§ Acute & critical violations
The violations that fail a new-entrant safety audit
An FMCSA auditor scores your new-entrant safety audit from the acute and critical regulation violations found in your records. The official list has 103 regulations (40 acute, 63 critical), published in 49 CFR Appendix B to Part 385. Sixteen of them can automatically fail the audit under 49 CFR 385.321.
Which violations automatically fail a new-entrant audit?
Under 49 CFR 385.321(b), a new entrant automatically fails the safety audit if found in violation of any one of these 16 regulations:
- § 382.115(a)
Failing to implement an alcohol and/or controlled substances testing program (domestic motor carrier)
- § 382.115(b)
Failing to implement an alcohol and/or controlled substances testing program (foreign motor carrier)
- § 382.201
Using a driver known to have an alcohol concentration of 0.04 or greater
- § 382.211
Using a driver who has refused to submit to an alcohol or controlled substances test required under part 382
- § 382.215
Using a driver known to have tested positive for a controlled substance
- § 382.305(a)
Failing to implement a random controlled substances and/or an alcohol testing program
- § 383.23(a)
Operating a commercial motor vehicle without a valid commercial driver's license
- § 383.37(b)
Allowing, requiring, permitting, or authorizing a driver to operate a CMV who the employer knew or should reasonably have known has a CLP or CDL disqualified by a State, has lost the right to operate a CMV in a State, or has been disqualified
- § 383.51(a)
Knowingly allowing, requiring, permitting, or authorizing a driver to drive who is disqualified to drive a commercial motor vehicle
- § 387.7(a)
Operating a motor vehicle without having in effect the required minimum levels of financial responsibility coverage
- § 387.31(a)
Operating a passenger carrying vehicle without having in effect the required minimum levels of financial responsibility
- § 391.11(b)(4)
Using a physically unqualified driver
- § 391.15(a)
Using a disqualified driver
- § 395.8(a)(1)
Failing to require a driver to prepare a record of duty status using appropriate method
- § 396.9(c)(2)
Requiring or permitting the operation of a motor vehicle declared “out-of-service” before repairs were made
- § 396.11(a)
Failing to require driver to prepare driver vehicle inspection report
- § 396.17(a)
Using a commercial motor vehicle not periodically inspected
General factor violations (Parts 387 and 390)
6 acute/critical regulations are scored under the General factor.
- § 387.7(a)Operating a motor vehicle without having in effect the required minimum levels of financial responsibility coverageautomatic failure
- § 387.7(d)Failing to maintain at principal place of business required proof of financial responsibilitycritical
- § 387.31(a)Operating a passenger carrying vehicle without having in effect the required minimum levels of financial responsibilityautomatic failure
- § 387.31(d)Failing to maintain at principal place of business required proof of financial responsibility for passenger carrying vehiclescritical
- § 390.15(b)(2)Failing to maintain copies of all accident reports required by State or other governmental entities or insurerscritical
- § 390.35Making, or causing to make fraudulent or intentionally false statements or records and/or reproducing fraudulent recordsacute
Driver factor violations (Parts 382, 383, and 391)
28 acute/critical regulations are scored under the Driver factor.
- § 382.115(a)Failing to implement an alcohol and/or controlled substances testing program (domestic motor carrier)automatic failure
- § 382.115(b)Failing to implement an alcohol and/or controlled substances testing program (foreign motor carrier)automatic failure
- § 382.201Using a driver known to have an alcohol concentration of 0.04 or greaterautomatic failure
- § 382.211Using a driver who has refused to submit to an alcohol or controlled substances test required under part 382automatic failure
- § 382.213(c)Using a driver known to have used a controlled substanceacute
- § 382.215Using a driver known to have tested positive for a controlled substanceautomatic failure
- § 382.301(a)Using a driver before the motor carrier has received a negative pre-employment controlled substance test resultcritical
- § 382.303(a)Failing to conduct post accident testing on driver for alcoholcritical
- § 382.303(b)Failing to conduct post accident testing on driver for controlled substancescritical
- § 382.305(a)Failing to implement a random controlled substances and/or an alcohol testing programautomatic failure
- § 382.305(b)(1)Failing to conduct random alcohol testing at an annual rate of not less than the applicable annual rate of the average number of driver positionscritical
- § 382.305(b)(2)Failing to conduct random controlled substances testing at an annual rate of not less than the applicable annual rate of the average number of driver positionscritical
- § 382.309Using a driver who has not undergone return-to-duty testing with a negative drug test result and/or an alcohol test with an alcohol concentration of less than 0.02 in accordance with 49 CFR 40.305acute
- § 382.503Allowing a driver to perform safety sensitive function, after engaging in conduct prohibited by subpart B, without being evaluated by substance abuse professional, as required by § 382.605critical
- § 382.505(a)Using a driver within 24 hours after being found to have an alcohol concentration of 0.02 or greater but less than 0.04acute
- § 382.605Failing to subject a driver who has been identified as needing assistance to at least six unannounced follow-up drug and/or alcohol tests in the first 12 months following the driver's return-to-duty in accordance with 49 CFR 40.307critical
- § 383.23(a)Operating a commercial motor vehicle without a valid commercial driver's licenseautomatic failure
- § 383.37(a)Allowing, requiring, permitting, or authorizing a driver to operate a CMV who the employer knew or should reasonably have known does not have a current CLP or CDL, does not have a CLP or CDL with the proper class or endorsements, or operates a CMV in violation of any restriction on the CLP or CDLacute
- § 383.37(b)Allowing, requiring, permitting, or authorizing a driver to operate a CMV who the employer knew or should reasonably have known has a CLP or CDL disqualified by a State, has lost the right to operate a CMV in a State, or has been disqualifiedautomatic failure
- § 383.37(c)Allowing, requiring, permitting, or authorizing a driver to operate a CMV who the employer knew or should reasonably have known has more than one CLP or CDLacute
- § 383.51(a)Knowingly allowing, requiring, permitting, or authorizing a driver to drive who is disqualified to drive a commercial motor vehicleautomatic failure
- § 391.11(b)(4)Using a physically unqualified driverautomatic failure
- § 391.15(a)Using a disqualified driverautomatic failure
- § 391.45(a)Using a driver not medically examined and certifiedcritical
- § 391.45(b)Using a driver not medically examined and certified during the preceding 24 monthscritical
- § 391.51(a)Failing to maintain driver qualification file on each driver employedcritical
- § 391.51(b)(2)Failing to maintain inquiries into driver's driving record in driver's qualification filecritical
- § 391.51(b)(6)Failing to maintain medical examiner's certificate in driver's qualification filecritical
Operational factor violations (Parts 392 and 395)
31 acute/critical regulations are scored under the Operational factor.
- § 392.2Operating a motor vehicle not in accordance with the laws, ordinances, and regulations of the jurisdiction in which it is being operatedcritical
- § 392.4(b)Requiring or permitting a driver to drive while under the influence of, or in possession of, a narcotic drug, amphetamine, or any other substance capable of rendering the driver incapable of safely operating a motor vehicleacute
- § 392.5(b)(1)Requiring or permitting a driver to drive a motor vehicle while under the influence of, or in possession of, an intoxicating beverageacute
- § 392.5(b)(2)Requiring or permitting a driver who shows evidence of having consumed an intoxicating beverage within 4 hours to operate a motor vehicleacute
- § 392.6Scheduling a run which would necessitate the vehicle being operated at speeds in excess of those prescribedcritical
- § 392.9(a)(1)Requiring or permitting a driver to drive without the vehicle's cargo being properly distributed and adequately securedcritical
- § 395.1(h)(2)(i)Requiring or permitting a passenger-carrying commercial motor vehicle driver to drive more than 15 hours (Driving in Alaska)critical
- § 395.1(h)(2)(ii)Requiring or permitting a passenger-carrying commercial motor vehicle driver to drive after having been on duty 20 hours (Driving in Alaska)critical
- § 395.1(h)(2)(iii)Requiring or permitting a passenger-carrying commercial motor vehicle driver to drive after having been on duty more than 70 hours in 7 consecutive days (Driving in Alaska)critical
- § 395.1(h)(2)(iv)Requiring or permitting a passenger-carrying commercial motor vehicle driver to drive after having been on duty more than 80 hours in 8 consecutive days (Driving in Alaska)critical
- § 395.1(o)Requiring or permitting a property-carrying commercial motor vehicle driver to drive after having been on duty 16 consecutive hourscritical
- § 395.3(a)(1)Requiring or permitting a property-carrying commercial motor vehicle driver to drive without taking an off-duty period of at least 10 consecutive hours prior to drivingcritical
- § 395.3(a)(2)Requiring or permitting a property-carrying commercial motor vehicle driver to drive after the end of the 14th hour after coming on dutycritical
- § 395.3(a)(3)(i)Requiring or permitting a property-carrying commercial motor vehicle driver to drive more than 11 hourscritical
- § 395.3(a)(3)(ii)Requiring or permitting a property-carrying commercial motor vehicle driver to drive if more than 8 hours of driving time have passed without a consecutive interruption in driving status of at least 30 minutes, either off-duty, sleeper berth or on-duty not drivingcritical
- § 395.3(b)(1)Requiring or permitting a property-carrying commercial motor vehicle driver to drive after having been on duty more than 60 hours in 7 consecutive dayscritical
- § 395.3(b)(2)Requiring or permitting a property-carrying commercial motor vehicle driver to drive after having been on duty more than 70 hours in 8 consecutive dayscritical
- § 395.5(a)(1)Requiring or permitting a passenger-carrying commercial motor vehicle driver to drive more than 10 hourscritical
- § 395.5(a)(2)Requiring or permitting a passenger-carrying commercial motor vehicle driver to drive after having been on duty 15 hourscritical
- § 395.5(b)(1)Requiring or permitting a passenger-carrying commercial motor vehicle driver to drive after having been on duty more than 60 hours in 7 consecutive dayscritical
- § 395.5(b)(2)Requiring or permitting a passenger-carrying commercial motor vehicle driver to drive after having been on duty more than 70 hours in 8 consecutive dayscritical
- § 395.8(a)(1)Failing to require a driver to prepare a record of duty status using appropriate methodautomatic failure
- § 395.8(a)(2)(ii)Failure to require a driver to submit record of duty statuscritical
- § 395.8(e)(1)Making, or permitting a driver to make, a false report regarding duty statuscritical
- § 395.8(e)(2)Disabling, deactivating, disengaging, jamming, or otherwise blocking or degrading a signal transmission or reception, tampering with an automatic on-board recording device or ELD, or permitting or requiring another person to engage in such activityacute
- § 395.8(k)(1)Failing to preserve a driver's record of duty status or supporting documents for 6 monthscritical
- § 395.11(b)Failing to require a driver to submit supporting documentscritical
- § 395.11(c)Failing to retain types of supporting documents as required by § 395.11(c)critical
- § 395.11(e)Failing to retain supporting documents in a manner that permits the effective matching of the documents to the driver's record of duty statuscritical
- § 395.11(f)Altering, defacing, destroying, mutilating, or obscuring a supporting documentcritical
- § 395.30(f)Failing to retain ELD informationacute
Vehicle factor violations (Part 393, Part 396, and inspection data for the last 12 months)
5 acute/critical regulations are scored under the Vehicle factor.
- § 396.3(b)Failing to keep minimum records of inspection and vehicle maintenancecritical
- § 396.9(c)(2)Requiring or permitting the operation of a motor vehicle declared “out-of-service” before repairs were madeautomatic failure
- § 396.11(a)Failing to require driver to prepare driver vehicle inspection reportautomatic failure
- § 396.17(a)Using a commercial motor vehicle not periodically inspectedautomatic failure
- § 396.17(g)Failing to promptly repair parts and accessories not meeting minimum periodic inspection standardsacute
Hazardous Materials factor violations (Parts 171, 177, 180, and 397)
33 acute/critical regulations are scored under the Hazardous Materials factor.
- § 397.5(a)Failing to ensure a motor vehicle containing Division 1.1, 1.2, or 1.3 (explosive) material is attended at all times by its driver or a qualified representativeacute
- § 397.7(a)(1)Parking a motor vehicle containing Division 1.1, 1.2, or 1.3 materials within 5 feet of traveled portion of highway or streetcritical
- § 397.7(b)Parking a motor vehicle containing hazardous material(s) other than Division 1.1, 1.2, or 1.3 materials within 5 feet of traveled portion of highway or streetcritical
- § 397.13(a)Permitting a person to smoke or carry a lighted cigarette, cigar or pipe within 25 feet of a motor vehicle containing Class 1 materials, Class 5 materials, or flammable materials classified as Division 2.1, Class 3, Divisions 4.1 and 4.2critical
- § 397.19(a)Failing to furnish driver of motor vehicle transporting Division 1.1, 1.2, or 1.3 (explosive) materials with a copy of the rules of part 397 and/or emergency response instructionscritical
- § 397.67(d)Requiring or permitting the operation of a motor vehicle containing explosives in Class 1, Divisions 1.1, 1.2, or 1.3 that is not accompanied by a written route plancritical
- § 171.15Carrier failing to give immediate telephone notice of an incident involving hazardous materialscritical
- § 171.16Carrier failing to make a written report of an incident involving hazardous materialscritical
- § 172.313(a)Accepting for transportation or transporting a package containing a poisonous-by-inhalation material that is not marked with the words “Inhalation Hazard”acute
- § 172.704(a)(4)Failing to provide security awareness trainingcritical
- § 172.704(a)(5)Failing to provide in-depth security awareness trainingcritical
- § 172.800(b)Transporting hazardous materials without a security plan (or without one conforming to Subpart I, or failure to adhere to a required security plan)acute
- § 173.24(b)(1)Accepting for transportation or transporting a package that has an identifiable release of a hazardous material to the environmentacute
- § 173.421Accepting for transportation or transporting a Class 7 (radioactive) material described, marked, and packaged as a limited quantity when the radiation level on the surface of the package exceeds 0.005mSv/hour (0.5 mrem/hour)acute
- § 173.431(a)Accepting for transportation or transporting in a Type A packaging a greater quantity of Class 7 (radioactive) material than authorizedacute
- § 173.431(b)Accepting for transportation or transporting in a Type B packaging a greater quantity of Class 7 (radioactive) material than authorizedacute
- § 173.441(a)Accepting for transportation or transporting a package containing Class 7 (radioactive) material with external radiation exceeding allowable limitsacute
- § 173.442(b)Accepting for transportation or transporting a package containing Class 7 (radioactive) material when the temperature of the accessible external surface of the loaded package exceeds 50 °C (122 °F) in other than an exclusive use shipment, or 85 °C (185 °F) in an exclusive use shipmentacute
- § 173.443(a)Accepting for transportation or transporting a package containing Class 7 (radioactive) material with removable contamination on the external surfaces of the package in excess of permissible limitsacute
- § 177.800(c)Failing to instruct a category of employees in hazardous materials regulationscritical
- § 177.801Accepting for transportation or transporting a forbidden materialacute
- § 177.835(a)Loading or unloading a Class 1 (explosive) material with the engine runningacute
- § 177.835(c)Accepting for transportation or transporting Division 1.1 or 1.2 (explosive) materials in a motor vehicle or combination of vehicles that is not permittedacute
- § 177.835(j)Transferring Division 1.1, 1.2, or 1.3 (explosive) materials between containers or motor vehicles when not permittedacute
- § 177.817(a)Transporting a shipment of hazardous materials not accompanied by a properly prepared shipping papercritical
- § 177.817(e)Failing to maintain proper accessibility of shipping paperscritical
- § 177.823(a)Moving a transport vehicle containing hazardous material that is not properly marked or placardedcritical
- § 177.841(e)Transporting a package bearing a poison label in the same transport vehicle with material marked or known to be foodstuff, feed, or any edible material intended for consumption by humans or animals unless an exception in § 177.841(e)(i) or (ii) is metacute
- § 180.407(a)Transporting a shipment of hazardous material in cargo tank that has not been inspected or retested in accordance with § 180.407critical
- § 180.407(c)Failing to periodically test and inspect a cargo tankcritical
- § 180.415Failing to mark a cargo tank which passed an inspection or test required by § 180.407critical
- § 180.417(a)(1)Failing to retain cargo tank manufacturer's data report certificate and related papers, as requiredcritical
- § 180.417(a)(2)Failing to retain copies of cargo tank manufacturer's certificate and related papers (or alternative report) as requiredcritical
Prep every factor before your audit
The CarrierReady Audit-Prep Kit maps fillable templates to all six factors so the records behind these regulations are complete and ready.
See the kitCarrierReady is an independent audit-preparation tool — not legal advice, and not affiliated with, endorsed by, or connected to the FMCSA or any government agency; always verify against the official regulations at ecfr.gov.