What is an Audit Result?

In this article

• What types of DOT Audits exist?
• How does the DOT Audit process work?
• What are the possible results of a DOT Audit?
   

What types of DOT Audits exist?

There are two types of Department of Transportation (DOT) audits: comprehensive and focused. Motor carriers are selected for audits either randomly or based on their Safety Measurement System (SMS) BASIC scores. Upon selection, carriers are notified of the audit type to be conducted. A comprehensive audit entails a comprehensive review of all safety and compliance operations, whereas a focused audit focuses on particular BASIC categories, such as Hours of Service or Drug and Alcohol testing protocols..

How does the DOT Audit process work?

A motor carrier will be contacted by a DOT auditor and given a limited timeframe to compile and submit the requested documentation for the audit. Most audits are conducted electronically, with information submitted through the carrier's DOT portal. The auditor will review the submitted materials and may request additional documentation or clarification if necessary. Upon completion of the review, the auditor will issue a report detailing the audit findings. These results will then be recorded in the SAFER system for official reference.

What are the possible results of a DOT Audit?

A DOT audit can result in one of three ratings: Satisfactory, Conditional, or Unsatisfactory. Motor carriers receiving an Unsatisfactory rating are required to rectify the deficiencies within 60 days to maintain operational authority. Proof of corrective actions must be submitted to the FMCSA through the carrier’s portal. Upon acceptance of the corrections, the rating may be updated to Conditional or Satisfactory. It is important to note that many motor carriers have not yet undergone an audit; therefore, their status is classified as Not-Rated.