An auditor’s job is to see whether your random program is real, correctly rated, and documented. Here is what they ask for, the findings that sink programs, and how to be ready.
DOT agency audits (for example an FMCSA safety audit or compliance review), new-entrant reviews, complaints, and accidents can all put your testing program under the microscope. You rarely get much notice — which is why an audit-ready program is one you keep continuously, not one you build in a weekend.
A current policy covering the required elements, distributed to covered employees.
Evidence of a scientifically valid random method and the pool used for each selection.
A record/certificate for each draw showing date, method, and who was selected.
That selected employees were notified and tested (or a documented reason if not).
Results routed correctly through the MRO/DER, with refusals and positives handled per Part 40.
Annual MIS data, plus return-to-duty and follow-up documentation where applicable.
Selections you cannot show were made by a valid random method — the single most common problem.
Fewer selections than the annual minimum, or all bunched into part of the year.
No certificate for a draw, no proof of notification, or results that don’t reconcile with the MIS.
Related: How DOT random selection works · DOT MIS report guide · Recordkeeping guide
Random Pool Manager logs every draw, notification, result, and roster change — so a program can be reconstructed end to end, not just summarized.
See Random Pool Manager