The 16 violations that fail your safety audit automatically
FMCSA lists 16 regulations that fail a new entrant safety audit on their own. Fourteen fail you on a single instance; missing yearly truck inspections and missing hours-of-service logs fail you when they show up in half or more of the records checked.
General information, not legal advice. Rules change: check the linked sources or a qualified consultant before acting. How to use our guides
All 16, most common first
FMCSA doesn't publish counts for each rule. The order below comes from consultant and industry reports, which consistently put drug and alcohol testing at the top.
Your CDL drivers, including you if you drive, aren't in a random testing pool.
49 CFR 382.305 · One instanceMost commonJoin a consortium or set up your own random pool before your first CDL driver works.
No testing program was in place when a CDL driver started working.
49 CFR 382.115 · One instanceMost commonHave a written policy and a negative pre-employment drug test before anyone drives.
No annual inspection record for the vehicles checked.
49 CFR 396.17(a) · 51% or more of records checkedCommonInspect every truck and trailer at least once every 12 months and keep the report.
Drivers aren't required to record their hours.
49 CFR 395.8(a) · 51% or more of records checkedCommonUse an ELD or paper logs unless a written exemption applies, and keep the records.
A driver isn't medically qualified.
49 CFR 391.11(b)(4) · One instanceCommonKeep a current DOT medical certificate for every driver and track expiry dates.
Liability coverage is below the federal minimum for what you haul.
49 CFR 387.7(a) · One instanceOccasionalConfirm your limits with your agent. General freight is usually $750,000.
A driver wrote up an out-of-service defect and the truck ran again before repair.
49 CFR 396.11(a)(3) · One instanceOccasionalRepair it, sign the report, and keep it before the truck moves.
A truck ordered out of service at an inspection moved before it was repaired.
49 CFR 396.9(c)(2) · One instanceOccasionalRepair first, then return the signed inspection report as instructed.
A driver needs a CDL for the vehicle and doesn't have one.
49 CFR 383.3(a) / 383.23(a) · One instanceOccasionalCheck the license class and endorsements against every vehicle they drive.
A driver is disqualified under driver-qualification rules.
49 CFR 391.15(a) · One instanceRarePull a driving record at hire and every year, and act on what it shows.
A driver lost CDL privileges, for example after a DUI.
49 CFR 383.51(a) · One instanceRareSame as above: driving records at hire and yearly.
You knew, or should have known, the license wasn't valid.
49 CFR 383.37(b) · One instanceRareSame as above, plus a written rule that drivers report suspensions.
A driver kept working after a positive test.
49 CFR 382.215 · One instanceRareRemove them from driving until they finish the return-to-duty process.
A refusal counts like a positive, and the driver kept working.
49 CFR 382.211 · One instanceRareTreat a refusal exactly like a positive result.
A driver worked at or above 0.04 alcohol concentration.
49 CFR 382.201 · One instanceRareRemove them from driving and follow the return-to-duty process.
A bus or passenger van ran below the required coverage.
49 CFR 387.31(a) · One instanceRare (passenger only)Passenger carriers only: confirm limits for your seating capacity.
If your drivers don't need a CDL
Eight of the 16 only apply to carriers with CDL drivers: the five drug and alcohol rules and the three CDL rules. If you run box trucks under 26,001 pounds without placarded hazmat and without CDL drivers, the drug and alcohol testing rules in Part 382 don't cover you. Driver files, medical cards, logs, inspections and insurance still do.
Check yourself in two minutes
The audit readiness check turns these 16 rules into ten yes-or-no questions and shows which ones to fix first. Nothing you enter is saved or sent.
Sources
- eCFR: 49 CFR 385.321, Safety audit failure
- FMCSA: What would cause a carrier to fail a new entrant safety audit?
- eCFR: 49 CFR Part 385, Subpart D (New Entrant Safety Assurance Program)
General information, not legal or compliance advice, and no substitute for the regulations or a qualified professional. Rules change and every carrier is different. Reading this page doesn't create a relationship with FleetCleared or any consultant, and using it is subject to our terms. Found an error? Email legal@fleetcleared.com. FleetCleared is an independent website and is not affiliated with FMCSA or the U.S. Department of Transportation.