Why mock DOT audits are more than worth it

Why mock DOT audits are more than worth it

It’s happened to even the most diligent fleets: The Department of Transportation (DOT) comes calling to perform an audit and finds compliance violations as a result.

If your fleet wants to know if, and more importantly HOW, compliance issues are happening in your DQ files, it might be time to run a mock audit. You won’t just catch missing or expired documents; you’ll figure out how to prevent them in the first place.

Here’s why mock DOT audits make sense, and how to perform one.

You can identify recurring compliance issues

When you run an audit of your own compliance files, you’ll notice where the cracks in your armour are. If you uncover a pattern of missteps in one area, it’s a good sign there’s a weak spot in your procedures.

As an example, let’s say your mock audit uncovers a lot of expired or set-to-expire driver licenses. If so, it’s likely your team needs to tighten up the way it monitors driver documents.

Make sure your mock audit tracks how many times certain issues occur such as missing documents or FMCSA Clearinghouse queries. You’ll get a good snapshot of where your team stands on compliance.

You’ll enhance the quality of your work

Once you’ve identified where your compliance can be improved, you can figure out HOW to improve it. A mock DOT audit lets your team work backwards to determine where compliance woes began. From there, you can create a plan to prevent them in the future.

Using the example of expired licences: you may discover your system of document tracking is too complicated and prone to error. It’s possible your team hasn’t been using automated warnings, or a digital system that tracks changes and updates across in one place. If so, then implementing one or both can increase the quality of your compliance tracking.

You’ll be well - prepared when the DOT comes calling

The most basic reason to run a mock audit, of course, is to catch errors and omissions before the DOT does. An audit of your own files means you can correct any errors you may uncover, rather than face fines or worse for them. Most importantly, you can pull any noncompliant drivers from the road and reduce safety risks as a result.

So what’s the best way to perform your own audit? Let’s get right into it.

1. Make sure your team knows what to look for. A remedial training session, before you begin your mock audit, helps ensure your compliance officers are up to speed on their information. You’ll also be able to clear up any knowledge gaps while you’re at it.
2. Think like the DOT does. Once your mock audit begins, remember the key things the DOT is looking for and proceed accordingly. 
   1. Driver qualifications: make sure your driver files are complete with no expired documents.
   2. Drug and alcohol testing: these should be up-to-date and in the FMCSA Clearinghouse.
   3. Electronic Logging Device (ELD) records: your files should have a driver’s last six months proof of Hours of Service (HOS) records.
   4. Vehicle maintenance: all maintenance logs from your trucks and equipment should be in your driver files, including if you work with owner-operators.

Make sure you team checks the same things the DOT is going to check, and you’ll have a clear snapshot of the state of your compliance files.

3. Know what actions to take. If your mock DOT audit turns up any errors or missing items, make sure your team knows which steps to take next.
   1. Any drivers with expiring documents should be notified ASAP, even if you have not already done so.
   2. If any ELD records are missing, find out why.
   3. Same thing with missing drug and alcohol tests.
   4. If any of your drivers are operating with expired licenses, pull them from the road immediately!

Steps like these will help get your compliance files back in good shape, and prevent any unwanted fines, accidents or additional down time.

4. Course-correct any operational problems. Obviously, your fleet never wants to be in a position where it is reactively fixing compliance issues. One of the biggest benefits of a mock DOT audit is it allows you to proactively manage potential compliance problems. It’s often as simple as changing the operational flow in your safety and compliance department.

Here's a few tried – and – true tactics that can alleviate compliance troubles:

• As we mentioned earlier, a system of automated warnings about upcoming expiries can remind both your drivers and your team to act well in advance.
• Use one centralized tracking system to monitor your compliance files. This way, nothing is duplicated, incorrectly reported, or falls through the proverbial cracks.
• Make sure everyone on your compliance team knows exactly what their roles are. If you have a single compliance officer, consider making it their one and only task.

A mock DOT audit lets you find compliance troubles before the DOT does. Plus, a mock audit lets you patch the holes in your compliance strategy, too. Kupar’s team of experts can run mock audits for you, ID where your fleet can improve, and act as a seamless extension of your team. Give us a call today to see what we can do for you.