What is the most common FMCSA violation?

Hours of service violations are consistently among the most common FMCSA violations, including driving beyond the 11-hour limit, operating past the 14-hour window, and inaccurate or missing log entries. Vehicle maintenance violations, particularly brake and lighting deficiencies, are also extremely common during roadside inspections. Ensuring proper ELD compliance and conducting thorough pre-trip inspections addresses the majority of common violation categories.

How often does the FMCSA audit carriers?

New carriers receive a safety audit within their first 18 months of operation as part of the New Entrant Safety Assurance Program. After the initial audit, subsequent reviews are triggered by high CSA scores, complaints, crashes, or random selection. Most small carriers with clean records may go years between formal audits, but roadside inspections can happen at any time and feed into the same compliance system.

What happens if I fail an FMCSA audit?

The outcome depends on the severity of findings. Minor deficiencies result in a satisfactory rating with corrective action recommendations. Significant findings lead to a conditional rating that requires you to fix issues within a specified timeframe. Serious violations can result in an unsatisfactory rating that effectively shuts down your operation until deficiencies are corrected. An unsatisfactory rating means you cannot operate in interstate commerce.

Do I need a drug and alcohol testing program?

Yes. Every motor carrier that employs CDL holders must have a drug and alcohol testing program compliant with 49 CFR Part 382. This includes pre-employment testing, random testing, post-accident testing, reasonable suspicion testing, return-to-duty testing, and follow-up testing. Owner operators with no employees must still be enrolled in a testing consortium. The FMCSA Drug and Alcohol Clearinghouse tracks violations across the industry.

What records must I keep and for how long?

Driver qualification files must be maintained for the duration of employment plus three years. Hours of service records must be kept for six months. Vehicle inspection reports must be retained for one year. Drug and alcohol testing records have varying retention periods from one to five years depending on the type of record. Accident records must be kept for three years. Maintain all records in an organized, accessible format because auditors will request specific documents.

How do I prepare for a new entrant safety audit?

Start preparing from day one by maintaining complete driver qualification files, keeping vehicle maintenance records, ensuring HOS compliance through proper ELD use, enrolling in a drug and alcohol testing consortium, and documenting your safety management practices. The auditor will review 16 specific regulatory areas. Most audits can be completed in a single day for small carriers. Having organized records is the single biggest factor in passing smoothly.

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FMCSA Compliance Guide: What Every Carrier Must Know

A practical guide to FMCSA regulations for owner operators and small fleets. Key requirements, common violations, and a compliance checklist to keep your authority clean.

Small Fleet HQPublished February 20, 20266 min read

complianceFMCSAregulationsDOTsafety

Why FMCSA Compliance Matters

The Federal Motor Carrier Safety Administration regulates every for-hire and private carrier operating commercial vehicles in interstate commerce. Compliance is not optional, and the consequences of ignoring regulations range from fines and out-of-service orders to losing your operating authority entirely.

For owner operators and small fleet owners, compliance can feel overwhelming. The regulations are dense, the acronyms are endless, and the stakes are high. This guide breaks down the essential requirements into practical terms and provides a checklist to keep your operation on the right side of the law.

Your compliance history is tied to your USDOT number and tracked through the CSA scoring system. ¹ ² Poor compliance feeds into higher insurance costs, restricted broker access, and FMCSA interventions. Staying compliant is not just about avoiding fines. It directly protects your bottom line.

Key Regulatory Areas

Operating Authority

Before hauling freight for hire across state lines, you must have an active MC number and USDOT registration. Your authority must remain current with valid insurance filings (BMC-91 or BMC-91X), an active BOC-3 process agent designation, and completed UCR registration.

Any lapse in these requirements can trigger authority revocation. Set calendar reminders for renewal deadlines and monitor your FMCSA profile regularly through the SAFER website.

Hours of Service

HOS regulations are among the most heavily enforced requirements in trucking. The current rules limit driving to 11 hours within a 14-hour window after 10 consecutive hours off duty, with a 30-minute break after 8 hours of driving and a 60/70-hour weekly limit. ⁶ ¹²

Compliance is monitored through electronic logging devices. ELD violations, falsified logs, and operating beyond allowed hours generate CSA violations that compound over time. For a detailed breakdown of the rules, see our HOS rules guide.

Electronic Logging Devices

The ELD mandate requires most CMV drivers to use FMCSA-registered electronic logging devices. ⁷ Your ELD must be on the FMCSA's registered device list, properly connected to the vehicle engine, and functioning correctly. Drivers must know how to operate the device, transfer data during inspections, and handle malfunctions.

Non-compliance results in out-of-service orders at roadside inspections. See our ELD mandate compliance guide for detailed requirements and our ELD comparison to find the right device.

Driver Qualification

Every driver operating a CMV must meet qualification standards under 49 CFR Part 391. ⁴ Requirements include a valid CDL with appropriate endorsements, a current DOT medical certificate (updated every 24 months or as specified), a clean driving record check within the past 12 months, a completed driver application, and road test or equivalent documentation. ⁴

You must maintain a Driver Qualification File (DQF) for each driver, including yourself if you are an owner operator. This file must be available for inspection at your principal place of business.

Vehicle Maintenance

Carriers must systematically inspect, repair, and maintain all commercial vehicles under their control. ⁵ The regulations require:

Pre-trip and post-trip inspections. Drivers must inspect their vehicle before and after each trip, documenting any defects on a Driver Vehicle Inspection Report (DVIR).

Periodic inspections. Every CMV must have a complete annual inspection performed by a qualified inspector. The inspection report and any subsequent repair documentation must be kept with the vehicle or at your principal office.

Maintenance records. Keep records of all maintenance performed, including date, nature of maintenance, and who performed the work. These records must be retained for one year after the vehicle leaves your control.

Brake violations, tire deficiencies, and lighting problems are the most common vehicle maintenance violations during roadside inspections. A thorough daily pre-trip catches most of these before an inspector does.

Drug and Alcohol Testing

Federal regulations require all carriers employing CDL drivers to maintain a drug and alcohol testing program under 49 CFR Part 382. ⁸ Required tests include:

Pre-employment: Before a driver performs any safety-sensitive function
Random: Unannounced testing throughout the year (minimum 25% of drivers for drugs, 10% for alcohol annually) ⁸
Post-accident: After qualifying accidents
Reasonable suspicion: When a supervisor has specific observations suggesting impairment
Return-to-duty and follow-up: After a violation, before and after returning to driving duties

Owner operators must enroll in a testing consortium that manages random selection and compliance. The FMCSA Drug and Alcohol Clearinghouse, active since January 2020, requires employers to query the database before hiring drivers and report violations. ¹⁰

Insurance Requirements

Minimum insurance requirements are set by 49 CFR Part 387. ⁹ General freight carriers need $750,000 in primary liability coverage. Hazmat carriers need $1,000,000 to $5,000,000 depending on the materials. ⁹ Proof of insurance must be on file with the FMCSA at all times.

Annual Compliance Checklist

Use this checklist to stay on top of recurring compliance obligations:

Monthly

Review CSA scores through FMCSA SMS website
Verify ELD functionality and data accuracy
Review driver logs for HOS compliance patterns
Ensure vehicle maintenance schedules are current

Quarterly

File IFTA fuel tax returns
Verify random drug and alcohol testing is on schedule
Review driver qualification files for expiring documents
Confirm insurance certificates are current

Annually

Complete vehicle annual inspections before expiration
Update UCR registration
Review and update safety management policies
Conduct driver record checks (MVR reviews)
Query FMCSA Drug and Alcohol Clearinghouse for all drivers

Biennial

Complete USDOT biennial update through MOTUS portal
Review and update MCS-150 form information

As Needed

Update FMCSA registration within 30 days of any operational changes
Report accidents to appropriate authorities
File DataQs challenges for incorrect inspection data
Prepare for DOT audits when notified

Common Violations and How to Avoid Them

HOS Violations

Prevention: Ensure all drivers understand HOS rules, use their ELD correctly, and plan trips with adequate margin for delays. Review logs weekly for patterns that suggest drivers are routinely cutting it close. Use the HOS calculator for trip planning.

Vehicle Maintenance Violations

Prevention: Implement a structured pre-trip inspection routine. Train drivers to actually inspect, not just check boxes. Address brake adjustments, tire condition, and lighting before every trip.

Driver Qualification Violations

Prevention: Set calendar reminders for medical certificate expirations, CDL renewals, and annual MVR checks. Do not let paperwork lapses create violations.

Drug and Alcohol Testing Violations

Prevention: Enroll in a reputable testing consortium, maintain current records, and never allow a driver to perform safety-sensitive functions without completing required tests.

Staying Ahead of Compliance

The carriers that handle compliance best treat it as an ongoing process, not an annual event. Build compliance tasks into your weekly routine. Keep records organized and accessible. Monitor your CSA scores monthly and address issues before they compound.

The cost of compliance is real but manageable. The cost of non-compliance, including fines, out-of-service orders, increased insurance, lost broker relationships, and potential authority revocation, is far higher.

Frequently Asked Questions

What is the most common FMCSA violation?: Hours of service violations are consistently among the most common FMCSA violations, including driving beyond the 11-hour limit, operating past the 14-hour window, and inaccurate or missing log entries. Vehicle maintenance violations, particularly brake and lighting deficiencies, are also extremely common during roadside inspections. Ensuring proper ELD compliance and conducting thorough pre-trip inspections addresses the majority of common violation categories.
How often does the FMCSA audit carriers?: New carriers receive a safety audit within their first 18 months of operation as part of the New Entrant Safety Assurance Program. After the initial audit, subsequent reviews are triggered by high CSA scores, complaints, crashes, or random selection. Most small carriers with clean records may go years between formal audits, but roadside inspections can happen at any time and feed into the same compliance system.
What happens if I fail an FMCSA audit?: The outcome depends on the severity of findings. Minor deficiencies result in a satisfactory rating with corrective action recommendations. Significant findings lead to a conditional rating that requires you to fix issues within a specified timeframe. Serious violations can result in an unsatisfactory rating that effectively shuts down your operation until deficiencies are corrected. An unsatisfactory rating means you cannot operate in interstate commerce.
Do I need a drug and alcohol testing program?: Yes. Every motor carrier that employs CDL holders must have a drug and alcohol testing program compliant with 49 CFR Part 382. This includes pre-employment testing, random testing, post-accident testing, reasonable suspicion testing, return-to-duty testing, and follow-up testing. Owner operators with no employees must still be enrolled in a testing consortium. The FMCSA Drug and Alcohol Clearinghouse tracks violations across the industry.
What records must I keep and for how long?: Driver qualification files must be maintained for the duration of employment plus three years. Hours of service records must be kept for six months. Vehicle inspection reports must be retained for one year. Drug and alcohol testing records have varying retention periods from one to five years depending on the type of record. Accident records must be kept for three years. Maintain all records in an organized, accessible format because auditors will request specific documents.
How do I prepare for a new entrant safety audit?: Start preparing from day one by maintaining complete driver qualification files, keeping vehicle maintenance records, ensuring HOS compliance through proper ELD use, enrolling in a drug and alcohol testing consortium, and documenting your safety management practices. The auditor will review 16 specific regulatory areas. Most audits can be completed in a single day for small carriers. Having organized records is the single biggest factor in passing smoothly.