A DOT safety audit or FMCSA compliance review can require a trucking business to provide records, policies and other information about its operations. Preparing those records in an organized way can make the review process easier to manage.

 

Royal Trucker Taxes provides DOT audit support for owner operators, independent carriers and trucking companies. We can help you organize applicable business and compliance records and prepare for the information that may be requested during an FMCSA review.

What Is a DOT Safety Audit?

A New Entrant Safety Audit is a review of a motor carrier's records and safety management controls to assess compliance with applicable federal safety requirements. FMCSA states that new entrants are monitored during an 18-month initial period, with a Safety Audit generally conducted within 12 months after beginning operations.

 

Depending on the carrier and circumstances, the audit may be conducted onsite or electronically. Depending on the type of safety audit and the carrier's operations, auditors may review records related to drivers, vehicles, operating procedures, safety management controls and recordkeeping.

 

• Driver records
• Vehicle and inspection records
• Safety management procedures
• Hours-of-service records
• Drug and alcohol testing records, when applicable
• Insurance information
• Maintenance and inspection documentation
• Other records requested by the auditor

DOT Audit Preparation & Record Organization

Preparing for a DOT safety audit starts with understanding what records and information may be requested. Royal Trucker Taxes can help you organize applicable business and compliance records so you can identify missing or inconsistent information before an audit or review.

 

• Organize required records
• Review available documentation
• Identify missing information
• Organize business records
• Review applicable compliance documentation
• Prepare information for an auditor's request

 

Audit requirements can vary depending on the type of review and the carrier's circumstances. We help organize the information you provide, but regulatory decisions and audit findings are made by the applicable government agency.

 

If you also need help with your broader trucking business taxes and bookkeeping, learn more about our Trucking Tax Preparation and Trucking Bookkeeping Services.

Records That May Be Requested During a DOT Safety Audit

The records requested during a safety audit depend on the carrier and the type of review. FMCSA states that auditors may request documentation related to drivers, vehicles, operating procedures and recordkeeping requirements.

 

• Driver qualification records
• Hours-of-service records
• Vehicle inspection and maintenance records
• Driver and vehicle inspection documentation
• Drug and alcohol testing records, when applicable
• Insurance documentation
• Operating procedures
• Other safety-related records requested by FMCSA

 

Keeping these records organized and readily available can make it easier to respond to an audit request. Royal Trucker Taxes can help you organize the business and compliance information you provide for your review.

New Entrant Safety Audit Support

New motor carriers operating in interstate commerce may be subject to FMCSA's New Entrant Safety Assurance Program. FMCSA states that new entrants are monitored during their initial operating period and may receive a safety audit during that period.

 

Royal Trucker Taxes can help organize applicable business and compliance records so you are better prepared to respond to the documentation requests associated with an audit.

 

• New trucking companies
• New owner operators
• New interstate carriers
• Small trucking companies
• Carriers preparing for a scheduled safety audit

 

Passing or failing an FMCSA safety audit is determined by the applicable federal requirements and the findings of FMCSA or its authorized representatives. Our role is to help organize the information and records you provide.

How to Prepare for a DOT Safety Audit

Before an audit or compliance review, take time to organize the records and information that may be requested. A basic review can help you identify missing documents or inconsistent records before the audit begins.

 

Review Your Records
Gather applicable driver, vehicle, maintenance and operating records.

 

Check for Missing Information
Identify documents or records that may be incomplete or unavailable.

 

Organize Your Files
Keep applicable records organized so requested information can be located efficiently.

 

Review Your Procedures
Make sure your documented operating and safety procedures are organized and available.

 

Address Known Issues
If you identify missing or inconsistent information, determine what needs to be corrected or clarified.

 

Prepare for the Auditor's Requests
Be ready to provide the records and information requested during the applicable review.

 

Royal Trucker Taxes can help you organize the business and compliance information you provide and discuss what records may be needed for your situation. If you also need help with DOT & MC registration or truck permits and registration, you can learn more about those services.

DOT Audit FAQs

What is a DOT safety audit?
A DOT safety audit is a review of a motor carrier's safety-related records and procedures to determine whether applicable federal safety requirements are being followed.

 

What is a New Entrant Safety Audit?
A New Entrant Safety Audit is an FMCSA review conducted as part of the New Entrant Safety Assurance Program. New entrants are monitored during their initial operating period and may be selected for a safety audit.

 

What records may be requested during a DOT audit?
Depending on the audit, records may include driver qualification information, hours-of-service records, vehicle inspection and maintenance records, drug and alcohol testing records when applicable, insurance documentation and other safety-related records.

 

Can you help me prepare for a DOT audit?
Yes. Royal Trucker Taxes can help organize the business and compliance information you provide and help you prepare your records for an applicable audit or review.

 

Can you guarantee that my company will pass a DOT audit?
No. Audit findings are determined by FMCSA or its authorized representatives based on applicable requirements and the records reviewed. We can help you organize your information, but we cannot guarantee an audit outcome.

 

What happens if an auditor requests additional information?
You should respond according to the instructions and deadlines provided by the applicable agency or auditor. We can help organize the records and information you provide for your response. If the request also involves your trucking business records or tax documentation, you can learn more about our Trucking Bookkeeping Services.

Need Help Preparing for a DOT Audit?

Whether you're a new entrant, owner operator or established trucking company, Royal Trucker Taxes can help you organize the business and compliance information you provide for an applicable DOT safety audit or FMCSA review. Contact us to discuss your situation.