Every new interstate trucking company gets a new entrant safety audit. FMCSA places you in its New Entrant Safety Assurance Program for your first 18 months, and federal law calls for a safety audit within your first 12 months of operation. The audit is a review of your records. Sixteen specific violations fail you automatically, and almost all of them come down to drug and alcohol testing, driver qualification, insurance, hours-of-service records and vehicle inspections.
Most new carriers who fail don't fail because they're unsafe drivers. They fail because the paperwork that proves they're safe isn't there.
What is the new entrant safety audit?
When you get a USDOT number for interstate work, you become a new entrant. FMCSA monitors your operation for 18 months (49 CFR 385.307). The safety audit generally comes after you've run long enough to build records, and federal law requires it within 12 months of starting operations (49 U.S.C. 31144(g)). It may be done at your office or remotely, with you sending records in.
The auditor wants to see that you control your drivers and your equipment on paper, not only on the road.
The 16 violations that fail a new entrant safety audit
FMCSA lists violations that fail an audit by themselves, no matter how good the rest of your records are (49 CFR 385.321). In plain words, they are:
Drug and alcohol testing
- No drug and alcohol testing program.
- No random testing program.
- Using a driver who tested positive, refused a test, or tested at 0.04 alcohol or higher, before they completed the return-to-duty process.
Driver licensing and qualification
- Using a driver without a valid CDL.
- Using a driver whose CDL is disqualified.
- Using a disqualified driver.
- Using a driver who isn't medically qualified.
Insurance
- Operating without the required insurance.
Hours of service
- Failing to require drivers to keep records of duty status, found in 51% or more of the records checked.
Vehicles
- Operating a vehicle that was placed out of service before it was repaired.
- Not correcting out-of-service defects listed on an inspection report.
- No periodic (annual) inspection, found in 51% or more of the vehicles checked.
The records to have ready
Build these from the day your authority goes active, not the week before the audit:
- Drug and alcohol program: consortium enrollment, pre-employment test result before the first load, random selection records, and Clearinghouse queries. You need a full pre-employment query for every driver and at least one query a year for each (49 CFR 382.701). An owner-operator not leased to a carrier must belong to a consortium.
- Driver qualification files for every driver, including you: application, motor vehicle records, previous employer checks, medical certificate, road test or CDL, and the yearly review. See driver qualification files.
- Hours-of-service records: ELD records and supporting documents, and an ELD from FMCSA's registered list. See hours of service and ELD.
- Vehicle maintenance files: inspection, repair and maintenance records for each truck and trailer, and a current annual inspection. See vehicle maintenance files.
- Insurance: proof of your filing and current policy.
- Accident register, even if it's empty.
How to prepare for the safety audit
- Run a mock audit against the 16 automatic-failure violations before FMCSA does. See our DOT mock audit.
- Fix the practice, not just the paper. If random testing wasn't happening, start it now and document it.
- Keep everything organized and dated so you can send it quickly if the audit is done remotely.
- Watch your roadside inspections. Too many out-of-service violations early can bring an expedited audit.
What happens if you fail the new entrant safety audit?
A failed audit is serious, but it comes with a deadline you can work with. FMCSA sends written notice within 45 days of the audit. Most property carriers then have 60 days from the notice to correct the practices and show proof. Hazmat carriers and certain passenger carriers have 45 days. If you don't correct in time, your new entrant registration is revoked and your operations are placed out of service (49 CFR Part 385, Subpart D).
Why this audit matters so much
In 2012, Congress directed FMCSA to require new carriers to pass a proficiency exam before getting authority. That exam was never built, and FMCSA is still working on a new rule for it. Today, the safety audit is the main check on whether a new carrier knows the rules, and it comes after you've already been running. That's the gap we see every week: people who can drive a truck well, but were never taught how to run a compliant trucking company.
How LFS helps
We are a carrier-first company. LFS reviews your records against the 16 automatic-failure violations before your audit and helps correct the problems if an audit fails. See new entrant safety audit preparation. Starting out? Read how to start a trucking company with one truck.
Sources
- 49 CFR Part 385, Subpart D: New Entrant Safety Assurance Program
- 49 U.S.C. 31144: Safety fitness of owners and operators
- FMCSA: New Entrant Safety Assurance Program
- 49 CFR Part 382: Drug and alcohol testing, including 382.701
- Reginfo.gov: New Entrant Safety Assurance Process rulemaking (RIN 2126-AB17)
Questions and answers
When does the new entrant safety audit happen?
FMCSA monitors new interstate carriers for 18 months. The audit generally comes after you've run long enough to build records, and federal law requires it within 12 months of starting operations.
What automatically fails a new entrant safety audit?
Sixteen violations in 49 CFR 385.321 fail an audit by themselves. They include having no drug and alcohol or random testing program, using a driver without a valid CDL or medical qualification, operating without insurance, not requiring logs, and running a vehicle without an annual inspection.
What happens if I fail the new entrant safety audit?
FMCSA sends written notice within 45 days. Most property carriers have 60 days from the notice to correct the practices (45 days for hazmat and certain passenger carriers), or the registration is revoked and operations are placed out of service.
Can the new entrant audit be done remotely?
Yes. FMCSA may do the audit at your place of business or ask you to send records in. Keep your files organized and dated so you can respond quickly either way.
Logistical Forwarding Solutions. A carrier-first company.
