DOT compliance is critical for the safety and legal operation of commercial vehicles. Whether you’re a new trucking business or a seasoned carrier, understanding the most common DOT violations—and how to avoid them—can save your company from costly fines, shutdowns, and damage to your CSA score.
In this post, we’ll break down the Top 10 DOT violations based on FMCSA enforcement trends and provide practical tips to help you stay compliant and keep your fleet running smoothly.
1. Driver Not Having a Valid Medical Certificate
Violation Code: 391.41(a)
Why it Happens: Commercial drivers are required to pass a DOT physical exam and carry a valid Medical Examiner’s Certificate.
Avoid It:
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Make sure all CDL drivers have a current DOT medical card.
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Track expiration dates and schedule timely renewals.
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Keep a copy in both driver qualification files and in the truck.
2. Hours of Service (HOS) Violations
Violation Code: 395.3(a)(3) and others
Why it Happens: Drivers exceeding daily or weekly HOS limits, or not using ELD (Electronic Logging Device) properly.
Avoid It:
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Train drivers on HOS rules and ELD usage.
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Monitor logs regularly to detect issues.
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Use a compliant ELD system and set alerts for approaching limits.
3. Operating Without a DOT Number or MC Authority
Violation Code: 392.9a(a)
Why it Happens: Some new carriers operate before receiving proper authorization from FMCSA.
Avoid It:
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Apply for a USDOT Number and, if necessary, an MC Number before transporting goods.
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Use the FMCSA registration portal or hire professionals like DOT Compliance Pro.
4. Failure to Maintain Driver Qualification Files (DQFs)
Violation Code: 391.51
Why it Happens: Missing documents like employment history, driving records, or medical certificates.
Avoid It:
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Maintain a DQF for every driver in your fleet.
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Include MVRs, drug test results, training records, and more.
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Perform annual MVR reviews and document them.
5. Improper Vehicle Maintenance
Violation Code: 396.3(a)(1)
Why it Happens: Ignoring regular maintenance leads to unsafe vehicles and failed inspections.
Avoid It:
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Conduct regular preventive maintenance checks.
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Keep Vehicle Maintenance Logs updated and accessible.
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Fix issues immediately after pre-trip/post-trip inspections.
6. Brake System Violations
Violation Code: 393.47(a) and 396.3(a)(1)
Why it Happens: Brake components are worn, leaking, or improperly adjusted—leading to serious safety risks.
Avoid It:
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Perform thorough brake inspections during maintenance.
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Replace worn or damaged parts immediately.
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Train drivers to spot signs of brake issues.
7. Inaccurate or Missing Vehicle Inspections
Violation Code: 396.11
Why it Happens: Drivers fail to complete Daily Vehicle Inspection Reports (DVIRs) or do them improperly.
Avoid It:
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Require drivers to complete pre-trip and post-trip inspections daily.
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Review reports and address defects promptly.
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Keep inspection records for at least 90 days.
8. Unsecured or Improperly Secured Loads
Violation Code: 393.100 – 393.136
Why it Happens: Cargo isn’t tied down properly or using the wrong securement method.
Avoid It:
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Use the correct number and type of tie-downs based on load type.
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Train drivers on FMCSA cargo securement regulations.
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Inspect load security before every trip.
9. Drug and Alcohol Testing Violations
Violation Code: 382.115(a), 382.301(a)
Why it Happens: Carriers don’t enroll in a Drug & Alcohol Testing Consortium or skip pre-employment testing.
Avoid It:
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Join a DOT-approved testing consortium.
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Test all new CDL drivers before assigning duties.
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Conduct random, post-accident, and reasonable suspicion tests.
10. Expired or Missing Unified Carrier Registration (UCR)
Violation Code: UCR Noncompliance
Why it Happens: Carriers forget to renew UCR annually or operate without it.
Avoid It:
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Register your business under UCR every year.
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Set renewal reminders before the January 1st deadline.
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Use compliance services like DOT Compliance Pro for annual renewals.
Why Avoiding These Violations Matters
DOT violations don’t just lead to fines—they impact your CSA (Compliance, Safety, Accountability) score, increase insurance rates, and could even result in a carrier shutdown. Regular audits and compliance reviews are essential to keep your fleet legally operational and safe.
How DOT Compliance Pro Can Help
At DOT Compliance Pro, we specialize in:
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USDOT & MC Number Registration
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Driver Qualification File Management
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Drug & Alcohol Testing Consortium Enrollment
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Vehicle Maintenance Logs
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HOS & ELD Compliance
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CSA Score Monitoring & DOT Audit Assistance
Let our experts take the hassle out of DOT compliance so you can focus on running your fleet.
Contact us today to keep your operation violation-free!
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