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New entrant safety audit checklist

Print this and go through it before your audit notice arrives. Part 1 covers the 16 violations that fail the audit automatically. Part 2 lists the records the auditor will ask for.

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Part 1 — The 16 automatic-failure violations

Under 49 CFR 385.321, finding any of these fails the new entrant safety audit. Most fail on a single occurrence; two fail when found in 51% or more of the records checked.

Drug and alcohol testing

  • You have a DOT drug and alcohol testing program in place.49 CFR 382.115(a) · Fails on 1 occurrence
  • No driver with an alcohol concentration of 0.04 or higher was allowed to drive.49 CFR 382.201 · Fails on 1 occurrence
  • No driver who refused a required test was allowed to drive.49 CFR 382.211 · Fails on 1 occurrence
  • No driver who tested positive was allowed to drive.49 CFR 382.215 · Fails on 1 occurrence
  • Every CDL driver, including you, is in a random testing program.49 CFR 382.305 · Fails on 1 occurrence

CDL and driver qualification

  • Every driver holds a valid CDL of the right class.49 CFR 383.3(a) / 383.23(a) · Fails on 1 occurrence
  • No driver with a disqualified CLP or CDL is driving.49 CFR 383.37(b) · Fails on 1 occurrence
  • No disqualified driver is driving.49 CFR 383.51(a) · Fails on 1 occurrence
  • You have not knowingly used a disqualified driver.49 CFR 391.15(a) · Fails on 1 occurrence
  • Every driver is physically qualified, with a current medical certificate.49 CFR 391.11(b)(4) · Fails on 1 occurrence

Hours of service

  • Every driver keeps a record of duty status (ELD or another allowed method) unless truly exempt.49 CFR 395.8(a) · Fails at 51% of records

Vehicles

  • No vehicle placed out of service moved before it was repaired.49 CFR 396.9(c)(2) · Fails on 1 occurrence
  • Out-of-service defects reported on a DVIR were fixed before the vehicle ran again.49 CFR 396.11(a)(3) · Fails on 1 occurrence
  • Every truck and trailer has a periodic (annual) inspection from the last 12 months.49 CFR 396.17(a) · Fails at 51% of records

Insurance

  • Your insurance is active at the required limit, with no lapses.49 CFR 387.7(a) · Fails on 1 occurrence
  • Passenger carriers only: the required passenger coverage is in force.49 CFR 387.31(a) · Fails on 1 occurrence

Part 2 — Documents to have ready

Have each item ready for every driver and every vehicle you have used.

Company

  • USDOT number details
  • MC authority (if for-hire)
  • Current MCS-150 information
  • BOC-3 (if for-hire)

Insurance

  • Current policy and proof of required coverage at your principal place of business

Drivers

  • Complete DQ file for each driver
  • Application, MVRs and road test (or equivalent)
  • Medical certificate
  • Previous employer checks

Drug and alcohol

  • Consortium enrollment
  • Written policy and signed receipts
  • Pre-employment test results
  • Random selection records and any post-accident tests
  • Clearinghouse registration and queries

Hours of service

  • Records of duty status (ELD data or logs) for each driver
  • Supporting documents
  • ELD account information

Vehicles

  • List of all trucks and trailers
  • Maintenance file for each vehicle
  • Periodic inspection reports
  • DVIRs and repair records
  • Roadside inspection reports and proof of repairs

Accidents

  • Accident register
  • Any accident reports required by states or insurers

Hazmat (if applicable)

  • Hazmat registration
  • Shipping papers
  • Training records and other hazmat records

Never backdate records

If you find gaps, fix them now — but don't backdate anything. Creating records after the fact and passing them off as original is a far bigger problem than the original gap.

Based on 49 CFR 385.321 and the documents FMCSA auditors review. General information, not legal advice; confirm details with FMCSA.

Read the full guide to the 16 violations →
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