What is a DOT Audit and How to Prepare for It
DOT audits can happen with little or no notice. How stressful the process becomes depends on how well your company follows DOT regulations, keeps accurate records, and maintains compliance. Understanding what a DOT audit is, the different types, and how to prepare for a DOT audit through proper planning is key to passing successfully.
What Is a DOT Audit?
A DOT audit, also called a DOT safety audit, checks whether a company is complying with Federal Motor Carrier Safety Administration (FMCSA) regulations and Federal Motor Carrier Safety Regulations (FMCSR). During the audit, the company must show documentation such as proof of adequate insurance, proper licensing for drivers, and compliance with all drug and alcohol testing rules.
Companies are required to require drivers to follow all alcohol and drug testing procedures, including pre-employment, random drug, and random alcohol testing. Safety audits often include reviews of safety management plans, inspection reports, and driver vehicle inspection reports (DVIRs).
Auditors will send a compliance review report once the audit is completed.
Types of DOT Audits
There are four main types of DOT audits:
- New Entrant Safety Audit (NESA): Happens within the first six months of starting operations to confirm compliance with safety regulations.
- Compliance Review: Ensures long-term compliance with FMCSA and DOT regulations.
- Security Audit: Focuses on driver training, company safety plans, and security procedures.
- Hazardous Material Audit: Reviews policies, training, storage information, shipping records, and labeling procedures for hazardous materials.
DOT inspections also support the DOT audit process by identifying violations and confirming compliance. Companies must provide six months of driver logs and supporting documents. To stay organized, fleets should create centralized compliance systems and maintain proper recordkeeping of hours of service records, alcohol testing results, and driver accidents.
New Entrant Safety Audit
Any new motor carrier that operates across state lines must complete a new entrant safety audit before receiving full registration. The FMCSA monitors new entrant carriers for their first 18 months using safety audits, roadside inspections, crash reports, and investigations.
Owner operators must also pass this audit and meet the same standards as larger fleets. A certified FMCSA auditor will complete the audit either in person or online. The agency will notify the company of the audit method in advance.
Carriers must provide documentation showing they have safety procedures in place. This includes vehicle inspection reports, accident history, and procedures for drug and alcohol compliance. Documentation should also include any alcohol and drug violations, as well as required alcohol testing records.
DOT Compliance Review
A compliance review is used to evaluate a company’s ongoing safety practices. It may be triggered by poor CSA scores, complaints, roadside inspections resulting in out-of-service violations, or after failing a new entrant audit.
During the review, a state or federal safety investigator will assess your operations, including management controls and corrective action plans. This review ensures your company can maintain a strong safety record and avoid serious violations.
If at least one violation is found, your company may be rated Conditional. If serious violations are found, you may automatically fail and must submit a safety management plan that is deemed acceptable by FMCSA to correct the issues.
Security and Hazardous Material Audits
A security audit checks a company’s safety plan, driver training, and security procedures. A hazardous material audit examines shipping paperwork, proper licensing, placards, labels, and driver training. It also verifies that hazardous materials are classified correctly and that carriers maintain accurate storage information.
Property carriers must comply with all rules when transporting hazardous materials to avoid penalties and out-of-service orders.
Carriers must provide proof that drivers have completed hazardous materials training.
DOT Inspection Categories
DOT audits cover six categories:
- General
- Driver records
- Operational procedures
- Vehicle inspections
- Hazardous materials (if applicable)
- Accidents
Ratings include:
- Satisfactory: All compliance areas meet requirements.
- Conditional: At least one violation was found that does not pose an immediate risk.
- Unsatisfactory: Major violations were found, and the carrier must submit a corrective action plan within 60 days (or 45 days for passenger/hazmat carriers).
Companies must prove corrective action has been taken to avoid shutdowns or additional financial penalties.
Hours of Service and Log Requirements
DOT audits include a review of six months of hours of service logs. Carriers must ensure drivers are using ELDs to record hours accurately and flag HOS violations. Driver logs and supporting documents must be current, and hours of service records must be organized and accessible.
Who Can Be Audited?
Any commercial motor vehicle, driver, or motor carrier operating across state lines and weighing over 10,001 pounds is subject to FMCSA oversight. Carriers operating only within a single state must still follow that state’s commercial vehicle regulations.
What Triggers a DOT Audit?
Several events can trigger an audit:
- Serious crashes
- Frequent roadside violations, like tire size or braking issues
- Failing a new entrant safety audit
- Customer or employee complaints
- A request to change a safety rating
DOT audits may also be triggered by low CSA scores or safety concerns during inspections.
Vehicle Safety and Inspections
Maintaining vehicle safety is a major part of DOT compliance. Fleets should schedule regular vehicle inspections and keep up-to-date driver vehicle inspection reports (DVIRs). Safety deficiencies should be corrected quickly to prevent larger issues.
Fleet managers must train drivers to report safety concerns immediately and maintain inspection records. Failing to do so may lead to safety hazards and financial penalties incurred during audits.
CSA Scores and Compliance
CSA (Compliance, Safety, Accountability) scores help the FMCSA identify at-risk carriers. Low CSA scores can result in a DOT audit, penalties, and loss of operating authority.
Fleet managers must stay proactive by monitoring risk factors like driver violations, vehicle maintenance, and drug violations. Using compliance tools can help track CSA data and identify areas for improvement before the next audit.
Updating Driver Qualification (DQ) Files
A DOT audit will always include a review of driver qualification files. Each file should contain:
- An annual review of the driver’s safety violations
- A record of a valid road test
- Proof that the driver’s employment history was checked before hiring
- Training materials on drug and alcohol policies, with a signed receipt from the driver
- Documentation of any traffic violations within 30 days of the incident
Companies must keep these records updated and available.
Read more: USDOT Driver Qualification (DQ) Files – Violations & Penalties | Updated August 2022
Required Documentation
To pass a DOT audit, companies need:
- An updated accident register
- A system for disciplinary actions
- Hiring policies and training materials
- CDL tracking and license verification
- Drug and alcohol testing compliance
- A system for reviewing driver logs and hours
Lack of documentation may result in violations found and financial penalties.
Best Practices for DOT Audit Preparation
To prepare for a DOT audit:
- Keep accurate records and inspection reports
- Review and update hours of service records
- Conduct regular internal audits
- Train staff on DOT regulations and compliance
- Maintain vehicle and driver files
Being ready in advance can reduce stress and help you pass a DOT audit smoothly.
What If You Fail a DOT Audit?
Failing an audit may result in fines, loss of registration, or a shutdown order. The FMCSA will send a written report listing violations. Companies must respond with a corrective action plan within the deadline.
If the plan is not received or is not followed, operating authority may be revoked.
New companies are especially at risk, and early violations can lead to increased monitoring.
After the Audit
After your DOT audit, take immediate action to address any violations. Update your safety management plan, revise logs or inspection processes, and provide proof that corrective action has been taken.
Ongoing improvement and regular reviews of compliance practices will help avoid further audits and reduce the risk of financial penalties in the future.
Frequently Asked Questions (FAQ)
Most audits last between one and three days, depending on the size of your fleet and the amount of documentation to be reviewed.
Frequent violations include incomplete driver qualification files, missing hours of service records, lack of drug and alcohol testing documentation, and vehicle maintenance issues.
Yes. While new entrant audits are scheduled in advance, compliance reviews can happen with little to no notice, especially if triggered by complaints or violations.
You’ll receive a report with violations found. You must then submit a corrective action plan. Failure to do so can result in the loss of your operating authority.
You can’t entirely avoid audits, but maintaining good CSA scores, keeping accurate records, and addressing problems quickly can reduce your chances of being flagged.
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