
Summary of Driver Qualification Process Description
Are MVRs (Motor Vehicle Records) obtained for all drivers?
Frequency of MVR Review (e.g., annual, bi-annual)
Description of Driver Training Program (Initial & Ongoing)
Do drivers receive training on Hours of Service regulations?
Driver Hours of Service (HOS)
Verify compliance with electronic logging device (ELD) or manual logbook regulations for driver hours worked and rest periods.
Review ELD Certification Date
Number of Drivers Utilizing ELDs
Logbook Types Used (Check all that apply)
Summary of any HOS Violations Found (if any)
Number of Drivers Exceeding Daily Driving Limit
Date of Last Driver HOS Training
ELD Provider Used:
Vehicle Maintenance Records
Examine records of vehicle inspections, repairs, and preventative maintenance to ensure vehicles are safe and in compliance with DOT standards.
Last Full Vehicle Inspection Date
Mileage at Last Inspection
Summary of Maintenance Performed (including parts replaced)
Attach Vehicle Inspection Report (VIR)
Number of Preventative Maintenance (PM) Services Completed This Year
Date of Last Oil Change
Description of any recurring maintenance issues
Hours since last engine service
Vehicle Inspection Reports (VRRs)
Review driver vehicle inspection reports for completeness, accuracy, and correction of identified defects.
VRR Frequency - Days Since Last Inspection
VRR Date
Driver Comments/Notes on VRR
Defects Found (Check All That Apply)
Detailed Description of Defect(s) Found
Severity Rating (1-5, 1=Minor, 5=Critical)
Corrected By (Mechanic or Driver)
Description of Repair/Correction
Date of Repair/Correction
Upload Repair Documentation (Receipt, Invoice)
Accident Records
Assess records of accidents, incidents, and near misses, including investigations and corrective actions.
Total Number of Accidents Reported in the Audit Period
Date of Most Recent Accident Reported
Summary of Investigation Process for Accident #1 (if applicable)
Attach Police Report for Accident #1 (if applicable)
Was a Root Cause Analysis Performed for Accident #1?
Description of Corrective Actions Implemented Following Accident #1 (if applicable)
Was Driver Counseling Provided After Accident #1?
Details of any regulatory reporting related to accident #1 (e.g. Form M)
Drug and Alcohol Testing Program
Evaluate compliance with DOT drug and alcohol testing requirements, including testing procedures, recordkeeping, and policies.
Number of drivers subject to random drug testing?
Number of drivers subject to random alcohol testing?
Type of MRO used?
Date of last program review?
Description of driver education/awareness training related to drug & alcohol policy (including frequency and content)
Copy of current Drug & Alcohol Testing Policy (including procedures for positive tests, refusals, and SAP programs)
Is a Substance Abuse Professional (SAP) utilized for return-to-duty processes?
Summary of procedures for handling positive drug test results and return-to-duty processes.
Cargo Securement
Verify compliance with cargo securement regulations, including load securement techniques and equipment.
Number of Cargo Securement Devices (e.g., straps, chains, posts) per trailer/vehicle?
Working Load Limit (WLL) of Securement Devices (in pounds)?
Types of Securement Devices Used (check all that apply):
If 'Other' selected above, please specify the type of securement device used.
Are securement devices inspected before each load?
Describe the procedure for inspecting cargo securement devices.
Upload example photo of cargo securement process
Are load plans used for complex or oversized loads?
Date of last cargo securement training for drivers.
Hazardous Materials (Hazmat) Compliance (if applicable)
Assess adherence to DOT regulations pertaining to the transportation of hazardous materials, including proper classification, packaging, and placarding.
Is your company a registered Hazmat Shipper?
USDOT Hazmat Certificate Number:
Hazmat Training Completion Date (Driver 1):
Hazmat Training Recertification Date (Driver 1):
Driver Hazmat Training Certificates (Driver 1):
Hazmat Employee Designation:
If 'Other' designation selected, please specify:
Shipping Papers - Are they prepared according to 49 CFR 172.200?
Example Shipping Paper:
Recordkeeping and Retention
Ensure all required DOT records are maintained accurately, completely, and retained for the specified retention periods.
Number of Driver Qualification Files Maintained
Number of Vehicle Maintenance Records Kept
Last Review Date of Driver Qualification Files
Last Review Date of Vehicle Maintenance Records
Number of Completed Accident Reports Retained
Date of Last Audit of Record Retention Practices
Description of Record Retention Policy (Summary)
Record Storage Method (Physical/Digital/Hybrid)
Number of years driver medical cards are kept
Company Safety Program
Evaluate the effectiveness of the company's overall safety program, including policies, procedures, and training.
Describe the company's documented safety policy.
What safety training is provided to drivers?
How often are company-wide safety meetings held?
Date of last comprehensive safety program review.
Attach the most recent safety program documentation.
How are safety concerns reported by employees?
Describe the process for investigating safety incidents and near misses.
How are drivers encouraged to participate in safety improvements?
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