Reducing Compliance Risk: Best Practices for Fleet Owners

November 20, 2025

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For fleet owners, staying compliant with Department of Transportation (DOT) and Federal Motor Carrier Safety Administration (FMCSA) regulations is more than a legal requirement. It is a critical factor in protecting operations, managing risk, and maintaining business continuity. Compliance violations can result in costly fines, damaged reputation, higher insurance premiums, and even out-of-service orders. To reduce these risks, it is essential to adopt a proactive and structured approach to compliance across every aspect of fleet operations.

Understanding the Compliance Landscape

Fleet owners operate in a highly regulated environment, and compliance extends well beyond paperwork. It includes adhering to federal and state regulations related to driver eligibility, vehicle safety, operating hours, and controlled substance testing. Each area comes with specific requirements that are subject to inspection during audits or roadside stops.


Common compliance gaps, such as missing documentation, overdue inspections, or outdated medical certifications, can quickly escalate into major violations. These issues not only impact a company's safety scores but can also lead to intervention from regulatory authorities or loss of operating authority. Knowing where your vulnerabilities lie is the first step in mitigating them.

A worker is monitoring a Motor Vehicle Record (MVR).

Strengthening Your Compliance Foundation

Maintain Accurate Driver Qualification (DQ) Files

DQ files are one of the most scrutinized areas during a DOT audit. Every commercial driver must have a complete and current file that includes their commercial driver’s license, medical examiner’s certificate, safety performance history, and required endorsements. If a document expires or is missing, it could result in a serious violation even if the driver is otherwise qualified.


Establishing a regular review schedule for all DQ files ensures nothing slips through the cracks. Fleet owners should also leverage systems that automatically track expiration dates and alert compliance managers in advance.

Ensure ELD and Hours-of-Service Compliance

Electronic Logging Devices (ELDs) are intended to simplify hours-of-service compliance, but they can also introduce risk if not used correctly. Common issues include false log edits, misclassified driving time, or drivers not logging out properly. These problems can be flagged during audits and may result in penalties.


To minimize exposure, fleet operators should provide ongoing ELD training, regularly audit logs for accuracy, and establish internal controls to identify and address discrepancies.

Prioritize Preventative Maintenance

Vehicle condition is another area where compliance and safety intersect. Fleet owners are required to conduct routine inspections and maintain records that demonstrate roadworthiness. Pre-trip and post-trip inspections, along with scheduled preventive maintenance, reduce the likelihood of mechanical failures and violations during roadside checks.


Documenting every inspection, service, and repair is crucial. Well-maintained vehicles not only help meet compliance standards. They also reduce downtime and extend asset life.

Leverage Technology to Stay Audit-Ready

Fleet compliance cannot be managed manually at scale. Today’s fleet operators need access to centralized platforms that consolidate driver records, vehicle maintenance schedules, log data, and safety metrics. These systems should offer automated alerts for expiring documents, upcoming inspections, or violations needing corrective action.


Using integrated software like National Fleet Services’ DOTFocused platform allows fleets to proactively manage compliance. From dashboard visibility to automated reporting, technology empowers managers to spot trends, reduce human error, and maintain audit readiness at all times.

Build a Culture of Compliance

Technology and processes alone are not enough. Compliance must be embedded in company culture. This starts with leadership setting the tone and creating policies that are clearly communicated and consistently enforced. Every team member, from dispatch to drivers, should understand their role in maintaining compliance and why it matters.


Regular training, performance feedback, and clear accountability help ensure that safety and compliance remain top priorities. When teams view compliance as a shared responsibility instead of just a regulatory checkbox, it leads to more consistent behavior and fewer violations.

Know How to Respond to Violations and Audits

Even with the best systems in place, issues can arise. How a company responds to violations often determines whether they remain isolated incidents or develop into systemic risks. It is critical to investigate every infraction thoroughly, determine the root cause, and implement corrective actions.


When facing a DOT audit, preparedness is key. Having organized, up-to-date documentation and a designated compliance contact can significantly reduce audit stress. Fleet owners who regularly conduct internal audits and gap assessments are better positioned to handle official reviews.

A Trusted Partner In Compliance

Reducing compliance risk is not just about avoiding penalties. It is about building a sustainable, reputable operation that is prepared for growth. From managing DQ files to monitoring ELD data and vehicle inspections, every step matters. But fleet owners do not have to do it alone.


At National Fleet Services, we help companies maintain full DOT compliance through expert support and our powerful fleet management software, DOTFocused. Whether you need help preparing for an audit, streamlining compliance processes, or reducing operational risk, our team is here to support you.

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On January 8, 2026, the U.S. Department of Transportation (DOT) announced that the minimum random drug and alcohol testing rates for CDL drivers will remain unchanged. For calendar year 2026, the required testing rates are: 50% for random drug testing 10% for random alcohol testing This marks the sixth consecutive year that these rates have remained in effect following the Federal Motor Carrier Safety Administration’s (FMCSA) increase from 25% to 50% in January 2020. Based on current industry data, these testing levels are unlikely to decrease in the near future. Why the Testing Rate Remains at 50% FMCSA operates under a performance-based testing model established by its 2001 final rule, Controlled Substances and Alcohol Use and Testing. Under this rule: When the industry-wide positive random drug test rate reaches or exceeds 1.0% , FMCSA is required to maintain a 50% random testing rate . To reduce the rate back to 25% , the industry must demonstrate positive test rates below 1.0% for two consecutive calendar years . At present, the data does not support a reduction. The last decrease occurred in 2016 when positive test rates were low enough to justify a reduction to 25%. However, by 2018 the positive rate had climbed back to 1.0%, triggering the return to 50% testing beginning in 2020. What the Drug & Alcohol Clearinghouse Data Shows The FMCSA Drug & Alcohol Clearinghouse provides clear insight into why the testing rate has not changed. Since January 2020: Over 300,000 drug and alcohol violations have been reported 324,996 drivers have at least one violation on record More than 200,000 drivers are currently in prohibited status Over 150,000 prohibited drivers have not started the return-to-duty (RTD) process That last figure is particularly significant. More than 150,000 CDL holders remain sidelined and legally prohibited from operating a commercial motor vehicle, with no steps taken to regain eligibility. Substances Most Frequently Identified The Clearinghouse also tracks violations by substance. Since 2020, cumulative positive results show: Marijuana (Δ9-THCA): 171,270 Cocaine: 47,237 Methamphetamine: 24,589 Amphetamine: 22,932 Opioids (combined): 21,763 Other substances: 5,793 Marijuana alone accounts for approximately 60% of all positive drug tests . While marijuana may be legal at the state level in many areas, federal law strictly prohibits its use by CDL drivers . State legalization does not override DOT regulations. What This Means for Motor Carriers The Minimum Is a Floor, Not a Ceiling The 50% testing rate is the minimum requirement, not a maximum. FMCSA allows and encourages carriers to test at higher rates if their company policies support it, provided all DOT testing procedures are followed. 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State DMVs now have real-time access to Clearinghouse data, meaning violations can directly impact a driver’s CDL status. Motor carriers must ensure: A full pre-employment Clearinghouse query is completed before a driver operates a CMV Annual queries are conducted on all current drivers Drivers in prohibited status are immediately removed from safety-sensitive functions All Clearinghouse actions are properly documented What Drivers Need to Know For CDL drivers, the message is clear: Federal law applies regardless of state marijuana laws. A positive THC test will result in immediate prohibition until the return-to-duty process is completed. Violations follow you. Drivers can no longer avoid failed tests by changing employers. All carriers are required to query the Clearinghouse. Refusals are treated as positive tests. Missing a test, tampering with a sample, or failing to provide a sufficient specimen without valid medical justification all count as refusals. The return-to-duty process is costly and time-consuming. Drivers should expect SAP evaluations, treatment, RTD testing, and follow-up testing for at least 12 months—often costing $2,000 to $5,000 or more . Looking Ahead The 50% random drug testing rate will remain in place until the industry achieves two consecutive years with positive rates below 1.0%. Given current Clearinghouse trends—particularly marijuana-related violations—it is reasonable to expect this testing rate to continue through at least 2028, and likely beyond. Smart fleet operators will treat this as standard operating procedure and focus on what they can control: strong hiring practices, consistent Clearinghouse queries, compliant random selection processes, and a culture that prioritizes safety and accountability. For drivers, the takeaway is simple: know the rules, stay compliant, and don’t gamble your career on the belief that you won’t be selected .