5 Compliance Tips Every Owner-Operator Should Know

Running your own trucking business means wearing a lot of hats — driver, mechanic, dispatcher, and compliance officer. For owner-operators, staying compliant with DOT regulations isn’t just about avoiding fines; it’s about protecting your livelihood.

Here are five essential compliance tips to help you stay on the road and out of trouble.

1. Keep your vehicle files in order

Every commercial motor vehicle must be part of a systematic inspection and maintenance program, something many owner-operators fail to implement. This includes:

• Maintaining a file for each vehicle (tractor, truck, trailer) with records of inspections, maintenance, lubrication, and repairs for the past 12 months.
• Ensuring annual inspections are completed before the previous one expires, and carrying proof that each vehicle (trailer included) has passed the inspection.
• Documenting the qualifications of personnel performing inspections. This includes anyone doing your annual inspections, and your own qualifications if you do your own brake work.
• Making sure any vehicle defects that you’re aware of at the end of the day are documented and addressed before operating the vehicle again.

Make it easier: Use a digital recordkeeping system that can automate reminders for inspections, track your maintenance activities, and store all your inspection and maintenance records in one place for easy retrieval.

2. Stay sharp on hours of service (HOS)

Your logbook or electronic logging device (ELD) is your first line of defense in a roadside inspection or audit. Among the most common HOS violations this year: failing to complete all fields on an ELD and falsification. No matter how you’re recording your time, you must:

• Fill out your log/ELD completely and accurately, and keep it current to the last change of duty status.
• Understand the nuances of personal conveyance and other exceptions to the rules, before using them, and be sure any use of an exception is documented.
• Certify your log at the end of the day, every day.
• Retain logs and all supporting documents for six months, even if you don’t do your own log auditing.

Make it easier: Use a compliant ELD with an integrated back-office system that helps you track HOS in real time, makes it easy to deal with unassigned miles, performs self-auditing of your logs, and flags potential violations before they happen.

3. Know your role as both driver and carrier

As an owner-operator, you’re both the driver and the motor carrier. In part, this means:

• You must maintain your own driver qualification (DQ) file, including background check, driving records, employment application, medical certificates, and training records.
• You are responsible for ensuring your license and endorsements are valid.
• You must understand what causes disqualification (including in a personal vehicle) and ensure you remain qualified to drive.
• You must register with the Drug & Alcohol Clearinghouse as an owner-operator, designate a service agent (C/TPA) to report any violations, and run your own annual queries (or ask your C/TPA to do it for you).

Determine who “the motor carrier” is for every job you take. If you lease on to another motor carrier and operate under their DOT number, that company is responsible for keeping your records and proving that you’re in compliance, the same as if you were their employee.

Make it easier: Use an online records management system to help manage your DQ and drug/alcohol files, track license and medical-card expirations, and store required documents securely. Make sure it includes a “tickler” system to remind you of expiring credentials and certifications, and a “Help!” button to get answers to your unique compliance questions.

4. Don’t overlook drug and alcohol testing requirements

Even if you’re a one-person operation, you’re still required to comply with DOT drug and alcohol testing rules. This includes:

• Pre-employment, random, post-accident, and return-to-duty testing. (If you’re a one-person operation, you’re off the hook for reasonable-suspicion testing and training.)
• Joining a consortium for purposes of random testing.
• Maintaining proper documentation.

Failure to implement a testing program is considered an acute violation and can lead to serious penalties. Even a small lapse in compliance with the testing rules can have long-term consequences.

Make it easier: Again, use a robust records management system that tracks your compliance with the testing and recordkeeping requirements. Hold your service agents accountable for any violations they may cause, because such violations belong to you.

5. Use preventive maintenance to your advantage

Your equipment is the backbone of your business and the engine of your independence. That’s why keeping it on the road is so critical, and why a strong maintenance program isn’t just about compliance — it’s about maintaining an income, keeping you safe, and saving you costs wherever possible. A strong preventive-maintenance (PM) program can:

• Catch vehicle problems early, before they result in downtime or roadside service calls.
• Improve fuel economy.
• Extend equipment life.
• Increase roadside inspection pass rates.
• Keep you off the DOT’s radar.

Make sure you’re well-versed in equipment inspections and upkeep, use only trusted technicians, and drive responsibly to reduce wear and tear. Contact your equipment dealer if you don’t have the manufacturer’s PM schedules for your vehicle(s).

Before installing any aftermarket accessories — whether it's chrome trim, auxiliary lighting, or custom visors — verify they’re DOT-compliant and won’t obstruct required safety equipment, lighting, or your view. Non-compliant modifications can lead to violations during inspections and compromise vehicle safety.

Make it easier: Keep electronic records of all inspection and maintenance activities and accidents/incidents, and use an online system to schedule your PMs, track your service history, and get the expert help you need.

Compliance doesn’t have to be complicated

With the right tools and resources at your fingertips, you can simplify your recordkeeping, stay ahead of deadlines, investigate your compliance obligations, and focus on what you do best — driving.