DOT Compliance Review and Mock Audit  Services

What Is a DOT Mock Audit?

It's a great question! Our team of seasoned transportation consultants will visit your terminal or location to conduct a comprehensive examination of all your records, data, processes, and documentation. The mock DOT-FMCSA compliance review and audit closely mimic the real thing, covering all aspects of a genuine compliance review. Our experts meticulously evaluate more than 500 safety and compliance points, addressing critical areas such as Driver Qualification Files, Vehicle & Operational Requirements, Maintenance Records, Drugs and Alcohol Compliance, Accident Reports, Hazmat Compliance, and much more.

How Can a Mock Audit Benefit a Motor Carrier?

RoadLink Recruiters ensures that any impending audit or investigation becomes a worry-free experience. Upon the completion of our mock audit, our transportation consultants will provide a comprehensive overview of your current safety and compliance program. We'll identify strengths and weaknesses, along with detailed reports. This empowers you to take corrective action in collaboration with RoadLink Recruiters to address any areas that could potentially lead to adverse actions, fines, or other consequences. Our DOT/FMCSA Mock Compliance audits offer an innovative approach to uncover potential issues that may otherwise go unnoticed. RoadLink Recruiters immediately initiates the necessary changes to enhance safety and compliance. Let our team of Safety and Compliance Professionals establish robust safety management controls to ensure ongoing compliance and more. This proactive approach helps safeguard your CSA (Compliance, Safety, & Accountability) against future scrutiny during actual reviews, audits, or investigations by the FMCSA (Federal Motor Carrier Safety Administration).

RoadLink Recruiters on Your Side...

DOT compliance reviews, audits, and investigations can be daunting, even for seasoned carriers and personnel, and they can happen at any time. Our experienced experts will stand by your side throughout the entire review process, providing guidance and education every step of the way. You're never alone when RoadLink Recruiters is by your side.

FMCSA New Entrant Safety Audit

All new motor carriers, when initially entering the trucking industry, must undergo a DOT safety compliance audit within the first 12 months of operation as part of the new entrant program. Non-compliance in specific audit areas can result in audit failure and potential revocation of your US-DOT Registration. These audits may occur on-site or off-site and are always conducted by a certified U.S. Federal Safety Investigator or a state or provincial enforcement officer. Your managers, drivers, mechanics, and other personnel may be required to participate.

RoadLink Recruiters prepares new entrants with the tools and industry best practices to successfully complete the new entrant program and continue operations safely. Making a favorable first impression is crucial, particularly for new entrants in the transportation industry. New entrants must maintain participation in the New Entrant Safety Assurance Program by the FMCSA for 18 months and pass this audit to secure permanent operating authority.

DOT Compliance Review

Even after passing the new entrant program safety audit, you are subject to ongoing audits and reviews. If the Federal Motor Carrier Safety Administration (FMCSA) becomes concerned about your company's safety practices, they may require you to participate in a DOT Compliance review. Similar to a new entrant audit, the FMCSA ensures that you are adhering to rules and regulations defined in the Federal Motor Carrier Safety Regulations (FMCSRs), Hazardous Materials Regulations (HMRs), and other relevant requirements. A compliance review differs from a new entrance audit and can be triggered by various factors, including but not limited to:

• Accidents
• Poor CSA Scores
• Complaint(s)
• High Out-of-Service (OOS) rates
• Failed New Entrant Audit
• High Safety BASICs Thresholds
• And more

You will receive advance notice from the Federal Motor Carrier Safety Administration (FMCSA) indicating the audit will take place within a specified number of days, typically with at least 48 hours' notice.

During this period, you will be expected to provide all requested paperwork in accordance with (800) 528-8239 of the FMCSRs. This documentation can be extensive if you are not adequately prepared for the review. RoadLink Recruiters can assist you with this documentation and compliance. We are available 24/7 to provide our clients with the best possible outcome.

FMCSA Focused Review

A focused review typically occurs when one of your BASIC scores exceeds the threshold or as a follow-up after a Compliance Review (CR). The investigator concentrates solely on the records related to the demonstrated safety issue. This review may be conducted on-site or off-site but is usually an on-site process. Unlike a compliance review, a focused review does not result in a safety rating, but it may lead to fines and other consequences if areas of non-compliance are identified. If you are facing an FMCSA Focused Review, reach out to RoadLink Recruiters today.

DOT’s Hazardous Materials Review and Security Review

Hazardous Material (HM) reviews are conducted to investigate potential safety violations or complaints, or in response to a carrier's request for a change in safety rating. This module provides data for reviews conducted on motor carriers transporting hazardous materials in interstate or intrastate commerce over five fiscal or calendar years. A HM review assesses various aspects, including hazardous materials policies, training, shipping papers, placards, markings, and labeling of containers.

A Security Contact Review (SCR) is an independent assessment of a transportation entity's security posture, involving a comprehensive review of facilities, security policies, security plans, and driver files, particularly for companies transporting high-risk hazardous materials. Auditors focus on the motor carrier's security plan and training. The Department of Transportation's (DOT) Pipeline and Hazardous Materials Safety Administration (PHMSA) oversees the safe and secure transportation of hazardous materials (hazmat). Contact RoadLink Recruiters today if you are facing a review or require assistance with security planning, training, and more.

Understanding Ratings

• Satisfactory: This is the rating our industry-leading transportation consultants work alongside motor carriers to obtain or maintain. A satisfactory rating means you have functional and adequate safety management controls to meet the safety fitness standards prescribed in 49 CFR 385.5.

• Conditional: A conditional rating indicates that a motor carrier lacks adequate safety management controls to comply with safety fitness standards. The auditor may have identified violations or non-compliance with federal regulations, but the carrier has not been deemed an imminent safety hazard. This rating does not result in out-of-service status but may lead to fines and collateral consequences, including insurance premium increases, loss of liability coverage, loss of customers, and more. RoadLink Recruiters collaborates with you to remove a conditional safety rating designation. Contact RoadLink Recruiters 24/7 for assistance with corrective actions and Safety Management Plans

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• Unsatisfactory: This is a rating we strive to help our clients avoid. An unsatisfactory rating indicates that the FMCSA has identified violations posing imminent safety hazards. Alongside fines and other consequences, a carrier may face out-of-service status. RoadLink Recruiters has extensive experience in assisting carriers with this designation to develop and implement corrective action plans.

• Unrated: This rating is assigned when the carrier has undergone a focused compliance review (CR) and no safety rating has been assigned, or the motor carrier has never been assigned a rating.

Whether you've faced an audit with or without the assistance of RoadLink Recruiters, we're here to provide support for your corrective action planning. Our experienced consultants simplify the process with their expertise and knowledge. Every acute and critical violation that comes to light requires prompt attention.

Additionally, our safety experts will guide the carrier in compiling the necessary supporting documentation and evidence to strengthen the Corrective Action Plan (CAP) when submitting it to the FMCSA. Failure to submit a CAP within the specified time frames can result in the loss of a carrier's FMCSA registration.

Common Reasons for a CAP Include:

• Failing a new entrant safety audit
• Failing a compliance review
• Aiming to upgrade your safety rating

Before you risk losing your authority, don't hesitate to reach out to RoadLink Recruiters! We're here to help.