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DOT audit checklist

Use this checklist before a new entrant safety audit or a compliance review. Auditors sample records across six areas, and a few missing items fail the audit on their own.

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What to have ready

  • Driver qualification files for every driver (see the DQ file checklist)
  • Hours of service records and ELD data, plus supporting documents
  • Drug and alcohol program: policy, consortium enrollment, pre-employment results, random selections, Clearinghouse queries
  • Vehicle files: annual inspections, maintenance records, driver vehicle inspection reports
  • Proof of insurance on file with FMCSA
  • Accident register for the last three years
  • Hazmat registration and training records if you haul placarded loads

Common automatic-fail findings

  • No drug and alcohol testing program, or using a driver who refused or failed a test
  • Using a driver without a valid CDL or medical examiner's certificate
  • Operating a vehicle placed out of service before it was repaired
  • Not having the required insurance on file

MyDotCheck is an independent service and is not affiliated with, endorsed by, or part of the U.S. Department of Transportation or FMCSA. Data comes from public FMCSA datasets and may lag official records by a day or more. Government filings can be made directly with FMCSA at no charge.

DOT audit checklist questions

Keep every driver file complete, run a real drug and alcohol program, keep annual inspections current, and make sure your ELD records match your supporting documents. Most failures come from missing paperwork.

You get a corrective action plan deadline. If you do not fix the issues in time, FMCSA can revoke your new entrant registration and operating authority.