Guide to Fleet DOT Compliance: Best Practices & Solutions

It’s probably not news to you as a fleet manager that fleet compliance is incredibly important. Prioritizing compliance keeps your drivers and assets safe while helping you avoid violations and fines. We recently asked fleet managers in a survey about their roles and responsibilities, compliance management was cited as the primary responsibility by more respondents than any other task, highlighting its critical importance in fleet operations.

What is fleet compliance?

True fleet compliance is when a fleet effectively meets or surpasses all of the standards and regulations set forth by the Federal Motor Carrier Safety Administration (FMCSA), the US Department of Transportation and their state’s respective DOT. Compliance should always be the end goal of any fleet because it not only keeps fleets from being audited and fined but also keeps assets and drivers safe.

For some fleets, remaining DOT compliant is easier said than done. Because DOT compliance relies so much on documentation, driver safety and guaranteeing assets are well-maintained, fleets who don't have an organized fleet management strategy struggle to keep assets in compliance.

My main priority at R.T. Moore is to drive safety for our organization. Utilizing Fleetio frees up my time so I can do that. Alex Kennedy, fleet and safety manager, R.T. Moore

Which businesses are subject to DOT and FMCSA standards?

Any company that operates commercial assets that transport passengers or cargo in interstate commerce are required to have FMCSA registration and a USDOT Number. If your organization falls under these criteria, understanding and maintaining compliance is not optional – it's mandatory.

DOT Compliance Checklist

To help you meet all your DOT compliance requirements, here's a quick DOT compliance checklist you can use as a guide to avoid compliance violations:

    Maintain complete and up-to-date asset identification records

    Conduct and document regular driver vehicle inspection reports (DVIRs)

    Keep detailed maintenance and repair logs

    Monitor driver qualification files and certifications

    Track hours of service (HOS) compliance

    Manage drug and alcohol testing programs

    Ensure proper asset registration and licensing

    Maintain adequate insurance coverage

    Document safety training programs

    Prepare for potential DOT audits with organized records

Fleet Compliance Regulations

While there is a lot to consider in the breadth of regulations that FMCSA and DOT outline, there are a few points within those regulations that fleet managers should prioritize to best set themselves up for success in fleet compliance, namely when it comes to inspections, repair and maintenance.

Required Records

All documentation should be maintained and current for a year, and for six months after an asset is sold or retired from the fleet.

• Asset identification including company number, make, serial number, year, tire size, and ownership
• A way to indicate inspections and maintenance history
• A full record of inspection, repairs, and maintenance showing the date and what was done
• A record of tests conducted on pushout windows, emergency doors, and emergency door marking lights (for buses or passenger assets)

In accordance with FMCSA regulation 379, commercial asset fleets must maintain a comprehensive record of asset information, including titles, inspection forms, driver logs, technician certification and more. Maintaining an organized system of record allows your fleet to store all necessary documents for the appropriate amount of time.

Inspection Requirements

Reports must be completed and signed by the driver for any asset they operate, and it should identify the asset and any defects or deficiencies found in the inspection process. Any corrective action or repair should be noted on the inspection containing the issue and certified by the operator.

According to commercial asset regulations, drivers must complete DVIRs each day an asset is operated to inspect parts and accessories including, but not limited to:

• Service brakes including trailer brake connections
• Parking brake
• Steering mechanism
• Lighting devices and reflectors
• Tires
• Horn
• Windshield wipers
• Rear vision mirrors
• Coupling devices
• Wheels and rims
• Emergency equipment
• Clutch (where applicable)
• Fifth wheel (where applicable)
• Tie-downs (open deck)
• Electrical connectors

8 Fleet Compliance Management Best Practices

Fleet compliance might seem like a pretty wide scale of concerns to cover, but there are a few key actions you can take with your fleet to check all of the regulatory boxes and maintain FMCSA and DOT fleet compliance.

1. Store all documentation in a single system

Whether your fleet is small or large, preserving fleet records can be a challenge if you're using a paper filing system. Tracking down all necessary documents for a DOT audit is quite the headache if your records aren't organized.

Going paperless with fleet management software allows you to easily store and access all necessary documents for each asset in your fleet. Storing fleet documents in a single, cloud-based system means you and your drivers can access any document quickly to prove compliance.

Managing your fleet's information with the help of software can also help you keep up with registration renewals. Users can set asset renewal reminders for all registration and credential renewals for assets so they’re completed before they expire.

2. Conduct eDVIRs

Under FMCSA regulation 396.11, commercial motor carriers must complete and maintain records of DVIRs. While completing daily DVIRs keeps you compliant, routine inspections also provide vital insight into asset conditions.

Compliance can be a challenge when you're keeping up with asset inspections on paper. Paper DVIR logs are often misplaced or damaged while on the road, causing drivers to have gaps in their records.

To maintain a complete record of fleet compliance and leverage inspection results for maintenance, many fleet managers take advantage of electronic DVIRs (eDVIRs) with driver inspection apps. Drivers can complete simple, thorough eDVIRs in a mobile fleet app, which means that instead of trying to sort through messy paperwork in the cab for roadside checks and DOT audits, drivers have an easily accessible, complete history of inspection data on their mobile devices to prove fleet compliance.

eDVIRs enable drivers to perform fast, thorough inspections by employing the use of clicks and swipes rather than writing out inspections by hand on a paper form. Drivers can also take photos and add comments to provide clarity in reporting, which means fleet managers have all the information they need to troubleshoot issues and schedule maintenance. For a comprehensive guide on what should be included in your pre-trip inspections, check out our resource on identifying a pre-trip inspection checklist.

3. Leverage inspection results to initiate maintenance workflows

Conducting routine vehicle inspections gets your drivers to uncover any issues that could cause downtime or accidents. When issues arise, it's important to act quickly and begin scheduling maintenance to minimize any potential downtime or compounding issues.

Keeping assets in a safe operating condition can prove difficult when using paper inspection forms. When drivers are on their routes for days or weeks at a time, issues uncovered in paper inspections aren't communicated to fleet managers quickly and maintenance can't be performed for the sake of asset safety.

Resolving maintenance issues quickly means your assets are safe and your drivers avoid violations and fines. Even minor issues like broken tail lights can result in tickets, causing unnecessary paperwork and fees.

Service history can be accessed from anywhere, making it easy for your team to gain insight into completed service tasks. Not only does this allow you to easily remain in commercial asset compliance, but it also allows you to efficiently manage fleet maintenance from end-to-end.

4. Set fleet safety standards

The ultimate goal of fleet compliance is to make sure your drivers, your assets and the public are protected. Implementing safety procedures is the best way to promote fleet safety and keep your drivers and assets compliant.

Consider setting safety standards that fit your needs. In addition to trucks and other assets, your drivers may also be operating dangerous equipment or heavy-duty assets.

5. Stick to preventive maintenance schedules

Taking a proactive approach to maintenance means your assets are always safe and road-ready. Creating preventive maintenance schedules lets your assets receive routine service for better safety and maximized lifespan.

Adhering to a preventive maintenance program can help your fleet stay in line with warranty standards, maintain compliance and keep all your assets in safe operating condition. Instead of waiting for asset issues to arise, taking proactive maintenance measures prevents most of your repair risks and significantly decreases unplanned downtime.

Having a preventive maintenance checklist in place helps prevent overlooked critical maintenance and keeps your assets in top condition.

6. Monitor driver behavior and correct unsafe driving

Your drivers play a huge role in your fleet's safety. Having procedures in place for driver management, like encouraging safe driving behavior and asset monitoring, is a great way to keep them safe and productive.

Out of the 48,761 inspections conducted in the 2024 CVSA International Roadcheck, inspectors issued restrictions to 2,290 drivers, and found 535 safety belt violations. Stressing to your drivers the importance of safe driving and tracking driver behavior will help you maintain fleet compliance and avoid citations. GPS and telematics devices are great for tracking drivers on their routes and can even pinpoint unsafe driving habits, like harsh braking or speeding.

7. Track key performance indicators (KPIs)

Monitoring fleet management KPIs is essential for maintaining compliance and identifying areas for improvement. By tracking important fleet metrics such as inspection pass rates, maintenance completion times, and compliance violation frequency, you can make data-driven decisions to enhance your fleet's overall compliance.

8. Prepare for CVSA International Roadchecks

The Commercial Vehicle Safety Alliance (CVSA) is composed of local and regional federal commercial motor asset safety officials and routinely conducts roadchecks across North America to ensure commercial motor assets are complying with commercial asset regulations.

Officials conduct roadside inspections on CMVs and drivers to validate safety and compliance, focusing on different aspects of compliance each year. As these roadchecks approach, it's an excellent time to audit your fleet for safety and compliance. When preparing for roadchecks and any upcoming DOT inspections, leveraging fleet management software will help your fleet stay prepared.

Review the latest CVSA roadcheck takeaways to understand what inspectors are focusing on and how you can better prepare your fleet.

Benefits of Using Fleet Management Software to Maintain Compliance

Documentation is the best way to guard your fleet against breaks in compliance, and having a centralized location for all that documentation that you and your operators can easily access can mean the difference between smooth audits and hefty fines.

Fleet management software not only allows you to digitize your inspections process, but also keeps all of your inspection data stored in the app so you can find it whenever you need it. You can also sync your GPS and telematics devices so that you have access to diagnostic trouble code (DTC) notifications and other asset status information, as well as driver behavior.

Along with having complete data available, an integrated fleet management system allows you greater visibility into your whole fleet to create a more compliance-proof maintenance process. When issues arise in inspections or on the road, an FMS can help you get assets in and out of the shop faster with automatically generated digital work orders, streamlined approvals and better communication with technicians. You can also automate your preventive maintenance schedules, so that potential problems are caught well before they become a compliance issue.

FAQs about Fleet Compliance

How do I see which compliance regulations apply to my fleet?

The regulations that apply to your fleet depend on several factors including the size of your assets, whether you operate across state lines, and the types of cargo or passengers you transport. Visit the FMCSA website and use their registration tools to determine your specific compliance requirements.

What happens if my fleet is not DOT-compliant?

Non-compliance can result in significant penalties including fines, being placed out-of-service, increased insurance premiums, and damage to your company's reputation. In severe cases, continued non-compliance can lead to loss of operating authority.

How often do I need to conduct DOT inspections?

Drivers must conduct pre-trip and post-trip inspections daily. Additionally, assets must undergo annual comprehensive inspections by qualified inspectors. Documentation of these inspections must be maintained according to FMCSA regulations.

What records must I keep for DOT compliance?

Essential records include driver qualification files, hours of service logs, asset maintenance records, inspection reports, accident reports, drug and alcohol testing records, and hazardous materials documentation if applicable. These records must be kept for specified periods as outlined in FMCSA regulations.

Can fleet management software help with DOT audits?

Yes, fleet management software can significantly simplify the audit process by centralizing all your compliance documentation, providing easy access to inspection histories, maintenance records, and driver information. This organization can turn a stressful audit into a smooth, efficient process.

How can I improve my fleet's compliance program?

Improve your compliance program by implementing electronic record-keeping, conducting regular internal audits, providing ongoing driver training, establishing clear safety policies, using telematics to monitor driver behavior, and staying updated on changing regulations.