What does a safety auditor ask for first?

The first request is often less dramatic than a carrier expects. An auditor needs to establish who the carrier is, what it does, and which people and trucks are part of the operation. Start with a clear description of the business: its legal name, USDOT information, operating scope, services, equipment, and drivers. Keep the person answering questions able to explain how a load moves from dispatch to delivery.

Section 385.307 describes the safety audit. It is a review of safety-related records and practices, not merely a count of documents. The auditor may ask for the records that support driver qualification, drug and alcohol testing, hours of service, vehicle maintenance and inspections, and the accident register. The request may be narrower or broader for a particular operation. Regulations may use terms such as power units; this article uses trucks for clarity.

Driver records are a useful early checkpoint. A carrier should be able to identify each driver, show the qualification information it maintains, and explain how it checks licensing, medical status, prior employment, and required testing. The point is not to assemble a file that looks complete on the day of review. The records should reflect the carrier's real hiring and supervision process, with dates and follow-up that make sense.

Testing records require the same care. Identify which program and requirements apply to the operation, who manages testing, and where results and policy materials are kept. Do not ask a driver to recreate a test record or alter a date. If a record is missing, note the gap and find out what can be obtained from the original source. A transparent explanation is more useful than an unsupported assertion that everything is in order.

Hours-of-service records should be connected to dispatch and payroll practices. An auditor may compare duty-status information with trips, fuel, tolls, bills of lading, or other operational records. Before an audit, look for unexplained gaps, impossible travel, inconsistent dates, and a process for correcting errors. The same principle applies to maintenance: identify inspection reports, repair orders, out-of-service follow-up, and the person responsible for taking a truck off the road when necessary.

The accident register and related reports should be easy to locate. Make sure the carrier can describe how it decides what to record and how it follows up. A small fleet may have few accidents, but “none” should be an answer supported by a consistent process, not a folder that was never reviewed.

Organize records by driver, truck, and subject, then keep a simple index. Separate current records from older records that must be retained. Give the auditor the requested material in the requested format, answer the question asked, and say when you need to verify an answer. Avoid volunteering guesses or sending unrelated personal information. An auditor's request is not a signal to manufacture missing paperwork.

Monitoring under section 385.305 can precede the audit, and the determination after it is addressed in section 385.311. If a notice identifies corrective action, section 385.319 matters; sections 385.321 and 385.323 address revocation and appeals. Read the specific notice and deadlines. This guidance helps with organization, not with predicting an outcome or replacing qualified advice.

Source note: Sections 385.305, 385.307, 385.311, 385.319, 385.321, and 385.323 were read at ecfr.gov on 15 September 2026.