New entrant safety audit: the 16 automatic-fail violations explained

Updated 11 October 2026 · 5 min read

Every new US motor carrier goes through a new entrant safety audit. Most findings can be fixed with a corrective action plan, but sixteen violations, listed in 49 CFR 385.321(b), mean an automatic fail. Here they are in plain English, with what an auditor will want to see so you can prove you're clean.

How the new entrant program works

• 18 months of monitoring. Once you start operating, you are a "new entrant" for 18 months. FMCSA watches your roadside inspections during that time (49 CFR 385.307).
• The audit comes once you have records. FMCSA conducts the safety audit once you've operated long enough to have records worth reviewing, which the rule says will generally be at least 3 months (385.307(b)). Everything required for the audit must be available on request (385.307(c)).
• Some events speed it up. An expedited audit or compliance review can follow events such as using a driver without a valid CDL, operating a vehicle that was placed out of service without fixing it, a positive drug or alcohol test or a refusal, operating without the required insurance, or an out-of-service rate of 50% or more across at least three inspections within 90 days (385.308).

A failed audit isn't the end, if you act fast. FMCSA must send written notice no later than 45 days after the audit. Most new entrants then have 60 days from the notice date to fix the problems; passenger carriers and certain hazmat carriers get 45 days (385.319(c)). If you don't send acceptable proof of corrective action in time, your new entrant registration is revoked and an out-of-service order takes effect on day 61 (or day 46) from the notice date (385.325).

The 16 automatic-fail violations

The table in 385.321(b) has 16 rows. Fourteen fail on a single occurrence. Two, marked below, need a pattern: violations in 51% or more of the records examined.

Drug and alcohol testing (Part 382)

1. No drug and alcohol testing program (382.115(a) for domestic carriers, 382.115(b) for foreign carriers). Proof: your enrollment with a consortium or third-party administrator, your written policy, and pre-employment results.
2. Using a driver known to have an alcohol concentration of 0.04 or greater to perform a safety-sensitive function (382.201).
3. Using a driver who refused a required test (382.211).
4. Using a driver known to have tested positive for a controlled substance (382.215).
5. No random testing program (382.305). Proof: the driver is in a random pool, and selections and tests are documented.

Part 382 applies to drivers who need a CDL and to their employers (382.103(a)). An owner-operator who employs only themselves must meet both the employer and the driver requirements, and must be in a random testing pool of two or more covered drivers (382.103(b)). In practice that means joining a consortium, so a one-truck company needs a program too.

Licensing and driver qualification (Parts 383 and 391)

6. Knowingly using a driver without a valid CDL (383.3(a) / 383.23(a)).
7. Knowingly using a driver whose CDL or learner's permit is disqualified by a State, who has lost the right to operate a CMV in a State, or who is otherwise disqualified (383.37(b)).
8. Knowingly letting a disqualified driver drive a CMV as defined in 383.5 (383.51(a)).
9. Operating without the required minimum insurance (387.7(a)). Proof: the policy and the filing, with dates that cover every day you operated.
10. Operating a passenger vehicle without the required minimum insurance (387.31(a)).
11. Knowingly using a disqualified driver (391.15(a)).
12. Knowingly using a physically unqualified driver (391.11(b)(4)): a driver who isn't physically qualified under the medical standards in Part 391, Subpart E, for a CMV as defined in 390.5. Proof: a current medical examiner's certificate (or the CDLIS record showing medical status) in each driver's qualification file.

Proof for rows 6 to 8 and 11: each driver's qualification file, with license copies and motor vehicle records. Under 391.25, you must get and review each driver's record at least once every 12 months, and keep a note of who reviewed it and when.

Hours of service (Part 395)

13. Failing to require a record of duty status (395.8(a)). Pattern rule: 51% or more of examined records. Proof: ELD records (or paper logs where allowed) for every driver and day, and supporting documents. Records of duty status and supporting documents must be kept for at least 6 months (395.8(k)).

Vehicle maintenance (Part 396)

14. Operating a vehicle declared out of service before it was repaired (396.9(c)(2)). Proof: repair records dated before the vehicle moved again.
15. Not fixing out-of-service defects listed on a driver vehicle inspection report before the vehicle is operated (396.11(a)(3)). Proof: the DVIR, the certification of repairs and the driver's review. Keep them for three months (396.11).
16. Using a CMV that hasn't had its periodic (annual) inspection (396.17(a)). Pattern rule: 51% or more of examined records. Proof: an inspection within the preceding 12 months for each vehicle, including each trailer, with documentation on the vehicle (396.17(c)).

The 16 aren't the only way to fail

Section 385.321(a) also says an audit is failed when a carrier lacks basic safety management controls as described in Appendix A to Part 385. So passing all 16 checks is necessary, not sufficient. Auditors look at your general recordkeeping too.

A practical prep plan

1. Week one: enroll in a drug and alcohol consortium or TPA if any truck needs a CDL, and get a negative pre-employment drug test result before anyone drives (382.301).
2. Build a qualification file for every driver, including yourself if you drive. Add the license, medical certificate and motor vehicle record.
3. Keep insurance continuous. A lapse of even one day you operated is a single-occurrence failure.
4. Get every truck and trailer an annual inspection and keep the report on the vehicle.
5. Close the loop on every DVIR defect: repair, sign, file.
6. Answer the "Not sure" questions now. If you can't find the document today, the auditor can't either.