Audit-Ready Compliance

 Your step-by-step guide to staying DOT-compliant, stress-free, and prepared 365 days a year

Whether you're a new entrant or a long-time carrier, the word “audit” from the FMCSA or DOT can send chills down your spine. And rightfully so.

More than 60% of companies that fail audits lose their operating authority, pay thousands in penalties, or face mandatory Corrective Action Plans. The good news? Most of these failures are 100% preventable — with the right system.

In this article, we’ll show you how to build an audit-ready compliance program that protects your company, keeps your drivers legal, and positions your business for long-term success. And if you need a partner to manage it all? LT Advisors has your back.

Before you build your compliance system, you need to know what you’re preparing for:

• New Entrant Safety Audit (within your first 12 months)
  
• Compliance Review (routine or triggered by safety performance)
  
• Focused Review (targeted inspection of a specific area like drug testing or HOS)
  
• Hazmat or Special Authority Audits
  

Each of these audits will inspect your records, driver qualifications, safety practices, logs, and filings.

Let’s break down the must-have components of a strong, audit-ready compliance program.

Each driver must have a complete and updated DQ file. That includes:

• Employment application
  
• CDL copy and endorsements
  
• Valid medical certificate (DOT physical)
  
• MVR (Motor Vehicle Record) from every state in last 3 years
  
• Annual MVR review and certificate of violations
  
• Road test or equivalent
  
• Safety Performance History (past employers)
  
• Clearinghouse pre-employment query
  
  

❌ Common mistake: Companies often forget to do annual MVR reviews or skip the Clearinghouse query before hiring.

✅ LT Advisors audits all DQ files monthly to ensure no missing or expired documents.

You are required to:

• Enroll in a DOT-compliant testing consortium
  
• Complete pre-employment tests
  
• Participate in a random testing pool
  
• Complete post-accident, reasonable suspicion, return-to-duty testing when needed
  
• Maintain a written drug and alcohol policy
  
• Conduct and store Clearinghouse queries
  

❌ Failing to test, or not storing results, is a major FMCSA violation.

✅ LT Advisors manages your entire drug testing program and provides documented proof for audits.

Make sure you:

• Train drivers on ELD usage and exemptions
  
• Monitor for logbook violations daily
  
• Annotate all yard moves and personal conveyance
  
• Keep logs, edits, and supporting documents for 6 months
  
• Ensure logs match with trip sheets, fuel receipts, and dispatch records
  

❌ The biggest risk is falsified logs — often unintentional due to confusion or lack of annotation.

✅ We provide log auditing and driver coaching to reduce risk and keep logs clean.

Your safety files should include:

• Accident register (past 3 years)
  
• Preventative maintenance logs
  
• DVIRs (Driver Vehicle Inspection Reports)
  
• Roadside inspection reports and repairs
  
• CSA monitoring and DataQ dispute tracking
  
• Corrective Action Plans (if applicable)
  
  

❌ Most small fleets skip logging minor repairs or don’t retain DVIRs, which can hurt you during an audit.

✅ LT Advisors tracks and files all maintenance records, keeps your CSA data reviewed, and helps dispute inaccurate roadside violations.

You must stay current on:

• MCS-150 updates (every 24 months)
  
• UCR registration (yearly)
  
• IFTA/IRP filings and fuel tax reports (quarterly)
  
• BOC-3, KYU, NY HUT, NM WDT, CA permits (state-specific)
  
• Proof of insurance and operating authority
  

❌ Missing any of these can result in revoked DOT authority or suspension of IFTA/IRP plates.

✅ At LT Advisors, we keep every filing on track with alerts, deadlines, and renewals.

If you're missing records, exceed violation thresholds, or can’t provide proof of compliance, you could face:

• Written violations
  
• Out-of-service orders
  
• Civil penalties and fines
  
• A required Corrective Action Plan (CAP)
  
• Suspension or revocation of operating authority
  

We help you prepare, respond, and recover. From DataQ challenges to CAP writing, our team knows the FMCSA process inside and out.

At LT Advisors, we act like your in-house compliance team — but without the cost. We provide:

• Monthly file maintenance and audit reviews
  
• Document tracking and alerts
  
• Driver onboarding checklists and coaching
  
• Drug & alcohol program setup
  
• ELD and HOS monitoring
  
• Permit & registration filing
  
• Real-time support for audits, notices, and violations
  
  

📌 One client example: A small 5-truck carrier came to us days before their New Entrant audit. They had incomplete driver files and no DVIRs. Within 72 hours, we rebuilt their files, documented inspections, and walked them through the audit — which they passed successfully, zero penalties.

You don’t prepare for an audit after the notice arrives. You build systems that are always ready — and that’s what we specialize in.

DOT compliance isn’t about fear. It’s about control, reputation, and the freedom to grow without legal risk.

Let LT Advisors be your partner in staying safe, legal, and ahead of the curve.