Guide · FMCSA audits
What happens in a DOT audit, and how to prepare
A DOT audit is a review of your safety records by FMCSA or a state partner. Most new interstate carriers get a new entrant safety audit within their first 12 months, and any carrier can get a compliance review if its safety data points to problems. Both look closely at your driver, vehicle and operating records. Here is what to expect and how to get ready.
General guidance based on FMCSA sources and 49 CFR Part 385, not legal advice. Your audit notice lists exactly what you need to provide.
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The two DOT audits most carriers meet
New entrant safety audit
New interstate carriers are monitored for 18 months under FMCSA's New Entrant Safety Assurance Program, and a safety audit is done within the first 12 months of operations. It's a review of your records to confirm you have basic safety management controls in place. It can take place at your place of business or be conducted electronically, and the result is pass or fail.
Compliance review
A compliance review is an examination of a carrier's operations, such as hours of service, maintenance and inspection, driver qualification, CDL requirements, financial responsibility, accidents and hazardous materials, to decide whether the carrier meets FMCSA's safety fitness standard (49 CFR 385.3). It can lead to a safety rating of Satisfactory, Conditional or Unsatisfactory, and to enforcement action.
| New entrant safety audit | Compliance review | |
|---|---|---|
| Who gets it | New interstate carriers in their first 18 months | Any carrier, usually when safety data points to problems |
| When | Within the first 12 months of operations | At any time |
| Where | Generally your principal place of business, or electronically | Generally your principal place of business |
| Result | Pass or fail | Can lead to a safety rating and enforcement |
What auditors ask to see
FMCSA's Safety Audit Guidebook explains the records a safety audit covers. Expect requests in these areas:
- Driver qualification files (Part 391). See our DQ file checklist.
- Hours-of-service records and supporting documents (Part 395)
- Drug and alcohol testing program records for CDL drivers (Part 382)
- Vehicle inspection, repair and maintenance records (Part 396)
- Accident register (390.15)
- Proof of insurance or financial responsibility (Part 387)
- Hazardous materials records, if you haul placarded hazmat
What causes automatic failure of a new entrant safety audit
FMCSA lists violations that cause a new entrant to fail the safety audit automatically. Driver violations count when the carrier uses the driver knowingly (source). In plain English:
Drug and alcohol
- Having no drug and alcohol testing program, or no random testing program
- Using a driver who refused a required test
- Using a driver the company knows had a blood alcohol content of 0.04 or greater
- Using a driver who didn't complete required follow-up procedures after testing positive for drugs
Drivers
- Knowingly using a driver who doesn't have a valid CDL, or whose CDL is disqualified, revoked, suspended or cancelled
- Knowingly using a driver who is medically unqualified
Operations
- Operating without the required level of insurance
- Failing to require drivers to keep hours-of-service records
Repairs and inspections
- Using a vehicle placed out of service before it has been repaired
- Not making repairs flagged as out-of-service on driver vehicle inspection reports
- Operating a commercial motor vehicle that hasn't been periodically inspected
What happens after the audit
- The auditor goes over the findings with you.
- FMCSA sends written notice of the result no later than 45 days after the audit (385.319).
- If you fail, you have 60 days from the notice to show corrective action. Passenger carriers covered by the rule and carriers hauling placarded hazmat have 45 days.
- If FMCSA doesn't accept corrective action in time, your new entrant registration is revoked and an out-of-service order takes effect (385.325).
- FMCSA's corrective action plan guidance asks carriers to submit the plan within 15 days of the notice so there's time to review it.
Check the current regulation text for the exact deadlines that apply to you.
How to prepare: a practical checklist
- Read the audit notice carefully. Note the review period, the format and the documents requested.
- Pull every driver's DQ file and check it against the DQ file checklist.
- Check each medical certificate and the date of each driver's last annual review.
- Gather inspection, repair and maintenance records for every vehicle, including periodic inspection reports. See fleet maintenance tracking.
- Collect hours-of-service records and supporting documents for the review period.
- For CDL drivers, confirm your drug and alcohol testing program enrolment, test results and Clearinghouse queries.
- Check that your insurance filings are current.
- Name one person to manage the audit and answer the auditor's questions.
Keeping records audit-ready year-round with Orange Fleet
No software can promise an audit result, but organised records make an audit far less stressful.
- Each driver has a DQ file. New hires come from Orange Fleet's online driver application, which moves through application review, HR approval, road test, medical and background check and becomes the DQ file once the driver is hired. Orange Fleet tracks those stages; you complete them with your usual providers.
- Automatic reminders go to both the driver and the fleet manager before DQ documents expire.
- Vehicle files and maintenance tracking keep each unit's records in one place.
DOT compliance software, DQ file management software, driver hiring software, see pricing.
DOT audit FAQ
What happens during a DOT audit?
An FMCSA or state auditor reviews your safety records, usually driver qualification files, hours-of-service records, drug and alcohol testing records for CDL drivers, vehicle maintenance and inspection records, the accident register and proof of insurance, then goes over the findings with you.
When does a new entrant safety audit happen?
Within the first 12 months of a new interstate carrier's operations, during an 18-month new entrant monitoring period.
What's the difference between a safety audit and a compliance review?
A new entrant safety audit checks that a new carrier has basic safety management controls and results in a pass or fail. A compliance review is a broader examination of any carrier's operations that can lead to a Satisfactory, Conditional or Unsatisfactory safety rating.
Can a safety audit be done remotely?
Yes. FMCSA can conduct a new entrant safety audit at your place of business or electronically.
What causes automatic failure?
FMCSA lists specific violations, including having no drug and alcohol testing program, knowingly using a driver without a valid CDL or who is medically unqualified, operating without required insurance, failing to require hours-of-service records, and operating vehicles that are out of service or not periodically inspected.
What happens if I fail a new entrant safety audit?
FMCSA sends written notice within 45 days. You then have 60 days (45 days for certain passenger and placarded hazmat carriers) to show corrective action, or your registration is revoked and an out-of-service order takes effect.
How should I prepare for a DOT audit?
Read the notice, check every DQ file against a checklist, confirm medical certificates and annual reviews are current, gather maintenance and inspection records, hours-of-service records and insurance documents, and name one person to manage the audit.
Will software guarantee I pass?
No. Software like Orange Fleet keeps driver and vehicle records organised and sends reminders before documents expire, but your team still needs to review the records and fix gaps.
Related guides: DQ file checklist and who needs a DQ file.