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DOT Audit Preparation Guide

Understand common audit preparation areas, including driver qualification files, safety logs, drug and alcohol program documents, and vehicle records.

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Receiving an audit notice can be stressful, but early organization makes the process smoother. This guide outlines what safety inspectors look for and how to prepare.

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Whether it is a New Entrant Safety Audit or a compliance review, inspectors evaluate safety management controls.

The New Entrant Program monitors new motor carriers for their first 18 months, and FMCSA may conduct a safety audit, monitor roadside inspection performance, and grant permanent authority if the carrier operates safely. Key areas of focus include driver qualification files (49 CFR Part 391), drug and alcohol testing records (Part 382), vehicle maintenance records (Part 396), hours-of-service compliance, insurance documents, and accident registers.

Compliance & Planning Checklist

  • Organize Driver Qualification Files: Medical cards, MVRs, annual reviews, applications
  • Gather Drug & Alcohol Records: Pre-employment tests, random testing reports, Clearinghouse queries
  • Prepare Vehicle Maintenance Records: Annual inspections, PM logs, repair files
  • Compile Hours-of-Service Logs: ELD records, supporting documents, timecards
  • Verify Insurance & Authority: MCS-90 form, active operating credentials
  • Maintain the Accident Register: Detailed records of any DOT-recordable crashes
  • Document Written Safety Policies: Safety procedures, training records, driver handbook
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Received an audit notice?

Lumen can help you review what the notice says, organize documents, and prepare clearer next steps.

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