Compliance Maintenance Package

FMCSA regulations require you to review every driver’s safety performance and qualification file at least once every 12 months.

This mandatory annual review includes:

• Pulling an updated MVR (Driving Record).
• Running an Annual Query in the FMCSA Drug & Alcohol Clearinghouse.
• Verifying the Medical Certificate is current.
• Documenting the official "Annual Review of Driving Record" as required by 49 CFR 391.25.

Most carriers run into trouble because they wait the full year to check these items, often discovering expired documents or unreported violations too late.

As part of this package, we review your DQ files every quarter, and we monitor expiration dates continuously. When a document is approaching its due date, we alert you well in advance so you have time to correct it before it becomes a violation. Our system ensures you always know what is coming due, not just what has already expired.

If a required document expires, the driver is immediately disqualified from operating a commercial motor vehicle until the item is updated and placed in the DQ file. This includes Medical Certificates, Commercial Driver's Licenses (CDL), the Annual Review of Driving Record, and required Clearinghouse queries.

Even a single day’s lapse means the driver is operating illegally. If caught during a roadside inspection or an audit, the carrier will be held responsible for allowing a non-qualified driver to operate, leading to violations and fines.

Most carriers only discover these lapses after a driver is already on the road, resulting in Out-of-Service orders and negative CSA scores.

As part of this package, we monitor all expiration dates continuously. We track every document and notify you well in advance, ensuring you have time to update them before the driver becomes non-qualified. This prevents gaps in qualification and keeps your drivers legally eligible to operate 24/7.

Yes. FMCSA regulations require every motor carrier, regardless of size, to complete an Annual MVR Review for EVERY driver (CDL and Non-CDL). Additionally, you must run an Annual Clearinghouse Limited Query for every active CDL driver.

There is no exemption for small fleets or owner-operators. Even if you have only one driver, these annual reviews must be completed on time and documented in the DQ file.

Failure to run annual queries or MVRs is one of the most common violations found during audits. Carriers with small fleets are often written up simply because they assumed the requirement did not apply to them, or they overlooked the renewal deadline.

As part of this package, we track every required annual review for each driver. We notify you ahead of time when an MVR or Clearinghouse query is due and ensure the documentation is completed and filed properly. This prevents missed deadlines and keeps your drivers fully qualified year-round.

CSA scores (SMS results) update once a month, and carriers are expected to monitor those changes regularly. The FMCSA uses these monthly updates to identify high-risk trends, schedule interventions, and select carriers for audits.

Most carriers do not check their scores consistently, often discovering problems only after a warning letter arrives or an audit is triggered. Even small fleets can see rapid score spikes from just one or two bad inspections.

As part of this package, we review your CSA scores every month. We track all changes to your violation history and screen new inspections for potential errors. If we identify a violation that appears incorrect or eligible for removal, we notify you immediately so it can be challenged through the DataQ system. This proactive monitoring ensures you never miss an opportunity to lower your scores and protect your safety rating.

Yes. CSA score problems are the #1 trigger for FMCSA interventions. When your SMS scores rise in areas like Vehicle Maintenance, HOS Compliance, or Unsafe Driving, the FMCSA flags your company as "High Risk."

This triggers a progressive series of enforcement actions, starting with Warning Letters and escalating to Targeted Roadside Inspections, Focused Investigations, or a Full Compliance Review(Audit).

Crucially, these scores are also visible to brokers and insurance providers. Even if the FMCSA doesn't audit you immediately, a high score can cause brokers to deny your loads and insurance rates to skyrocket.

As part of this package, we monitor your CSA scores every month. We identify negative trends before they cross intervention thresholds and notify you immediately. This proactive oversight helps you correct driver behavior early, keeping your scores low, your audit risk down, and your insurance premiums stable.

CSA scores spike aggressively when violations carry high "Severity Weights" and are recent (multiplied by 3x in the first year). For small fleets, even one of these events can trigger an audit alert overnight:

• Out-of-Service (OOS) Violations: These are the most damaging. Not only do they carry high base points, but the FMCSA adds an extra +2 penalty points for the OOS designation. A single "Red Tag" on a truck or driver is a massive hit to your score.
• Reckless & Aggressive Driving: Speeding (15+ over), following too closely, and using a handheld phone carry the maximum severity weights (10 points). Since these stay in the "Unsafe Driving" BASIC, they are highly visible to insurance companies.
• False Logs (HOS): While simple "form and manner" errors are minor, violations for Falsifying Logs or exceeding drive time limits are weighted heavily and are difficult to remove via DataQ.
• Crashes: For a small carrier, a single DOT-recordable crash can instantly max out your "Crash Indicator" BASIC, flagging you for immediate intervention.

Because small carriers have fewer "clean" inspections to dilute the bad data, one severe violation can ruin your safety profile for months.

As part of this package, we monitor every new violation as it posts. We calculate the exact point impact (Severity x Time Weight) and notify you immediately if a specific driver or truck is putting your authority at risk. This allows you to stop the bleeding before it triggers an audit.

When your CSA scores cross the FMCSA intervention thresholds, your company is immediately flagged as high risk. This sets off a chain reaction of enforcement actions that continue escalating until the scores come back down.

The Typical Escalation Path

The “Death Spiral” of Inspections:
Inspectors use their systems to target carriers with high scores. Your trucks will be pulled in more often, which increases delays and raises the likelihood of additional violations being written.

Warning Letters:
You will receive a formal Warning Letter from the FMCSA. This is your notice that the agency is now actively monitoring your operation.

Targeted Enforcement:
FMCSA may order Targeted Roadside Inspections, directing officers to look specifically for the issues driving your scores up, such as brake violations or HOS falsification.

Compliance Review (Audit):
If the scores remain high, FMCSA may open an investigation. This can range from a focused records review to a full on-site Compliance Review.

Loss of Business:
Long before the FMCSA calls, you may feel the financial impact. Brokers and insurance providers monitor CSA scores monthly. High scores often lead to premium increases or being restricted from load boards.

For small carriers, just one or two bad inspections can trigger this entire escalation.

As part of this package, we monitor your CSA scores every month. We notify you immediately when you approach a threshold and identify exactly which violations are responsible. This early warning system allows you to correct the issue before it escalates into an audit or an insurance problem.

Yes. FMCSA regulations (49 CFR 396.3) require every motor carrier to maintain their own systematic maintenance records, regardless of who performs the actual work. You cannot rely on a dealership or mechanic to hold your compliance records.

A compliant maintenance file must contain more than just receipts. You are required to have:

• Vehicle Identification: A record listing the VIN, make, model, year, tire size, and fleet number.
• Maintenance Schedule: A written plan showing when services are due (e.g., "Oil change every 15,000 miles").
• Records of All Tests & Inspections: This includes Annual DOT Inspections and roadside inspection reports.
• Repair Invoices: Detailed work orders for all repairs performed.

The "Receipt Trap": Most carriers get cited because they think a stack of invoices counts as a maintenance file. It does not. An invoice proves you paid for work; a Maintenance File proves you have a systematic program to prevent breakdowns.

As part of this package, we review your maintenance files regularly. We ensure every unit has the required identification, track your Annual Inspection dates, and organize your shop invoices into a compliant format. We verify that your records are audit-ready at all times, so you aren't scrambling to call your mechanic when the FMCSA calls you.

During an FMCSA audit, you must be able to produce complete maintenance records for every vehicle under your control. The auditor expects to see a systematic program, not just loose invoices or repair notes.

At a minimum, for each unit you must provide:

• Vehicle Identification Record: A specific document listing the unit’s VIN, make, model, year, tire size, and fleet/unit number.
• Preventive Maintenance (PM) Schedule: Your written service intervals (miles, months, or engine hours). The FMCSA wants to see a proactive plan, not just a reactive repair model.
• Annual DOT Inspections: Proof of a current Annual Inspection for every unit, along with documentation of repairs made to any defects noted on the inspection.
• Repair & Maintenance Records: Work orders, repair invoices, and documentation of all maintenance performed. These must show the date, nature of the repair, and the specific vehicle affected.
• DVIR Documentation: Driver Vehicle Inspection Reports showing defects found, along with proof that those defects were repaired before the vehicle returned to service.
• Roadside Inspection Reports: All reports from roadside inspections, including documentation showing that any violations were corrected within the required timeframe.

The "Shoebox" Trap: Carriers often fail maintenance audits because these records are incomplete, disorganized, or scattered between the carrier, the shop, and the glovebox. The FMCSA will not call your mechanic to find missing documents; they expect you to produce them immediately.

As part of this package, we organize and review your maintenance files regularly. We track Annual Inspection deadlines, ensure your PM schedules are documented, and verify that repair invoices and roadside corrections are properly filed. This keeps every unit audit-ready and eliminates the last-minute scramble when the FMCSA asks you to produce records. 

FMCSA requires every motor carrier to update their MCS-150 (Motor Carrier Identification Report) at least once every 24 months, based on the last two digits of their USDOT number. This is known as the Biennial Update.

The Consequence of Missing It: If you fail to complete the Biennial Update by your assigned month, the FMCSA will deactivate your USDOT number immediately. You cannot operate legally until the update is filed and processed.

When You Must Update Sooner: You are also required to update the MCS-150 whenever certain operational details change. The most important items are:

• Mileage (VMT): Your annual mileage is the "denominator" used to calculate your CSA Crash and Unsafe Driving scores. If your fleet grows but your reported mileage stays low, your scores will appear artificially high and may trigger audits.
• Fleet Size: Updating your power unit count prevents "false" utilization alerts in the safety system.
• Company Information: Any change to your legal name, address, phone number, or cargo classifications must be reported promptly.

Most carriers simply forget their filing month or do not realize operational changes require an immediate update.

As part of this package, we track your Biennial Update deadline and handle the filing for you. We also update your mileage and fleet count annually so your CSA scores accurately reflect your exposure, preventing deactivation and reducing unnecessary FMCSA attention.

If your annual mileage or fleet size changes significantly during the year, you should update your MCS-150 immediately. FMCSA expects the data to represent your current operations, and letting it get stale can severely damage your safety rating.

Why updating mid-year matters:

• Mileage (VMT): Your annual mileage is used to calculate your Utilization Factor. If your trucks are driving more miles than reported, the system isn't giving you "credit" for that exposure. Updating your VMT can often lower your Unsafe Driving and Crash Indicator scores by proving you are operating safely over more miles.
• Fleet Size (Power Units): This is one of the most influential numbers in your CSA calculations. The FMCSA divides your violation points by your number of trucks to determine your score. If you add trucks but don't report them, your HOS and Vehicle Maintenance scores will appear artificially high because the math is based on a smaller fleet size.

Most carriers only think about the MCS-150 every two years, not realizing that a simple update could lower their CSA scores immediately.

As part of this package, we monitor these changes for you. When you add trucks or your mileage shifts, we handle the MCS-150 update instantly. This ensures your safety scores are calculated fairly and prevents you from looking riskier than you actually are.

Yes. If you have an active IFTA license, you must file a quarterly return, even if you did not leave your home state during that quarter.

Who is required to have IFTA? 

You are required to have an IFTA license (or purchase Trip Permits) if you operate a "Qualified Motor Vehicle" across state lines. 

A vehicle qualifies if:

• It has a Gross Vehicle Weight Rating (GVWR) or Gross Combination Weight of 26,001 lbs or more; OR
• It has 3 or more axles (regardless of weight).

The "Activity" Myth:IFTA is not optional just because your mileage is low. The moment you activate your IFTA account, you are legally obligated to file four times a year.

• If you run interstate: You must track every mile and gallon to calculate the tax.
• If you do NOT run interstate: You must file a "Zero Return" (No Operations).

If you fail to file a Zero Return, the state will assume you are hiding mileage, charge you penalties, and suspend your license.

As part of this package, we manage your entire IFTA lifecycle. We track your deadlines, monitor your mileage activity, and file your quarterly returns for you. Whether you run one mile interstate or one thousand, we ensure your filings are accurate and on time, preventing costly license suspensions.

Missing an IFTA filing is a serious compliance issue, even if you had no interstate operations for the quarter. Every state treats a missed return as a potential attempt to conceal mileage or evade tax.

Here is what happens when a filing is missed:

• Automatic Penalties: Every jurisdiction imposes a mandatory late penalty. This is usually $50.00 or 10% of the tax due, whichever is greater. Even a "Zero Return" incurs this penalty if filed late.
• License Suspension: If a return is not filed, your IFTA license is usually suspended automatically. This means your decals are invalid, and you cannot legally operate across state lines until the suspension is cleared.
• Audit Trigger: Missing a quarterly deadline is the number one way to get flagged for a State Fuel Tax Audit. Auditors target carriers with missed filings because it indicates poor record-keeping.
• Roadside Consequences: If you are caught operating interstate with a suspended IFTA license, you face citations, fines, and the requirement to purchase expensive Trip Permits on the spot just to get home.

The "Zero Return" Trap: Many carriers get into trouble simply because they assume they do not need to file when they haven't traveled. This is false. If you have an active license, you must file a return every quarter, even if it is all zeros.

As part of this package, we track all your IFTA deadlines. We ensure your returns are filed on time every quarter, whether you ran 10,000 miles or zero. Our monitoring prevents missed filings, keeping you off the audit list and avoiding automatic suspensions.

Yes. Even if your drivers use an ELD every day, FMCSA requires specific backup documentation to be physically present in the vehicle at all times.

To be compliant, every driver must carry:

• A Supply of Blank Logs: Enough graph-grid paper logs to record the current day plus the previous seven days (at least eight blank sheets).
• ELD User Manual: The manufacturer’s manual for the specific ELD model installed in the vehicle.
• Instruction Sheet: A quick-reference sheet describing how to transfer data to an inspector and how to report malfunctions.
• Malfunction Instructions: Written steps outlining what the driver must do if the device fails.

The Malfunction Rule:

If an ELD stops working, the driver must immediately switch to paper logs and reconstruct their duty status for the current 24-hour period. The carrier then has eight days to repair or replace the device, unless an extension is approved by FMCSA.

Most carriers get written up because they assume the ELD replaces paper entirely. It does not. Roadside officers expect drivers to produce these backup materials on demand.

As part of this package, we review your HOS and ELD compliance. We ensure your drivers carry a complete "In-Cab Packet" with the correct manual, instruction sheets, and an eight-day supply of blank logs. This prevents violations during roadside inspections and keeps you compliant even when technology fails.

When reviewing Hours of Service compliance, FMCSA auditors look for "Critical Violations" - patterns that indicate a systemic safety failure rather than a simple clerical error. These are the violations that trigger downgraded safety ratings and massive fines:

1. Falsification of Logs (The #1 Target)

This is the most serious violation. Auditors do not just look at the log; they cross-reference it against external supporting documents. If a fuel receipt, toll record, or Bill of Lading time stamp conflicts with the driver's "Off-Duty" or "Sleeper" status, it is cited as intentional falsification.

2. Unassigned Drive Time

This is the first place auditors look. If your ELD shows vehicle movement that isn't assigned to a driver, auditors assume you are hiding illegal driving time. You must explain or assign every minute of unassigned movement; leaving it "Pending" or ignored is an automatic red flag.

3. Driving Beyond Limits (11/14/60-70)

Exceeding the 11-hour drive time or the 14-hour duty window is highly visible in ELD data. Auditors look for patterns here to prove "Lack of Management Control" - meaning dispatch is forcing drivers to run illegal.

4. False Use of Personal Conveyance (PC)

Auditors aggressively scrutinize PC moves. If a driver uses PC to drive to a repair shop, move toward a pickup, or "advance the operational readiness" of the trip in any way, it is a violation. PC is for personal use only, not for the convenience of the carrier.

5. Missing Logs & Certification

If a driver has gaps in their log history or fails to sign (certify) their logs daily, it is viewed as a breakdown in your recordkeeping system. An auditor expects to see a continuous, unbroken timeline of duty status for every day of the year.

Most carriers fail HOS audits because they rely on the ELD to do the work for them. They don't realize that an ELD can still record ‘false’ data if the driver manipulates the status codes (like using Yard Move on the highway).

As part of this package, we conduct recurring log audits to identify these traps. We review unassigned driving, audit supporting documents for falsification, and flag misuse of Personal Conveyance. This proactive oversight allows you to correct driver behavior before it becomes a permanent mark on your safety rating.

Yes. Unassigned Drive Time (UDT) is one of the first items FMCSA auditors review. It is one of the fastest ways to trigger violations for falsification or "Lack of Management Control." Any vehicle movement not assigned to a specific driver must be explained and properly documented. Leaving UDT unclaimed or ignored is a major red flag.

Why FMCSA treats UDT so seriously:

• It Suggests Hidden Driving Time: Unassigned miles often indicate a driver was operating illegally and did not want the movement to appear on their log (ghost driving). Auditors treat this as potential falsification and investigate aggressively.
• The "Forced Violation" Risk: If you cannot explain a block of unassigned time, the auditor will often assign it to the driver who was on duty that day. This can retroactively push that driver over their 11-hour or 14-hour limits, creating a violation where none existed before.
• It Shows Poor Oversight: Large amounts of UDT tell FMCSA that your safety program is not supervising HOS compliance. This leads to a determination of "Inadequate Safety Management Controls," which directly affects your safety rating.
• ELDs Capture Everything: Even if a driver moves a truck without logging in, the ELD records the movement. During an audit, investigators compare these events to dispatch records, fuel receipts, and bills of lading to identify discrepancies.

The Compliance Rule:

You must review UDT regularly. Every segment must be assigned to the correct driver or annotated with a clear explanation (such as "Mechanic Road Test").

Most carriers get into trouble because they let UDT pile up. By the time an audit arrives, the carrier no longer remembers who moved the truck, and the violation becomes unavoidable.

As part of this package, we review your ELD data regularly and flag unassigned drive time immediately. We help you assign or annotate the movement properly and notify you when patterns suggest possible falsification. This proactive oversight prevents UDT from becoming an audit trigger and protects your safety rating.

Yes, you need to conduct internal HOS log audits. An ELD does not replace your responsibility to review driver logs for accuracy, compliance, and falsification. FMCSA makes it clear that ELDs are only a recording tool, not a compliance system. The carrier is still responsible for identifying and correcting violations before they become a pattern.

Why internal audits are required:

• ELDs Do Not Detect Falsification: An ELD can record data, but it cannot determine whether a driver misused status codes (like using "Yard Move" to mask highway miles). These issues are caught only through human review.
• FMCSA Expects "Regular Monitoring": During an audit, one of the first questions investigators ask is how often you review logs and what corrective action you take. If you cannot prove ongoing oversight, FMCSA cites you for "Inadequate Safety Management Controls."
• ELDs Do Not Compare Logs to Supporting Documents: Auditors cross-reference logs against fuel receipts, dispatch records, tolls, and BOL timestamps to find discrepancies. An ELD cannot do these comparisons for you.
• ELDs Cannot Resolve Unassigned Drive Time: Unassigned movement must be manually assigned or annotated. If you do not review it, it sits unresolved until it becomes an audit violation.
• Patterns Matter More Than Single Violations: FMCSA looks for repeated 11-hour, 14-hour, or on-duty violations. These patterns only become visible through internal audits.

The "Automation" Trap:

Most carriers get into trouble because they assume the ELD "keeps them compliant." In reality, an ELD can record legally or illegally, and it is the carrier’s responsibility to ensure the logs reflect lawful operation.

As part of this package, we perform recurring internal log audits. We review driver behavior, identify violations early, resolve unassigned drive time, and flag potential falsification. This proactive oversight ensures your HOS program meets FMCSA expectations and keeps violations from accumulating unnoticed.

FMCSA requires specific documents to be physically present inside the truck during a roadside inspection. Missing just one of these can lead to violations, delays, and Out-of-Service orders. Drivers must be able to produce these items immediately upon request.

Required Documents for Roadside Inspection:

• Driver’s License: Must be valid, current, and the appropriate class for the vehicle being operated.
• Medical Certificate (Med Card): Required for all CDL and non-CDL CMV drivers unless exempt. CDL drivers should still carry a physical copy as a backup, even if they have already self-certified with the state.
• Registration / Cab Card: The vehicle’s registration must be in the cab. If operating under IRP, the cab card must list the jurisdictions you are authorized to travel in.
• Proof of Insurance: A valid insurance certificate showing the minimum required liability coverage.
• ELD "In-Cab Packet": Drivers using an ELD must carry:
  • The user manual
  • Data transfer instructions
  • Malfunction reporting instructions
  • An 8-day supply of blank paper logs
• IFTA License (if applicable): A copy of the current year’s IFTA license must be in the cab. Decals alone are not sufficient.
• Lease Agreement (if applicable): If the driver owns the truck but operates under another carrier’s authority, a copy of the lease agreement must be carried in the vehicle.
• Annual DOT Inspection Report: A copy of the most recent annual inspection report (or a valid decal) must be available.
• Bills of Lading: Shipping papers must accurately describe the current load, origin, and destination. Hazmat loads require additional emergency response documentation.

Why carriers fail roadside inspections:

Most violations stem from missing or disorganized documents, not dangerous operations. Drivers often assume digital records or office files are sufficient. They are not. FMCSA requires physical or immediately accessible documentation during inspection.

As part of this package, we assemble and maintain a complete Permit Book for each vehicle. We ensure your ELD backups, IFTA documents, cab cards, insurance certificates, lease agreements, and annual inspection reports are always up to date and properly organized. This prevents missing-document violations and keeps your roadside inspections running smoothly. 

FMCSA requires different compliance records to be kept for different lengths of time. Failing to retain documents for the required period is one of the most common findings during audits. Many carriers assume they only need current paperwork, but investigators routinely request records going back several years.

Required FMCSA Record Retention Periods:

Driver Qualification (DQ) Files:

• The entire DQ file must be kept for the duration of employment, plus three years after the driver leaves.

Hours of Service (HOS) / ELD Records:

• ELD logs and all supporting documents: six months.
• Supporting documents include fuel receipts, tolls, BOL timestamps, dispatch logs, and scale tickets.
• Carriers must also retain documentation of violations and corrective actions.

Drug and Alcohol Testing Records (Part 382):

• Positive results, refusals, and SAP reports: five years.
• Collection records and supervisor training: two years.
• Negative test results: one year.

Maintenance and Inspection Records (Part 396):

• Repair and maintenance records: one year while the unit is in service, plus six months after it leaves your control.
• Annual DOT inspections: fourteen months.

Accident Register:

• Maintain accident records for three years from the date of each crash.

IFTA and IRP Records:

• Fuel receipts, mileage records, and trip sheets: four years.
• Warning: States regularly audit back to year four, so deleting these records early is a costly mistake.

Most carriers fail audits not because they lack current documents, but because they discarded older records too soon.

As part of this package, we track your retention requirements, maintain digital copies of key compliance documents, and ensure nothing is destroyed prematurely. Your records stay organized, complete, and immediately accessible no matter how far back the FMCSA chooses to review.

Yes. Owner-operators benefit from this package just as much as small fleets. FMCSA holds single-truck carriers to the exact same compliance standards as large motor carriers, which means you must maintain:

• A complete Driver Qualification File for yourself
• Membership in a Drug & Alcohol Consortium (mandatory for owner-operators)
• Annual MVR reviews and Clearinghouse queries
• A documented maintenance program
• Accurate HOS and ELD records
• Timely IFTA, IRP, and MCS-150 filings
• CSA monitoring and corrective action

The "Small Carrier" Myth:

Many owner-operators assume they are exempt from certain requirements because they "only have one truck," but FMCSA does not grant exemptions based on size. A one-truck carrier can be cited, audited, or downgraded just as easily as a 50-truck fleet.

Most compliance failures for owner-operators happen because they are handling dispatch, driving, billing, and maintenance alone. This leaves little time to monitor expiring documents, roadside inspections, or HOS violations.

As part of this package, we manage the compliance workload for you. We maintain your DQ file, monitor your CSA scores, track your deadlines, handle your quarterly and annual filings, and review your logs for issues that could trigger an audit. This allows you to stay compliant while focusing on driving and running your business.

Any time you add drivers or equipment, your compliance requirements change immediately. FMCSA expects your safety program to scale the moment your operation grows. Failing to update your records is one of the fastest ways to trigger violations during audits and roadside inspections.

When you add a new driver, you must:

• Create a DQ File: Build a complete Driver Qualification file before they turn the key.
• Drug & Alcohol: Conduct a pre-employment drug test (must receive a negative result before driving) and add the driver to your random testing pool.
• Clearinghouse: Run a full Pre-Employment Query.
• Background Checks: Obtain MVRs from every state where the driver was licensed in the past 3 years and verify safety history with previous employers.
• Training: Train the driver on your specific HOS/ELD policies and document it.

When you add a new truck, you must:

• Maintenance Setup: Add the unit to your inventory, create a preventative maintenance (PM) schedule, and verify the Annual DOT Inspection is current.
• Filings & Permits: Add the vehicle to your IFTA and IRP accounts, and update state-specific permits (like NY HUT, KYU, or NM WDT) if applicable.
• Insurance: Ensure the unit is added to your policy and the cab card is in the permit book.
• MCS-150 Update: If the addition is significant, update your census data to protect your safety scores.

FMCSA’s Expectation:

Your records must reflect the expansion immediately. If you added a driver three months ago, the auditor expects to see three months of logs, maintenance files, and random testing exposure for that specific driver/unit.

As part of this package, we update your compliance systems every time your fleet changes. We set up new DQ files, handle the pre-employment testing process, enroll drivers in the Clearinghouse, and update your IFTA and state permits. This ensures your compliance stays current as you grow and prevents gaps that lead to violations.

A quarterly DQ file audit is a proactive review of every driver’s qualification record to ensure all required documents are current, complete, and compliant with FMCSA regulations. Most violations found during audits come from expired medical cards, missing annual reviews, or incomplete hiring documentation.

Each quarterly audit includes a full review of:

• Medical Certificate and CDL Status: We verify that the physical Med Card is valid and cross-reference it with the National Registry. We also check for CDL “Downgraded” statuses to ensure the license remains valid.
• Application and Employment History: We review the application for completeness, including the required 10-year history for CDL drivers, and verify that Safety Performance Inquiries were sent to previous employers.
• Drug and Alcohol Compliance: We confirm the full pre-employment testing chain is complete, including:
  • Signed authorization
  • Chain of Custody form
  • Negative pre-employment result
  • Full Clearinghouse query
• Training and Skills Verification: We confirm that a Certificate of Road Test is on file for every driver. We also verify ELDT training for new CDL holders where applicable.
• New Hire Operations: We check for the Driver Statement of On-Duty Hours to ensure the driver was legal for dispatch on their first day.
• Due Diligence Records: We review PSP reports and confirm the proper disclosure and authorization forms were signed.
• Expiration Tracking: All upcoming expiration dates for licenses, Medical Certificates, and Annual MVR Reviews are logged so reminders can be sent well before deadlines.

How SPC uses this audit to protect your business:

Most DQ violations happen because carriers lose track of expiration dates or miss a required document during the hiring process. Quarterly audits eliminate that risk.

As part of this package, we review every driver’s file every quarter. We flag missing documents, catch downgraded licenses, track expirations, and help you correct issues before they become violations. This keeps your DQ files complete and audit-ready all year.

We monitor your CSA scores every month using the same data sources the FMCSA relies on. Each update gives us a complete picture of your roadside violations, crash history, and BASIC category trends. Our goal is not only to identify issues early but also to prevent recurring violations that lead to audits and insurance problems.

Our CSA monitoring process includes:

• Monthly SMS Review: We review every BASIC category as soon as FMCSA releases new SMS data. We look for percentile changes, new Alert statuses, and patterns that indicate rising risk.
• New Violation Screening: Every new roadside inspection is reviewed to determine which violations were written, whether they were coded correctly, and how they affect your BASICs. Incorrect or unsupported violations are flagged for potential DataQ challenges.
• Crash Evaluation: We review DOT-recordable crashes to determine if they qualify for FMCSA’s Crash Preventability program. If eligible, removing these events can directly improve your Crash Indicator BASIC.
• Time-Weighted Impact Analysis: CSA weighting is highest during the first 12 months of a violation. We evaluate how new and aging violations affect your scores and identify when older violations will stop impacting your BASICs.
• Fleet Data Accuracy Check: Incorrect mileage, fleet size, or driver count can artificially inflate your scores. We compare your operational data to your MCS-150 to ensure FMCSA is calculating your percentiles correctly.
• DataQ Opportunities: If a violation appears incorrect, duplicate, or in the wrong code category, we notify you immediately and help determine whether it should be submitted through the DataQ system.
• Trend Monitoring: We identify which drivers, vehicles, or violation types are contributing most to your rising scores. This allows corrective action before FMCSA intervenes.
• SPRI Risk Scoring: We apply the Silver Peak Risk Index to every new inspection, violation, and driver trend. SPRI highlights emerging risk patterns such as repeat defects, unsafe behaviors, or equipment that is trending toward an Out-of-Service failure. This gives us early warning indicators so we can recommend corrective action before violations accumulate.

How SPC uses CSA monitoring to protect your business:

Most carriers only look at their CSA scores when a warning letter arrives. By then, the damage is already done. Our process is designed to detect issues early and prevent repeat violations.

As part of this package, we review your CSA data every month, apply SPRI scoring to catch early risk patterns, and notify you immediately when we see a violation, trend, or error that needs attention. This proactive approach helps you correct issues before they escalate, protecting your safety rating, lowering your audit risk, and keeping your insurance premiums stable.

As part of this package, we monitor every new roadside inspection and alert you right away if a violation appears incorrect, unsupported, or coded inaccurately. Many carriers never realize an error exists until it has already damaged their CSA scores. Our role is to identify those issues early so you can decide whether to pursue a challenge.

What is included in this package:

• Violation Accuracy Screening: We review each new inspection for common errors, such as incorrect regulation codes, duplicate violations, or defects that should not have triggered citations.
• Impact Explanation: We explain exactly how the violation affects your CSA scores, whether it increases your audit risk, and whether it is the type of issue carriers typically challenge.
• Notification of Challenge Potential: If the violation appears incorrect or challengeable, we notify you immediately so you can decide whether to take next steps.

The Challenge Submission Process:

Preparing and submitting a formal DataQs challenge is a complex legal argument that requires evidence gathering and regulatory analysis. Therefore, the actual drafting and submission of the challenge is not included in the base monitoring package.

If you decide to challenge a violation we identify, you can choose to:

• Purchase a standalone DataQs Challenge service from us; or
• Upgrade to our Full Compliance Retainer, where DataQs management is included.

How SPC protects you even without submitting the challenge:Most carriers miss the opportunity to challenge violations simply because they do not know an error occurred until it is too late. Early detection is the key.

With this package, you get:

• Monthly review of all new roadside inspections
• Immediate notification of any violation that appears incorrect
• A clear explanation of how that violation impacts your CSA scores
• Options to escalate the case to a paid DataQs review if warranted

This ensures you never miss an opportunity to correct bad data before it permanently harms your safety profile.

Yes. Proactive notification is the foundation of this package. We operate on a strict "No Surprises" policy. Our job is to ensure you never find out about a problem for the first time during an audit or a roadside inspection.

Here is how our notification system works:

Driver Qualification Alerts (30-14-7 Day Warnings)We track all time-sensitive driver qualifications and alert you well before they become critical issues. Our escalation cadence ensures nothing falls through the cracks: we notify you 30 days out, again at 14 days, and send a final urgent reminder at 7 days. 

We track:

• CDL and endorsement expirations
• Medical Certificate expirations (preventing CDL downgrades)
• Annual MVR Reviews
• Annual Clearinghouse Limited Queries
• Missing signatures or gaps found during our quarterly audit

Fleet Maintenance & Permitting

We monitor the operational legalities of your equipment to prevent Out-of-Service orders. We track:

• Annual DOT Inspection deadlines
• Preventive Maintenance (PM) intervals (based on your schedule)
• IFTA filing deadlines and license renewals
• IRP registration and state permit renewals (like NY HUT or KYU)

Critical CSA & Safety Triggers

We do not just watch dates; we watch for risk. When we review your CSA data and roadside inspections, we alert you immediately if:

• A BASIC category is trending toward "Alert" status.
• A specific driver or vehicle is showing a pattern of repeat defects.
• A new violation appears incorrect or eligible for a DataQs challenge.
• A violation carries a high severity weight that will impact your insurance.

The SPC Resolution Protocol

We do not just forward you a problem; we provide the solution. When we flag an issue, we:

• Identify: Tell you exactly what is due or missing.
• Assess: Explain the specific audit or safety risk if left uncorrected.
• Execute: If the required action falls within the scope of this package (such as MCS-150 updates or IFTA filings), we complete the filing directly on your behalf.
• Advise: If the issue requires outside action (like a driver needing a physical), we give you clear instructions on what needs to be done.

This package is built so you are always aware of your status, have clear next steps, and are never surprised by avoidable violations.