Is your fleet audit ready?
For trucking companies, regulatory compliance isn’t just about avoiding fines—it’s about ensuring the safety of drivers, protecting the public, and maintaining the ability to operate efficiently. One of the most significant regulatory hurdles a motor carrier can face is an FMCSA compliance review. Whether it’s a new entrant safety audit, a focused review, or a full-scale compliance investigation, being prepared is crucial to keeping your fleet on the road and in good standing with regulators.
Understanding the FMCSA Compliance Review Process
FMCSA compliance reviews are in-depth evaluations of a carrier’s adherence to federal safety regulations. Unlike routine roadside inspections, which are focused on a particular truck or driver, a compliance review is a structured audit of a company’s safety management practices. These reviews can be triggered for a variety of reasons, including high CSA scores, accident history, or complaints from drivers or the public. Sometimes, they are conducted as part of FMCSA’s routine oversight efforts to ensure that carriers are following regulations.
During a compliance review, FMCSA investigators assess one or more of six key factors: general compliance, driver qualification and drug/alcohol testing, hours of service, vehicle maintenance, hazardous materials (if applicable), and accident rate. Depending on the extent and nature of any violations discovered in the review, the carrier may receive a satisfactory, conditional, or unsatisfactory safety rating. A negative rating can lead to significant operational and financial consequences, including fines, loss of business opportunities, and in severe cases, an out-of-service order.
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Why Fleets Struggle with Compliance Reviews
Many fleets assume they are compliant simply because they have policies in place, but a compliance review often reveals gaps in implementation. One of the most common mistakes is poor recordkeeping. FMCSA regulations require carriers to maintain detailed documentation, including driver qualification files, hours-of-service logs, maintenance records, and drug and alcohol testing results for certain amounts of time. Missing or incomplete records can lead to violations, even if a fleet is otherwise operating safely.
Another challenge is staying up to date with regulatory changes. FMCSA rules are constantly evolving, and failure to adjust policies and procedures accordingly can result in non-compliance. For example, changes to electronic logging device (ELD) regulations or drug and alcohol testing requirements can catch carriers off guard if they are not actively monitoring regulatory updates.
Many fleets also struggle with consistency in safety practices. Policies might be well-documented, but if they are not followed by drivers, dispatchers, and fleet managers on a daily basis, violations can occur. This is especially true for hours-of-service compliance, where even minor errors in logkeeping can lead to significant penalties and other consequences.
Steps to Prepare for an FMCSA Compliance Review
The key to passing a compliance review is preparation. Fleets should regularly audit their own records and processes to ensure they are meeting FMCSA requirements before an investigator ever arrives. Conducting internal mock audits is one of the best ways to identify and address compliance gaps.
First, carriers should review their driver qualification files to ensure that all required documents—such as applications, licenses, medical examiner certificates, road tests, motor vehicle records, employment verification forms, and annual reviews (to name just a few)—are current and complete. Inadequate driver qualification files are one of the most commonly cited violations in compliance reviews. Check out our prior article where we discussed DQ files in depth.
Hours-of-service compliance is another critical area. Carriers should regularly review driver logs, ensuring that ELD records align with supporting documents like fuel receipts and toll records. Investigators often look for inconsistencies that suggest falsified logs, and falsified logs is one of the top contributors to a downgraded safety rating. So it’s essential that fleets proactively identify and correct discrepancies. Check out our article on controlling false logs.
Vehicle maintenance records should also be in order. This includes identifying information for each vehicle, annual inspection reports, PM records, driver vehicle inspection reports (DVIRs), roadside inspection reports, and repair documentation. FMCSA requires fleets to keep detailed records of vehicle maintenance and repairs to ensure that trucks are being properly maintained for safe operation. Check out the keys to compliant maintenance file.
Drug and alcohol testing compliance is another area where fleets must be diligent, assuming they have CDL drivers. Carriers must have a drug and alcohol testing program in place that meets FMCSA requirements, including pre-employment, random, post-accident, and reasonable suspicion testing. They must also have a compliant drug/alcohol policy in place. Failure to properly conduct or document drug testing or utilize the Drug & Alcohol Clearinghouse can lead to serious violations.
What to Do If You Receive a Conditional or Unsatisfactory Rating
If a compliance review results in a conditional or unsatisfactory rating, the consequences can be significant. Many shippers and brokers will not work with carriers that have a downgraded rating, leading to lost revenue opportunities. Additionally, a downgraded rating can negatively affect a carrier's insurance premiums. And FMCSA may impose civil penalties, and in severe cases, place carriers out of service until they correct deficiencies.
Fortunately, carriers have options. If a fleet believes its rating was assigned in error, it can request an administrative review under 49 CFR 385.15. This process allows carriers to challenge FMCSA’s findings by presenting additional evidence in an administrative appeal context.
Alternatively, FMCSA allows carriers to submit a Safety Management Plan (SMP) under 49 CFR 385.17. This plan outlines the corrective actions taken to address admitted deficiencies identified in the review. If FMCSA determines that the carrier has effectively resolved its compliance issues, it may grant a rating upgrade. Check out our full article on upgrading a safety rating.
For those facing civil penalties, FMCSA provides an appeals process under 49 CFR Part 386. Carriers can contest fines or negotiate settlements to reduce financial burdens.
How Trucksafe Can Help
At Trucksafe Consulting, we specialize in helping fleets navigate FMCSA compliance and prepare for audits. Our mock DOT audit service provides carriers with a detailed review of their compliance status, identifying potential violations before FMCSA does. We also offer general compliance consulting, policy review and drafting, and safety training for managers and drivers to ensure that fleets remain audit-ready at all times. Check out the details and get in touch with us.
For those looking for a hands-on learning experience, our Fleet Compliance Bootcamp provides in-depth training on FMCSA regulations and compliance strategies. And for carriers facing a downgraded safety rating, we assist with Safety Management Plans (SMP) to help fleets regain a satisfactory rating.
Be Proactive: Get the Compliance Review Readiness Guide
To help carriers stay ahead of FMCSA compliance requirements, we’ve developed the Trucksafe FMCSA Audit Readiness Guide. This comprehensive PDF resource walks fleets through every step of the compliance review process, detailing common pitfalls and providing a structured approach to audit readiness. It includes a detailed compliance checklist, best practices for maintaining regulatory compliance, and insights from DOT compliance attorneys.
Staying compliant isn’t just about avoiding fines—it’s about protecting your business, your drivers, and your reputation. Get ahead of compliance challenges before FMCSA comes knocking.
About Trucksafe Consulting, LLC: Trucksafe Consulting is a full-service DOT regulatory compliance consulting and training service. We help carriers develop, implement, and improve their safety programs, through personalized services, industry-leading training, and a library of educational content. Trucksafe also hosts a livestream podcast on its various social media channels called Trucksafe LIVE! to discuss hot-button issues impacting highway transportation. Trucksafe is owned and operated by Brandon Wiseman and Jerad Childress, transportation attorneys who've assisted some of the nation’s leading fleets to develop and maintain cutting-edge safety programs. You can learn more about Trucksafe online at www.trucksafe.com and by following Trucksafe on LinkedIn, Facebook, Twitter, and YouTube. Or subscribe to Trucksafe's newsletter for the latest highway transportation news & analysis. Also, be sure to check out eRegs