Pillar · 49 CFR Parts 385, 390
DOT compliance that survives the auditor.
Most carriers think compliance is a checklist. FMCSA grades it as a system: written policies, documented training, signed records, and an audit trail that connects them. We build the system, then defend it under inspection.
Why it matters
Why FMCSA compliance is now a system, not a binder.
Since the introduction of CSA, FMCSA evaluates carriers on documented behavior over a rolling 24-month window. A well-stocked binder is no longer enough — auditors check whether your written policies, training records, driver qualification files, hours-of-service practices, and maintenance records actually corroborate one another. A single inconsistency between your DQ file and your inspection report can trigger a focused review. Carriers with a true compliance system pass; carriers without one are downgraded, conditionally rated, or shut down.
Regulation: 49 CFR Part 385 (Safety Fitness Determination) · Part 390 (General) · Part 391 (Driver Qualifications) · Part 395 (Hours of Service) · Part 396 (Inspection, Repair, Maintenance)
Common gap areas
Where compliance reviews most often flag carriers.
No written safety management plan
FMCSA expects a documented plan that reflects how your fleet actually operates. Generic templates copied from the internet do not pass review.
DQ files that contradict the inspection record
A driver-qualification file claiming a clean record cannot survive when the corresponding roadside inspection in MCMIS shows three violations the same year.
HOS records that do not match supporting documents
ELD logs that disagree with toll receipts, GPS pings, or fuel-purchase data are an automatic flag during a focused HOS audit.
Drug-and-alcohol program with missing chain-of-custody
A test result without a signed CCF, or a follow-up program without an SAP-issued treatment plan, creates an immediate Part 382 violation.
No documented internal audit cadence
When FMCSA asks for evidence that you check your own records, "we know we run a tight ship" is not an answer.
How we work
How we run a DOT-compliance program.
- 01
Diagnostic audit (week 1)
We mock-audit your records the way an FMCSA reviewer would: DQ files for every driver, HOS records by VIN, drug-and-alcohol program, maintenance records back 12 months. You receive a written gap list keyed to 49 CFR Parts.
- 02
Remediation plan with named owners
Each gap gets a remediation action, a deadline, and a named owner — your safety director, our consultant, or both. Nothing stays vague. The plan ships as a board-ready document.
- 03
Ongoing oversight on retainer
Monthly file audits, policy updates, FMCSA-compliance bulletins routed to your operations team, and direct audit-defense if FMCSA opens an investigation. We are the call you make when the inspector arrives.
Services in this pillar
Specialist offerings within DOT Compliance.
New entrants and carriers between FMCSA visits
Internal & New-Entrant Audits
Mock-audit your records the way an FMCSA auditor would — fix gaps before they cost you.
DetailsFleets without a dedicated safety director
Safety Management
Outsourced safety-director-on-retainer: policy authoring, driver oversight, monthly reports.
DetailsCarriers documenting compliance training for DQ files
Training & Development
FMCSA-aligned driver training delivered through the InfoMax training portal.
Details
FAQs
What carriers ask before the first call.
How is a New Entrant audit different from a regular FMCSA audit?
A New Entrant safety audit happens in the first 12 months after a carrier receives interstate authority and is focused on whether the carrier has the basic safety management controls in place. A compliance review (sometimes called a focused audit or full audit) can happen at any time after that and looks deeper at recent violations, CSA performance, and specific BASICs that have triggered the review.
Do I need a written Safety Management Plan?
Yes. While 49 CFR does not specify a mandatory SMP format, FMCSA reviewers consistently expect documented policies covering driver qualification, hours of service, drug and alcohol testing, vehicle inspection and maintenance, and accident investigation. A carrier without a written plan is treated as one without a plan.
How often does FMCSA audit a carrier?
FMCSA does not audit on a fixed schedule. Carriers are selected based on CSA performance, complaints, post-crash review, the New Entrant 12-month milestone, or random selection. Carriers with strong CSA scores and a clean record can go years between reviews. Carriers with one or more BASICs above the intervention threshold are audited at much higher rates.
What does an audit-ready Driver Qualification File look like?
A complete DQ file includes the driver application, MVRs from every state where the driver held a license in the past 3 years, an annual MVR thereafter, the driver's previous-employer inquiries, road-test certificate, medical examiner certificate, and any required CDL endorsements. Every signed record must be dated, current within the regulatory deadline, and free of contradictions with the carrier's inspection record. See our Driver Qualification Files pillar for full detail.
Can I challenge an FMCSA finding after the audit?
Yes. Carriers have the right to request administrative review of an audit determination, and many findings — particularly violations based on inaccurate roadside data — are appropriately challenged through the DataQ system. We handle DataQ challenges as a separate program.
Ready to talk specifics?
The first call is diagnostic, not a pitch.
Walk us through your fleet. We'll point at the gaps an FMCSA auditor would flag, by 49 CFR Part. No retainer, no obligation.