DOT Audit Basics: A Roadmap to Improve Compliance and Reduce Risk

For motor carriers, Federal Motor Carrier Safety Administration (FMCSA) audits, sometimes called “DOT audits,” are high-stakes investigations. Staying audit-ready improves safety, reduces potential liability, and strengthens operational integrity.

An FMCSA audit is a review to ensure that commercial motor vehicle (CMV) operations comply with the Federal Motor Carrier Safety Regulations (FMCSRs).

Audits assess compliance under the following six factors:

• Factor 1— General: Parts 387 (financial responsibility) and 390 (accident register and records, FMCSA registration, and vehicle markings);
• Factor 2—Driver: Parts 382 (drug and alcohol testing), 383 (commercial driver’s license (CDL) and 391 (driver qualification);
• Factor 3—Operational: Parts 392 (CMV driving) and 395 (hours-of-service);
• Factor 4—Vehicle: Parts 393 (parts and accessories), 396 (inspection, repair, and maintenance);
• Factor 5—Hazardous Materials: Parts 171, 177, 180 and 397; and
• Factor 6—Accident: Recordable accident rate per million miles.

Carriers are subject to three types of audits, including:

1. New entrant safety audits within the first 18 months of operation.
2. Focused audits that center on specific compliance issues in one or two factors.
3. Compliance reviews are comprehensive audits usually triggered by poor Compliance, Safety, Accountability (CSA) scores or valid safety complaints.

The FMCSA will only assign a safety rating to a motor carrier after performing a compliance review or comprehensive investigation.

Appendix B to Part 385 details the method used in the compliance review to arrive at one of the following three safety ratings:

• Satisfactory. The motor carrier’s safety management controls are functioning and adequate.
• Conditional. The carrier does not have adequate safety management controls to ensure compliance and must correct problem areas.
• Unsatisfactory. The motor carrier does not have adequate safety management controls in place, and its violations prohibit the carrier from operating CMVs. 

Compliance isn’t just about avoiding fines—it’s about protecting lives and livelihoods. Non-compliance can lead to:

• Hefty penalties,
• Out-of-service orders,
• Increased insurance premiums, and
• Reputational damage.

By maintaining compliance, carriers demonstrate a commitment to safety and reliability, which can enhance customer trust and business opportunities. 

DOT audits, and preferably proactive mock audits, offer a structured opportunity to identify and mitigate risks before they escalate. Here’s how:

• Early detection of issues: Audits can uncover gaps in recordkeeping, driver behavior, or vehicle maintenance that might otherwise go unnoticed.
• Improved safety culture: Regular reviews encourage a culture of accountability and continuous improvement among drivers and staff.
• Data-driven decisions: Audit findings provide actionable insights that can inform training programs, route planning, and equipment investments.
• Insurance leverage: Demonstrating a strong compliance record can lead to better insurance rates and fewer claims.

The best defense includes diligent recordkeeping, regular training, and compliance monitoring. Carriers should:

• Maintain and consistently execute policies and procedures,
• Train staff on regulations,
• Use fleet management software to track compliance, and
• Conduct internal or “mock” audits to simulate an FMCSA review.

Audits may seem daunting, but they’re a vital checkpoint on the road to operational excellence. By embracing them as opportunities for growth, motor carriers can stay compliant and build safer, more resilient businesses.