DOT Audit Checklist

A DOT Audit Checklist will help you prepare for an upcoming DOT audit. If you don’t have a DOT audit coming up, then using one will help make sure that you’re “audit ready”!

A DOT (Department of Transportation) audit—also known as a compliance review—is an in-depth evaluation of your trucking company safety program and regulatory compliance. Audits may be triggered by poor FMCSA Safety Measurement System (SMS) scores, new-entrant checks, random selections, complaints, or recent accidents.

To pass a compliance review, you must demonstrate adequate safety management controls, including clear policies and thorough records.

What is a DOT Audit?

A DOT audit is also known as a compliance review or an FMCSA audit. This a thorough examination of your trucking company’s safety and compliance programs.

Over the last few years, DOT audits have increasingly been completed online. In the past, it usually involved a State trooper or FMCSA special agent visiting you in person. Even though online audits are less stressful, they are still very intensive.

Why do I need a DOT Audit Checklist?

Each area of your fleet safety management program will be evaluated during an FMCSA safety audit.

Prior to your audit, it’s important to review each area of compliance. Doing so will help ensure that you are well prepared for the upcoming examination. By using our DOT Audit checklist, you can seriously reduce the amount of stress that you’ll face when the FMCSA comes calling!

Increasingly, the FMCSA has been focusing on the Crash and Unsafe Driving CSA BASIC areas, but the Driver Fitness, Hours of Service and Vehicle Maintenance areas are still being reviewed regularly.

Here’s a brief overview of the areas that will be reviewed during a DOT audit:

General Company Information

Make sure these are current and accessible:

• USDOT Number Info and Operating Authority (active status)
• Proof of Insurance (Form MCS-90)
• List of vehicles with unit numbers and VINs
• List of current drivers and their roles (e.g., CDL, non-CDL, IC)

Driver Qualification Files (DQFs)

You can almost certainly tell who will be selected for review ahead of time. Just use your DOT PIN to log in to your FMCSA CSA website. Take a look at all of the violations received over the last 24 months and review your crashes. Any driver who received a violation or was involved in a crash is a prime candidate for a DQF review. All driver’s files should be in good shape, but make sure that these driver qualification files are spotless!

Each driver should have a complete DQ file, including:

• Driver’s application for employment
• Motor Vehicle Record (MVR) — initial and annual
• Medical examiner’s certificate (DOT card)
• Copy of CDL or driver’s license
• Road test certificate or equivalent
• Driver’s certificate of violations (past 12 months)
• Annual review of driving record
• Entry-level driver training certificates (if applicable)
• Signed release for background checks

Hours of Service (HOS) Records

Outside of Vehicle Maintenance, Hours of Service is one of the toughest areas of DOT compliance to effectively manage and remains some of the top DOT audit violations.

Be sure to regularly review (and take action on) the 4 major reports that most ELD systems can provide:

• Hours Violations
• Personal Conveyance Use
• Unidentified Driving Time
• ELD Disconnects

During an audit, be prepared to provide the following:

• ELD records for the past 6 months
• Driver logs or time records
• HOS Supporting documents (fuel receipts, tolls, etc.)
• HOS violation tracking or log audits (if performed)

Vehicle Maintenance Files

Vehicle Maintenance is probably the hardest safety and DOT compliance area to manage effectively. This is especially true if you have leased drivers or owner-operators.

You must have documentation for every power unit and trailer:

• Maintenance records and schedules
• 14 months of annual DOT inspection reports
• Repair records and work orders
• Driver Vehicle Inspection Reports (DVIRs)
• Annual Inspector Certification Documentation
• Brake inspection certifications (where required)
• Copies of any DVERs (Driver Vehicle Examination Reports) received over the last year

Accident Register & Crashes

Having a high Crash CSA BASIC will trigger an audit faster than you can say that twice.

If your Recordable Accident Rate (per 1,000,000 miles) is higher than 1.5 then you will automatically fail that portion of a DOT audit and you’ll be moved to a Conditional Safety Rating.

So, make sure that your Vehicle Miles Travelled in your MCS-150 information is accurate and up to date.

If you have more than 2 crashes for ever 1,000,000 miles traveled, you’re a prime target for a DOT audit.

Be sure to use the Crash Preventability Determination Program (CPDP ) to your full advantage if any crashes on your SMS record could be considered not-preventable. Check out the FMCSA CPDP Crash eligibility guide here to see if your crash may qualify.

Your accident register must include every DOT-recordable accident in the last 12 months:

• Date and location of accident
• Driver name
• Number of injuries or fatalities
• Whether any vehicles were towed
• Copies of crash reports, police reports (if applicable)

👉 Download a free Accident Register template

Drug & Alcohol Testing Program

During a DOT audit, the investigator will review your entire drug and alcohol testing program. This will mainly include checking into your pre-employment drug testing methods and your random drug and alcohol testing and selection process.

If you employ CDL drivers, you’ll need:

• Pre-employment test results
• Random test selections and results
• Post-accident, reasonable suspicion, and return-to-duty test results
• Supervisor training certificates (for reasonable suspicion)
• Enrollment in a consortium or third-party testing program
• Full Drug & Alcohol Clearinghouse queries (pre-employment and annual)

Company Policies & Safety Procedures

DOT auditors will look for written policies that demonstrate active safety management, including:

• Drug and alcohol policy (signed by all drivers)
• HOS and log auditing policy
• Driver hiring and onboarding procedures
• Vehicle maintenance schedule/policy
• Disciplinary policy for violations
• Hazmat training (if applicable)

Pro Tips for DOT Audit Success

• Digital is better: Store files electronically for fast access and better version control.
• Do a mock audit: Spot-check a few DQ files, logs, and inspection records every quarter.
• Train your team: Make sure your dispatcher or safety manager can walk an auditor through your records.
• Track your CSA scores: Know your carrier’s Safety Measurement System (SMS) profile and fix problem areas early.

FAQ: DOT Audit Checklist

What triggers a DOT audit?
Poor CSA scores, complaints, recent crashes, or being a new entrant within your first 12 months of operating.

How long do I need to keep DOT records?

• HOS logs: 6 months
• Maintenance records: 12–14 months
• Drug testing results: 1–5 years
• DQ files: For duration of employment + 3 years

Can I use paper files or do they have to be digital?
Paper is allowed, but digital records are faster to retrieve and organize — especially during remote audits.

What happens if something is missing?
Depending on severity, you may receive a Conditional or Unsatisfactory safety rating — which can lead to fines or being placed out-of-service.

How can I prepare if I’m just starting out?
Start a binder or digital folder system for each driver and vehicle. Use a compliance calendar to track deadlines, and get professional help early if you’re unsure.

Final Thoughts

A DOT audit can feel intimidating, but with the right checklist and a solid system for organizing your records, you’ll be prepared before your DOT safety rating is at risk. The more disorganized this information is, the harder time a DOT investigator will have making sense of everything in the files.

So, organization ahead of time is critical. This can also greatly speed up the review process (which is better for everyone)! Don’t wait for an audit notice to get your act together. Be proactive. Stay audit-ready.

How Can I Get a DOT Audit Checklist?

Need a checklist? We can help! To grab your free checklist, just click on the button below:

See Also: How To Prepare for A DOT Audit

In 2026, the FMCSA is changing how they calculate CSA BASIC scores and how they prioritize trucking companies for DOT audits and other interventions. Learn more about these and other upcoming changes to the FMCSA CSA program here!

Regulatory References

These are the main federal regulations and FMCSA programs that govern what investigators review during a DOT compliance audit.

• 49 CFR Part 385 — Safety Fitness Procedures, Compliance Reviews, and Safety Ratings
• 49 CFR Part 390 — General FMCSRs (incl. accident register and carrier identification)
• 49 CFR § 390.15 — Accident Register Requirements
• 49 CFR § 390.19 — MCS-150 / Biennial Update (Motor Carrier Identification Report)
• 49 CFR Part 391 — Driver Qualification and Driver Qualification Files
• 49 CFR Part 395 — Hours of Service & Electronic Logging Devices
• 49 CFR Part 396 — Inspection, Repair, and Maintenance (DVIRs, annual inspections, records)
• 49 CFR Part 382 — DOT Drug & Alcohol Testing and FMCSA Clearinghouse Requirements
• 49 CFR Part 40 — DOT Testing Procedures (collections, labs, MROs, SAP process)

About My Safety Manager

My Safety Manager is a leading provider of fleet safety management and trucking compliance services for fleets of all sizes.

Our specialized safety management solutions help deliver results—safe drivers out on the road who are staying compliant with regulations.

We work with you to create customized solutions that meet your unique needs, taking what’s typically far too much work off your plate so you have more time to grow your business!

About the Author

Sam Tucker is founder & CEO of Carrier Risk Solutions — the team behind My Safety Manager — and has spent more than two decades working at the intersection of trucking operations, safety, and insurance. Sam launched Carrier Risk Solutions in 2015 to give fleet owners practical, compliance-first solutions: driver training, DOT audit preparation, CSA remediation, and ongoing safety program management. He holds degrees in Finance/Risk Management and Economics from the Parker College of Business at Georgia Southern University and maintains several professional insurance and risk credentials. Want help lowering your CSA exposure? Get a free CSA Analysis and learn how My Safety Manager can help at www.MySafetyManager.com.