Ask any busy owner-operator or safety manager, and they’ll tell you that staying on top of the ever-changing DOT safety regulations is not easy. Getting in and maintaining compliance with DOT requirements can be a major drain on a motor carrier’s time and resources and a distraction from other key aspects of the business. Even so, all motor carriers need to be extremely vigilant about complying with the Federal Motor Carrier Safety Regulations (FMCSRs) to ensure public safety and protect company assets.

Often despite their best efforts, companies fall short when it comes to DOT compliance. In fact, each year only 3 percent of the motor carriers who go through a Compliance Review come out unscathed. The rest are cited for at least one violation.

Frequently Asked Questions

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Compliance Reviews May Occur at Any Time

All motor carriers, from New Entrants to long-time operators, are subject to a Compliance Review at any time. When an auditor discovers non-compliance during this type of audit, the motor carrier may face several costly consequences. These include significant fines, being placed out-of-service or even losing one’s operating authority. When problems are less severe, motor carriers are given a certain amount of time to become compliant.

Additionally, all New Entrants, specifically motor carriers in their first 18 months of operation, are guaranteed a visit from a FMCSA auditor. For more information about the New Entrant Safety Assurance process, visit the New Entrant Help Desk.

Critical vs. Acute: Understanding the Two Types of Violations

During FMCSA audits, auditors are looking for violations of the FMCSRs. All violations are classified as either Acute or Critical. Acute violations, as defined by FMCSA, are so severe that they require immediate corrective action. Failing to implement an alcohol and/or controlled substances testing program is an example of an Acute violation. Meanwhile, FMCSA views a Critical violation as a sign of poor safety control management. Failing to require a driver to make a record of duty status is an example of a Critical violation.

Make Sure You’ve Got All Your Factors Covered

FMCSA auditors are a predictable bunch. During Compliance Reviews and Safety Audits, they check for safety compliance and documentation related to the six factors outlined below. They ask several questions related to each factor and request documentation that demonstrates compliance with the applicable regulations. During the interview and documentation review, the auditor is ensuring a motor carriers’ compliance while looking for possible violations.

Factor 1: General
Sample Audit Question: Is the motor carrier knowledgeable about the Federal Motor Carrier Safety Regulations (FMCSRs)/Hazmat Regulations (HMRs)?

Applicable Regulations:

Factor 2: Driver
Sample Audit Question: Does the motor carrier maintain complete driver qualification files?

Factor 3: Operational
Sample Audit Question: Does the carrier require its drivers to make a record of duty status?

Applicable Regulations:

Factor 4: Vehicle
Sample Audit Question: Can the motor carrier produce maintenance files for requested vehicles?

Applicable Regulations:

Factor 5: Hazardous Materials
Sample Audit Question: Does the motor carrier have a hazardous materials security plan (if applicable)?

Applicable Regulations:

Factor 6: Accident

Based on recordable accident rate per million miles.