LBC Fleet
Expert DOT Compliance and Mock Audit Services
480-779-4342
info@lbcfleet.com
lbcfleet.com
Professional mock audits • Safety rating upgrades • Driver qualification file management
DOT Audit Readiness Assessment
Updated October 2025
Comprehensive mock audit checklist for passenger and freight operations
Use this assessment to evaluate your readiness for FMCSA compliance reviews. Aligned to current rules in 49 CFR Parts 382, 385, 391, 395, and 396.
Use this assessment to evaluate your readiness for FMCSA compliance reviews. Aligned to current rules in 49 CFR Parts 382, 385, 391, 395, and 396.
Pre-Audit Preparation
Ensure key personnel are available for interviews. Organize all requested documents and designate a primary contact for the auditor. Have driver and vehicle lists readily available.
Section 1: Company Records and Documentation
MCS-90 insurance form on file and current [§387.7]
MCS-150 filed and updated within required timeframes [§390.19]
Written substance abuse policy distributed to all CDL drivers [§382.601]
Reasonable suspicion training completed for all driver supervisors [§382.603]
Accident register complete and matches SMS/CSA data [§390.15]
Annual MIS Report filed with FMCSA (due March 15) [§382.403]
Proof of compliant drug/alcohol testing consortium enrollment or minimum 50% drug/10% alcohol testing rates documented
Evidence that roadside inspection violations were corrected within required timeframes
Section 2: Substance Abuse Policy Content Verification
Required Policy Elements per 49 CFR 382.601
Verify your substance abuse policy contains all mandatory elements. Missing elements are violations.
Designated Employer Representative (DER) identified by name and contact information
Categories of drivers subject to testing clearly defined
Safety-sensitive functions explained and defined
Prohibited conduct clearly explained (drugs, alcohol use, refusal to test)
Circumstances requiring testing (pre-employment, post-accident, random, reasonable suspicion, return-to-duty, follow-up)
Testing procedures explained in detail
Requirement to submit to testing clearly stated
Consequences of refusal to test and violations explained
Consequences of alcohol concentration 0.02-0.04 explained
Effects of substance abuse on health, work, and personal life
Available methods of intervention (EAP, treatment programs)
Drug and Alcohol Clearinghouse reporting requirements explained
Section 3: Driver Qualification Files
DQ File Requirements
Use the LBC Fleet DQ File Checklist for detailed review of each driver file. Note any deficiencies with driver name and specific missing documents.
Complete DQ files maintained for all drivers per §391.51
Annual MVR inquiries completed and documented review conducted [§391.25]
Medical certification status verified for all drivers (CDL via MVR, non-CDL via medical card)
Safety Performance History inquiries completed for all drivers [§391.23]
Pre-employment drug testing completed before first safety-sensitive function [§382.301]
Drug and Alcohol Clearinghouse queries current (annual for existing drivers, pre-employment for new hires)
Section 4: Hours of Service Compliance
HOS Review Process
Select representative sample of HOS records (typically 30 days per driver). Check each record for required elements and compare against supporting documentation.
ELD system certified and listed on FMCSA registry [§395.8]
Driver training on HOS rules and ELD operation documented
Regular monitoring of HOS violations with corrective action documented
HOS records contain all required elements (date, total miles, truck/trailer numbers, driver certification, etc.)
Supporting documentation available (fuel receipts, bills of lading, trip sheets, GPS data)
Unassigned driving time reviewed and resolved promptly
No patterns of 11-hour, 14-hour, 60-hour, or 70-hour violations identified
Section 5: Vehicle Maintenance and Inspections
Maintenance files properly labeled with vehicle identification, make, VIN, year [§396.3]
Records indicate upcoming maintenance due dates and types
Complete records of inspections and repairs with dates and details
Written preventive maintenance program in place and followed
Annual inspections current for all commercial vehicles [§396.17]
Passenger carriers: 90-day inspections completed on schedule (45-day in California)
DVIR process functional with evidence of defect correction before return to service [§396.11]
Maintenance records retained for required periods (minimum 12 months for most records)
Section 6: Operational Safety and Additional Requirements
Freight carriers: Cargo securement procedures documented and followed [Part 393 Subpart I]
Hazmat carriers: Hazmat safety permits, training, and placarding procedures current [Part 172]
Driver training programs documented with completion records
Safety meetings conducted regularly with documented attendance
CSA BASIC scores monitored with intervention protocols in place
Vehicle markings comply with DOT requirements [§390.21]
Post-accident testing procedures documented and followed when required [§382.303]
Document Retention Requirements
Driver Qualification Files: Employment period + 3 yearsDrug/Alcohol Records: 5 years (test records), 2 years (training records)
Hours of Service Records: 6 months
Vehicle Maintenance Records: 12+ months (varies by record type)
Accident Register: 3 years
Annual Vehicle Inspection Records: 12+ months
Assessment Summary
All critical violations identified and corrective action planned
Staff prepared for investigator interviews and questions
Document organization system in place for efficient audit response
Follow-up plan established for identified deficiencies