Top DOT Compliance Mistakes That Put Fleets at Risk

TransForce
6 min read

For carriers of every size, staying compliant with Department of Transportation (DOT) regulations isn’t optional—it’s essential. But even well-intentioned fleets can slip up. Whether it’s incomplete driver files or inconsistent log reviews, the most common DOT compliance mistakes are often preventable—and they can expose your business to serious operational and financial risk.

Here’s a breakdown of the top compliance pitfalls we see and what you can do to stay ahead of them.

🚩 1. Incomplete or Disorganized Driver Qualification (DQ) Files

Why it matters:
Your DQ files are the backbone of your compliance program. Missing documents—like medical examiner certificates, MVRs, or employment verifications—can trigger violations during an audit.

Common issues:

  • No clear process for updating or auditing files

  • Missing signatures or outdated forms

  • Lack of prior employer safety history (for the past 3 years)

How to fix it: Create a standardized checklist for every DQ file and audit them quarterly. If managing it in-house is becoming overwhelming, consider partnering with a specialized provider in truck driver workforce management.

🚩 2. Hours of Service (HOS) Violations

Why it matters:
HOS rules are in place to reduce fatigue-related crashes—and they’re one of the most heavily scrutinized areas in audits and roadside inspections.

Common issues:

  • Drivers exceeding daily or weekly driving limits

  • Failure to log off-duty time

  • Inconsistencies between ELD data and dispatch records

How to fix it:
Ensure drivers are properly trained on ELD use and that logs are being reviewed regularly by a designated safety manager. Use telematics to cross-check data and identify recurring issues early.

🚩 3. Lapses in Drug & Alcohol Testing Programs

Why it matters:
All CDL drivers operating in safety-sensitive roles must participate in a DOT-compliant testing program. Missing a test—or failing to document it—can result in immediate violations.

Common issues:

  • No random testing pool or consortium membership

  • Missed follow-up testing for drivers returning to duty

  • Poor recordkeeping of test results and consent forms

How to fix it:
Use a third-party administrator (TPA) or consortium to manage your program and ensure you're compliant with FMCSA regulations year-round.

🚩 4. Poor Vehicle Maintenance Records

Why it matters:
DOT auditors want to see evidence that you’re proactively maintaining your equipment. Gaps in maintenance logs or inspection reports suggest risk—and liability.

Common issues:

  • Missing annual inspection documentation

  • Inconsistent pre-trip/post-trip inspection records

  • No system for tracking repairs or defects

How to fix it:
Digitize your maintenance logs and implement a regular audit schedule. Make sure your drivers are submitting DVIRs (Driver Vehicle Inspection Reports) daily and that repairs are documented promptly.

🚩 5. Ignoring CSA Alerts and Inspection Results

Why it matters:
The FMCSA’s CSA (Compliance, Safety, Accountability) system scores your fleet in real time. If your BASIC scores are trending poorly, you’re on their radar—whether you know it or not.

Common issues:

  • No one monitoring SMS portal data

  • Unaddressed violations piling up

  • Repeating the same issues across inspections

How to fix it:
Assign someone on your team to monitor CSA scores monthly. Address violations quickly, conduct internal investigations when needed, and use the data to coach your drivers on safer practices.

Final Thought: Compliance Is a Daily Discipline

DOT compliance isn’t just about passing an audit—it’s about protecting your drivers, your business, and everyone on the road. With the right systems, partners, and mindset, you can stay compliant and confident, even as regulations evolve.

At TransForce, we help fleets stay audit-ready by managing the day-to-day details that matter most. From driver DQ file management to ongoing DOT and FMCSA compliance verification and preventative safety training, we act as an embedded partner—helping you reduce risk and stay focused on the road ahead.

Need help tightening up your compliance program?
Connect with TransForce to learn how we can support your team and keep your fleet moving—safely and compliantly.