Passing the new entrant safety audit

When it happens

The audit usually comes after you’ve operated at least a few months and within your first 12 months. Most are now done remotely: you upload records instead of hosting an investigator.

What FMCSA reviews

• Driver qualification files
• Hours-of-service records
• Vehicle inspection, repair and maintenance records
• Your accident register
• Drug and alcohol testing program
• Proof of required insurance

Automatic failures (49 CFR 385.321)

Any one of these fails the audit. The most common for small carriers:

• No drug and alcohol testing program, or no random testing
• Using a driver who tested positive or refused a test
• Using a driver without a valid CDL, or one who is disqualified or medically unqualified
• Not having the required insurance
• No hours-of-service records for 51% or more of the records checked
• Operating a vehicle placed out of service, or not fixing out-of-service defects
• No annual inspection for 51% or more of the vehicles checked

If you fail

FMCSA gives you a deadline to submit a corrective action plan, and revocation follows if you don’t fix it. If you want a review decided before revocation, file within 15 days; the outer limit for a review request is 90 days.

Why brokers care

A failed audit, a Conditional rating or a revocation shows up on your FMCSA record and blocks most brokers. Passing quietly keeps you Unrated, which most brokers accept. See what brokers accept by safety rating.

Related guides

• Conditional safety rating: what it costs you and how to fix it
• Carrier packet checklist
• Why your carrier setup got rejected
• Carrier requirements for the top brokers

This guide is general information, not legal or insurance advice.