Learn the DOT compliance requirements your fleet must follow to be on track

Through June 2025, the Federal Motor Carrier Safety Administration (FMCSA) has already run more than 8,300 investigations, uncovering over 100,000 violations. 

That’s 32,000 driver-related issues and nearly 78,000 tied to vehicles. Each investigation turns up an average of six violations, and penalties are adding up. Routine cases cost fleets about $7,100 each, while some carriers face fines as high as $125,000. 

The data makes one thing clear: DOT compliance isn’t optional. For fleet managers, staying compliant is about protecting revenue, keeping trucks on the road, and maintaining a reputation for safety in a heavily scrutinized industry.

In this guide, we’ll break down the DOT compliance requirements your fleet must follow so you can stay on track, avoid penalties, and keep your drivers and vehicles safe.

What is a DOT compliance audit and who needs one?

A DOT compliance audit is a review by the Federal Motor Carrier Safety Administration (FMCSA) to confirm a fleet is following federal safety regulations. It checks whether carriers have the right records, policies, and systems in place to keep drivers and vehicles safe.

Who needs a DOT compliance audit?

Any motor carrier operating commercial motor vehicles can face a DOT compliance audit. Common triggers include:

• New carriers: Must complete a New Entrant Safety Audit within 3–6 months of receiving a DOT number
• High-risk carriers: Those with poor Safety Measurement System (SMS) scores, repeated violations, or safety concerns are prioritized for Compliance Reviews
• Random selection: Any carrier may be chosen, regardless of safety record
• Complaints: Investigations can be triggered by reports from the public, customers, or competitors
• Post-accident: Serious crashes, especially those involving fatalities or major damage, often result in an audit

Because audits can occur with little or no notice, every carrier that falls under DOT authority should assume it will be audited at some point. Maintaining full compliance year-round is the only safe strategy.

DOT Compliance Checklist: Match These Requirements to Pass Any Audit

To pass a DOT compliance audit, your fleet must show accurate, up-to-date records across several categories. Use this checklist to stay prepared year-round.

Shipping Documents and Hazardous Material

If your fleet transports goods, your shipping papers are often the first thing auditors will check. For hazardous materials (HazMat), the requirements are even stricter.

To stay compliant:

• Bills of lading: Keep bills of lading and shipping documents complete, accurate, and accessible in the cab at all times
• HazMat paperwork: Ensure hazardous material descriptions match DOT format, including proper shipping name, hazard class, UN/NA number, and packing group
• Placards and labels: Affix required placards and labels on all sides of the vehicle when transporting HazMat
• Emergency response: Provide drivers with an Emergency Response Guidebook (ERG) and ensure they’re trained to follow it
• Retention: Maintain copies of shipping documents for at least two years (three years for hazardous waste shipments)

Driver Qualifications

The DOT requires every carrier to keep a Driver Qualification (DQ) file for each driver, proving they meet the standards in 49 CFR Part 391. Missing or outdated records are among the most common audit violations.

Every driver must have:

• A valid driver’s license (CDL with proper endorsements if applicable)
• Medical Examiner’s Certificate showing they are physically qualified to drive
• Clean driving record with no disqualifying offenses (e.g. DUI, license suspension)
• Ability to read and speak English well enough to follow road signs and complete reports

Each Driver Qualification File must include:

• Completed driver employment application
• Motor Vehicle Record (MVR) for the past 3 years (initial + annual updates)
• Safety performance history from past employers (last 3 years)
• Road test certificate or equivalent (if required)
• Annual driver’s list of traffic violations and signed certification
• Copy of the driver’s license and Medical Examiner’s Certificate

Hours of Service

The Hours of Service (HOS) rules limit how long drivers can be on duty to reduce fatigue-related crashes. During an audit, the FMCSA will review your records of duty status (RODS) to confirm compliance.

Key requirements:

• 11-hour driving limit: After 10 consecutive hours off duty, a driver may drive a maximum of 11 hours
• 14-hour window: Drivers may not drive beyond the 14th consecutive hour after coming on duty, even if they haven’t driven a full 11 hours
• 30-minute break: Required after 8 cumulative hours of driving time
• 60/70-hour rule: Drivers may not drive after 60 hours in 7 days, or 70 hours in 8 days (depending on carrier schedule)
• 34-hour restart: Drivers can reset their 60/70-hour limit after taking 34 consecutive hours off duty

Compliance checklist:

• Use an Electronic Logging Device (ELD) to track hours unless exempt
• Retain RODS and supporting documents (fuel, toll, dispatch records) for at least 6 months
• Ensure drivers know when and how to annotate logs for exceptions (e.g., adverse driving conditions, personal conveyance)
• Regularly audit logs for falsifications or missing data

Vehicle Inspection and Maintenance

Auditors will always check that your vehicles are maintained, inspected and repaired according to DOT rules. To stay compliant:

• Drivers must complete daily pre- and post-trip inspections, with defects corrected before the truck returns to service
• Every vehicle must pass a full DOT annual inspection by a qualified inspector, and proof must be kept for 14 months
• Maintenance and repair records must be kept for 12 months while the vehicle is in service, and six months after it leaves service

Accident Register

The DOT requires every carrier to keep an accident register covering the past three years. This record helps auditors verify how crashes are tracked and investigated. To comply:

• Record each DOT-reportable accident, including date, location, driver, injuries, fatalities, and hazardous material releases
• Keep supporting documents such as police reports, insurance claims, or internal investigation notes
• Retain the register for at least three years, even if no accidents occurred during that time

Drug Testing

DOT regulations require every carrier with safety-sensitive drivers to run a compliant drug and alcohol testing program. Auditors will review these records closely. To stay compliant:

• Conduct pre-employment, random, post-accident, reasonable suspicion, and return-to-duty tests
• Enroll drivers in a DOT-compliant random testing pool that meets annual minimum testing rates
• Maintain all results, records, and policies for at least five years
• Report results to the FMCSA Drug & Alcohol Clearinghouse as required

Security Plan

Carriers that transport certain hazardous materials must maintain a written security plan. This plan shows how you control risks during storage and transportation. To comply:

• Identify potential security risks in your operation and outline measures to address them
• Include policies for personnel security, unauthorized access prevention, and en-route security
• Train drivers and staff on their specific responsibilities under the plan
• Review and update the plan regularly to keep it current

Financial Responsibility

Under 49 CFR Part 387, all motor carriers must maintain proof of financial responsibility (usually via insurance, surety bonds, or FMCSA-approved self-insurance) to cover liabilities such as bodily injury, property damage, and environmental restoration. 

Key requirements:

• The minimum coverage starts at $750,000 for many carriers transporting non-hazardous property.
• For carriers transporting hazardous materials, or depending on vehicle size or passenger count, the required financial responsibility can rise (up to $5,000,000)
• Passenger carriers must meet higher thresholds based on the seating capacity:
  • Vehicles designed for 16+ passengers (including driver): $5,000,000 required
  • Vehicles with 15 or fewer passengers: $1,500,000 for interstate for-hire passenger operations
• The insurance policy must include the MCS-90 endorsement, which gives regulatory authority to enforce public liability coverage as per the Motor Carrier Act. Trucking Insurance Services
• Proof of insurance must be filed with the FMCSA; it must remain active and valid for your operating authority to stay in force
• Some carriers (with lower-weight operations or special exemptions) may be exempt from certain minimum levels

What happens if your fleet doesn’t match DOT compliance guidelines?

When a fleet fails to meet DOT compliance requirements, the fallout can be immediate and costly:

• Civil penalties: Fines often average more than $7,000 per case, but serious or repeated violations can reach $125,000 or more
• Out-of-service orders: Vehicles with brake, tire, or lighting violations can be pulled off the road on the spot, halting deliveries and straining schedules
• Safety rating downgrade: Failing an audit can result in an “unsatisfactory” safety rating, which can suspend or revoke your operating authority
• Insurance and legal risk: Noncompliance raises insurance premiums and increases exposure to lawsuits after crashes
• Reputation damage: Customers, shippers, and brokers check safety scores. A poor rating can cost you contracts and future business

In short, noncompliance threatens your ability to operate, your revenue, and your reputation in the industry.

Get Your Fleet Fully DOT Compliant with Whip Around

Managing compliance across drivers, vehicles, and paperwork is one of the toughest parts of running a fleet. Regulations change, records pile up, and an audit can arrive with little warning. That’s why many fleets turn to digital fleet management platforms to keep everything organized and accessible. 

A fleet management platform like Whip Around gives you the tools to replace paper DVIRs with digital inspections, store driver and vehicle files in one place, and track maintenance automatically. The result is a fleet that’s audit-ready year-round, with less risk of fines, downtime, or safety rating hits.