What to expect in a DOT audit

The Department of Transportation (DOT) checks commercial fleet vehicles and drivers to ensure they follow road safety rules. These checks are crucial for maintaining safety standards.

In 2022, around a quarter of vehicles and over six percent of drivers failed Level 1 DOT inspections. Being ready for these audit is vital for keeping both your trucks and drivers safe and ensuring they stay on the road.

DOT reviews can happen at any time, meaning preparation is key. We'll explain what these audits involve, what to expect, and how to avoid DOT violations.

What is a DOT inspection?

A DOT inspection, also called a Department of Transportation audit, helps the DOT ensure that commercial vehicles are following safety regulations. These DOT reviews check vehicles and drivers to prevent accidents on the road and make sure they are safe for others.

State troopers, FMCSA officials, or CVSA can conduct the DOT inspections for trucks. Audits can happen at the truck company's site, weigh stations, truck stops, or even on the road.

Are these the same as an annual inspections? The DOT requires companies to conduct an annual inspection every year. DOT inspections can occur more frequently and include different types of checks beyond the annual requirement.

What is on the DOT inspection checklist?

A DOT truck inspection checklist guides the reviewer through the audit. There are six levels based on fleet and cargo type. Drivers should familiarize themselves with all six levels to prepare.

Level 1 DOT Inspection: North American Standard Inspection

The most common and thorough inspection is Level 1, also referred to as the North American Standard Inspection. It includes a checklist that examines both the driver and the vehicle for anything that might be amiss. This type of audit usually takes upwards of 60 minutes to perform.

Drivers will need to present any documentation that the auditor asks for, including their commercial driver’s license, driver’s logs and any skill performance evaluation certificates they might have. The driver’s history of drug or alcohol consumption while operating a vehicle will also be taken into consideration, if applicable.

DOT Audit requirements for vehicles include the following areas:

• Seat belts
• Brake System
• Suspension
• Tires, rims and hubcaps
• Windshield wipers
• Lights, including headlights, rear lights and turn signals
• Steering wheel
• Fuel systems
• Cargo securement 
• Coupling devices

Level 2 DOT Inspection: Walk-Around Driver and Vehicle Inspection

During a Level 2 inspection, the auditor will conduct a Level 1 inspection excluding anything they need to check under the truck and trailer. This is why this audit is also called a Walk-Around Driver and Vehicle Inspection. Drivers will still be required to present certain documents and be audited for any illegal substance use.

Level 3 DOT Inspection: Driver-Only Inspection

A level 3 inspection focuses solely on the driver of the truck. Inspection requirements include:

• Driver’s license
• Hours of service logs
• Seat belt use
• Alcohol and/or drug use
• Medical examiner certificate
• Skill Performance Evaluation certificate
• Record of Duty Status
• Carrier identification and status

Level 4 DOT Inspection: Special Inspection

Special audits are reserved for a very specific vehicle feature and are considered one-time evaluations. Level 4 DOT inspections can help the auditor monitor and track how a specific violation is trending over time.

Level 5 DOT Inspection: Vehicle-Only Inspection

A Level 5 inspection, or Vehicle-Only assessment, runs through the same DOT audit checklist as a Level 1 inspection but takes the driver out of the equation. In fact, this type of check is done without the driver present and can be performed in any location.

Level 6 DOT Inspection: Enhanced NAS Inspection for Radioactive Shipments

A Level 6 DOT inspection is reserved for trailers carrying radioactive materials. It consists of everything that would normally be examined during a DOT level 1 inspection with the added measure of radiological checking. Once radiological shipments are checked, the driver will be given a special nuclear symbol that needs to be displayed on the truck until it reaches their destination.

What is the most common DOT inspection?

Most truck drivers will only ever undergo a Level 1, Level 2 or Level 3 DOT audit, with Level 1 being the most common. Levels 4 through 6 are reserved for select cases and could be conducted as DOT roadside inspections.

What to consider when preparing for a DOT inspection?

Before the auditors arrive, they may request certain paperwork pertaining to compliance issues. This could include things like vehicle and driver registration, insurance documents and others.

The day of the audit, the auditor will arrive at the fleet’s location and can request a variety of documents relating to the driver and vehicle, including:

• Advanced user list 
• Violations report
• Unassigned logs report
• Personal conveyance report
• Edit report
• Malfunction Report
• Accident register
• Documentation of hiring and disciplinary action
• Drivers’ medical certificates
• Hazardous materials list

After examining all the documents, the auditor may decide to take a closer look at certain drivers, most likely those that have had Hours of Service violations or been in accidents. The auditor will request a print out of the driver’s logs for the period of time being studied.

When the auditors have completed their work, they will provide the fleet with a compliance review report that addresses any areas of concern they discovered and offer recommendations for improving performance and DOT compliance. Remember, the purpose of FMCSA is to ensure trucks are operated in a safe manner, so auditors will be looking for ongoing issues that impact safety on the road and your CSA score.

Here are a few helpful tips to help make sure that your drivers and trucks are ready for an audit to stay compliant with DOT regulations:

1. Keep workspaces clean: This inspection includes both the inside of the cab and the exterior of the semi. Not only does keeping the cab and the exterior of your vehicle clean help you look more professional during an audit, it also helps preserve your equipment in the long run.
2. Stay organized: Encourage your drivers to always have their paperwork ready, legible and organized in case they are asked for an audit. Keeping all documentation in a single folder makes it easier on DOT inspectors and helps the audit run smoothly. Having backup copies of all documentation is handy as well just in case anything gets lost in the shuffle.
3. Emphasize the importance of driver vehicle inspection reports (DVIR): Ensuring that your drivers are doing proper assessments of their vehicles before and after trips will help the whole team remain vigilant to anything that needs attention. Addressing maintenance issues as they arise and being proactive about fixing problem areas means a smoother and more efficient audit process.
4. Digitize as much as possible: The less paperwork the better. Having all of your drivers’ reports, like HOS reports and DVIRs, available at the click of a button can make for a smooth DOT audit for everyone involved.
5. Use a fleet management system: Using a fleet management system is a proactive way to optimize and streamline the DOT audit process. It can flag maintenance issues, monitor driver safety and identify missing reports all from one dashboard to help fleet managers stay organized.

How to pass your DOT Audit

Using a fleet management system like Geotab can help streamline the DOT truck audit process. Your driver and vehicle information is all in one place on a platform with a simple dashboard and reporting system. This makes it easier for you to pass your DOT audit.

Download our DOT Level 1 Preparation Checklist to help get you and your fleet ready for your Level 1 inspection and avoid DOT inspection violations.

Learn how Geotab's DOT Compliance Software and mobile apps help simplify your compliance to motor carrier safety regulations.