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DOT Mock Audits

ITI cannot stress enough that every carrier should conduct a “Mock Audit” at least once a year. While you, as the carrier, may feel very comfortable that you are performing all aspects of the FMCSR requirements, ITI can examine all of your records and determine if you have everything needed to be compliant. There are so many items needed to be kept that it is easy to overlook one or two, which can turn out to be critical items. Overlooking critical items can lead to a “Unsatisfactory” report by the FEDs, a requirement to submit a Safety Management Plan, Corrective Action Plan and/or pay a stiff fines.

A “Mock Audit” gives you a head start in preparation for a Compliance or Focused Review by the FMCSA. ITI will ensure your records are up to date, in compliance, and within the required retention period. Records and documents the FMCSA investigator will be looking for includes but not limited to:

  • Current Driver list
  • Terminated driver list for the last 12 months
  • Driver Qualification Files
  • Power unit list
  • Trailer list
  • Vehicle Maintenance files
  • Safety Policies (Drug, HOS, Maintenance, Post-accident)
  • Supervisor Training Certificate(s)
  • Accident Register) Accident reports, Citations, ect.)
  • MCS-150
  • MCS-90 (if required)
  • Logbooks for the last 6 months
  • Fuel receipts/reports for the last 6 months
  • Pre-pass/EZ-pass transponder reports for the last 6 months
  • Vehicle inspection reports for the last 90 days (if needed)
  • Roadside inspection reports for the last 12 months
  • Names of officials and safety personnel
  • Drug and alcohol MIS report for the previous year
  • Bi-annual lab statistics for the previous year
  • Random selections, notifications, chain of custodies and result letters for the current and previous year
  • DOT Pin # for access to your SMS score
  • Inspector qualification for brake and Appendix G
  • Disciplinary policy
  • Safety Meeting Agendas

As you can see the list of items which need to be examined are numerous. Each item in each category must meet the requirements in the FMCSRs to be compliant. While a Safety Director at a carrier must ensure compliance with the FMCSRs, they have so many other details to attend to on a daily basis; it becomes overwhelming just to keep the FMCSA requirements compliant. Let ITI ensure you are prepared for that Compliance Review so that failing is not an option, and you won’t have to be submitting a check to the FMCSA for thousands of dollars.

Fines to the FMCSA have now doubled. Last year using a driver that was not in a drug and alcohol random program could produce a fine of over $4,000. ITI just was just presented a fine for a client for this violation and it was over $8,000. The old saying, “An ounce of prevention is worth a pound of cure”. Spending $1,000.00 today can save you $7,000.00 later!


National Substance Abuse
& Transportation Solution Providers
(800) 295 - 2587
(317) 271 - 2611

881 S. Girls School Rd. Indianapolis, IN 46231