What Happens During a DOT Audit?

How FMCSA Audits Are Triggered

FMCSA compliance reviews can be triggered by:

• Complaints: From drivers, shippers, or the public
• Accidents: Significant accidents involving your vehicles
• Safety measurement system (SMS) scores: High violation rates in the FMCSA's CSA system can flag your carrier for review
• Routine new entrant audits: All new motor carriers within 18 months of registration
• Intelligence-based reviews: FMCSA analyzes crash data and roadside inspection records

You will typically receive advance notice for a standard compliance review — usually a written notice with the scheduled date. New entrant audits may also be scheduled in advance.

What Auditors Examine

Preliminary Review

The auditor will ask for your USDOT and MC numbers, list of drivers and vehicles, and an overview of your operations before diving into records.

Driver Qualification Files

This is the most scrutinized area. The auditor will typically:

• Select a sample of driver files (often 10, or all files if you have fewer than 10)
• Check each file for every required document
• Verify medical certificates are current
• Verify MVRs were obtained from all required states
• Check Clearinghouse query documentation
• Review employment verification records

Each missing required document is a separate violation.

Drug and Alcohol Program

Auditors review:

• Written policy (does it exist and does it meet Part 382 requirements?)
• Supervisor training documentation
• Pre-employment drug test results for each driver reviewed
• Random testing program records — pool size documentation, selection records, testing rate calculation
• Post-accident testing documentation (if any qualifying accidents occurred)
• Any positive result handling — Clearinghouse reports, SAP referrals, RTD documentation

Hours of Service

ELD data or paper logs for a sample of drivers over a 6-month period. Auditors look for HOS violations, incomplete or falsified records.

Vehicle Maintenance

Inspection and maintenance records, pre-trip inspection reports, annual inspection documentation.

Accident Register

A record of all accidents involving company vehicles in the past year.

How Violations Are Rated

Violations are categorized by severity:

• Critical violations: Directly related to safety — not having a required program in place, operating a disqualified driver
• Acute violations: Single instance can result in unsatisfactory rating
• Other violations: Weight toward overall rating through a scoring system

Possible Audit Outcomes

| Rating | Meaning | |--------|---------| | Satisfactory | Programs in place and functioning | | Conditional | Deficiencies exist; corrective action plan required | | Unsatisfactory | Serious violations; may face enforcement action |

An unsatisfactory rating is serious. It can result in:

• Required corrective action plan with follow-up audit
• Increased insurance costs
• Potential out-of-service order

The Best Defense Is Ongoing Compliance

Preparing for an audit the week before it happens is never enough. Carriers with well-maintained DQ files and documented drug testing programs pass audits without significant stress.

At Do It Right Screening, we help motor carriers maintain audit-ready compliance year-round. Contact us to assess your current program and identify any gaps.