FMCSA Regulations

Understanding FMCSA Regulations

The Federal Motor Carrier Safety Administration (FMCSA) is the primary regulatory body governing commercial trucking in the United States. For dispatchers and carriers, understanding FMCSA regulations is not optional—it's essential for legal operation, safety compliance, and avoiding costly fines.

---

What is the FMCSA?

Federal Motor Carrier Safety Administration

Mission: Reduce crashes, injuries, and fatalities involving large trucks and buses.

Authority:

• Part of the U.S. Department of Transportation (DOT)
• Established in 2000
• Enforces Federal Motor Carrier Safety Regulations (FMCSRs)

Primary Responsibilities:

• ✅ Regulate commercial drivers - CDL standards, medical qualifications
• ✅ Regulate vehicles - Safety standards, inspections, maintenance
• ✅ Regulate carriers - Operating authority, insurance, compliance
• ✅ Enforce Hours of Service (HOS) - Driver fatigue prevention
• ✅ Conduct safety audits - Compliance reviews, investigations
• ✅ Maintain safety data - CSA scores, SAFER system

---

Motor Carrier (MC) Authority

What is MC Authority?

MC Number:

• Motor Carrier Operating Authority
• Required for for-hire interstate carriers
• Issued by FMCSA
• Allows carrier to transport freight for compensation

Who Needs It:

• ✅ Carriers hauling freight across state lines
• ✅ For-hire operations (paid to haul for others)
• ✅ Property carriers (freight, not passengers)

Who Doesn't Need It:

• ❌ Private carriers (hauling own goods)
• ❌ Intrastate only (within one state - state authority needed instead)

---

Types of FMCSA Authority:

MC Authority (Motor Carrier):

• For-hire freight transportation
• Most common type
• Required for interstate commerce

FF Authority (Freight Forwarder):

• Arranges freight transportation
• Not a direct carrier

MX Authority (Mexico-Domiciled Carrier):

• Mexican carriers operating in U.S.

Broker Authority:

• Different number (MC-B or FF)
• Arranges transportation (doesn't own trucks)

---

How to Obtain MC Authority:

Requirements:

✅ USDOT Number (obtained first)

✅ BOC-3 Filing (Process agent designation)

✅ Proof of Insurance ($75,000 minimum liability)

✅ Unified Carrier Registration (UCR) fee payment

✅ Application Fee ($300)

Process:

Register for USDOT Number online

Complete MC Authority application

File BOC-3 (designate process agents in all states)

Submit insurance (Form MCS-90)

Pay UCR fees

Wait for approval (~21 days)

Timeline:

• Application: Online via FMCSA portal
• Processing: 18-21 business days
• Activation: Once insurance approved

---

USDOT Number

What is a USDOT Number?

Definition:

• Unique identifier for interstate carriers
• Required by FMCSA for tracking and safety monitoring
• Different from MC Authority (authority to operate vs. identification)

Who Needs It:

• ✅ Commercial vehicles operating in interstate commerce that:

- Have a gross weight of 10,001 lbs or more, OR - Transport hazmat requiring placards, OR - Transport 9-15 passengers for compensation, OR - Transport 16+ passengers (not for compensation)

What It's Used For:

• Safety monitoring and compliance reviews
• Crash data tracking
• Inspection history
• CSA safety scores
• Insurance verification

---

Obtaining a USDOT Number:

Process:

Register online at fmcsa.dot.gov

Provide company information

Describe operations (interstate/intrastate, cargo type)

Receive USDOT Number immediately

Biennial Update required every 2 years

Cost:

• FREE to obtain
• Must update every 2 years (also free)

Failure to Update:

• USDOT number deactivated after 60-day grace period
• Cannot operate until reactivated
• Fines and penalties

---

Insurance Requirements

Minimum Liability Insurance:

General Freight:

• $75,000 minimum (non-hazmat, under 10,001 lbs)
• $750,000 for most carriers (10,001+ lbs)
• $1,000,000 standard for most operations

Hazardous Materials:

• $5,000,000 for hazmat requiring placarding

Passenger Vehicles:

• $1.5 million to $5 million (depending on capacity)

---

Form MCS-90:

What It Is:

• Endorsement for Motor Carrier Policies
• Filed with FMCSA by insurance company
• Guarantees minimum coverage

Electronic Filing:

• Insurance companies file directly with FMCSA
• Carriers receive confirmation
• Shows as "active" in SAFER system

Cancellation:

• Insurance company must notify FMCSA 30 days before cancellation
• Carrier authority suspended if no replacement insurance

---

Hours of Service (HOS) Oversight

FMCSA HOS Regulations:

The FMCSA establishes and enforces Hours of Service rules to prevent driver fatigue.

Key Rules:

• 11-Hour Driving Limit: Maximum 11 hours driving after 10 consecutive hours off duty
• 14-Hour On-Duty Limit: Cannot drive after 14th hour after coming on duty
• 30-Minute Break: Required after 8 cumulative hours of driving
• 60/70-Hour Limit: 60 hours in 7 days or 70 hours in 8 days
• 34-Hour Restart: Resets weekly limit

Enforcement:

• Roadside inspections
• ELD data reviews
• Logbook audits
• Violations result in fines and CSA points

(Detailed coverage in separate HOS article)

---

Safety Audits and Compliance Reviews

New Entrant Safety Audit:

When:

• Within 12 months of receiving MC Authority
• For brand new carriers

What Happens:

• FMCSA investigator reviews:

- Hours of Service compliance - Vehicle maintenance records - Driver qualification files - Drug and alcohol testing program - Insurance coverage - Hazmat compliance (if applicable)

Outcomes:

• Satisfactory: Continue operating normally
• Conditional: Must correct deficiencies
• Unsatisfactory: Authority revoked

Dispatcher Impact:

• Ensure all records are complete and accurate
• Maintain proper HOS logs
• Keep maintenance documentation
• Have driver files up to date

---

Compliance Reviews:

Triggered By:

• Complaint against carrier
• Crash involvement
• Poor CSA scores
• Random selection

What's Reviewed:

• All safety management controls
• Accident register
• Driver files
• Vehicle maintenance
• HOS compliance
• Drug/alcohol testing
• Hazmat compliance

Ratings:

• Satisfactory
• Conditional (must improve)
• Unsatisfactory (out-of-service possible)

---

Compliance, Safety, Accountability (CSA) Program

What is CSA?

Purpose:

• Data-driven safety monitoring system
• Identifies high-risk carriers and drivers
• Intervention when problems detected

BASICs (Behavior Analysis and Safety Improvement Categories):

Unsafe Driving

- Speeding, reckless driving, improper lane changes - Seatbelt violations

Hours of Service Compliance

- HOS violations - Logbook violations - ELD tampering

Driver Fitness

- Invalid CDL - Medical certificate issues - Driver qualification violations

Controlled Substances/Alcohol

- DUI, drug possession - Failed drug tests - Program violations

Vehicle Maintenance

- Brakes, lights, tires violations - Out-of-service vehicle defects

Hazardous Materials Compliance

- Improper placarding - Packaging violations - Shipping paper errors

Crash Indicator

- Crash frequency - Crash severity

---

CSA Scores:

How They Work:

• Violations receive points based on severity
• Points time-weighted (recent = more impact)
• Scores calculated for each BASIC
• Compared to peer carriers

Thresholds:

• Exceed threshold = Intervention
• Warning letter, investigation, or compliance review

Impact:

• High scores = More inspections at weigh stations
• Customer rejections (many shippers check CSA)
• Insurance rate increases
• Potential authority revocation

Dispatcher Responsibility:

• Monitor company CSA scores monthly
• Address violations immediately
• Prevent future violations through compliance

---

SAFER System

Safety and Fitness Electronic Records

What It Is:

• Public database of carrier safety information
• Accessible at safer.fmcsa.dot.gov

Information Available:

• MC/DOT numbers and status
• Operating authority status
• Insurance status (active/inactive)
• Safety rating
• Out-of-service status
• Crashes (2-year history)
• Inspections (2-year history)
• Number of power units and drivers

Who Uses It:

• Brokers - Verify carrier authority and insurance
• Shippers - Check carrier safety
• Dispatchers - Research competitors
• Insurance companies - Underwriting

Dispatcher Use:

• Verify your own company information is accurate
• Check competitors
• Verify broker authority (if working with new broker)

---

Drug and Alcohol Testing Program

FMCSA Requirements:

Mandatory Testing:

Pre-Employment

- Before first driving assignment - Must pass drug test

Random

- 50% of drivers tested annually for drugs - 10% tested annually for alcohol - Unannounced, unpredictable

Post-Accident

- After fatal crashes - After injury crashes with medical treatment away from scene - After disabling damage requiring tow-away

Reasonable Suspicion

- Supervisor observes behavior indicating drug/alcohol use

Return-to-Duty

- After violation, before returning to safety-sensitive duties

Follow-Up

- After return-to-duty, minimum 6 tests in 12 months

---

Substances Tested:

• Marijuana (THC)
• Cocaine
• Opiates (codeine, morphine, heroin)
• Amphetamines (meth, MDMA)
• Phencyclidine (PCP)

Alcohol Limit:

• 0.04 BAC while on duty
• 0.00 BAC within 4 hours of going on duty

---

Dispatcher Responsibilities:

Program Administration:

• ✅ Ensure company has testing program
• ✅ Use FMCSA-registered testing consortium
• ✅ Maintain testing records
• ✅ Random selection must be truly random

Driver Management:

• ✅ Never allow driver to operate after failed test
• ✅ Require SAP (Substance Abuse Professional) evaluation after violation
• ✅ Document all testing

Violations:

• Driver removed from safety-sensitive duties immediately
• Must complete return-to-duty process
• Follow-up testing required

---

Driver Qualification Requirements

FMCSA Minimum Requirements:

Age:

• 21 years old for interstate commerce
• 18 years old for intrastate (state-dependent)

License:

• Valid Commercial Driver's License (CDL)
• Proper class and endorsements for vehicle/cargo

Medical Certificate:

• DOT physical exam every 24 months
• Medical Examiner's Certificate (MEC)
• Must be on file with carrier and state (integrated with CDL)

Driving Record:

• Must provide previous 3 years of employment history
• Annual Motor Vehicle Record (MVR) check
• No disqualifying violations

Training:

• Entry-Level Driver Training (ELDT) for new CDL applicants
• Hazmat endorsement requires TSA background check

---

Driver Qualification File (DQF):

Required Contents:

• Driver application
• Copy of CDL
• Medical certificate
• Road test certificate OR equivalent certificate
• Annual MVR review
• Annual driving record review and certification
• Previous employer inquiries (3 years)
• Drug/alcohol testing records

(Detailed coverage in separate Driver Qualification Files article)

---

Electronic Logging Devices (ELD)

ELD Mandate:

Required For:

• Most commercial drivers required to keep Records of Duty Status (RODS)
• Interstate carriers
• Vehicles manufactured 2000 or later

Exemptions:

• Drivers using paper logs 8 days or less in 30-day period
• Driveaway/towaway operations
• Vehicles manufactured before 2000

Purpose:

• Automatic HOS recording
• Eliminate paper logbook fraud
• Improve HOS compliance
• Reduce crashes from fatigued driving

FMCSA Requirements:

• Must be on registered devices list
• Self-certified by manufacturer
• Driver can edit certain items but system records edits

(Detailed coverage in separate Understanding ELDs article)

---

Unified Carrier Registration (UCR)

What is UCR?

Purpose:

• Annual registration for interstate carriers
• Replaced Single State Registration System (SSRS)
• Funds state enforcement programs

Who Must Register:

• Motor carriers operating in interstate commerce
• Freight forwarders
• Brokers
• Leasing companies

Fees Based On:

• Number of commercial vehicles in fleet
• Fee ranges: $76 (2-5 trucks) to $67,313 (100,001+ trucks)

Registration:

• Done through UCR online portal
• Annual renewal required
• Proof of payment required

Enforcement:

• Some states require UCR sticker in truck
• Fines for non-compliance at weigh stations

---

BOC-3 Filing

Blanket of Coverage (BOC-3):

What It Is:

• Process agent designation
• Required for MC Authority
• Designates agents in all 50 states to accept legal documents

Why Required:

• Ensures carrier can be served legal papers in any state
• Consumer protection
• Required before MC Authority activated

How to File:

• Use process agent company (one filing covers all states)
• Cost: ~$40-$100 annually
• File with FMCSA

Popular BOC-3 Providers:

• National Permit Services
• American Permit Services
• Various trucking service companies

---

Common FMCSA Violations and Penalties

Top Violations:

1. Hours of Service Violations:

• Penalty: $1,000-$11,000 per violation
• CSA Points: Severe impact
• Driver: Out-of-service order until legal

2. Logbook Violations:

• False logs, missing logs
• Penalty: $1,000-$11,000
• Criminal charges possible

3. Operating Without Authority:

• No MC Number or expired
• Penalty: $10,000-$25,000
• Result: Truck impounded, out-of-service

4. Inadequate Insurance:

• Penalty: Authority suspended
• Cannot operate until insurance active

5. Driver Qualification Violations:

• No medical card, invalid CDL
• Penalty: $1,000-$5,000
• Driver out-of-service

6. Vehicle Maintenance Violations:

• Brake violations, tire violations, lighting
• Penalty: Varies, vehicle out-of-service if severe

7. Drug/Alcohol Violations:

• Penalty: Driver permanently disqualified without SAP process
• Carrier fines $5,000+

---

Dispatcher's Role in FMCSA Compliance

Daily Responsibilities:

Before Dispatching:

✅ Verify driver's HOS availability

✅ Check medical certificate expiration

✅ Confirm CDL valid and proper class

✅ Ensure vehicle is not out-of-service

✅ Verify load doesn't exceed legal hours

During Load:

✅ Monitor HOS compliance via ELD

✅ Communicate changes that affect schedule

✅ Document delays that impact HOS

After Delivery:

✅ Review HOS logs for accuracy

✅ Address any violations immediately

✅ Update records

---

Record Keeping:

Maintain:

• Driver qualification files
• Vehicle maintenance records
• HOS logs (6 months minimum)
• Drug/alcohol testing records
• Accident register (3 years)
• Trip inspection reports

Audits:

• Be prepared for FMCSA audit at any time
• Records must be organized and accessible
• Missing records = violations

---

FMCSA Resources for Dispatchers

Official Websites:

FMCSA Main Site:

• fmcsa.dot.gov - Regulations, guidance, news

SAFER System:

• safer.fmcsa.dot.gov - Carrier lookup, safety data

Registration:

• portal.fmcsa.dot.gov - Apply for MC/DOT, update info

CSA:

• ai.fmcsa.dot.gov - SMS results, BASIC scores

---

Key Phone Numbers:

FMCSA General: 1-800-832-5660 FMCSA Registration: 1-800-832-5660 National Consumer Complaint Database: 1-888-DOT-SAFT

---

Regulations:

Federal Motor Carrier Safety Regulations (FMCSRs):

• Found in Title 49 CFR (Code of Federal Regulations)
• Parts 300-399 cover motor carrier regulations
• Part 395: Hours of Service
• Part 382: Drug and Alcohol Testing
• Part 391: Driver Qualifications
• Part 396: Vehicle Maintenance

---

Staying Compliant: Best Practices

For Dispatchers:

1. Education:

• ✅ Stay current on FMCSA regulation changes
• ✅ Attend training and webinars
• ✅ Subscribe to FMCSA email updates

2. Technology:

• ✅ Use ELD systems properly
• ✅ Leverage compliance software
• ✅ Automate reminders (medical card expiration, etc.)

3. Culture:

• ✅ Make safety and compliance non-negotiable
• ✅ Never pressure drivers to violate HOS
• ✅ Report and address violations immediately

4. Documentation:

• ✅ Keep meticulous records
• ✅ Document everything
• ✅ Be audit-ready at all times

5. Proactive Monitoring:

• ✅ Check CSA scores monthly
• ✅ Review SAFER data regularly
• ✅ Monitor insurance status
• ✅ Track driver medical card expirations

---

Conclusion

FMCSA regulations form the legal foundation of the trucking industry. Compliance is not just about avoiding fines—it's about safety, professionalism, and long-term success in the industry.

Key Takeaways:

Essential Requirements:

• ✅ MC Authority for interstate for-hire carriers
• ✅ USDOT Number for identification and safety monitoring
• ✅ Insurance ($750,000+ minimum for most)
• ✅ BOC-3 process agent filing
• ✅ UCR annual registration

Ongoing Compliance:

• ✅ Hours of Service enforcement and monitoring
• ✅ Drug/Alcohol Testing program
• ✅ Driver Qualification files maintained
• ✅ Vehicle Maintenance records
• ✅ CSA scores monitored and improved

Dispatcher Responsibilities:

• Never dispatch driver without verifying qualifications
• Monitor HOS compliance continuously
• Maintain accurate records
• Create culture of safety and compliance

"FMCSA compliance isn't a burden—it's the standard of professionalism that separates legitimate carriers from those who won't survive."

---

Continue Learning:

• Hours of Service (HOS) Rules
• DOT Compliance
• Understanding ELDs

Master FMCSA regulations to operate legally and safely. Continue your education at Carriversity.