DOT Audit Prep

Drug and Alcohol Program Checklist

A document checklist for motor carriers organizing CDL drug and alcohol testing program records before an audit.

Who this is for
CDL employers, New authorities, Safety managers
Written by
Dale Whitfield
Reviewed by
DOT Audit Prep Editorial Team
Last reviewed
2026-05-12
Source confidence
High

Quick checklist

  • Confirm whether Part 382 applies to your drivers.
  • Save consortium or testing provider enrollment records.
  • Keep pre-employment test and query documentation where required.
  • Track random selection and test result records.
  • Save policy, training, and Clearinghouse query records where applicable.

Why this matters

Drug and alcohol records are often held by a consortium or third-party administrator. The carrier still needs to know what records exist and how to retrieve them.

What to prepare

Area Records to gather
Program setup
  • Testing policy
  • Designated employer representative contact
  • Consortium or TPA agreement
  • Random pool documentation where applicable
Driver records
  • Pre-employment records
  • Clearinghouse query records
  • Random test selection and results
  • Post-accident, reasonable suspicion, return-to-duty, or follow-up records if applicable

Common gaps

  • A carrier thinks the consortium alone keeps the audit file.
  • No proof that pre-employment steps were completed before dispatch.
  • Clearinghouse query records are not saved.
  • Random pool records are hard to match to driver dates.

Before / During / After audit

Before

  • Ask your TPA for an audit packet.
  • Match records to active and in-scope drivers.
  • Save Clearinghouse query proof where applicable.

During

  • Keep the DER or program contact reachable.
  • Provide program records in driver and program categories.
  • Note any TPA records still pending.

After

  • Store TPA packets by year.
  • Review onboarding steps before the next hire.
  • Schedule annual query reminders where applicable.

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Sources

Related resources

New Entrant Safety Audit ChecklistA focused checklist for new trucking authorities preparing for an FMCSA new entrant safety audit.Driver Qualification File ChecklistA driver qualification file checklist for trucking companies preparing DOT audit records and internal file reviews.Audit Document PacketBuild a DOT audit document packet with the driver, vehicle, HOS, drug testing, accident, and authority records auditors often request.