Safety & Compliance > DOT Compliance Review Checklist

The following check list is designed to assist you in preparing for a DOT safety compliance review. It does not cover every item that an auditor could note as being a violation. This list is intended to help you prepare for the majority of the major, frequently violated regulations.

Part 382 (Controlled substance and alcohol testing)

  1. Compliance program in place that includes pre-employment, random, post accident, reasonable cause testing (in addition, return to duty and followup testing, if company allows "last chance"
    2.
    • No safety sensitive functions performed until negative pre-employment results are received.
    • Random list must include all eligible employees
    • Must test at 50% annually for controlled substances, 10% for alcohol
    • Awareness training for all supervisors for "reasonable cause" testing
  2. Written policy and information packet for each driver and receipt in file
  3. Inquiry for three years' testing history sent to previous employers (within 30 days of hire)
    4.
  4. Quarterly statistical summaries on hand for past two years
    5.

Part 383 (Commercial driver license)

  1. CDL required for drivers of vehicles over 26,000 GVWR, placarded vehicles and vehicles rated to carry more than 15 passengers
  2. All licenses must be valid (note expiration dates)
    3.
  3. All drivers must have proper class of license
  4. All drivers must have air brake restriction removed if air brakes are used
  5. All drivers must have proper endorsements (doubles/triples, hazardous materials, cargo tank, passenger)

Part 387 (Financial responsibility)

  1. Make sure proper liability coverage is in place for type of carrier and type of cargo
  2. Make sure a form MCS 90 is available for review

Part 390 (General)

  1. Employee training on regulations
    2.
  2. Accident register
    3.
  3. Vehicle marking

Part 391 (Driver qualification)

  1. Every driver of vehicles rated over 10,000 must have a qualification file. File must include:
    • Application for employment
    • Inquiries to previous employers
    • Medical certificate (valid; check for expiration date)
    • Motor vehicle driving record
    • Certificate of violations and annual review of driving record
    • Road test certification (or equivalent, CDL)

Part 392 (Driving of commercial motor vehicles)

  1. Make sure your company safety policy addresses the following, and that employees are adhering:
    • Ill or fatigued operators
    • Drug and alcohol prohibitions
    • Speed limits
    • Equipment inspection
    • Safe loading
    • Railroad crossings

Part 395 (Hours of service of drivers)

  1. Record of duty status (daily log) required of every driver who operates vehicle rated over 10,000 lb.
  2. Logs must be maintained for six months
  3. Drivers are exempt if they stay within 100 mile radius, go off duty within 12 consecutive hours and return to the starting place
    4.
  4. Check for violations of the 11, 14 and 60/70 hour driving rules
  5. Keep all logs and supporting documents for six months
    6.

Part 396 (Inspection, repair and maintenance)

  1. Company must have a policy for systematic inspection, repair and maintenance; lube intervals must be followed
  2. All drivers must perform pre-trip safety check
  3. All drivers must perform written post trip safety check and prepare written vehicle inspection report
  4. Vehicle inspection reports must be maintained for 90 days
  5. Company must perform periodic (annual) inspection on every vehicle rated over 10,000 lb at least every 12 months.
  6. Original of inspection kept in office, copy in vehicle
  7. Mechanics must be "qualified" to work on brakes
    8.


    Oregon Trucking Associations, Inc.
    4005 SE Naef Rd. | Portland, OR 97267
    503.513.0005 | 503.513.0008 (fax) | 888-293-0005 | ortruck@ortrucking.org

    © 2004 Oregon Trucking Associations Inc.