DOT Audit Checklist

Notice varies by audit type. New entrant safety audits are typically scheduled in advance and carriers receive written notification. Compliance reviews may have more lead time. Targeted investigations can have shorter timelines. The safest approach is to keep records current so the notice period does not determine how prepared you are.

A safety audit covers the main driver and vehicle safety record categories: driver qualification files, vehicle inspection and maintenance records, hours of service and ELD records, controlled substances and alcohol testing program records where applicable, and accident registers. Insurance, operating authority, and registration records are also reviewed as part of the carrier profile check.

Missing records can result in violations, which may affect safety ratings or require a corrective action response. If a record is missing but retrievable from a vendor or state system, telling the auditor where it is and providing it promptly is better than saying it does not exist. For records that were genuinely lost, a written explanation of what happened and what steps you are taking is more useful than silence.

Carriers without compliance software go through the same audits as those with it. The examiner looks at records, not at what platform holds them. Paper folders, shared drives, or a spreadsheet index all work as long as the filing is consistent — one folder per driver, one folder per unit, organized by date within each — and the person responsible for each record category knows where to find it quickly. The audit notice is the deadline. Whatever system is in place needs to produce the right records before the appointment.