New Entrant Safety Audit Checklist

Last updated: October 20, 2026 · Sources: 49 CFR Part 385 (eCFR, as of Oct. 2026), FMCSA New Entrant Safety Assurance Program

Quick answer: The new entrant safety audit reviews five areas: driver qualification files, hours of service, vehicle maintenance, the accident register, and drug and alcohol testing (49 CFR 385.311). You fail automatically if the auditor finds any of 16 listed violations (385.321), such as having no random testing program or no required insurance. Have one organized file per area ready.

Every new motor carrier goes through an 18-month monitoring period (385.307). The safety audit is FMCSA's check that your basic safety management controls exist (385.309). FMCSA says it generally happens within your first 12 months of operation. The rule says it happens once you have enough records to evaluate, which is generally at least 3 months (385.307). Audits may involve uploading records, so keep a clean digital copy of every record as well as the paper binder.

What the auditor reviews (385.311)

  1. Driver qualification
  2. Driver duty status (hours of service)
  3. Vehicle maintenance
  4. Accident register
  5. Controlled substances and alcohol testing

The 16 automatic-failure violations (385.321(b))

# Violation Threshold
1 No alcohol and/or controlled substances testing program (382.115) Single occurrence
2 Using a driver known to have an alcohol concentration of 0.04 or greater (382.201) Single
3 Using a driver who refused a required test (382.211) Single
4 Using a driver known to have tested positive (382.215) Single
5 No random testing program (382.305) Single
6 Knowingly using a driver without a valid CDL (383.3(a)/383.23(a)) Single
7 Allowing operation with a disqualified CLP/CDL (383.37(b)) Single
8 Allowing a disqualified driver to drive (383.51(a)) Single
9 Operating without required financial responsibility (387.7(a)) Single
10 Passenger vehicle without required financial responsibility (387.31(a)) Single
11 Knowingly using a disqualified driver (391.15(a)) Single
12 Knowingly using a physically unqualified driver (391.11(b)(4)) Single
13 Failing to require a record of duty status (395.8(a)) 51%+ of examined records
14 Operating a CMV declared out of service before repairs (396.9(c)(2)) Single
15 Not correcting out-of-service defects on a DVIR before operating (396.11(a)(3)) Single
16 Using a CMV not periodically inspected (396.17(a)) 51%+ of examined records

Source: 49 CFR 385.321.

Document checklist by tab

Company - ☐ Authority letter, USDOT/MC record printout, MCS-150 confirmation - ☐ Who does what: DER, log reviewer, maintenance contact

Insurance - ☐ Policy and declarations, MCS-90 endorsement kept at your principal place of business (387.7(d)) - ☐ Screenshot of the FMCSA filing showing active

Drug & alcohol - ☐ C/TPA enrollment certificate and proof of random pool membership (382.305) - ☐ Verified negative pre-employment drug test for each driver before they drove (382.301) - ☐ Written policy and signed receipts (382.601). Supervisor training, 60 minutes drug + 60 minutes alcohol (382.603) - ☐ Clearinghouse registration and query history (382.701)

Driver qualification (one file per driver, 391.51) - ☐ Application (391.21), MVR and prior-employer inquiries (391.23) - ☐ Road test or equivalent (391.31/391.33) - ☐ Medical examiner's certificate, valid up to 24 months (391.45) - ☐ Annual review (391.25)

Hours of service - ☐ ELD provider info, 6 months of records of duty status and supporting documents (395.8(k)) - ☐ In-cab ELD instruction packet and 8 days of blank grids (395.22(h))

Vehicles - ☐ Unit file per truck/trailer with maintenance records (396.3) - ☐ Annual inspection report, with proof on the vehicle (396.17) - ☐ DVIRs where defects were found, kept 3 months (396.11) - ☐ Roadside inspection reports, defects repaired and certified within 15 days, copy kept 12 months (396.9(d)(3))

Accident register - ☐ Register with required fields, each accident kept 3 years (390.15(b)); keep it set up even with no entries (best practice)

Run a mock audit

Pick any driver and any 30-day stretch. Can you pull up their full DQ file, their logs and supporting documents, the DVIRs and maintenance records for the truck they drove, and proof they were in the random pool, all within minutes? If so, you're in good shape.

If you fail

Things that trigger an expedited audit (385.308)

FMCSA can audit you early for things like using a driver without a valid CDL, running an out-of-service vehicle, a positive or refused test, operating without insurance, or an out-of-service rate of 50% or more with at least 3 inspections in 90 days.

Get audit-ready faster

The Carrier Launch Kit New Authority: First 90 Days kit has this checklist as a printable PDF, the full binder tab layout, and an Excel workbook that flags expiring medical cards, annual inspections and other deadlines. Get the kit → · Free First 30 Days Checklist

FAQ

How many automatic-failure items are there? There are 16, listed in the table to 49 CFR 385.321.

Is the new entrant safety audit done in person? FMCSA says it usually happens at your principal place of business. Follow the instructions in your FMCSA notice, including any document-upload steps.

How long do I have to fix things after failing? Property carriers have 60 days from the notice date (385.319(c)). Otherwise the out-of-service order takes effect on day 61.

Can I be audited before 12 months? Yes. Expedited-audit triggers in 385.308 can move it up.

Do I need an accident register if I've had no accidents? The rule requires a register of accidents; with none, there's nothing to list, but keeping an empty register ready is good practice because auditors review this area (385.311(d)).

Educational only, not legal advice. Passing an audit isn't guaranteed. Carrier Launch Kit is not affiliated with FMCSA or USDOT.

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Educational only, not legal advice. Affiliate disclosure.