An analysis of the most recent DOT enforcement data reveals the price that motor carriers are paying for failing to comply with federal safety regulations. The following list shows the top 15 most commonly fined violations cited during FMCSA audits and investigations from 2020–2023, including the average penalty, as well as the top penalty paid, by any company in that four-year span. NOTE: The list is based on all cited violations that resulted in a fine after an audit. Other common violations are not included if they did not result in a monetary penalty.
1. Making or allowing a driver to make a false report regarding duty status 395.8(e)(1). Average fine paid $7,020; top penalty paid $40,420.
2. Allowing or requiring someone to drive without a current, valid CDL or permit 383.37(a). Average fine paid $3,410; top penalty paid $17,700.
3. Using a driver before receiving a negative pre-employment drug test result 382.301(a). Average fine paid $5,329; top penalty paid $15,410.
4. Failing to require a driver to prepare a record of duty status using appropriate method 395.8(a)(1). Average fine paid $5,956; top penalty paid $72,900.
5. Failing to systematically inspect, repair, and maintain vehicles 396.3(a). Average fine paid $4,404; top penalty paid $21,550.
6. Failing to implement a random drug and/or an alcohol testing program 382.305. Average fine paid $6,231; top penalty paid $15,870.
7. Failing to implement an alcohol and/or drug testing program 382.115(a). Average fine paid $5,885; top penalty paid $15,876.
8. Allowing or requiring unsafe operation of a commercial motor vehicle (CMV) 396.7(a). Average fine paid $2,965; top penalty paid $12,030.
9. Failing to maintain initial driving record in driver’s qualification file 391.51(b)(2). Average fine paid $753; top penalty paid $3,600.
10. Using a driver known to have tested positive for drugs 382.215. Average fine paid $7,543; top penalty paid $18,170.
11. Failing to keep drivers’ records of duty status or supporting documents for 6 months 395.8(k)(1). Average fine paid $4,403; top penalty paid $18,060.
12. Failing to conduct random drug testing at the applicable annual rate 382.305(b)(2). Average fine paid $6,826; top penalty paid $42,210.
13. Operating a CMV after refusing to undergo a new-entrant safety audit 385.337(b). Average fine paid $3,460; top penalty paid $15,410.
14. Failing to keep minimum inspection and maintenance records 396.3(b). Average fine paid $949; top penalty paid $6,480.
15. Operating a CMV in violation of a new entrant out of service order 385.331. Average fine paid $3,264; top penalty paid $6,930.
Now, let’s shift gears and talk about your Unified Carrier Registration. If your fee bracket has changed under the Unified Carrier Registration (UCR) program, make sure your records back up the new numbers for your fleet. States are required to perform audits each year on carriers who move from one payment bracket to a lower bracket. The goal is to verify that the carrier has properly deducted vehicles from its UCR payment.
Most carriers, freight forwarders, leasing companies, and brokers engaged in interstate commerce are subject to annual registration and fees under the UCR program. The fee structure is a bracket system, with the fees based on the number of CMVs a carrier owns or operates. A CMV is owned or operated by a carrier if the vehicle is registered under federal or state law, or both, in the name of the carrier, or controlled by the carrier under a long-term lease during a vehicle registration year. A vehicle operated under a lease of 30 days or less need not be included in the count.
The number of CMVs owned or operated and subject to fees is either Option A – the number reported on the most recently filed MCS-150 with the USDOT; or Option B – the total number of CMVs owned or operated for the twelve-month period ending on June 30 immediately prior to the beginning of a given registration year. Motor vehicles used solely in intrastate operations may be excluded from the vehicle count. This exclusion must be clearly documented (see “UCR-1 Form” below).
Determining your bracket. For a carrier, fees are based on the number of CMVs it owns or operates. Fees are charged at the lowest bracket level for a broker, leasing company (that is not also a motor carrier), or freight forwarder (that does not own or operate motor vehicles). Brackets are defined as follows: Bracket 1 = 0-2 vehicles; Bracket 2 = 3-5 vehicles; Bracket 3 = 6-20 vehicles; Bracket 4 = 21-100 vehicles; Bracket 5 = 101-1,000 vehicles; and Bracket 6 = over 1,000 vehicles.
To prove your numbers, carriers must retain two documents and provide them to the base state upon request. UCR-1 Form. If you subtracted vehicles used for intrastate transportation when you registered for UCR, you must maintain a list of the vehicles you subtracted. To subtract a CMV under this option, during the UCR registration year, the vehicle did not or will not travel outside the state; the vehicle did not or will not carry property, waste, or recyclable material that originated outside the state or is destined for a location outside the state; and the vehicle was not or will not be registered under the International Registration Plan (vehicle must not have an apportioned plate).
The second document you must provide to prove your numbers is the UCR-2 Form. If you counted your vehicles using Option B (from above) and this puts you in a lower fee category compared to Option A, you must keep a list of the vehicles covered by your UCR registration on Form UCR-2. UCR registrants must keep UCR records for two years from the due date or filing date, whichever is later, plus any time period included as a result of state decisions or inquiries. Key to remember: if your UCR fee bracket has changed – and especially if it is lower – make sure your records back up the new numbers for your fleet. If you have questions or need help with any of this, please call us at (800) 805-0040 or visit www.ntassoc.com today.
