DOT Audit Preparation: Complete Checklist for Carriers
What triggers a DOT audit, what auditors look for, and a complete document preparation checklist. Get ready before the FMCSA comes knocking.
What Is a DOT Audit
A DOT audit, formally called a compliance review or safety audit, is an on-site examination of your motor carrier operations by FMCSA investigators. The auditor reviews your safety management practices, documentation, and compliance with federal motor carrier safety regulations.
The outcome of the audit determines your safety rating: satisfactory, conditional, or unsatisfactory. 1 This rating becomes part of your public FMCSA record and affects your CSA profile, insurance costs, and ability to operate.
Preparation is everything. Carriers who maintain organized records and follow compliance procedures daily pass audits without difficulty. Those who scramble to assemble records after receiving notice often receive adverse findings.
What Triggers a DOT Audit
New Entrant Safety Audit
Every carrier that receives new operating authority must undergo a safety audit within 18 months. 7 This is automatic and not triggered by problems. It is simply part of the process of becoming a licensed carrier. If you have a new MC number, expect this audit.
High CSA Scores
Elevated CSA scores in any BASIC category above the intervention threshold can trigger a compliance review. The FMCSA prioritizes carriers with the highest risk profiles as measured by the Safety Measurement System.
Complaints
Complaints filed by the public, other carriers, or enforcement agencies about your operations can trigger an investigation. Complaints about safety practices, hours of service violations, or driver behavior are taken seriously.
Crash History
Involvement in serious or fatal crashes may trigger an investigation to determine whether systemic safety failures contributed to the incident.
Random Selection
The FMCSA conducts some audits through random selection, though this is less common for small carriers than triggered audits.
The 16 Regulatory Areas
DOT auditors evaluate compliance across these areas, aligned with the Federal Motor Carrier Safety Regulations:
1. Driver Qualification (49 CFR Part 391) 2
- Valid CDL with proper endorsements
- Current DOT medical certificate (Medical Examiner's Certificate)
- Completed driver application
- Background investigation and inquiries to previous employers
- Annual MVR (motor vehicle record) review
- Road test or equivalent documentation
2. Hours of Service (49 CFR Part 395) 4
- ELD compliance and proper use
- Accurate records of duty status for current and previous periods
- Supporting documents (fuel receipts, toll records, delivery receipts) that corroborate HOS logs
- Compliance with driving limits and rest requirements
3. Vehicle Maintenance (49 CFR Part 396) 3
- Systematic inspection, repair, and maintenance program
- Annual vehicle inspection reports (current and valid)
- Driver vehicle inspection reports (DVIRs)
- Maintenance records showing repairs and preventive maintenance
- Brake inspector qualifications
4. Drug and Alcohol Testing (49 CFR Part 382) 5
- Enrollment in a testing consortium (for owner operators)
- Pre-employment test results for each driver
- Random testing documentation meeting annual percentage requirements
- Post-accident, reasonable suspicion, return-to-duty, and follow-up testing records
- FMCSA Drug and Alcohol Clearinghouse queries 8
5. Insurance (49 CFR Part 387) 6
- Current certificates of insurance
- Active BMC-91 or BMC-91X filing with the FMCSA
6. Additional Areas
- Accident register (records of all DOT-reportable accidents for the past 3 years)
- USDOT number displayed on vehicles
- Hazardous materials compliance (if applicable)
- Financial responsibility documentation
- Operating authority verification
Document Preparation Checklist
Organize these documents before your audit date. Having everything readily accessible demonstrates professionalism and speeds up the review.
Driver Qualification Files
- Driver application for employment
- Inquiries to previous employers (3 years for non-CDL, 10 years for CDL)
- Annual motor vehicle record (MVR) check
- Road test certificate or equivalent
- Current medical examiner's certificate
- Medical examiner's national registry verification
- CDL copy with endorsements verified
- Certification of violations (annual)
- Drug and Alcohol Clearinghouse query results
Hours of Service Records
- ELD data for the review period (typically 6 months)
- Supporting documents matching ELD records
- Evidence of log review process
- Documentation of any ELD malfunctions and paper log backups
Vehicle Maintenance Records
- Annual inspection reports (current for all vehicles)
- Preventive maintenance schedules and completion records
- DVIRs for the review period
- Repair records and work orders
- Brake inspector qualification documentation
Drug and Alcohol Testing
- Testing consortium enrollment documentation
- Testing policy and procedures document
- Pre-employment test results for all drivers
- Random testing selection records and results
- Clearinghouse query results for all drivers
General Documents
- Insurance certificates and declarations page
- Accident register for the past 3 years
- Company safety policy documentation
- Vehicle registration and lease agreements
Audit Day: What to Expect
The auditor will arrive at your principal place of business (which may be your home office for owner operators). They will:
- Introduce themselves and explain the scope of the review
- Request access to your records
- Review documentation systematically across the regulatory areas
- Interview you about your safety management practices
- Identify any deficiencies and discuss findings
- Provide an initial assessment (formal rating may come later)
Tips for audit day:
- Be cooperative and professional
- Have all documents organized and accessible
- Answer questions honestly and directly
- Take notes on any deficiencies identified
- Ask questions about anything you do not understand
After the Audit
If deficiencies are found, you will receive documentation specifying what needs to be corrected and the timeline for correction. Address every deficiency promptly and maintain evidence of corrective actions.
A conditional rating requires you to correct deficiencies within the specified period and request an upgrade review. An unsatisfactory rating requires immediate cessation of interstate operations and aggressive corrective action.
Even with a satisfactory rating, use the audit findings to strengthen your compliance program. The areas where the auditor found minor issues are the areas most likely to cause problems in future roadside inspections.
For the regulatory framework behind DOT audits, see our FMCSA compliance guide. For understanding how audit-related data affects your safety profile, see our CSA scores guide.
Frequently Asked Questions
- How long does a DOT audit take?
- For a single-truck owner operator, a DOT audit typically takes 4-8 hours in a single day. Small fleets with 2-5 trucks may take 1-2 days. The duration depends on how organized your records are and how many deficiencies the auditor finds. Well-prepared carriers with organized documentation complete audits faster. The auditor may request additional documentation after the on-site visit, extending the process by days or weeks.
- Can I fail a DOT audit and keep operating?
- It depends on the rating. A satisfactory rating means you passed. A conditional rating means deficiencies were found but you can continue operating while you correct them within the specified timeframe. An unsatisfactory rating means your safety practices are inadequate, and you must stop operating in interstate commerce. Unsatisfactory ratings can be appealed and upgraded once deficiencies are corrected, but the process takes time and your operation is effectively shut down until resolved.
- What is the new entrant safety audit?
- Every new motor carrier must pass a safety audit within the first 18 months of receiving operating authority. This audit evaluates whether the carrier has adequate safety management controls in place. It covers 16 regulatory areas including driver qualification, hours of service, vehicle maintenance, drug and alcohol testing, and insurance. Failing to schedule or pass the new entrant audit can result in loss of operating authority.
- Can I refuse a DOT audit?
- Technically you cannot be compelled to allow auditors into your facility, but refusing or obstructing a compliance review can result in the FMCSA issuing an unsatisfactory safety rating, which prohibits you from operating in interstate commerce. Cooperation is strongly advised. If you need to reschedule, contact the auditor promptly and propose alternative dates.
- What are the most common audit findings?
- The most common deficiencies found during DOT audits include incomplete driver qualification files (missing medical certificates, MVR checks, or employment applications), inadequate vehicle maintenance records, hours of service violations in ELD data, incomplete or missing drug and alcohol testing records, and failure to have a systematic inspection and maintenance program documented. Most of these are recordkeeping failures rather than operational safety issues.
Sources & References (8)
FMCSA — 49 CFR Part 385: Safety Fitness Procedures, Including Compliance Reviews and Safety Ratings
ecfr.gov ↗FMCSA — 49 CFR Part 391: Qualifications of Drivers and Longer Combination Vehicle (LCV) Driver Instructors
ecfr.gov ↗FMCSA — 49 CFR Part 387: Minimum Levels of Financial Responsibility for Motor Carriers
ecfr.gov ↗