What Triggers a DOT Compliance Review?

Being in the transportation industry means being part of a heavily regulated sector. The Federal Motor Carrier Safety Administration may conduct surprise DOT compliance review audits to ensure that commercial motor carriers and truck drivers adhere to all rules and regulations set forth by the Department of Transportation.

Failing this audit can result in strict penalties, so reviewing our FMCSA compliance checklist at FMCA Filings is essential. Consult our guide below to learn more about these audits and how to prepare for them.

DOT Compliance Reviews: What Are They?

A DOT compliance review is an exhaustive audit of how closely a motor carrier follows FMCSA safety requirements. During a random inspection, an agency representative will request that the business owner provide documentation for review, including hours of duty reports and driver qualification files. They may also conduct vehicle inspections.

To ensure compliance and identify carriers that may pose a safety risk, FMCSA inspectors use the Safety Measurement System. SMS assessments help break down the following DOT safety audit criteria:

• Driver fitness
• Unsafe driving
• Crash indicators
• Controlled substances and alcohol
• Hours-of-service compliance
• Hazardous materials compliance

DOT Compliance Review Ratings

If you undergo a DOT compliance review audit, the FMCSA will document its findings on a DOT compliance report. The report will have one of three ratings indicating your level of regulatory compliance:

• Satisfactory: This rating indicates your compliance with all essential FMCSA safety regulations.
• Conditional: If you have a conditional rating, it means that you follow many but not all safety regulations. Your report will include details on how you can improve your score.
• Unsatisfactory: Unsatisfactory is a failing grade. If you receive this on your report, you’ll have 45 or 60 days to address the noted safety issues, depending on whether you transport hazardous materials.

Failing a DOT compliance audit won’t automatically put you out of business. However, failure to address your safety issues within the required timeline will result in an out-of-service order and loss of operating authority. Additionally, insurers may refuse to cover your trucks due to a failing audit grade, which could also lead to business closure.

Typical Factors That Prompt DOT Reviews

Although audits can occur at any time without warning, certain behaviors and incidents can trigger one. Here are several situations that could warrant a DOT compliance review audit.

Poor CSA Scores

The FMCSA’s Compliance, Safety, Accountability program helps identify high-risk motor carriers, along with the SMS. High CSA scores are a major risk of audits.

If you have a high CSA score in one BASIC category, it will flag the SMS system. This could result in a written warning or a notice of a compliance review by the FMCSA. High scores in two or more BASICs will trigger a comprehensive audit.

Roadside Inspection Out-of-Service Violations

If you get pulled into a roadside inspection and get an out-of-service violation, a DOT compliance review audit could be next. That’s why it’s best to keep your out-of-service ratings as low as possible. FMCSA inspection reasons include filthy trucks and blown headlights.

Complaints Against Motor Carriers or Truck Drivers

Anytime someone files a negligence complaint against a trucker or motor carrier, the FMCSA will conduct an audit. The agency will do the review within 90 days of receiving the complaint, which will become part of the company’s permanent record.

Motor Collisions

Unsafe driving violations or auto accidents will trigger an audit. The more severe the crash is, the more likely you’ll receive a compliance review without advanced notice.

Tips To Prepare for DOT Compliance Review

While you can’t avoid DOT compliance review audits, you can minimize your risk of being subject to one by avoiding common DOT compliance mistakes. It’s also beneficial to maintain detailed documentation of your business’s safety records, hours-of-service records, and driver qualification files.

In-house audits are also necessary. FMCA Filings offers several DOT compliance checklists that you could use to identify areas of improvement within your enterprise. We can also help you maintain accurate records by filing essential permits and paperwork with the FMCSA on your behalf.

Avoid Compliance Review Red Flags With FMCA Filings

Don’t let DOT compliance review audits cause interruptions in your trucking or motor carrier business due to a loss of your operating authority. FMCA Filings offers resources, tools, and assistance with essential FMCSA documentation to help you prepare for and pass DOT compliance audits.

Our easy-to-use portal has everything you need to ensure compliance with DOT regulations in one convenient location. Take a look at our blog for more information. If you would like to speak to a helpful representative, use our live chat feature to connect with an agent.