DOT mock audits are one of the best tools to determine where you stand in regard to current safety regulations and how your company would fare in an actual audit. Many of our packages include an annual mock audit and ndergoing this process is a great way to know that your company is up to date with its documentation processes and protocols.
It’s very important to remember that DOT regulations are not limited solely to trucking companies. If you are in ANY type business, including but not limited to construction, distribution, landscaping, manufacturing, etc., and you need a 10,000-lb-plus truck for any business operations, DOT regulations likely apply to your company.
It is DOT Compliance Consultants, LLC’s mission to assist our clients in establishing proper safety management controls to achieve full compliance when it comes to the established rules and regulations. This approach allows your company to help prevent accidents and minimize DOT violations. Our experts have extensive audit experience whether as a consultant or as former DOT Auditors themselves.
Our comprehensive DOT Mock Audit covers (but is not limited to):
- Driver Qualification
- Drug & Alcohol Testing
- Hours of Service
- Vehicle Maintenance
- Accident Records
Our mock audits are conducted in the same manner as a real DOT Audits, so you can know what to expect in the field and how to best protect your company and employees.
Before the Audit
- DOT Compliance Consultants, LLC will schedule a time that works best for you and your staff.
- You will send a driver & vehicle list and your DOT PIN number to DOT Compliance Consultants, LLC, (typically 5 days) prior to the audit.
- Our experts will use this information to research your operation before they come in to conduct the audit.
- You will receive an email containing a list of all the specific drivers and vehicle files that will be needed, ensuring you will have everything together ahead of time.
Day of the Audit
Remember, this is a mock audit. being as transparent as possible with the auditor will result in the most accurate assessment. Feel free to ask as many questions as needed to take away as much information from the experience as possible. Our specialists are there to teach you how the FMCSA wants to see your documentation and why they want them in a specific manner.
A DOT Compliance Consultants, LLC auditor will arrive prior to the scheduled audit time, introduce themselves and go over the specifics of how the audit will work.
Questions to ask yourself as you prepare for the mock audit:
1. Have you updated your registration (Motor Carrier Identification Report) every 2 years (or more often if your business information changes), as required by the biennial update process? — 49 CFR 390.19
2. Can you produce a current accident record for the past 12 months? — 49 CFR 390.15
3. Can you produce a current vehicle list (including unit number; vehicle identification number; vehicle make, year, model; and license plate state and number; and tire size)? — 49 CFR 396.3 10
4. . Do you have maintenance records for each of your units? — 49 CFR 396.3
5. Do you have copies of all post-trip driver vehicle inspection reports for the past 90 days? — 49 CFR 396.11
6. Do you have a list of all your current drivers, including first and last name, date of birth, date of hire, license number, and license issuing State? — 49 CFR Part 391
7. Do you have a documented road test certificate or equivalent for all drivers? — 49 CFR 391.31(e)
8. Do you have a current medical certificate for every driver? Do all non-CDL drivers have their medical certificates with them at all times? — Medical certificates for CDL drivers are electronically linked with their CDLs. 49 CFR 391.43
9. Do you have a system in place to monitor compliance with hours of service regulations? — 49 CFR 395
10. Are drug and alcohol policy training materials available to all employees? Is there a signed document acknowledging receipt of drug and alcohol policy in each employee’s file? — 49 CFR 382.601
After The Mock Audit
- Our auditor will go over your systems and processes to provide insight on any necessary improvements to get you on track.
- Additionally, a written report with the auditor’s findings and potential fines just like the DOT might cite in a actual audit. At this time, we will explain the areas that need improvement, if any, and the areas your company has sufficient compliance.
To schedule your DOT Mock Audit or to learn more about our full range of services, contact our team today.