Guidance on DOT/FMCSA Audit + Support

• New entrant safety audits and compliance audits representations 
• Records preparation and documentation 
• Personalized advice through an auditing process 
• Safety rating upgrades and investigations 
• Corrective Action Plan (CAP) 
• Notice of Claims / Civil Penalties
• Data Q challenges

DOT Audits can be conducted with little or no notice, it is extremely important to be prepared and ensure that you are in compliance with all FMCSA regulations. 

There are 3 types of audits, the first being a new entrant safety audit, compliance review, safety and focus investigation.

When a carrier opens up a DOT for the first time, they’re in what’s called a new entrant program for 18 months, usually within the first three to six months of that program you will be audited by the DOT.

Your first audit can be scary if you have to do it alone, but we will guide you through the whole process and you will pass with flying colors. Our experts will help you get ready for the follow-up inspection if you make a mistake.

Running a trucking company can be profitable and rewarding if you have the right training and follow the DOT rules. Everything will be much easier if an experienced compliance company is there to guide you.

A compliance review is basically an on-site audit of your motor carrier operations and it will determine if you are meeting the safety fitness standard. These reviews will cover all compliance areas such as:

• Hours of Service
• Maintenance & Inspections
• Driver Qualifications
• CDL requirements
• Accidents 
• Financial records
• HAZMAT materials

A safety audit is basically a review of all your motor carrier records and to verify that you have the basic safety management controls in place and you’re staying compliant with all the FMCSA regulations. 

During this audit, you will be asked to submit all documentation that verifies that you have established an effective safety management control system. The auditor may also request any documentation related to your drivers, vehicles, general operating procedures, and record-keeping requirements. 

What violations can cause you to fail a Safety Audit?

Alcohol & Drug Violations

• Not being enrolled in an alcohol and/or controlled substances testing program or random program
• Hiring a driver who refuses to take a required alcohol or controlled substances test
• Hiring a driver known to have an alcohol concentration of 0.04 or greater
• Hiring a driver who has tested positive or made any alterations or substituted a test for controlled substances

Driver Violations

• A driver without a valid Commercial Driver’s License (CDL)
• A disqualified driver
• A driver with a revoked, suspended or canceled CDL
• A medically unqualified driver

Operator Violations

• Operating a motor vehicle without having the required insurance
• Failing to require drivers to keep track of hours-of-service records (logbooks)

Repairs and Inspection Violations

• Operating an out-of-service (OOS) vehicle 
• Not performing OOS repairs reported and not reporting them in the driver-vehicle inspection reports (DVIRs)
• Operating a motor vehicle that has not been inspected

Simplex is here to guide you through all your compliance needs, especially be there for you during the time of an audit. DOT audits are very serious and can lead to heavy penalties and can cause you issues with your current insurance as well as brokers. Our experts will walk you through the audit, what’s expected and what you need to have ready, as well as we participate in the audit by your side answering any questions that you may have when the time comes.

Let Simplex with over 20 years of DOT Safety Compliance audit guidance be there for you in your time of need. Let us help you stay compliant and maintain a satisfactory rating.

Contact us today!