The 16 violations that automatically fail an FMCSA new entrant safety audit

A new carrier fails its FMCSA safety audit automatically if the auditor finds any one of 16 specific violations. Each page below explains one of them in plain English, with the regulation text, the records involved and how to fix it.

How the new entrant program works

A new US motor carrier is a "new entrant" and is monitored for 18 months. During that period FMCSA conducts a safety audit once the carrier has been operating long enough to have records to review, which the rule says will generally be at least 3 months, and the carrier must make all required records available to the certified auditor on request (49 CFR 385.307).

A carrier can fail in two ways: a general lack of basic safety management controls (judged under Appendix A to Part 385), or a violation of any one of 16 regulations listed in 49 CFR 385.321(b). Those 16 fail the audit automatically. Fourteen fail on a single occurrence; two (hours-of-service records and periodic inspections) fail only when 51% or more of the examined records are in violation (49 CFR 385.321).

What happens after a failed audit

FMCSA sends written notice no later than 45 days after the audit. Most carriers then have 60 days from the date of the notice to take the corrective actions it lists; passenger carriers (9 or more passengers including the driver, for compensation, or more than 15) and certain hazmat carriers have 45 days (49 CFR 385.319). FMCSA may extend the 60-day period by up to 60 more days for a carrier making a good-faith effort, and the 45-day period by up to 10 days in limited cases (49 CFR 385.323). Without an accepted response, registration is revoked and an out-of-service order takes effect on day 61 or day 46 from the notice date, and the carrier may not operate in interstate commerce (49 CFR 385.325).

Rows 1 to 8 apply to drivers who need a CDL (and their employers). Row 10 applies only to passenger carriers. The rest apply to most interstate carriers. Row 1 covers two paragraphs, one for US carriers and one for foreign-domiciled carriers; only one of them applies to any carrier.

Drug and alcohol testing (Part 382)

Row 1: No drug and alcohol testing program (49 CFR 382.115)Row 1 · §382.115(a)/(b) · single occurrence Row 2: Using a driver with an alcohol concentration of 0.04 or greater (49 CFR 382.201)Row 2 · §382.201 · single occurrence Row 3: Using a driver who refused a required drug or alcohol test (49 CFR 382.211)Row 3 · §382.211 · single occurrence Row 4: Using a driver known to have tested positive for drugs (49 CFR 382.215)Row 4 · §382.215 · single occurrence Row 5: No random drug and alcohol testing program (49 CFR 382.305)Row 5 · §382.305 · single occurrence

Commercial driver's license (Part 383)

Row 6: Knowingly using a driver without a valid CDL (49 CFR 383.3(a) / 383.23(a))Row 6 · §383.3(a)/§383.23(a) · single occurrence Row 7: Using a driver whose CDL or CLP is disqualified, or who lost the right to drive a CMV (49 CFR 383.37(b))Row 7 · §383.37(b) · single occurrence Row 8: Letting a driver disqualified under the CDL rules drive (49 CFR 383.51(a))Row 8 · §383.51(a) · single occurrence

Insurance (Part 387)

Row 9: Operating without required minimum insurance (49 CFR 387.7(a))Row 9 · §387.7(a) · single occurrence Row 10: Operating a passenger vehicle without required minimum insurance (49 CFR 387.31(a))Row 10 · §387.31(a) · single occurrence

Driver qualification (Part 391)

Row 11: Knowingly using a disqualified driver (49 CFR 391.15(a))Row 11 · §391.15(a) · single occurrence Row 12: Knowingly using a physically unqualified driver (49 CFR 391.11(b)(4))Row 12 · §391.11(b)(4) · single occurrence

Hours of service and maintenance (Parts 395 and 396)

Row 13: Failing to require a record of duty status (49 CFR 395.8(a))Row 13 · §395.8(a) · 51% or more of records Row 14: Operating a vehicle declared out of service before repairs (49 CFR 396.9(c)(2))Row 14 · §396.9(c)(2) · single occurrence Row 15: Not fixing out-of-service defects on a driver vehicle inspection report (49 CFR 396.11(a)(3))Row 15 · §396.11(a)(3) · single occurrence Row 16: Using a CMV not periodically inspected (49 CFR 396.17(a))Row 16 · §396.17(a) · 51% or more of records

Row numbers follow the official table in 49 CFR 385.321(b). The table was checked against the eCFR (Title 49 up to date as of October 7, 2026). Regulations change; recheck before relying on this list.

Not legal advice. This page explains public rules and common contract terms in plain English; it is not a substitute for reading your own documents or asking a qualified professional. Rules change, so check the official source.