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DOT & FMCSA Audit Checklist (Interactive Guide for Carriers)
Audit-Ready • Operating Authority
Clearinghouse • DATAQs • DQ Files
HOS • Maintenance • Insurance
DOT & FMCSA Audit Checklist
A carrier-focused, step-by-step audit prep tool that explains what auditors request, why it matters, and exactly where to find it — including Clearinghouse, DATAQs, driver files, HOS, maintenance, and safety controls.
• Built for carriers & safety teams
• Designed for DOT compliance audits & investigations
• Dark theme • Mobile-first
All-in-One
Audit request checklist + where-to-find
Authority-Level
Operating authority, not truck inspection
DATAQs Ready
Disputes + evidence checklist included
Clearinghouse
Consent, queries, RTD & recordkeeping
Interactive DOT & FMCSA Audit Checklist Tool
Filter the audit by category and role, expand each item for what auditors request, why it matters, and where to find it. Check items off as you gather records — your progress and notes save automatically on this device. Includes optional IFTA/IRP + Fuel Tax packet items (state compliance)—helpful to keep in the same audit binder, even if not always part of an FMCSA compliance review.
🎛️ Audit Console Drop-downs + checklists
Autosave: On
🏢 Carrier Company Profile (Exportable)
Carrier Rep completes this
These profile fields export with every download (XLS/CSV/TSV) so your carrier rep can send a complete packet tracker to compliance, owner, or insurer.
📈 Audit Readiness Progress tracker
Status: Building packet
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Items completed
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Total items
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Overall readiness
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Last saved: —
How to use
Start with Operating Authority and SMCs, then verify DQ + D&A/Clearinghouse, confirm HOS/ELD, and lock maintenance + insurance. Use DATAQs to correct FMCSA data.
🔴 MUST-HAVE
🟡 Retention
🔵 Role
Exports
Downloads include Company Profile + every checklist line item (category, title, status, notes, badges, roles). Use it as your packet tracker for audit prep, onboarding, or compliance handoffs.
XLS is generated as an Excel-compatible file (no external libraries needed).
Operating Authority & Registration
What proves your carrier authority is accurate + current
0 items
Operating Authority & Registration
What proves your carrier authority is accurate + current
USDOT/MC authority snapshot: legal name, address, phone, email, power units, drivers
🔴 MUST-HAVE
🔵 Owner/Safety
USDOT/MC authority snapshot: legal name, address, phone, email, power units, drivers
What the auditor asks
Proof your registration and carrier profile information matches reality (business identity + fleet size).
Why it matters
Mismatched data can trigger deeper review, missed notices, and compliance failures (including drug/alcohol program coverage).
Where to find it
FMCSA Portal / SAFER snapshot, your MCS-150 updates, and company records. Keep a dated PDF for your audit packet.
Common gaps
Wrong email, outdated mileage/units/drivers, address mismatch with insurance filings, incorrect operation classification.
Tip: Save a “snapshot PDF” of your authority profile anytime you update MCS-150.
Active insurance filings are current (BMC-91/91X + BOC-3 on file)
🔴 MUST-HAVE
🔵 Owner/Insurer
Active insurance filings are current (BMC-91/91X + BOC-3 on file)
What the auditor asks
Evidence required filings are active for your authority and match legal name/address.
Why it matters
Inactive or mismatched filings can suspend authority and create enforcement issues during an audit.
Where to find it
FMCSA insurance filing status (via FMCSA/SAFER view) + confirmation from your insurance agent and BOC-3 process agent.
Common gaps
Policy renewed but filing not updated; wrong entity name; address mismatch; cancellation notice missed due to bad email.
New Entrant Safety Assurance plan (if within first 18 months)
🟡 Timing
🔵 Owner/Safety
New Entrant Safety Assurance plan (if within first 18 months)
What the auditor asks
If you’re a newer carrier, proof you have required safety processes and documentation ready for review.
Why it matters
New entrants are frequently reviewed; missing basics (DQ/D&A/HOS/maintenance) is a common failure point.
Where to find it
Your safety binder SOPs, driver file checklist, drug/alcohol program enrollment, and ELD/HOS procedures.
Common gaps
No documented process; owner “knows it” but can’t prove it; incomplete driver file evidence.
Safety Management Controls
Your “proof of process” for how you stay compliant daily
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Safety Management Controls
Your “proof of process” for how you stay compliant daily
Written safety policies / SOPs (onboarding, HOS, inspections, D&A, accidents)
✅ Best practice
🔵 Safety/Owner
Written safety policies / SOPs (onboarding, HOS, inspections, D&A, accidents)
What the auditor asks
How you ensure compliance—your documented process and training expectations.
Why it matters
Audits often test whether your system prevents violations—not just whether you have records.
Where to find it
Your safety binder, employee handbook, driver onboarding packet, internal SOP docs.
Common gaps
Policies exist but aren’t used; no training acknowledgements; no change log.
Driver training records + acknowledgements (HOS, DVIR, D&A, accidents)
🟡 Retention
🔵 Safety/HR
Driver training records + acknowledgements (HOS, DVIR, D&A, accidents)
What the auditor asks
Evidence drivers were trained and understand company procedures.
Why it matters
Training supports “management control” findings; lack of training can worsen violations.
Where to find it
HR files, LMS exports, signed onboarding forms, safety meeting logs.
Common gaps
No proof of training, missing signatures, training not updated after rule changes.
Driver Qualification Files
The #1 area carriers get hit during audits
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Driver Qualification Files
The #1 area carriers get hit during audits
Driver application + 3-year employment history (complete and signed)
🔴 MUST-HAVE
🔵 HR/Safety
Driver application + 3-year employment history (complete and signed)
What the auditor asks
A complete driver application with required history and disclosures.
Why it matters
DQ files show you properly qualified and vetted the driver before dispatching.
Where to find it
Your onboarding system, HR folder, driver file binder (paper or digital).
Common gaps
Missing dates, missing signature, incomplete prior employers, unexplained gaps.
MVR: initial + annual review, documented violations + follow-up
🔴 MUST-HAVE
🟡 Annual
🔵 HR/Safety
MVR: initial + annual review, documented violations + follow-up
What the auditor asks
Proof you checked driving record initially and at least annually.
Why it matters
Failure to monitor drivers is a major compliance weakness and risk driver.
Where to find it
State DMV pulls, MVR vendor portal, safety file, annual review log.
Common gaps
Annual review missing, review not signed, no action taken for violations.
Medical certificate (current) + any required variances (if applicable)
🔴 MUST-HAVE
🟡 Expiration
🔵 HR/Safety
Medical certificate (current) + any required variances (if applicable)
What the auditor asks
Valid medical qualification proof during any driving period.
Why it matters
Drivers operating without a valid med card can trigger serious violations.
Where to find it
Driver file, medical examiner certificate copy, tracking spreadsheet, HR system.
Common gaps
Expired card, missing copy, no tracking, mismatch with CDL medical status.
Drug & Alcohol + Clearinghouse
Queries, consent, randoms, post-accident, RTD tracking
0 items
Drug & Alcohol + Clearinghouse
Queries, consent, randoms, post-accident, RTD tracking
Consortium/TPA enrollment (random pool) + program documentation
🔴 MUST-HAVE
🔵 TPA/Safety
Consortium/TPA enrollment (random pool) + program documentation
What the auditor asks
Proof you’re enrolled and conducting required testing program elements.
Why it matters
No valid D&A program is a high-severity compliance failure for CDL operations.
Where to find it
TPA portal welcome letter, random selection logs, policy packet, invoices.
Common gaps
Not in random pool, no policy, missing MIS/reporting proof, outdated contacts.
Clearinghouse pre-employment query + driver consent proof
🔴 MUST-HAVE
🔵 HR/Safety
Clearinghouse pre-employment query + driver consent proof
What the auditor asks
Proof you ran required queries and obtained consent prior to operating a CDL driver.
Why it matters
Missing queries/consent can trigger violations and questions about driver qualification.
Where to find it
Clearinghouse query history, consent screenshots, HR onboarding checklist, TPA records.
Common gaps
No consent record, query not completed, wrong driver info, incomplete documentation in file.
Clearinghouse annual limited query (or full query) + consent coverage
🔴 MUST-HAVE
🟡 Annual
🔵 Safety/HR
Clearinghouse annual limited query (or full query) + consent coverage
What the auditor asks
Annual compliance checks for each CDL driver (limited/full per process).
Why it matters
Shows ongoing monitoring—key part of compliance management controls.
Where to find it
Clearinghouse annual query reports, consent forms, TPA program logs.
Common gaps
Annual cycle missed, consent expired/not signed, no documentation retained.
Hours of Service + ELD Records
Logs, edits, exceptions, supporting docs
0 items
Hours of Service + ELD Records
Logs, edits, exceptions, supporting docs
ELD system access + audit export ability (admin credentials + export steps)
🔴 MUST-HAVE
🔵 ELD/Safety
ELD system access + audit export ability (admin credentials + export steps)
What the auditor asks
Ability to produce logs quickly for a date range and driver list; sometimes on short notice.
Why it matters
Failure to produce logs can become a violation even if you “have them.”
Where to find it
ELD provider admin portal → reports/exports; create a “how-to export” one-pager.
Common gaps
No admin access, former employee owns login, can’t export edits/malfunctions, driver list out-of-date.
Supporting documents: BOLs, dispatch records, fuel/scale receipts (retain + organized)
🟡 Retention
🔵 Dispatch/Safety
Supporting documents: BOLs, dispatch records, fuel/scale receipts (retain + organized)
What the auditor asks
Supporting docs that corroborate duty status, trip timing, and location.
Why it matters
Supporting docs are used to detect falsification or missing edits.
Where to find it
TMS/dispatch system, factoring packets, fuel card portal, scale ticket apps, email load files.
Common gaps
Docs scattered across email/text; no folder structure by driver/date; missing BOLs.
Maintenance + Inspection
PM schedules, DVIRs, annual inspections, repairs
0 items
Maintenance + Inspection
PM schedules, DVIRs, annual inspections, repairs
Annual inspection proof for each power unit/trailer (current)
🔴 MUST-HAVE
🟡 Annual
🔵 Maintenance
Annual inspection proof for each power unit/trailer (current)
What the auditor asks
Documentation of annual inspections and vehicle files.
Why it matters
Maintenance recordkeeping is a core safety area; missing annuals are a common hit.
Where to find it
Shop invoices, inspection reports, maintenance system, vehicle file binder.
Common gaps
Trailer annuals missing, inspection expired, no vehicle file organized by unit number.
Preventative maintenance program (PM schedule + completed services)
✅ Best practice
🔵 Maintenance/Safety
Preventative maintenance program (PM schedule + completed services)
What the auditor asks
Your PM system, intervals, and proof services were completed as scheduled.
Why it matters
Shows management control; prevents OOS violations and crash-risk findings.
Where to find it
Maintenance tracking sheet/software, shop history, vendor invoices, internal PM checklist.
Common gaps
No intervals defined; missing service records; unit numbers inconsistent; vendor invoices not saved.
Insurance + Financial Responsibility
COIs, policy declarations, filings confirmation
0 items
Insurance + Financial Responsibility
COIs, policy declarations, filings confirmation
Certificate of Insurance + declarations pages (current policy period)
🔴 MUST-HAVE
🔵 Insurer/Owner
Certificate of Insurance + declarations pages (current policy period)
What the auditor asks
Proof your coverage exists and aligns with your authority and fleet operations.
Why it matters
Insurance must match the legal entity and operating authority; mismatches cause major issues.
Where to find it
Agent portal/email; request a current COI and declarations PDF; save to audit folder.
Common gaps
Old COI used; wrong entity listed; missing policy endorsements; not saved after renewal.
Accident Register + Claims
Register, reports, corrective actions
0 items
Accident Register + Claims
Register, reports, corrective actions
Accident register (required log) + supporting crash documents
🔴 MUST-HAVE
🔵 Safety/Owner
Accident register (required log) + supporting crash documents
What the auditor asks
A log of accidents + reports, dates, locations, injuries, tow, citations, corrective actions.
Why it matters
Audits examine crash trends and whether your management controls prevent repeat issues.
Where to find it
Safety folder, insurer claim files, police reports, internal incident reports.
Common gaps
No register maintained; missing details; no corrective action recorded; docs scattered.
DATAQs + Safety Corrections
Fix FMCSA data that impacts your safety profile
0 items
DATAQs + Safety Corrections
Fix FMCSA data that impacts your safety profile
DATAQs sweep: identify incorrect inspections/violations/crashes that need disputes
✅ High impact
🔵 Safety/Owner
DATAQs sweep: identify incorrect inspections/violations/crashes that need disputes
What the auditor asks
They may review your FMCSA data; you should correct wrong entries before an audit deepens.
Why it matters
Incorrect violations/crashes can increase scrutiny and worsen safety measurement perception.
Where to find it
Your inspection reports, crash docs, state citations, and FMCSA public record summaries; build a “dispute list.”
Common gaps
No evidence attached, wrong dispute category, missed deadlines, poor narrative.
Evidence checklist (attach to dispute)
Photos, repair invoices, citation dismissal, inspector notes, scale slips, ELD logs, BOLs, witness statements — whatever proves the record is wrong.
Hazmat (If Applicable)
Training, security plan, placarding, incident reporting
0 items
Hazmat (If Applicable)
Training, security plan, placarding, incident reporting
Hazmat training records (general + function-specific + security awareness)
🔴 If hazmat
🔵 Safety/HR
Hazmat training records (general + function-specific + security awareness)
What the auditor asks
Training proof for employees involved in hazmat functions.
Why it matters
Hazmat audits focus heavily on training and security compliance.
Where to find it
Training provider certificates, LMS exports, signed acknowledgements.
Common gaps
Training incomplete; not refreshed; missing security components; no roster.
IFTA/IRP + Fuel Tax (Optional Packet)
State compliance docs that belong in the same binder
0 items
IFTA/IRP + Fuel Tax (Optional Packet)
State compliance docs that belong in the same binder
IFTA license + current year decals (proof + where applied)
✅ Compliance
🔵 Owner/IFTA
IFTA license + current year decals (proof + where applied)
What they ask
Proof the fleet is properly licensed for fuel tax reporting and decals are current.
Why it matters
State enforcement actions can be expensive and disrupt operations.
Where to find it
Your state IFTA account portal, IFTA license PDF, decal issuance records.
Common gaps
Decals not current, license not printed, missing unit assignment list.
Quarterly IFTA returns filed + payment confirmations (retain by quarter)
🟡 Quarterly
🔵 IFTA/Owner
Quarterly IFTA returns filed + payment confirmations (retain by quarter)
What they ask
Filed returns, miles by jurisdiction, gallons, tax due/credit, and proof of payment.
Why it matters
Missing returns or weak backup can trigger audits and assessments.
Where to find it
State IFTA portal → filings; accounting records; payment receipts.
Common gaps
No backup detail, missing payment proof, inconsistent mileage source.
Mileage source: trip sheets / ELD miles / GPS miles (by state) + reconciliation method
✅ Best practice
🔵 Dispatch/IFTA
Mileage source: trip sheets / ELD miles / GPS miles (by state) + reconciliation method
What they ask
How you calculate miles per jurisdiction and reconcile to dispatch/ELD.
Why it matters
IFTA audits focus on mileage integrity and supporting documentation.
Where to find it
ELD reports, routing/GPS reports, dispatch/TMS trip history, quarterly IFTA worksheets.
Common gaps
Manual miles with no proof, missing reconciliation notes, state breakdown not retained.
Fuel receipts / fuel card statements retained + organized (date, location, gallons)
🟡 Retention
🔵 IFTA
Fuel receipts / fuel card statements retained + organized (date, location, gallons)
What they ask
Proof of gallons purchased by jurisdiction and supporting receipt detail.
Why it matters
Credits/overpayments depend on clean documentation.
Where to find it
Fuel card portal exports, receipt imaging apps, accounting system attachments.
Common gaps
Missing receipts, illegible images, no location detail, receipts not matched to units.
IRP apportioned registration (cab card) + HVUT Form 2290 (current) retained
🔴 MUST-HAVE
🔵 Owner/IFTA
IRP apportioned registration (cab card) + HVUT Form 2290 (current) retained
What they ask
Current registration authority for interstate travel + proof of HVUT payment.
Why it matters
Missing IRP/HVUT can create enforcement issues and registration holds.
Where to find it
IRP portal/DMV mailings, cab card copies, IRS HVUT 2290 stamped schedule.
Common gaps
Cab card outdated, missing unit VIN match, 2290 not saved for each unit.
📦 Audit Packet Builder Quick win
Tip
Recommended audit packet folder structure
Create one folder for the audit date, then subfolders: 01 Authority, 02 SMC, 03 DQ Files, 04 D&A + Clearinghouse, 05 HOS/ELD, 06 Maintenance, 07 Insurance, 08 Accidents, 09 DATAQs, 10 IFTA/IRP (Optional). Save PDFs with dates in the filename (example: DQ_MVR_JSmith_2026-01-02.pdf).
This tool can’t upload files but you can paste your internal folder links in the notes fields for each item.
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