Audit Services

Comprehensive DOT and workplace program audits for compliance and readiness

Overview

Ensure your drug and alcohol testing program stands up to regulatory scrutiny. Our audit services evaluate policies, procedures, and records against DOT requirements (49 CFR Part 40 and Part 382) and industry best practices. We review random program administration, Clearinghouse obligations, driver files, collection partner compliance, and documentation to help you achieve audit-ready confidence. Explore related services like DOT Drug & Alcohol Testing and Supervisor Training to strengthen your overall compliance program.

What's Included

  • Compliance Review (49 CFR Part 40 & 382)
  • Policy & Procedures Assessment
  • Random Program Administration Review
  • Documentation & Recordkeeping Audit
  • Clearinghouse Compliance Checks
  • Corrective Action Recommendations

Deliverables

  • Audit Readiness Review & Gap Check
  • Document Compilation (policies, MIS Report)
  • Drug & Alcohol Paperwork
  • Driver Files
  • Live Support During Audit
  • Post-Audit Report & Prevention Checklist

Audit Service Components

Structured, end-to-end review to surface gaps, reduce risk, and strengthen compliance posture.

  • Pre-Audit Discovery: Scope confirmation, document request list, and timeline.
  • Policy & Program Review: Alignment to DOT rules and company practice.
  • Records Sampling: Randoms, post-accident, RTD/Follow-up, MRO/lab documentation.
  • Random Program Evaluation: Selections, notices, timeliness, and documentation controls.
  • Clearinghouse & DQ Files: Queries, reporting, and driver qualification file intersections.
  • Findings & Remediation: Written report, executive summary, and prioritized action plan.

Compliance You Can Trust

We interpret DOT guidance and industry standards into practical controls that withstand audits and investigations. From policy to proof, we help compile required documentation (including MIS reports), provide live audit support, and deliver a clear post-audit remediation plan so you can close gaps quickly and confidently.

Audit Services

Quick Facts

  • DOT 49 CFR Part 40 & 382 Coverage
  • Audit Readiness & Gap Check
  • MIS Report & Document Compilation
  • Live Support During Audit

Related Services

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Frequently Asked Questions All FAQs

DOT-regulated and non-DOT employers benefit from periodic audits to validate policy, program controls, and documentation before a regulator does.

Readiness review and gap analysis, policy alignment, random selections, test event records (CCFs/ATFs), Clearinghouse queries and reporting, driver files, training/record retention, and documentation compilation including MIS reports.

Typical engagements range from 2–6 weeks depending on scope, size, and document availability. Accelerated timelines are available.

Yes. You receive an executive summary and detailed findings with prioritized corrective actions and suggested owners/timelines.

Absolutely. We work with your team to implement policy changes, process controls, and documentation updates to close findings.

Current policy, random selection lists, CCFs/ATFs, result reports, refusal documentation, DER communications, MIS report (or raw data), driver rosters and qualification files, Clearinghouse query logs, and training records.

Yes. We offer remote, on-site, or hybrid models depending on your needs and data accessibility.

At least annually, or sooner after major policy, organizational, or regulatory changes.

Yes. We maintain strict confidentiality agreements and secure handling protocols for all client information.

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