What is a DOT Audit and How to Prepare for It
DOT audits can happen with little or no warning. How stressful they are depends on how well your company follows the rules, keeps records, and stays organized. Every transportation company should always be ready for an audit, but what types of audits can occur?
Types of DOT Audits
There are four main types of DOT audits:
- New Entrant Safety Audit (NESA) – This happens within the first six months of starting a business. It checks if you are following all the necessary safety regulations.
- Compliance Review – Ensures your company is following DOT regulations and safety rules.
- Security Audit – Focuses on your safety plan, driver training, and security measures. Often linked with hazardous material audits.
- Hazardous Material Audit – Examines training, policies, shipping documents, labeling, and safety measures for transporting hazardous materials.
New Entrant Safety Audit (NESA)
New trucking companies that operate between states must pass a safety audit before getting fully registered with the USDOT. The FMCSA (Federal Motor Carrier Safety Administration) monitors new companies for their first 18 months. They check safety records using audits, roadside inspections, crash reports, and investigations.
An FMCSA-certified auditor will conduct the safety audit at the company’s location or online. The FMCSA will notify the company by phone or mail about the type of audit required.
During the audit, companies must provide documents proving they have effective safety management procedures. These records may include driver and vehicle information, operating procedures, and compliance records.
DOT Compliance Review
A compliance review is similar to a NESA audit but is done to ensure ongoing safety compliance. A Federal or State Safety Investigator will review your operations in person. Your company may undergo a compliance review if it has:
- Poor CSA BASIC scores
- Requested a safety rating change
- Been involved in a major accident
- Received complaints
- Had roadside inspections with “out-of-service” violations
- Failed a New Entrant Safety Audit
A compliance review differs from a New Entrant Safety Audit because it focuses on a company’s long-term safety and regulatory performance.
Security Audit and Hazardous Material Audit
A security audit examines your company’s safety plan, driver training, and security measures.
A hazardous materials audit reviews training, policies, shipping documents, and the proper labeling of hazardous materials. These materials are classified as substances that pose a significant risk to the public and the environment, including:
- Hazardous substances
- Hazardous wastes
- Marine pollutants
- Elevated temperature materials
- Other DOT-defined hazardous materials
DOT Inspection Categories
DOT audits cover six main areas:
- General
- Driver records
- Operational procedures
- Vehicle inspections
- Hazardous materials handling (if applicable)
- Accidents
Each category is rated as Satisfactory, Conditional, or Unsatisfactory:
- Satisfactory – The company meets all safety and regulatory requirements.
- Conditional – There are violations, but they do not pose an immediate safety risk. The company must create a “Safety Management Plan” to fix these issues.
- Unsatisfactory – Serious safety violations were found. The company must submit a corrective plan within 60 days (or 45 days for passenger/hazardous materials carriers) or risk being shut down.
Who Can be Audited?
Any commercial transportation company, driver, or vehicle operating across state lines and weighing over 10,001 lbs. must follow Federal Motor Carrier Safety Regulations (FMCSR). Companies that only operate within a single state must follow that state’s commercial vehicle laws.
What Triggers a DOT Audit?
Several situations can lead to an audit, including:
- Crashes – A serious accident, especially one involving injuries or fatalities, can trigger an immediate compliance review.
- Inspection Violations – If roadside inspections frequently result in violations or “out-of-service” orders, the FMCSA may investigate further.
- Failed NESA Audit – If a company does not pass its initial safety audit, the FMCSA may conduct a follow-up compliance review.
- Complaints – Any formal complaint filed against the company must be addressed.
- Follow-up Audits – Past audit results may require additional reviews to ensure ongoing compliance.
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
Read more: USDOT Driver Qualification (DQ) Files – Violations & Penalties | Updated August 2022
Required Process Documentation
To pass a DOT audit, a company must have clear and documented procedures in place. These include:
- An up-to-date accident register
- A disciplinary action system for drivers
- Written hiring policies
- A process for tracking drivers’ medical certificates and removing drivers with expired certificates
- A system for ensuring all commercial driver’s licenses (CDLs) remain valid
- A method for checking driver logs for accuracy
- A system for monitoring working hours to ensure compliance
What Happens If You Fail a DOT Audit?
The audit report will list violations and their severity. Consequences can range from warnings to financial penalties. In extreme cases, a company may be forced to shut down.
If a company fails, the FMCSA will send a written notice explaining the violations. The company must submit a Corrective Action Plan (CAP) detailing how it will fix the issues. The CAP must be sent to the FMCSA within the given deadline.
If a company does not submit a CAP or fails to follow through with corrective actions, it could lose its FMCSA registration and be shut down.
New companies often receive extra attention during their first months of operation. Any early violations could result in stricter, long-term monitoring by the FMCSA.
Related Articles: