The new entrant safety audit, explained, with a free checklist
Every new interstate carrier gets audited within its first 12 months of operating. Here's what the auditor looks at, the 16 violations that fail you on the spot, and the records to have ready.
When it happens
- Within 12 months of when you start operating (120 days for passenger carriers), under federal law (49 U.S.C. 31144(g)).
- You're in the new entrant program for 18 months (49 CFR 385.307). The audit usually comes once you've run long enough to have records, generally at least 3 months.
- FMCSA or the state agency assigned to do it contacts you by letter or email. Open your mail. Carriers get put out of service for missing the notice, not just for failing.
How you can fail
There are two ways (49 CFR 385.321 and Part 385, Appendix A):
- Any one of the 16 automatic-fail violations below.
- Problems in three or more of the audit's areas. The auditor scores six areas: general (insurance and registration), drivers, operations (hours of service), vehicles, hazardous materials, and your accident rate. Each serious violation adds points, and an area fails at 3 points.
The 16 violations that fail you automatically
Each one fails you on a single occurrence, except numbers 13 and 16, which fail you when 51% or more of the records the auditor examines have the problem.
| # | Violation | Rule |
|---|---|---|
| 1 | No drug and alcohol testing program | 382.115 |
| 2 | Using a driver known to have an alcohol level of 0.04 or higher | 382.201 |
| 3 | Using a driver who refused a required test | 382.211 |
| 4 | Using a driver known to have tested positive | 382.215 |
| 5 | No random testing program | 382.305 |
| 6 | Knowingly using a driver without a valid CDL | 383.3(a), 383.23(a) |
| 7 | Letting someone drive on a disqualified or invalid CDL or learner's permit | 383.37(b) |
| 8 | Letting a disqualified CDL driver drive | 383.51(a) |
| 9 | Operating without the required insurance (property carriers) | 387.7(a) |
| 10 | Operating without the required insurance (passenger carriers) | 387.31(a) |
| 11 | Knowingly using a disqualified driver | 391.15(a) |
| 12 | Knowingly using a driver who isn't medically qualified | 391.11(b)(4) |
| 13 | Not requiring drivers to keep records of duty status (51%+ of records) | 395.8(a) |
| 14 | Operating a vehicle placed out of service before it's repaired | 396.9(c)(2) |
| 15 | Not fixing out-of-service defects a driver reported before using the vehicle again | 396.11(a)(3) |
| 16 | Using a vehicle without its periodic (annual) inspection (51%+ of records) | 396.17(a) |
If you run alone with your own CDL, numbers 1 and 5 still apply to you: you join a consortium so you're in a random testing pool with other drivers (49 CFR 382.103).
Checklist: records to have ready
Drug and alcohol testing (if you have CDL drivers)
- [ ] Enrollment in a testing program or consortium, including random testing
- [ ] Pre-employment test result for each driver, received before their first trip
- [ ] A pre-employment Clearinghouse query for each driver before they drove (49 CFR 382.701)
- [ ] Your written drug and alcohol policy, and proof drivers received it
Driver qualification file, one per driver (49 CFR 391.51)
- [ ] Employment application
- [ ] Driving record (MVR) from each state that licensed the driver in the past 3 years, pulled at hiring
- [ ] Road test certificate, or a copy of the CDL accepted in its place
- [ ] Current medical examiner's certificate
- [ ] Annual driving record check and your note reviewing it
- [ ] Previous employers' safety history for the past 3 years
Hours of service
- [ ] Records of duty status (ELD records or logs) for each driver
- [ ] Supporting documents such as fuel receipts and bills of lading
- [ ] Kept for at least 6 months (49 CFR 395.8(k))
Vehicles
- [ ] Annual inspection report for each truck and trailer (49 CFR 396.17)
- [ ] Maintenance and repair records, kept 1 year, and 6 months after a vehicle leaves your fleet (49 CFR 396.3)
- [ ] Driver vehicle inspection reports, with repairs signed off for any defects
General
- [ ] Proof of insurance at the required minimum ($750,000 for general freight in trucks over 10,000 lbs; hazmat needs more, 49 CFR 387.9)
- [ ] Accident register, even if it's empty, kept for 3 years (49 CFR 390.15)
Want a second pair of eyes?
The audit file check goes through your records against every item above and the 16 automatic-fail violations, and sends you a written gap list within 2 business days. It's $199. It isn't a guarantee you'll pass; the auditor decides.
Common questions
When will my new entrant safety audit happen?
Federal law requires the audit within 12 months of when you begin operating, or within 120 days for passenger carriers. You stay in the new entrant program for 18 months in total. FMCSA or the state agency that does audits for it will contact you by letter or email to schedule it.
What happens if I ignore the audit notice?
If you don't agree to the audit, FMCSA sends a written notice. You then have 10 days to agree in writing, or your registration is revoked and your interstate operations are placed out of service on day 11 (49 CFR 385.337).
What happens if I fail?
FMCSA sends written notice within 45 days of the audit. You then have 60 days to fix the problems and show it (45 days for passenger carriers and some hazmat carriers), or your registration is revoked (49 CFR 385.319).
Is the audit email I got real?
FMCSA warns of fake audit emails that ask for your PIN, EIN or Social Security number. Real audit messages typically come from an FMCSA mailbox or the state agency assigned to do the audit, usually ending in .gov. If you're unsure, call FMCSA at 1-800-832-5660 before you reply.