New Entrant Safety Audit:
what FMCSA checks and what makes you fail.
Every new motor carrier goes through an 18-month monitoring period and a safety audit, usually within the first 12 months. Here is what the auditor reviews, the 16 violations that fail the audit automatically, and what happens next.
Track your drivers' expiration dates freeWhat the New Entrant Safety Audit is
When you get a new USDOT number, FMCSA places you in the New Entrant Safety Assurance Program for 18 months. During that time your roadside inspections are watched closely, and an auditor reviews your records to confirm you have basic safety management controls in place.
The audit is done once you have enough operating history to review, which is generally at least 3 months. For property carriers it usually happens within the first 12 months; passenger carriers are audited sooner. FMCSA reaches out to schedule it, and every required record has to be available when the auditor asks.
What the auditor reviews
- Driver qualification: a complete Driver Qualification File for each driver, a valid CDL and a current DOT medical certificate.
- Drug and alcohol: a testing program in place, including random testing.
- Hours of service: records of duty status for your drivers.
- Vehicles: annual inspections, repairs and out-of-service defects corrected before the truck runs again.
- Insurance: the required minimum financial responsibility coverage.
The 16 violations that fail the audit automatically
Under 49 CFR 385.321, any one of these means an automatic failure. Most of them only take a single occurrence.
| 49 CFR | Area | Violation |
|---|---|---|
| § 382.115(a)/(b) | Drug & alcohol | No alcohol and/or controlled substances testing program |
| § 382.201 | Drug & alcohol | Using a driver known to have an alcohol concentration of 0.04 or greater |
| § 382.211 | Drug & alcohol | Using a driver who refused a required alcohol or drug test |
| § 382.215 | Drug & alcohol | Using a driver known to have tested positive for a controlled substance |
| § 382.305 | Drug & alcohol | No random drug and/or alcohol testing program |
| § 383.3(a)/383.23(a) | CDL | Knowingly using a driver who does not have a valid CDL |
| § 383.37(b) | CDL | Letting a driver operate with a CLP or CDL that is disqualified or has lost the right to operate a CMV |
| § 383.51(a) | CDL | Letting a driver drive who is disqualified to drive a CMV |
| § 387.7(a) | Insurance | Operating without the required minimum financial responsibility (insurance) coverage |
| § 387.31(a) | Insurance | Operating a passenger vehicle without the required minimum financial responsibility |
| § 391.15(a) | Driver qualification | Knowingly using a disqualified driver |
| § 391.11(b)(4) | Driver qualification | Knowingly using a physically unqualified driver (for example, no valid medical certificate) |
| § 395.8(a) | Hours of service | Not requiring drivers to keep a record of duty status (51% or more of examined records) |
| § 396.9(c)(2) | Vehicles | Operating a vehicle declared out-of-service before it is repaired |
| § 396.11(a)(3) | Vehicles | Not correcting out-of-service defects reported in a DVIR before the vehicle runs again |
| § 396.17(a) | Vehicles | Using a vehicle that has not had its periodic (annual) inspection (51% or more of examined records) |
What happens after the audit
If you pass, FMCSA sends a written notice no later than 45 days after the audit, and keeps monitoring you until the end of the 18 months.
If you fail, the notice comes within the same 45 days and tells you what to fix. You have 60 days from the notice to correct it (45 days for passenger and hazardous materials carriers). If you don't, your new entrant registration is revoked and your operations are placed out of service. You can ask for an administrative review; to have it decided in time, request it within 15 days of the notice.
Where expired documents trip new carriers up
Several automatic failures come down to a date nobody watched: a CDL that lapsed (§ 383.23), a driver whose medical certificate expired (§ 391.11(b)(4)), insurance that wasn't renewed (§ 387.7) or a truck past its annual inspection (§ 396.17). Those are the ones GoExpirely helps with: it tracks the expiration date of each document and emails you 30, 15, 7 and 1 day before it expires, and on the day it does.
It doesn't run your drug and alcohol program or your hours of service logs. You still need a consortium or testing provider and an ELD for that.
Know before a CDL, medical card or inspection expires
Add your drivers and trucks, upload their documents and let GoExpirely watch the dates. $79/month for up to 25 drivers and vehicles, 15-day free trial, no credit card.
Start your free trialFrequently asked questions
When does the New Entrant Safety Audit happen?
New carriers are monitored for their first 18 months. FMCSA runs the safety audit once you have operated long enough to have records to review, generally at least 3 months. For property carriers it usually happens within the first 12 months of operations; passenger carriers are audited sooner. FMCSA contacts you to schedule it.
What records does the auditor review?
The audit checks your basic safety management controls: driver qualification files and CDLs, your drug and alcohol testing program, hours of service records, vehicle inspection, repair and maintenance records, and proof of insurance (financial responsibility). All required records must be available when the auditor asks for them.
What causes an automatic failure?
Any one of 16 violations listed in 49 CFR 385.321, such as having no drug and alcohol testing program, using a driver without a valid CDL, using a physically unqualified driver, operating without the required insurance, or using vehicles that have not had their annual inspection. Most of them fail the audit with a single occurrence.
What happens if I fail the audit?
FMCSA sends a written notice no later than 45 days after the audit. You then have 60 days from the notice to fix the problems (45 days for passenger carriers and hazardous materials carriers). If you don't, your new entrant registration is revoked and your operations are placed out of service. You can request an administrative review; to make sure it is decided in time, request it within 15 days of the notice.
What happens if I pass?
FMCSA sends a written notice no later than 45 days after the audit, and your safety performance keeps being monitored until the end of the 18-month new entrant period.
Sources: 49 CFR Part 385, Subpart D · FMCSA New Entrant Safety Assurance Program. Related: free printable DQF checklist.
GoExpirely is not affiliated with FMCSA or USDOT. This page summarizes the regulation for general information; check the official sources for your specific case.