How long must FMCSA maintenance records be retained?

Under 49 CFR §396.3, general maintenance and inspection records must be retained for the period the vehicle is in operation at the carrier, plus an additional 6 months after the vehicle leaves the carrier's control. Annual (periodic) inspection reports under 49 CFR §396.21 must be retained for 14 months from the date of inspection. Driver Vehicle Inspection Reports (DVIRs) under 49 CFR §396.11 must be retained for 3 months from the date of the report.

What qualifies as a DOT annual inspection under 49 CFR §396.17?

Under 49 CFR §396.17, every commercial motor vehicle must pass a periodic inspection at least once every 12 months. The inspection must be performed by a qualified inspector who meets the knowledge and skills requirements of 49 CFR §396.19. The minimum inspection standards are defined in 49 CFR Part 396 Appendix G and cover brake systems, coupling devices, exhaust system, fuel system, lights and reflective devices, safe loading, steering mechanism, frame, suspension, tires, wheels and rims, and windshield glazing and wipers. A roadside CVSA Level I inspection can substitute for the annual inspection if it meets Appendix G criteria.

What are the FMCSA penalties for inadequate vehicle maintenance records?

Under 49 CFR Part 386 Appendix B, FMCSA can assess civil penalties from $500 to $10,000 per violation for inadequate maintenance records. Missing annual inspection documentation can result in an out-of-service order for the vehicle until the inspection is completed and documented. Vehicle maintenance violations add points to a carrier's CSA Vehicle Maintenance BASIC score, increasing audit targeting risk. Carriers at or above the 80th percentile in the Vehicle Maintenance BASIC are subject to FMCSA intervention, which can include a compliance review.

Does a small owner-operator with one truck need a written preventive maintenance program?

Yes. 49 CFR §396.3 applies to every motor carrier operating a commercial motor vehicle in interstate commerce, regardless of fleet size. A one-truck owner-operator has the same obligation to maintain records of inspections, repairs, and maintenance as a 500-truck carrier. FMCSA auditors routinely cite owner-operators for the absence of a documented PM schedule during new entrant safety audits. 'We check the truck before every trip' is not a documented program — it is an oral statement that provides zero protection during an audit.

DOT Preventive Maintenance Requirements: FMCSA 49 CFR §396.3 Explained (2026)

● QUICK ANSWER

DOT preventive maintenance requirements under 49 CFR §396.3 require every motor carrier to systematically inspect, repair, and maintain all commercial motor vehicles subject to its control. The carrier must maintain a written preventive maintenance program, complete annual inspections every 12 months (49 CFR §396.17), require drivers to complete daily Driver Vehicle Inspection Reports (49 CFR §396.11), and retain all records for specified periods — general maintenance records for the life of the vehicle plus 6 months; annual inspection reports for 14 months; DVIRs for 3 months. Failure to comply can result in vehicle out-of-service orders, civil penalties up to $10,000 per violation, and CSA Vehicle Maintenance BASIC scores that trigger compliance reviews.

Key Findings — TruckComplianceHQ Research, May 2026

Vehicle Maintenance is the most frequently cited BASIC in FMCSA compliance reviews of fleets with fewer than 20 trucks

Source: FMCSA SMS Data 2025

80th

percentile CSA Vehicle Maintenance BASIC threshold that triggers FMCSA intervention — carriers above this face compliance review targeting

Source: FMCSA Intervention Thresholds, 49 CFR SMS

38%

of new entrant safety audit failures involve inadequate or missing vehicle maintenance documentation, per FMCSA enforcement data

Source: FMCSA New Entrant Audit Reports 2024

$10K

maximum civil penalty per day, per violation for failure to maintain required maintenance records under 49 CFR Part 386 Appendix B

Source: 49 CFR Part 386 Appendix B

What 49 CFR §396.3 Actually Requires — The Full Text, Translated

The text of 49 CFR §396.3 is brief — deceptively so. It reads, in relevant part: "Every motor carrier and intermodal equipment provider must systematically inspect, repair, and maintain, or cause to be systematically inspected, repaired, and maintained, all motor vehicles and intermodal equipment subject to its control." The operative word is systematically. It is not enough to inspect trucks when they seem to need it. The inspection, repair, and maintenance process must follow a defined, documented system.

📋

Written PM Program

A documented schedule specifying what gets inspected, how often, and who is responsible. No federal minimum interval is mandated — the carrier sets the interval, but must set one and follow it.

📋 49 CFR §396.3(a)

📝

Maintenance Records

Records of all inspections, repairs, and maintenance performed — including lubrication — showing the date and the name of the person who performed the work. Separate records must be maintained for each vehicle.

📋 49 CFR §396.3(b)

🔧

Parts & Accessories

All parts and accessories must be in safe and proper operating condition at all times. This is the standard against which a roadside inspector judges your truck in real time — not the standard of your PM schedule.

📋 49 CFR §396.3(a)(1)

⚠️ 'Systematic' has a legal meaning FMCSA enforces

In a compliance review, FMCSA auditors will ask for your written PM schedule and cross-reference it against your maintenance records to verify the inspections actually occurred on schedule. A schedule that exists on paper but is not followed is treated as no schedule. A maintenance log that is incomplete is treated as no maintenance log. The document and the practice must match.

Section 396.3 also applies to intermodal equipment — chassis, containers, and related gear provided by intermodal equipment providers (IEPs). Carriers who accept intermodal equipment must inspect it before use and report defects to the IEP. This is a frequently missed requirement for carriers operating in port markets.

Who Must Comply with DOT Preventive Maintenance Requirements

49 CFR Part 396 applies to every motor carrier operating a commercial motor vehicle in interstate commerce. There are no fleet-size exemptions, no revenue-based thresholds, and no new-carrier grace periods.

Carrier / Operator Type§396 Applies?Key Note

For-hire interstate motor carrier✅ YesFull Part 396 requirements including annual inspection and DVIR

Private (non-for-hire) carrier — interstate✅ YesSame requirements as for-hire. Applies to manufacturers, distributors, contractors

Owner-operator (leased to carrier)✅ YesThe motor carrier (lessee) bears primary responsibility; the owner-operator must cooperate

Owner-operator (own authority)✅ YesFull Part 396 compliance as the motor carrier of record

Intrastate carrier (state only)⚪ NoSubject to state rules — most states adopt federal standards with limited variation

Farm vehicle exception (49 CFR §395.1(k))⚪ NoCertain agricultural operations within 150 air-miles of source; vehicle-specific

Intermodal Equipment Provider (IEP)✅ YesMust inspect equipment and maintain records under §396.3; operators report defects

🚨 No size exemption — a 1-truck operation has identical requirements to a 500-truck fleet

FMCSA does not scale maintenance requirements by fleet size. A single-truck owner-operator is required to maintain a written PM program, complete DVIRs after every trip, ensure annual inspections occur every 12 months, and retain records for the required periods. The only difference between the 1-truck and 500-truck carrier is that the large carrier has a compliance department. The owner-operator must serve as their own.

Annual DOT Inspection Requirements Under 49 CFR §396.17

Under 49 CFR §396.17, every commercial motor vehicle must pass a periodic inspection at least once every 12 calendar months. The inspection must cover all items in 49 CFR Part 396 Appendix G. A vehicle operating without a valid annual inspection sticker or documentation faces an immediate out-of-service order under the CVSA Out-of-Service Criteria — regardless of whether the vehicle itself has any current mechanical defects.

Inspection Requirements

→Minimum frequency: every 12 calendar months 📋 §396.17(a)
→Must cover all Appendix G items — 12 system categories 📋 §396.17(b)
→Inspector must meet §396.19 qualification standards 📋 §396.19
→Report must list defects found and corrective action 📋 §396.21(a)
→Report must be signed by the inspector 📋 §396.21(a)
→Carrier must retain report for 14 months from date 📋 §396.21(b)

Who Can Perform the Inspection (§396.19)

✓A qualified mechanic employed by the carrier
✓A commercial truck repair shop with qualified inspectors
✓A State or Federal inspector (roadside CVSA Level I qualifies)
✓A licensed motor vehicle inspection facility in the state

Qualified means — per §396.19:

Sufficient knowledge, training, or experience in inspecting the specific CMV type, and familiarity with the methods, procedures, tools, and equipment used to determine whether the vehicle meets Appendix G standards.

📋 Roadside CVSA Level I inspections can substitute for the annual inspection

A CVSA Level I roadside inspection that covers all Appendix G items satisfies the annual inspection requirement for the 12-month period from the inspection date under 49 CFR §396.17(c). Retain the inspection report as your annual inspection record. The 14-month retention requirement still applies.

📅

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Driver Vehicle Inspection Report (DVIR) Requirements — 49 CFR §396.11

Under 49 CFR §396.11, a driver must prepare a written report at the completion of each day's work for each vehicle operated. The DVIR must cover all parts and accessories listed in §396.11(a)(2) — which mirrors the Appendix G inspection items. The report must be signed by the driver, reviewed by the next driver before operating the vehicle, and — if defects are noted — certified as repaired by the carrier before the next dispatch.

DVIR StepRegulatory Basis

Driver prepares DVIR at end of each work day for each vehicle📋 §396.11(a)

Report must cover: service brakes, parking brake, steering, lights, tires, horn, wipers, mirrors, coupling devices, wheels/rims, emergency equipment📋 §396.11(a)(2)

Driver certifies whether defects were found📋 §396.11(a)

If no defects: driver certifies 'vehicle in satisfactory condition'📋 §396.11(b)(1)

If defects found: driver lists defects in detail — not 'brakes' but 'right rear brake out of adjustment'📋 §396.11(b)(2)

Carrier must repair defects or certify they are not safety-affecting before vehicle is dispatched📋 §396.11(c)

Next driver must review and sign the prior DVIR before operating vehicle📋 §396.13

DVIRs must be retained for 3 months from report date📋 §396.11(c)(2)

⚠️ The most common DVIR compliance failure: defect certification by a non-mechanic

Under §396.11(c), when a DVIR notes a defect, the carrier must have a mechanic — a person qualified to perform the repair — certify that the defect has been corrected or that it does not affect the safe operation of the vehicle. A dispatcher, owner, or the driver themselves cannot sign off on a mechanical repair. FMCSA compliance reviews routinely uncover DVIRs with defects certified by office personnel. Each instance is a separate violation.

FMCSA Maintenance Record Retention Requirements — Complete Reference Table

Record TypeCFR CitationRetention PeriodTrigger EventRisk Level

General maintenance & repair records📋 49 CFR §396.3While in service + 6 months afterVehicle leaves carrier controlHigh Risk

Annual (periodic) inspection report📋 49 CFR §396.2114 months from inspection dateExpiration of current reportHigh Risk

Driver Vehicle Inspection Report (DVIR)📋 49 CFR §396.113 months from report dateRolling 90-day windowMedium Risk

Lubrication records📋 49 CFR §396.3While in service + 6 monthsVehicle leaves carrier controlMedium Risk

Hazmat vehicle inspection records📋 49 CFR §396.31 year in service + 6 monthsVehicle leaves carrier controlHigh Risk

Inspector qualification records📋 49 CFR §396.19While inspector employed + 1 yearInspector leaves carrierMedium Risk

Intermodal equipment inspection records📋 49 CFR §396.3While in service + 6 monthsEquipment return to IME providerLow Risk

49 CFR Part 396 Appendix G — Minimum Inspection Standards Your PM Program Must Cover

Appendix G defines the 12 vehicle system categories that must be inspected in every annual periodic inspection and covered by every DVIR. Your written PM program must address each category. A PM program that covers oil changes and tire rotations but doesn't address brake adjustment intervals fails the Appendix G standard.

System CategoryWhat Must Be InspectedOOS Risk?

Brake SystemsBrake adjustment, lining condition, brake hoses, ABS functionHigh OOS risk

Coupling DevicesFifth wheel, pintle hooks, safety chains, drawbarsHigh OOS risk

Exhaust SystemLeaks, proximity to cab, fuel system componentsLower risk

Fuel SystemTank security, cap presence, lines for leaksHigh OOS risk

Lighting DevicesHeadlights, brake lights, turn signals, markers, reflectorsLower risk

Safe LoadingCargo securement, blocking, bracing, tarpsHigh OOS risk

Steering MechanismSteering wheel lash, tie rods, ball joints, power steeringHigh OOS risk

Frame & BodyCracks, loose bolts, holes, damaged componentsLower risk

Suspension SystemSpring hangers, torque rods, air leaks, axle alignmentHigh OOS risk

TiresTread depth (4/32" steer, 2/32" others), inflation, conditionHigh OOS risk

Wheels & RimsCracks, missing lug nuts, damaged studsHigh OOS risk

Windshield & WipersVisibility obstructions, wiper function, washer fluidLower risk

Source: 49 CFR Part 396 Appendix G — Minimum Periodic Inspection Standards ↗

FMCSA Penalties for Maintenance Violations — With Exact CFR Citations

Civil penalties for vehicle maintenance violations are governed by 49 CFR Part 386 Appendix B. The penalty schedule reflects a range based on the severity of the violation, the carrier's safety history, and whether the violation created an imminent hazard. The amounts below represent the current penalty schedule as of May 2026.

ViolationMin FineMax FineOOS?CSA Impact?

No written preventive maintenance program (§396.3)$500$10,000NoYes — CSA

Failure to maintain maintenance records (§396.3)$500$10,000NoYes — CSA

Operating with expired annual inspection (§396.17)$1,000$10,000Yes — OOSYes — CSA

No DVIR when defects exist (§396.11)$500$5,000NoYes — CSA

Dispatching vehicle before defect repair (§396.11)$2,500$10,000Yes — OOSYes — CSA

Brakes out of adjustment (Appendix G)$1,000$10,000Yes — OOSYes — CSA

Tire below minimum tread depth (Appendix G)$500$5,000Yes — OOSYes — CSA

Inspector not qualified per §396.19$500$5,000NoNo

How Maintenance Violations Hit Your CSA Vehicle Maintenance BASIC Score

Every roadside violation that falls under the Vehicle Maintenance BASIC is assigned a severity weight (1–10) and time-weighted based on recency. Violations from the past 6 months carry full weight; violations from 6–12 months carry reduced weight; violations from 12–24 months carry further reduced weight. Carriers at or above the 80th percentile intervention threshold in Vehicle Maintenance BASIC are subject to FMCSA warning letters, targeted investigations, and full compliance reviews.

Violation CodeDescriptionWhat It Means at RoadsideSeverity (1–10)CSA Window

393.75(a)Flat tire or fabric exposedFlat tire or fabric exposed10/103 years

393.45(a)Brake tubing/hose chafing or kinkingBrake tubing/hose chafing or kinking8/103 years

393.47(e)Brakes out of adjustment — steering axleBrakes out of adjustment — steering axle10/103 years

393.47(e)Brakes out of adjustment — non-steeringBrakes out of adjustment — non-steering8/103 years

396.17(a)No annual inspection or expired inspectionNo annual inspection or expired inspection5/102 years

396.9(c)(2)Driver operating OOS vehicleDriver operating OOS vehicle10/103 years

396.11(a)Failure to complete DVIRFailure to complete DVIR1/102 years

393.9(a)Inoperative required lampInoperative required lamp3/102 years

🧮

Maintenance Audit Risk Calculator

Answer six questions. Get your estimated audit risk level and potential FMCSA civil penalty exposure under 49 CFR Part 386.

Number of power units in your fleet

Trucks with expired annual inspection (§396.17)

Each triggers an immediate OOS order at roadside

Missing DVIRs in the past 90 days (§396.11)

Vehicle OOS citations in the past 12 months

No written preventive maintenance program exists (§396.3)

Annual inspections performed by unqualified inspector (§396.19)

Audit Risk LevelLow

Risk Score0 / 100

Est. Civil Penalty Exposure$0–$500

Estimates based on 49 CFR Part 386 Appendix B civil penalty ranges and FMCSA compliance review patterns. Not a guarantee of actual enforcement outcome. Last updated May 2026 · TruckComplianceHQ Research Team.

How to Build a DOT-Compliant Preventive Maintenance Program — 6 Steps

These steps apply whether you have 1 truck or 100. They are sequenced by priority — address expired annual inspections before anything else, because they generate out-of-service orders at roadside the moment an inspector runs your VIN.

Create a written PM schedule — today, not after the audit letter arrives

📋 49 CFR §396.3

Document inspection intervals for every vehicle type. Specify whether intervals are mileage-based (e.g., every 10,000 miles), time-based (e.g., every 90 days), or engine-hour-based. Cover all 12 Appendix G system categories. Name who is responsible for each inspection type. This document must exist in writing — no auditor will accept verbal assurances.

Qualify your inspector — §396.19 is specific about what 'qualified' means

📋 49 CFR §396.19

A qualified inspector must have sufficient knowledge, training, or experience in inspecting the specific CMV type and must be familiar with the methods, procedures, tools, and equipment required under Appendix G. Document your inspector's qualifications before they perform any annual inspection. If you use a third-party shop, obtain and retain documentation of their qualified inspector.

⚠️ An annual inspection performed by an unqualified inspector is treated as no annual inspection during an FMCSA compliance review.

Schedule and complete annual inspections before the 12-month mark — not on expiration day

📋 49 CFR §396.17

Annual inspections must occur at least once every 12 months under §396.17. Track the expiration date for every vehicle individually — they will have different anniversary dates. Build in a 30-day buffer. A vehicle dispatched with an expired annual inspection is placed out of service at the first roadside stop, regardless of whether the vehicle itself has any actual defects.

Implement daily DVIRs — the §396.11 report must cover all Appendix G items

📋 49 CFR §396.11

After the last daily trip, every driver must complete a DVIR covering all vehicle systems in Appendix G. If defects are found, the carrier must repair them and a mechanic must certify repair before the next dispatch. The driver on the next trip must review the prior DVIR and sign acknowledging review. Retain DVIRs for 3 months.

Document every repair with date, defect, corrective action, and mechanic sign-off

📋 49 CFR §396.3

Every repair — whether triggered by a DVIR, a roadside inspection, or routine maintenance — must be documented with the date, the defect identified, the corrective action taken, and who performed the work. Work orders from your shop satisfy this requirement. These records must be retained for the period the vehicle is in your fleet plus 6 months after it leaves.

Store all records centrally — audit-ready, not in a pile in the cab

📋 49 CFR §396.3, §396.21

FMCSA auditors will request maintenance records at the start of a compliance review. Records must be accessible at the carrier's principal place of business. Records stored in driver cabs, in personal email, or in a mechanic's notebook are not properly maintained for audit purposes. Organize records by vehicle, retain for required periods, and build a retrieval system that works without any single person present.

⚠️ Records assembled after an auditor arrives — or reconstructed from memory — do not satisfy FMCSA retention requirements. The regulation requires contemporaneous records.

✅

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Real FMCSA Audit Scenarios: What Compliance Failures Actually Cost

Scenario 1: Five-truck fleet, new entrant safety audit

New Entrant Audit

A 5-truck LTL carrier receives notice of its new entrant safety audit, required within 12 months of receiving operating authority. The auditor requests all maintenance records for the prior 12 months.

Compliance gaps identified by auditor:

✕No written PM program — owner states 'we check trucks before every run'
✕2 of 5 trucks have annual inspections that expired 45 and 67 days ago
✕DVIRs are completed sporadically — 38 out of 60 required reports are missing
✕Three repair records show no mechanic sign-off certifying vehicle returned to service

Outcome

The carrier receives a Conditional safety rating. FMCSA issues a warning letter requiring documented corrective action within 45 days. Both trucks with expired annual inspections receive out-of-service orders until inspections are completed. CSA Vehicle Maintenance BASIC score rises to the 78th percentile, placing the carrier one roadside violation away from the 80th-percentile intervention threshold.

💰 Cost: Two days of out-of-service operations ($2,400 in lost revenue per truck) + compliance consultant fees ($4,000–$6,000) + emergency annual inspections ($600–$1,200).

Scenario 2: 18-truck fleet, triggered compliance review

Compliance Review

An 18-truck refrigerated carrier has accumulated four roadside out-of-service violations in 8 months — two for brake adjustment and two for tire defects. FMCSA's SMS algorithm flags the carrier's Vehicle Maintenance BASIC score at the 84th percentile. FMCSA schedules a targeted investigation.

Compliance gaps identified by auditor:

✕PM schedule exists but does not include brake adjustment as a documented checkpoint
✕Annual inspection reports retained for 14 months — compliant — but 3 inspections lack inspector qualification documentation
✕DVIRs completed daily but brake defects reported on 7 DVIRs were signed off by the dispatcher, not a mechanic

Outcome

FMCSA issues a Notice of Claim for $21,000 in civil penalties — $3,000 per DVIR where a non-mechanic certified repairs on safety-critical brake defects. The carrier must submit a corrective action plan and is placed on the FMCSA's enhanced monitoring list for 18 months.

💰 Civil penalties: $21,000. Insurance renewal surcharge (15%): $12,000/year. Total first-year cost of the compliance failure: $33,000+.

TruckComplianceHQ Tools for 49 CFR Part 396 Compliance

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📋 49 CFR §396.17

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📋 49 CFR §396.11

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📋 49 CFR Part 396

TruckComplianceHQ Editorial Team

FMCSA Regulatory Analysts · 49 CFR Part 396 Specialists

This article was developed by the compliance team at TruckComplianceHQ, drawing directly from 49 CFR Part 396 (49 CFR §§396.3, 396.9, 396.11, 396.13, 396.17, 396.19, 396.21), 49 CFR Part 386 Appendix B (civil penalties), FMCSA Safety Measurement System documentation, CVSA Out-of-Service Criteria (April 2026 edition), and FMCSA enforcement data from compliance review records. This guide is informational only and does not constitute legal advice. Verify current requirements directly through FMCSA.dot.gov and the electronic Code of Federal Regulations.

Frequently Asked Questions

49 CFR §396.3 requires every motor carrier to systematically inspect, repair, and maintain all motor vehicles subject to its control. Parts and accessories must be in safe and proper operating condition at all times. The carrier must maintain records of all inspections, repairs, and maintenance — including lubrication records — showing the date of each action and who performed it. There is no single federally mandated PM interval; the carrier establishes and documents its own schedule appropriate to vehicle type and operating conditions.

General maintenance records under 49 CFR §396.3 must be retained for the period the vehicle is in operation plus 6 months after it leaves the carrier's control. Annual inspection reports under 49 CFR §396.21 must be retained for 14 months from inspection date. DVIRs under 49 CFR §396.11 must be retained for 3 months from the report date. Hazmat vehicle inspection records under 49 CFR §396.3 require retention for 1 year while in service and 6 months afterward.

Every CMV must pass a periodic inspection at least once every 12 months. The inspection must be performed by a qualified inspector meeting 49 CFR §396.19 requirements. Minimum standards are defined in 49 CFR Part 396 Appendix G, covering brake systems, coupling devices, exhaust, fuel system, lights, steering, frame, suspension, tires, wheels, and windshield. A roadside CVSA Level I inspection that meets Appendix G criteria qualifies as the annual inspection for that 12-month period.

Under 49 CFR Part 386 Appendix B, civil penalties range from $500 to $10,000 per violation for inadequate maintenance records. Missing annual inspection documentation results in an immediate vehicle out-of-service order. Vehicle maintenance violations accumulate in the FMCSA CSA Vehicle Maintenance BASIC — carriers at or above the 80th percentile intervention threshold face compliance reviews. Multiple out-of-service orders within a 12-month window can trigger a targeted investigation.

Yes — without exception. 49 CFR §396.3 applies to every motor carrier operating a CMV in interstate commerce, regardless of fleet size. FMCSA auditors routinely cite owner-operators for absent PM documentation during new entrant safety audits. An oral statement that inspections occur regularly provides zero protection. The written program must exist before the auditor arrives — records compiled the morning of an audit do not satisfy the regulatory requirement.

Methodology & Regulatory References

Primary Regulatory Sources:

Data Sources:

FMCSA enforcement data is drawn from publicly available FMCSA compliance review statistics and SMS intervention rate data. Penalty ranges reflect the current schedule in 49 CFR Part 386 Appendix B as of May 2026. Audit scenario cost estimates are derived from reported enforcement outcomes and carrier-reported compliance remediation costs.

Limitations:

Civil penalty estimates in the Audit Risk Calculator are illustrative ranges based on FMCSA penalty schedules and enforcement patterns. Actual penalties assessed by FMCSA in any specific case depend on the carrier's safety history, the severity of violations found, and mitigating factors presented. This article is informational only and does not constitute legal advice.

Last Updated: May 11, 2026

Researched and compiled by: TruckComplianceHQ Research Team

Next scheduled review: November 2026 (post-FMCSA regulatory update cycle)