FMCSA new entrant safety audit: the 16 automatic-fail rules
49 CFR 385.321(b) · checked against eCFR, Oct 2026Company:USDOT #:Checked by / date:
| # | Automatic-fail violation, and the proof to have on file | Rule | OK |
|---|---|---|---|
| Drug and alcohol testing (if any vehicle needs a CDL) | |||
| 1 | No drug and alcohol testing program in place Consortium / TPA enrollment, written policy, pre-employment results | 382.115(a) / (b) | |
| 2 | Using a driver known to have an alcohol content of 0.04 or greater for safety-sensitive work | 382.201 | |
| 3 | Using a driver who refused a required alcohol or drug test | 382.211 | |
| 4 | Using a driver known to have tested positive for a controlled substance | 382.215 | |
| 5 | No random drug and alcohol testing program Driver listed in a random pool; selections and tests documented | 382.305 | |
| Licenses and insurance | |||
| 6 | Knowingly using a driver without a valid CDL | 383.3(a) / 383.23(a) | |
| 7 | Knowingly letting someone drive whose CLP or CDL is disqualified by a State, who lost the right to drive a CMV in a State, or who is disqualified | 383.37(b) | |
| 8 | Knowingly letting a disqualified driver drive a CMV (as defined in 383.5) Rows 6 to 8 and 11: license copy and motor vehicle record in each driver file | 383.51(a) | |
| 9 | Operating without the required minimum insurance (financial responsibility) Policy and filing covering every day you operated | 387.7(a) | |
| 10 | Operating a passenger vehicle without the required minimum insurance (passenger carriers only) | 387.31(a) | |
| Driver qualification | |||
| 11 | Knowingly using a disqualified driver | 391.15(a) | |
| 12 | Knowingly using a physically unqualified driver (CMV as defined in 390.5) Current medical examiner's certificate in each driver file | 391.11(b)(4) | |
| Hours of service and maintenance | |||
| 13 | Not requiring drivers to make a record of duty status Fails at 51% or more of examined records. ELD records or logs for every driver and day, plus supporting documents | 395.8(a) | |
| 14 | Operating a vehicle declared out of service before it is repaired Repair records dated before the vehicle moved again | 396.9(c)(2) | |
| 15 | Not fixing out-of-service defects a driver listed on a DVIR before the vehicle is operated DVIR, certification of repair, driver's review | 396.11(a)(3) | |
| 16 | Using a CMV not periodically (annually) inspected Fails at 51% or more of examined records. Inspection within the last 12 months for each truck and trailer | 396.17(a) | |
Rows 1 to 12, 14 and 15 fail on a single occurrence. If the audit fails, FMCSA sends written notice within 45 days; most carriers then have 60 days from the notice date to show corrective action (45 days for certain passenger carriers and others listed in 385.319(c)), or registration is revoked and an out-of-service order takes effect on day 61 (or 46) (385.319, 385.325). Passing these 16 is necessary, not sufficient: an audit can also fail for inadequate basic safety management controls (385.321(a)). Source: 49 CFR 385.321(b), eCFR text up to date as of Oct 8, 2026. Not legal advice; rules change, so confirm at ecfr.gov. Free from quickwell.app/audit-kit/