DOT Audit (Compliance Review)
A DOT audit, formally known as a compliance review, is an on-site examination of a motor carrier's operations conducted by FMCSA or state safety investigators. The audit evaluates compliance with federal safety regulations covering driver qualifications, hours of service, vehicle maintenance, drug and alcohol testing, and financial responsibility. Audits can be triggered by poor CSA scores, complaints, crashes, or new carrier status.
DOT audits are one of the most consequential regulatory events a trucking company can face. During a compliance review, investigators examine the carrier's safety management controls across six regulatory areas known as the "Six Factors": general compliance, driver qualifications, operational compliance (hours of service), vehicle maintenance, hazardous materials (if applicable), and accident history. The investigator reviews driver qualification files, maintenance records, hours-of-service logs, drug and alcohol testing records, and financial responsibility documentation.
New carriers are subject to a New Entrant Safety Audit within the first 18 months of receiving operating authority. This audit is designed to verify that the carrier has the basic safety management controls in place. Failing a new entrant audit can result in revocation of operating authority before the carrier has fully established its business. Existing carriers may face audits triggered by CSA score alerts, complaints filed against the carrier, involvement in serious crashes, or random selection.
The outcome of a DOT audit is a safety rating of Satisfactory, Conditional, or Unsatisfactory. A Conditional rating means the carrier has deficiencies that must be corrected, while an Unsatisfactory rating can lead to an operations out-of-service order — effectively shutting down the carrier. The most commonly cited deficiency in DOT audits is incomplete or missing driver qualification files. Maintaining complete, current records for every driver through systematic certification tracking is the single most effective way to prepare for a DOT audit and ensure a Satisfactory rating.