What the auditor checks
The new entrant audit asks one question: do you have the basic safety management controls the rules require? The auditor reads your records in six areas.
- Driver qualification. A file for every driver, in the order 49 CFR 391.51 lists it: application, driving record, road test or CDL, medical certificate.
- Drug and alcohol testing. A program, a random pool and a negative pre-employment test before anyone drives (49 CFR 382.301).
- Hours of service. Records of duty status for every driver who needs them (49 CFR 395.8).
- Vehicle maintenance. An annual inspection for every truck (49 CFR 396.17) and repairs on file.
- Insurance. The filing FMCSA holds for your USDOT at the required minimum (49 CFR 387.7).
- Accidents. An accident register, even if it is empty (49 CFR 390.15).
The 16 automatic failures
Any one of these fails the audit (49 CFR 385.321(b)). Two of them count only when found in 51% or more of the records checked.
| Rule | In plain words | Fails on |
|---|---|---|
| 382.115(a) or (b) | No drug and alcohol testing program | One occurrence |
| 382.201 | Using a driver known to have an alcohol concentration of 0.04 or more | One occurrence |
| 382.211 | Using a driver who refused a required test | One occurrence |
| 382.215 | Using a driver known to have tested positive for a controlled substance | One occurrence |
| 382.305 | No random testing program | One occurrence |
| 383.3(a) or 383.23(a) | Knowingly using a driver without a valid CDL | One occurrence |
| 383.37(b) | A driver with a suspended, revoked or canceled CDL behind the wheel | One occurrence |
| 383.51(a) | Knowingly letting a disqualified driver drive | One occurrence |
| 387.7(a) | Operating without the required insurance | One occurrence |
| 387.31(a) | A passenger vehicle without the required insurance | One occurrence |
| 391.15(a) | Knowingly using a disqualified driver | One occurrence |
| 391.11(b)(4) | Knowingly using a physically unqualified driver | One occurrence |
| 395.8(a) | Not requiring drivers to keep a record of duty status | 51% or more of records checked |
| 396.9(c)(2) | Moving a truck declared out of service before it is repaired | One occurrence |
| 396.11(a)(3) | Driving a truck before its out-of-service defects are fixed | One occurrence |
| 396.17(a) | A truck with no periodic (annual) inspection | 51% or more of records checked |
Not on the list: 395.8(e), false logs, and 391.45, medical certification. They are still violations. On their own, they do not fail the audit.
The checklist: what to have on file
- A drug and alcohol program: your consortium agreement, your policy and every driver in the random pool.
- A negative pre-employment drug test for every driver, dated before the first drive.
- A pre-employment Clearinghouse query for every driver, and the annual query after that.
- Each driver's file: application, driving record from every state, road test or CDL copy, current medical certificate.
- Logs or ELD records for every driver, for the last six months.
- A current annual inspection report for every truck and trailer you run.
- Driver inspection reports, with every out-of-service defect fixed before the truck moved again.
- Your insurance filing active on your FMCSA record.
- An accident register.
How to pass
Work the automatic failures first, because one of them ends the audit. Then close the rest of the checklist. Answer by the date on your notice, and send what the notice asks for, organized the way it asks.
If you fail, the notice lists what to fix. You have 60 days from its date, or 45 for passenger and placardable hazmat carriers (49 CFR 385.319(c)). Send evidence of every correction before that date.
Got the notice already? Read what to do with the audit letter.
Sources
Checked Written by Chad Griffith
- 49 CFR 385.307, the new entrant monitoring period, eCFR. Title 49 current as of October 19, 2026
- 49 CFR 385.308, expedited action, eCFR
- 49 CFR 385.319, the audit result and the time to correct, eCFR
- 49 CFR 385.321, the automatic failures, eCFR
- 49 U.S.C. 31144(g), the safety review within 12 months, Cornell LII
- 49 CFR 382.301, 391.51, 395.8, 396.17, eCFR
Questions
When does the new entrant safety audit happen?
Within the first 12 months of interstate operation (49 U.S.C. 31144(g)), once the carrier has run long enough to have records, which FMCSA says is generally at least 3 months (49 CFR 385.307). The carrier stays in the new entrant program for 18 months.
What are the automatic failures?
Sixteen violations listed in 49 CFR 385.321(b). Fourteen fail the audit on one occurrence, such as no drug and alcohol testing program, a driver without a valid CDL or no insurance. Two, no record of duty status (395.8(a)) and no annual inspection (396.17(a)), fail it when found in 51% or more of the records checked.
Are false logs or a missing medical card automatic failures?
No. 395.8(e) (false logs) and 391.45 (medical certification) are not on the 385.321(b) list. They still count as violations, but on their own they do not fail the new entrant audit.
What happens if I fail?
FMCSA sends a notice, and you have 60 days from the date of the notice to correct the problems, or 45 days for passenger carriers and placardable hazmat carriers (49 CFR 385.319(c)). If you do not, your new entrant registration is revoked and your operations are placed out of service.
Is the audit done at my office?
Often not. Many new entrant audits are done offsite: the notice lists the records and the date they are due, and you upload them. The date printed on your notice is the one that counts.
What does it cost to get ready?
Audit coaching in the market runs about $350 to $750 once (AIST, as published September 2026). The FileFlo Audit-Ready Setup is $499 : FileFlo builds your gap report, every driver file and the audit packet from your USDOT number and the records you send, with 30 days of Core included. After your 30 included days, Core continues at $199 a month (Fleet, $399, for 16 to 50 trucks) on the same card unless you cancel. We email you 7 days and 1 day before the first charge, and one click in either email cancels it.