Common Compliance Pitfalls and How to Avoid Them

In highly regulated industries, compliance is more than a box to check—it’s a key driver of safety, reputation, and operational success. Yet even well-intentioned organizations fall into the same traps, leading to OSHA citations, DOT penalties, and unnecessary risks.

The good news? Most compliance pitfalls are preventable with the right systems and training. Below, we’ll cover some of the most common compliance mistakes, why they happen, and how you can avoid them.

1. Outdated or Missing Written Programs

One of the most cited OSHA violations involves missing or outdated safety programs. For example, Hazard Communication and Bloodborne Pathogen plans are required under federal regulations, yet many companies either don’t have them or fail to review them annually.

Employers must maintain:

• A current written plan

• Updated Safety Data Sheets (SDS)

• Proper labeling and employee training

Failing to keep these updated can result in significant fines. OSHA provides detailed requirements on its Hazard Communication Standard page.

Tip: Audit your written programs at least once a year, and anytime processes or chemicals change.

2. Poor Recordkeeping Practices

Accurate records aren’t optional—they’re mandatory. OSHA requires organizations to maintain Form 300, 300A, and 301 logs for workplace injuries, while the DOT has its own requirements for driver qualification files and hours-of-service documentation.

Common errors include:

• Forgetting to record certain incidents

• Misclassifying injuries

• Incomplete or missing training records

You can learn more about OSHA recordkeeping rules here.

Tip: Use a digital system to log incidents and training. Make sure each employee signs off on completed sessions to avoid disputes during an audit.

3. PPE Provided—But Not Enforced

Personal Protective Equipment (PPE) is only effective if it’s worn consistently and correctly. OSHA citations often occur because employers assume providing PPE is enough—but without training and enforcement, compliance slips.

Examples of common issues include:

• Using the wrong type of gloves for chemical handling

• Not conducting respirator fit tests

• Employees removing PPE during high-risk tasks

For more details on PPE requirements, visit OSHA’s PPE resource page.

Tip: Incorporate PPE checks into your daily safety meetings and conduct quarterly audits.

4. DOT Compliance Failures

DOT compliance has its own set of challenges. From Hours-of-Service (HOS) violations to incomplete Driver Qualification Files, carriers frequently miss critical requirements.

Some of the most common issues include:

• Inaccurate or incomplete logbooks

• Missing medical certificates or expired CDL copies

• Misunderstanding personal conveyance rules

Check out the FMCSA Hours-of-Service rules for details.

Tip: Automate reminders for renewals, random drug testing, and log reviews to prevent last-minute issues.

5. Vehicle Maintenance Gaps

Poorly maintained vehicles lead to roadside violations and safety hazards. Common infractions include defective brakes, broken lights, and worn tires. The FMCSA provides guidelines on required inspections and maintenance in its Vehicle Maintenance section.

Tip: Build preventive maintenance into your compliance calendar and track all repairs digitally.

6. Overlooking State-Specific Rules

Federal standards often get the most attention, but states with OSHA-approved plans (like California and Oregon) have their own requirements—sometimes more stringent than federal rules. Details can be found on OSHA’s State Plans page.

Tip: If your company operates in multiple states, maintain a compliance matrix that includes both federal and state rules.

7. Rushing Through Training

Training that checks the box but doesn’t stick is a major risk factor. Employees might attend a session, but if the content isn’t engaging or reinforced, the result is poor retention—and preventable incidents.

OSHA emphasizes that training must be effective, not just delivered. See OSHA’s guidance on training requirements.

Tip: Use short, scenario-based modules with knowledge checks to keep engagement high.

8. Misclassifying Incidents

Another common pitfall is over- or under-reporting workplace injuries. Over-reporting can artificially inflate your recordable rates, while under-reporting is a violation in itself.

Learn more about what counts as a recordable incident here.

Tip: Train supervisors on proper classification and review logs quarterly.

9. Weak Hazard Communication

Failing to clearly communicate chemical hazards is one of OSHA’s most cited violations. Employers must ensure all hazardous chemicals are labeled and SDSs are accessible to employees.

For detailed requirements, visit OSHA’s Hazard Communication page.

Tip: Keep SDS binders updated and visible, and include hazard reminders in regular safety talks.

10. Lack of Leadership Buy-In

Even the best compliance programs fail without strong leadership support. When production is prioritized over safety or when policies aren’t enforced consistently, compliance gaps grow.

Building a culture of safety starts at the top. OSHA provides useful leadership resources here.

Tip: Involve supervisors in audits and make safety metrics part of leadership performance goals.

✅ Your Action Plan to Avoid Compliance Pitfalls

• Audit written programs annually

• Digitize recordkeeping and reminders

• Enforce PPE use daily

• Monitor DOT files and HOS compliance

• Schedule preventive maintenance checks

• Keep up with state-specific regulations

• Make training engaging and continuous

• Review incident logs regularly

• Improve hazard communication

• Secure leadership commitment

Bottom line: Most compliance failures happen because of overlooked details—not lack of effort. By building systems that prioritize consistency, you can reduce risk and stay ahead of enforcement.

How Sentry Road can help:
If your organization is looking to close compliance gaps and simplify training, Sentry Road offers practical solutions for avoiding these common pitfalls—and more. Contact us today to learn how.