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DOT Reporting Requirements for Freight Brokers

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As a freight broker, you want to book your loads quickly and keep the cash flowing. At the same time, you need to make sure you’re using qualified carriers that take safety seriously to protect your shippers, your business, and your reputation.

Department of Transportation (DOT) reporting can help you keep track of carrier safety records. Learn what safety violations to look for, when to report them, and how to look at insurance and safety records to safeguard your business and mitigate your risk.

What is DOT reporting?

DOT reporting is part of carriers’ transportation compliance requirements. Carriers must report how they are meeting the DOT’s established standards.

The U.S. Code of Federal Regulations (CFR) contains hundreds of compliance requirements, including regular and incident reporting. Failure to comply results in reprimands, fines, and, in extreme cases, suspension or revocation of freight carrier operating authority.

What are the latest DOT reporting obligations?

Reporting obligations were added in 2020 for any company that employs commercial motor vehicle drivers.

After any driver’s DOT drug or alcohol violation, companies must report the incident within three business days to the National Drug & Alcohol Clearinghouse. Violations include:

  • A verified positive result from a drug test
  • Reporting for duty or being on duty with a blood alcohol concentration of 0.04 or greater
  • Using any drugs specified in the regulations other than those prescribed
  • Any alcohol use within four hours of performing a safety-sensitive function
  • Alcohol use within eight hours of an accident
  • Refusing to submit to a required drug or alcohol test

Employers are also required to query the database for any new hires or new drivers for previous drug or alcohol violations. Companies must also check current employee status annually.

Another recent update to DOT reporting obligations is that drivers are no longer required to provide employers with an annual list of traffic convictions. Employers would see that information when they review a driver’s motor vehicle record each year.

Who must comply with DOT reporting requirements?

DOT reporting requirements apply to any vehicle that must register with the DOT and have an active USDOT number. Federal rules apply to vehicles used for interstate commerce, although most states also require DOT numbers for intrastate operations.

Compliance with DOT reporting is required for:

  • Vehicles used for transporting hazardous materials that need a safety permit for intrastate commerce
  • Vehicles with a gross weight of 10,001 pounds or more
  • Vehicles designed to transport more than eight passengers, including the driver, for compensation
  • Vehicles intended for more than 15 occupants, including drivers

What are the main DOT compliance factors?

Carriers and drivers must be up-to-date on all Federal Motor Carrier Safety Administration (FMCSA) regulations as part of their compliance requirements. Here are some of the main DOT compliance factors:

Driver training and qualifications

  • Ensure drivers sign copies of the FMCSA rules and follow the regulations.
  • Ensure drivers comply with entry-level driver training requirements.
  • Supervisors must also receive drug and alcohol training.

Drug and alcohol testing

  • Carriers must conduct a pre-hire query with the National Drug & Alcohol Clearinghouse.
  • Carriers must do random drug and alcohol testing of drivers regularly.

Hours of service (HOS) requirements

Supervisors should enforce HOS rules, such as the: 

  • 11-hour driving limit for property-carrying drivers
  • 10-hour driving limit for passenger-carrying drivers
  • 60/70-hour limit in seven/eight days


Carriers must:

  • Keep a copy of the current FMCSA rules in the office.
  • Keep records of any road incidents for each vehicle.
  • Have a documented vehicle maintenance program.
  • Keep current qualification records and the safety history of each worker.
  • Maintain HOS records for each driver.
  • Record pre-employment drug testing results, including alcohol or drug abuse incidents from previous employment.
  • Maintain vehicle inspections, required licenses, permits, and insurance documentation.


  • Carriers must maintain at least the required minimum levels of insurance coverage. The amounts vary based on the weight and type of load.

Vehicle inspections

  • Drivers and carriers must display DOT registration numbers on vehicles.
  • Drivers must complete a vehicle inspection pre-trip, and a post-trip inspection must be conducted and documented for each vehicle.

Types of DOT violations

DOT regulations span various activities, including driver certifications and behavior, vehicle operation and maintenance, and documentation.

According to the DOT, here are the most common violations associated with driving a commercial moving vehicle (CMV):

  • Moving violations, such as speeding, reckless driving, or failure to obey traffic control devices
  • Failing to use a seatbelt
  • Using a handheld cell phone while operating a CMV
  • Unauthorized passengers
  • Driving under the influence of drugs or alcohol
  • Possessing “non-cargo” alcohol
  • Failing to secure vehicle equipment or loads
  • Failing to conduct required pre-trip inspections
  • Failing to properly place warning devices
  • Disregarding DOT filing requirements

For companies, some of the more frequent DOT violations include:

  • Incomplete or missing documentation
  • Failure to comply with HOS requirements
  • Lack of required vehicle inspections
  • Lack of regular vehicle maintenance
  • Unsafe transportation of various types of loads

Fines for failure to comply with DOT filing requirements and regulations range from a few hundred dollars for first-time, low-level offenses to nearly $200,000 for hazmat violations that lead to death, serious injury, or destruction of property. The DOT updates its rules each year to adjust penalties based on inflation benchmarks.

As a broker, you want to mitigate your risk by booking loads with reputable carriers that comply with all DOT rules.

Why is DOT reporting important for brokers?

Brokers may worry that reporting DOT violations could be bad for their business, but the opposite is true. Failure to report violations can result in fines, not to mention negative publicity and a tarnished reputation. 

Reporting violations as required and in a timely fashion demonstrates a broker’s commitment to safety, and it keeps potentially dangerous drivers and vehicles off the road.

Why is it important for brokers to understand and use DOT reports?

As a broker, your reputation is essential. If you book business with a carrier with safety problems in their record or DOT violations, you risk hurting your reputation and damaging your business.

You need to ensure you are sourcing qualified carriers with a proven track record of safety. DOT reports provide additional confidence that the job will get done right without damaging your brand.

When you book business with unqualified or risky carriers, you also increase your odds of claims or complaints and raise your risk profile.

Why is DOT compliance a challenge for brokers?

When you’re a broker, time is money. The more quality loads you can place, the more profitable you will be. Manually reviewing and tracking DOT reports for multiple carriers is a major time investment. Keeping reports in spreadsheets or other programs creates another set of problems, including organizing, filing, and accuracy/error concerns.

But there’s a better way.

Truckstop RMIS Carrier Onboarding allows brokers to quickly access an up-to-date database with insurance information on more than 98% of the active carriers in the United States and Canada, including safety ratings and other DOT data points.

You can check compliance, insurance, and CSA-e percentile scores for inspections and violations, and you can also use automated rules to alert you of changes so you’re always up-to-date.

What will you do with all the time you get back? Move more loads. Make more money. And be more confident that you are booking loads with high-quality carriers that take safety seriously. Let Truckstop show you how we can help your brokerage run more smoothly. Get a free demo today.

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