D.O.T. Compliance Solutions

Key DOT Regulations to Understand

When recruiting or training drivers, it is essential to remember these rules so that your fleet and drivers avoid fines and other penalties. Here’s a quick review of the key DOT regulations covering trucks and CMV operators. However, this list is not comprehensive. DOT regulatory guidance is often updated, so visit the DOT website for specific details about regulations specific to your industry that are not listed.

Hours of Service (HOS)

Hours of Service (HOS) guidance is a crucial DOT regulation for trucks and CMV operators. Published to the Federal Register in December 2011, the HOS rule gives the FMCSA the power to govern CMV driver’s working hours. Created to eliminate or reduce the number of accidents caused by tired drivers, the HOS governs the amount hours commercial truck drivers and CMV operators can spend driving. The regulation covers the maximum number of hours driven before they are required to take a mandatory rest break.

The electronic logging device (ELD) mandate, effective December 2017, requires trucker and CMV operations to track their HOS with ELDs. These devices connect a vehicle’s engine and record its driving time automatically, offering a reliable method of collecting HOS data. These devices replace the paper logs historically used by truckers to record their HOS.

Any drivers that stray outside of HOS guidelines or the ELD mandate risk incurring fines and penalties that negatively impact their own or their fleet’s safety rating and can cause them to be put out of service.

Driver Vehicle Inspection

CMV drivers and truckers must inspect their vehicles each morning before they hit the road and again when their driving day ends. Driver vehicle inspection reports (DVIRs) play a crucial role in fleet compliance. Any safety issues that are documented during these inspections must be repaired or resolved prior to the vehicle getting back on the road.

Vehicle inspections include tires, brakes, lights, axles, steering mechanisms, horns, rear-view mirrors, clutch, electrical connectors, and emergency equipment, to name just a few. Drivers should look for any defects, damage, or deficiencies, and if any are reported, the vehicle must be removed from service until repairs are completed. The driver is required to present proof of repair signed by a licensed repair shop in order for the vehicle to return to service.

DVIRs are an important tool for commercial fleets to use as protection against safety issues and violations. In 2018 over 11,000 commercial vehicles were taken off the road due to failing roadside safety inspections.

Licenses, Permits, and Registrations

Commercial drivers and truckers are required to have many licenses, permits, and registrations in order to operate in the United States. This includes a commercial driver’s license, unified carrier registration, motor carrier authority numbers, and standard carrier alpha codes. Depending on the circumstances, companies with violations related to licensing, permits, and registrations may face fines, suspensions, or criminal charges. Regularly check the DOT website for more details and updates regarding the registration requirements.

Pre-employment Safety Record and Background Checks

When hiring a fleet driver, FMCSA rules require employers to run a safety and background check prior to employment that includes the following information:

• Motor vehicle records from the last three years
• Driving safety history and accident record, if any
• Substance abuse history
• Pre-employment drug screening or test

In 2017 the FMCSA unveiled the Drug and Alcohol Clearinghouse. This online database was created to help motor carriers find out if a commercial driver is prohibited from doing safety-sensitive jobs due to alcohol or drug use. Fleet companies are required to use this Clearinghouse when checking the pre-employment substance abuse history of potential employees.

Random Drug and Alcohol Tests

DOT drug screening and testing requirements don’t end once a driver is hired. According to United States law, any employee who operates a vehicle as one of their job functions can be tested for drug use in the following circumstances:

• Pre-employment (as discussed)
• If there is reasonable suspicion or cause
• When following up on a reported issue or concern
• At random times
• Upon return to duty
• After an incident or accident has occurred

DOT fleet compliance mandates that all fleet drivers undergo drug testing upon their employer’s request. A refusal to undergo testing is an offense that can be punished and may even be grounds for termination.

Fleet drivers can be screened for the following substances:

• Cocaine
• Marijuana
• Opioids (morphine, heroin, oxycodone, etc.)
• Amphetamines (crystal meth, ecstasy, etc.)
• PCP (angel dust)

In addition, drivers can be screened for a number of prescription drugs. Drivers whose drug tests turn up positive results without a prescription from a physician, nurse practitioner, or advanced practice nurse (this varies depending on the state), or if the amount found is higher than the prescribed dose, are in violation of DOT rules and can be penalized for it. All positive tests are required to be reported in the FMCSA Drug and Alcohol Clearinghouse.

Handling Hazardous Materials

In the United States, only entities that are registered to do so can receive or ship hazardous materials. And for the shipment to be considered valid, the hazardous materials are required to be described, classed, and packaged in compliance with DOT hazmat regulations.

A business or individual found to have violated these regulations can incur criminal and civil penalties. In addition, employees handling hazardous materials are required to get adequate training on the proper way to handle them, and the dangers should these precautions not be taken. Employers are required to ensure that their training efforts are in accordance with DOT standards.

Cargo Securement

Cargo is required to be secured during transportation in compliance with FMCSA cargo securement rules. All tie-downs must be securely fastened, wedges and chock must be employed to prevent movement or rolling, and the number of tie-downs must be appropriate to the weight accordance. In addition, loads must not obscure the driver’s vision from the front or the side, and there should be no broken pallets, insufficient wrapping or other packaging issues.

Ensuring that the cargo is insured is not enough to be in DOT compliance. Fleets must also ensure that doors, tailgates, spare tires, and other elements that can become loose or detached while the vehicle is in motion must be securely attached.

Record Keeping

Running a DOT-compliant fleet requires a lot of paperwork. This means record-keeping that covers all aspects of DOT compliance. Some of the documents fleets need to have ready in the event of an audit include:

• Motor vehicle reports
• Proof of insurance
• Driver rosters and driver qualification files
• Drug testing records
• Service provider contracts
• Vehicle inspection, maintenance, and repair reports
• HOS records
• Employee training records
• Incident and accident reports
• Quarterly IFTA reports

How long a fleet needs to keep these documents varies depending on the kind of record. It is up to the fleet company or employer to make sure that all required records are kept properly filed and readily available in the event of a DOT audit. The list above is not a complete list of all necessary documents. Visit the FMCSA website for more information on recordkeeping requirements.

Understand the Rules for Compliance

A deep understanding of the DOT rules is key to ensuring that fleets remain in compliance. Consulting the FAQ section on the FMCSA website will give you comprehensive knowledge of the DOT rules. You can search for topics such as regulations, registration, driver safety, and more.

Sample DOT Fleet Compliance Checklist

A DOT compliance checklist can help keep your fleet on track and avoid lapses in compliance. This checklist offers guidelines to ensuring your fleet adheres to DOT standards, but once you are familiar with the regulations, you should create a checklist tailored to your fleet.

Fleet Compliance Checklist

• Keep a copy of the current FMCSA rules in the office.
• Document all pre-and post-trip vehicle inspections.
• Create a vehicle maintenance program and follow it with documentation.
• Make sure each fleet vehicle’s DOT registration number is visible.
• Keep records of accidents for all fleet vehicles.

Driver Compliance Checklist

• Make sure each driver has a copy of the FMCSA rules and gets a signed receipt and agreement to follow the regulations.
• Keep qualification records and a safety history for every driver.
• Keep HOS records for every driver.
• Keep each driver’s pre-employment drug test and any reports of substance abuse from previous employers.
• Regularly conduct random drug and alcohol screenings as required by DOT regulations.
• Require supervisors to get drug and alcohol training in accordance with DOT regulations.

This is just a sample checklist, once you have in-depth knowledge of the DOT regulations, you can use this as a template and make adjustments. Regular review will help minimize the chances of non-compliance.