Audit Support
When your company is facing a DOT audit or if you want to prepare before one occurs, CFDS can help!
We provide DOT audit support and detailed mock audits designed to identify compliance gaps and help your company correct them. Our Compliance Consultants have decades of experience with transportation safety, regulatory compliance, and the audit process. We can support your company before, during, and after an FMCSA or state investigation.
DOT AUDIT SUPPORT
Receiving notice of a DOT audit or safety investigation can create stress and place additional demands on your staff. CFDS helps you understand what the investigator is requesting, gather the required records, and prepare for the review.
Our DOT audit support may include:
- Reviewing the audit notice and document requests
- Helping you gather and organize required records
- Reviewing documents before submission
- Identifying missing or incomplete information
- Preparing management and staff for the audit
- Providing support during the investigation
- Reviewing findings and required corrective actions
- Assisting with responses and corrective action plans
CFDS provides compliance guidance and audit support. The motor carrier remains responsible for its records, submissions, and compliance with all applicable regulations.
MOCK DOT AUDITS
You do not have to wait for an official investigation to identify weaknesses in your compliance program. A CFDS mock audit provides a detailed review of your records, policies, procedures, and safety management practices before an enforcement agency becomes involved.
Virtual mock audits may also be available depending on your company’s operations, location, and ability to provide the requested records electronically.
Depending on your company’s operation, the mock audit may include:
- Driver qualification files
- Drug and alcohol testing records
- FMCSA Drug and Alcohol Clearinghouse compliance
- Hours-of-service records
- Vehicle inspection, maintenance, and repair records
- Accident registers and crash documentation
- Roadside inspections and reported violations
- Operating authority, insurance, and registration records
- Hazardous materials compliance, when applicable
- Company safety policies and recordkeeping procedures
- FMCSA safety data and Safety Measurement System performance
OUR MOCK AUDIT PROCESS
1. Company Information Questionnaire
Your Compliance Consultant will send you a data collection questionnaire to learn about your company’s operations, drivers, vehicles, commodities, operating authority, and applicable regulatory requirements. This information helps determine the scope of your mock audit.
2. Customized Document Request
After reviewing your questionnaire, your consultant will email a customized list of documents and records to have available before the scheduled mock audit.
The request may include company records and selected samples from areas such as:
- Company registration and insurance
- MCS-150 information
- Roadside inspections and accident records
- Drug and alcohol testing program
- Pre-employment and random testing records
- FMCSA Clearinghouse queries
- Driver qualification files
- Hours-of-service records or short-haul time records
- Vehicle inspection and maintenance files
- Hazardous materials records, when applicable
Your consultant may request additional records during the mock audit based on your company’s operations and the information found during the review.
3. Compliance Review
Your Compliance Consultant reviews your records, policies, procedures, and safety management practices. The consultant may also speak with management and employees to better understand how your company handles its daily compliance responsibilities.
Most mock audits take one full day. Larger or more complex operations may require two or more days.
4. Written Findings Report
After the review, your consultant completes a detailed analysis and provides a written report, typically within 7 to 10 business days.
The report identifies:
- Records that were reviewed
- Areas that appear compliant
- Missing or incomplete documentation
- Regulatory deficiencies
- Policies or procedures that need improvement
- Recommended corrective actions
- Items that may require immediate attention
5. Findings Review and Follow-Up
Your consultant reviews the report with you, explains the findings, and answers your questions. We also help you understand which corrections should receive immediate attention and which improvements can be addressed through a longer-term compliance plan.
Additional compliance support may be available if your company needs help completing corrective actions, updating policies, organizing records, or training employees.
KNOW WHERE YOUR COMPANY STANDS BEFORE THE DOT ARRIVES
A mock DOT audit can identify missing records, inconsistent procedures, and other compliance concerns while your company still has time to address them. Contact CFDS to schedule a mock audit or request support for an upcoming DOT audit or safety investigation.
MEET YOUR COMPLIANCE CONSULTANT
Please meet Lacey Priddy, your DOT Compliance Consultant. With hands-on experience as a Compliance Manager, Safety Director, and Risk Management Specialist, Lacey has worked directly with motor carriers to review compliance records, prepare for DOT audits, identify deficiencies, and improve safety management practices.