Guide · Safety audit

New-entrant safety audit checklist

Rules checked on October 14, 2026: 49 CFR 385.307 and FMCSA's New Entrant Safety Assurance Program page.

The basics

• 18 months of monitoring. FMCSA monitors every new interstate carrier for the first 18 months.
• Audit within 12 months. FMCSA says the safety audit happens within 12 months after you start operating. The rule says it generally comes after at least 3 months of operation, so you have records to review.
• Where: usually at your principal place of business. You must make the required records available when asked.

Records to have ready

• A driver qualification file for every driver, including yourself if you drive. (See our DQ file checklist.)
• Drug and alcohol testing program, including random testing: consortium enrollment, policy, pre-employment results and Clearinghouse queries.
• Hours-of-service records (ELD data or logs) for each driver.
• Vehicle maintenance, periodic inspection and driver-vehicle inspection report (DVIR) records for each truck, with repairs documented.
• Proof of the required level of insurance.

Violations that fail the audit automatically

FMCSA lists these as automatic failures:

• Drug and alcohol: no testing program; no random testing program; using a driver who refused a required test; using a driver you know had a 0.04+ alcohol result; using a driver who hasn't finished follow-up after a positive test.
• Drivers (knowingly using): a driver without a valid CDL; a disqualified driver; a driver whose CDL is revoked, suspended or cancelled; a medically unqualified driver.
• Operations: operating without the required level of insurance; not requiring drivers to make hours-of-service records.
• Repairs and inspections: operating a vehicle placed out of service before it's repaired; not making out-of-service repairs listed on DVIRs; operating a CMV that hasn't been periodically inspected.

If you fail

FMCSA says you must put a corrective action in place. If you don't, FMCSA revokes your USDOT registration.