Compliance

DOT Audit Preparation Freight Broker Guide and Checklist

CertiAlert Team

September 01, 2025

5 min read

You want to be ready for a review and avoid surprises. DOT audit preparation freight broker can feel stressful, but with a plan it becomes a routine process you can manage with confidence.

This guide explains what triggers a review, what auditors expect to see, a ninety day preparation plan, how to organize documents, and what to do on the day of the visit and after. It includes links to FMCSA resources so you can align with the rules.

What typically triggers a DOT audit

Complaints: Items filed in the National Consumer Complaint Database can lead to a review.
Random selection: Periodic oversight can select brokers without a specific incident.
Rapid growth: A jump in load count, new locations, or new service lines.
Safety incidents involving your carriers: Serious crashes or repeated issues may prompt questions about your vetting and monitoring.

What auditors look for

Core broker records

Required items under 49 CFR 371.3 such as shipper and carrier details, compensation, freight charges, and proof of payment. Keep these for three years.

Financial responsibility

Proof of the seventy five thousand dollar bond or trust filed as BMC 84 or BMC 85. See 49 CFR 387.307.

Carrier vetting and monitoring

Evidence that you verified authority, insurance filings, and safety status before the first load and that you monitor ongoing. Use the Licensing and Insurance system and SAFER Company Snapshot.

Processes and controls

Written steps for onboarding, expiration alerts, exception handling, and how you store and protect records.

DOT audit preparation freight broker timeline ninety days

Days 1 to 30

Run a gap check against 49 CFR 371.3 and bond or trust filings.
Export a current carrier list with DOT, MC, insurance dates, and safety status.
Create or update your written compliance plan and contact tree.
Set alerts at thirty, fourteen, and seven days before insurance expiration.

Days 31 to 60

Sample test ten percent of active carrier files. Verify certificates, authority, and recent checks.
Fix issues and record corrective actions with dates and owners.
Standardize file names and move closed periods to read only storage.

Days 61 to 90

Conduct a mock review. Rebuild a recent transaction from tender to payment.
Prepare an audit packet index and a short overview of your process.
Brief the team on roles, where files live, and how to answer questions.

Document organization that works

Folder structure: Carrier name then subfolders for authority, insurance, W 9, contracts, transactions.
File format: PDFs with clear names like CarrierName Document Type YYYY MM DD.
Read only archives: Lock each closed quarter to protect history.
Index: A one page list that points auditors to each item they request.

Common audit failure points

Missing or expired insurance certificates or endorsements.
Weak evidence of carrier selection and ongoing monitoring.
Poor transaction records that do not meet 371.3 details.
Unclear change history and no owner for exceptions.

Day of audit best practices

Who should be present: One primary contact, a records lead, and a decision maker on call.
How to respond: Answer what is asked, be accurate, and provide the requested document or record. Do not speculate.
What not to volunteer: Extra files or opinions that are outside the request.
Log requests: Keep a simple log of what was asked and what you provided.
Copies not originals: Provide copies and keep your own copy of everything shared.

Post audit follow up

Create a corrective action plan with owners and due dates for each finding.
Make the fixes, update procedures, and train the team.
Schedule a thirty day and a ninety day check to confirm the changes hold.

Scenarios and how to respond

Surprise audit notification

A letter arrives with a short timeline. Acknowledge receipt, confirm the scope, freeze non essential projects, and start the ninety day plan at the current day with a daily stand up.

Scheduled audit preparation

You have a date two months out. Follow the timeline above. Use weeks 5 and 6 for file testing and weeks 7 and 8 for the mock review and team brief.

Post violation follow up audit

Bring proof of fixes, a dated change log, and examples of alerts and reviews that show the new controls in action.

Helpful references

Closing

A DOT review is manageable when you keep clean records, monitor carriers with discipline, and follow a steady checklist. Start with core records, set strong alerts, and rehearse your process. The right preparation turns the audit day into a straightforward demonstration of how you run your business.