DOT Mock Audit

Improving Your Company's Compliance With DOT/FMCSA.

DOT Mock Audit | DOT Audits | Steve Talkington Consulting

DOT Mock Audit 

If you receive a letter from the US Department of Transportation that you are scheduled for a safety audit or compliance review, do you know what documents or records that you should submit? Are you confident about your compliance with the regulations? How can you make sure that you pass the audit? That is where we come in. 

We play the role of auditors and scrutinize every aspect of your business to determine your level of compliance. At the end of the review, we will give you recommendations on how to meet the standards or fix the problem for you.

You will be asked to supply the auditors with several documents, such as driver qualification files, logbooks, electronic logging device(ELD), written hours of service records, accident register, driver vehicle inspection report(DVIR) or commonly called pre-trip and post-trip inspections. Also needed are fleet maintenance records, liability insurance, drug testing program and policies. For HAZMAT companies an auditor will look at driver training, HAZMAT registration, and a security plan.

Auditors can look at any supporting document that is used in the normal course of business such as payroll record, fuel receipt records, bills of laden, driver schedules, and various receipts.

There are different audits that your company might go through.

New Entrant Audit is a kind and gentle audit. This is for interstate carries only that operate in more than one state. This audit is performed within 18 months of going into interstate business. The auditors will look at every aspect of compliance to assure you are compliant. This is a pass or fail audit. Not having a drug program in place, not having the minimum liability insurance, will shut down your business for a period of thirty days even after those problems have been fixed.

Compliance review consists of a full review or a focused review. During the full review an auditor will look at every category of compliance. A focused review is an audit where the inspector looks at one or two categories of compliance where the motor carrier has been in violation as reflected by the CSA scores.

A hazardous materials compliance review is as stated above plus the auditor will look at driver training records, HAZMAT registration, and if needed a security plan. 

The auditors will run through your security plan and training. This goes hand-in-hand when transporting hazardous materials. You must have training for your drivers including security training, emergency response training, shipping papers training, advanced security training, and job specific training.

The security plan, if needed, is anchored on three foundations: That your company has sufficient knowledge and background to understand the level of threat; that your company has the means and know-how to spot these vulnerabilities in connection with the threats; and that you have a plan in place to address and minimize those vulnerabilities.

In the mock audit, we will replicate the process and procedures that DOT auditors follow in the actual compliance review.

Admittedly, the audit process can be stressful, especially if you are not sure about your own compliance, but a mock audit will take away some of the stress since you already know what to expect.