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New-entrant safety audit checklist
FMCSA watches a new carrier for 18 months and runs its safety audit within 12 months of the carrier starting operations; any one of 16 violations fails it automatically. Sources: FMCSA New Entrant Safety Assurance Program; 49 CFR 385.321(b), checked Oct 24, 2026.
The 18 months
"A safety audit will be conducted on the new entrant, once it has been in operation for enough time to have sufficient records to allow the agency to evaluate the adequacy of its basic safety management controls. This period will generally be at least 3 months."
49 CFR 385.307
The 16 violations that fail the audit
"A new entrant will automatically fail a safety audit if found in violation of any one of the following 16 regulations:"
| Rule | Violation (as written in the regulation) | Fails on |
|---|---|---|
| § 382.115(a)/(b) | Failing to implement an alcohol and/or controlled substances testing program | Single occurrence |
| § 382.201 | Using a driver known to have an alcohol content of 0.04 or greater to perform a safety-sensitive function | Single occurrence |
| § 382.211 | Using a driver who has refused to submit to an alcohol or controlled substances test required under part 382 | Single occurrence |
| § 382.215 | Using a driver known to have tested positive for a controlled substance | Single occurrence |
| § 382.305 | Failing to implement a random controlled substances and/or alcohol testing program | Single occurrence |
| § 383.3(a)/383.23(a) | Knowingly using a driver who does not possess a valid CDL | Single occurrence |
| § 383.37(b) | Knowingly allowing, requiring, permitting, or authorizing an employee to operate a commercial motor vehicle with a commercial learner's permit or commercial driver's license which is disqualified by a State, has lost the right to operate a CMV in a State or who is disqualified to operate a commercial motor vehicle | Single occurrence |
| § 383.51(a) | Knowingly allowing, requiring, permitting, or authorizing a driver to drive who is disqualified to drive a commercial motor vehicle | Single occurrence |
| § 387.7(a) | Operating a motor vehicle without having in effect the required minimum levels of financial responsibility coverage | Single occurrence |
| § 387.31(a) | Operating a passenger carrying vehicle without having in effect the required minimum levels of financial responsibility | Single occurrence |
| § 391.15(a) | Knowingly using a disqualified driver | Single occurrence |
| § 391.11(b)(4) | Knowingly using a physically unqualified driver | Single occurrence |
| § 395.8(a) | Failing to require a driver to make a record of duty status | 51% or more of examined records |
| § 396.9(c)(2) | Requiring or permitting the operation of a commercial motor vehicle declared “out-of-service” before repairs are made | Single occurrence |
| § 396.11(a)(3) | Failing to correct out-of-service defects listed by driver in a driver vehicle inspection report before the vehicle is operated | Single occurrence |
| § 396.17(a) | Using a commercial motor vehicle not periodically inspected | 51% or more of examined records |
Source: 49 CFR 385.321(b), eCFR current as of Oct 24, 2026. Two items fail only when 51% or more of the records checked show the violation.
For a one-truck carrier, that list comes down to four things to have in order before the auditor calls: a drug and alcohol program with random testing, insurance on file, hours-of-service records, and periodic inspection records for the truck.
What gets you audited early
FMCSA can move a new entrant's audit up, or demand a written corrective-action response, for any of these (49 CFR 385.308(a), excerpt):
- Using a driver not possessing a valid commercial driver's license to operate a commercial motor vehicle
- Operating a vehicle placed out of service for violations of the Federal Motor Carrier Safety Regulations or compatible State laws and regulations without taking necessary corrective action
- Using a driver who tests positive for controlled substances or alcohol or who refuses to submit to required controlled substances or alcohol tests
- Operating a commercial motor vehicle without the levels of financial responsibility required under part 387
- Having a driver or vehicle out-of-service rate of 50 percent or more based upon at least three inspections occurring within a consecutive 90-day period
"Failure to respond within 30 days of the notice to an Agency demand for a written response demonstrating corrective action will result in the revocation of the new entrant's registration."
49 CFR 385.308(d)
If you fail
"If failed, New Entrants must satisfactorily implement a corrective action to correct safety management practices. Failure to do so will result in immediate revocation of U.S. DOT registration."
FMCSA New Entrant Safety Assurance Program (page updated May 31, 2022)
FMCSA runs the audit and decides the result. Not legal advice. Back to the new authority checklist.
Questions
When is the new entrant safety audit?
Within 12 months of starting operations, and generally after at least 3 months, so there are records to check. FMCSA monitors a new carrier for 18 months in all.
What do they check in a new entrant safety audit?
Your records against 16 regulations that fail the audit automatically. For one truck it comes down to four things: a drug and alcohol program with random testing, insurance on file, hours-of-service records and periodic inspection records for the truck.
What happens if I fail the new entrant safety audit?
FMCSA: "If failed, New Entrants must satisfactorily implement a corrective action to correct safety management practices. Failure to do so will result in immediate revocation of U.S. DOT registration."
Can the audit come early?
Yes. FMCSA can move it up, or ask for a written corrective-action response, after events such as using a driver without a valid CDL, running a truck placed out of service without fixing it, or using a driver who tested positive or refused a test (49 CFR 385.308(a)).