The answer to this is, yes. The following three items could influence having the DOT request an audit:
- Newly formed logistic businesses – usually, a new logistic carrier should expect a request for an audit by the DOT within 18 months of the start of the business.
- Poor roadside inspections.
- Reportable accidents.
Items the DOT will request to view may contain driver qualification files, proof of financial responsibility, an accident register report, information relating to drug testing, drivers hours records and maintenance records. One should consider keeping the driver qualification files separate from driver history files. The accident register should only consist of recordable accidents and should not include reportable accidents. Drug testing reports should consist of pre-employment, post accident, random and reasonable suspicion tests completed. Drivers’ hours records should be complete and accurate. Maintenance records should reflect the company’s maintenance policy. If the policy states routine maintenance check will be conducted every 3 months on each cab and trailer, rest assured the DOT will check to ensure a maintenance check was done at minimum once every three months. This does not include the pre and post driver inspections.
These are only a few of the items the DOT may request to view. If you feel you may be subject to a DOT audit in the near future, you may want to ensure you have the proper documentation and paperwork to aide you in having minimal issues with the Department of Transportation. If you feel you may have a problem or need further clarification, please contact your William Vaughan Company representative today.
By: Ryan Leininger, CPA