FMCSA New Entrant Safety Audit: How to Prepare and Pass

94% of safety audits find violations — and most carriers pass anyway

That number scares new carriers more than anything else. Here is the context that makes it less alarming.

From the 2024 audit data: 94% had some violation. 55% had acute or critical violations. But only 24% resulted in fines. Only 5% received Unsatisfactory ratings. The average carrier walked away without paying a dollar.

The audit is thorough enough to find minor issues in nearly every operation. Having minor issues is normal. The question is whether the auditor finds a missing signature (fixable in 5 minutes) or a complete absence of a drug testing program (automatic failure).

The carriers in the 5% Unsatisfactory group did not prepare at all. They had no drug testing program, no maintenance records, no DQ file. For everyone else, the audit is a formality with a few corrections.

The audit examines six areas and has three possible outcomes

49 CFR Part 385, Subpart D governs the new entrant safety assurance program. The auditor checks six compliance areas defined in 49 CFR 385.311.

2024 distribution: 35% Satisfactory, 27% Conditional, 5% Unsatisfactory, 33% no rating change.

The audit arrives between months 9 and 12. Be ready from day one.

You do not schedule this. FMCSA or a state DOT partner contacts you by phone, email, or letter.

Most audits happen months 9-12. Some states push to 15-18 months. Early triggers: a DOT-reportable crash, a complaint filed against you, or serious roadside violations.

Audits run in-person, online, or by phone depending on state and auditor. Same six areas regardless of format. For a one-truck operation, in-person takes 2-4 hours.

These violations trigger automatic failure

Most violations are correctable. The auditor explains what to fix and gives you a deadline. These are different. These end the conversation.

No drug and alcohol testing program at all. Not incomplete — nonexistent. Never enrolled in a consortium. Never had a test. This tells the auditor you either do not know about the requirement or deliberately ignored it.

No random testing program. Consortium exists on paper but no selections have been made, no tests conducted.

Using a driver who refused a required test. Refusal equals immediate disqualification. Allowing them to continue driving is a serious safety violation.

Using a driver without a valid CDL. Expired, revoked, wrong class, or no CDL at all.

Operating without required insurance. BMC-91 withdrawn because your policy lapsed and you continued operating.

No Clearinghouse registration or queries. Failing to register as employer and run required pre-employment and annual queries.

What actually happens during the audit

Before: The auditor contacts you to schedule. They may list the documents they want. You get at least a few days’ notice. Use that time to organize, not to create documents that should already exist.

During (in-person): They review your documents across all six areas. They interview you conversationally — can you explain your drug testing program, your HOS limits, your maintenance tracking? They may look at your truck if it is present. At the end, they walk through findings and explain corrections.

During (remote): You submit documents electronically. The auditor reviews and follows up by phone. Same six areas, same standards.

After: Written notification within 45 days per 49 CFR 385.319. Specifies your rating and identifies violations.

Multiple carriers report the auditor was professional and genuinely helpful. The tone is closer to a tax accountant reviewing your books than a police officer writing a ticket.

“The first audit is to make sure all your ducks are in a row and if anything is missing they will tell you how to correct it.”

The top 10 violations auditors find — and what they cost

Four of the top 10 are Clearinghouse failures — each carrying penalties up to $5,833 per violation. Two are maintenance documentation issues — not vehicle condition, but paperwork. Registering in the Clearinghouse takes 10 minutes. Running a query costs $1.25. Having a maintenance spreadsheet costs nothing. The maximum single penalty observed: $125,000.

Your audit preparation checklist

Driver Qualification File

• Employment application completed and signed (even on yourself)
• Copy of valid CDL with correct class and endorsements
• Current medical certificate (MCSA-5876)
• Pre-hire MVR pull
• Annual MVR review
• Road test certificate or CDL-equivalent documentation
• Certificate of violations — annual signed statement
• Previous employer verification for past 3 years
• All documents in one organized location

Drug and Alcohol Testing

• Registered as employer in Clearinghouse
• Enrolled in a drug/alcohol consortium
• Pre-employment drug test with negative result on file
• Pre-employment Clearinghouse full query completed
• Random testing program active (50% drug, 10% alcohol)
• Annual Clearinghouse limited queries completed
• Written substance abuse policy signed and on file

Hours of Service / ELD

• Compliant ELD installed and registered
• At least one month of ELD records from the past six months
• Supporting documents organized (fuel receipts, BOLs, toll receipts)

Vehicle Maintenance

• Current annual DOT inspection on each vehicle
• Maintenance tracking system in place
• Maintenance records identifying each vehicle (unit number, VIN, plate)
• DVIRs on file for past 3 months
• Evidence of defect correction

Insurance

• BMC-91 filed and active on FMCSA L&I portal
• Insurance showing active on SAFER
• No lapses in coverage

Accident Register

• Register created (even if blank)
• All DOT-reportable accidents within 3 years documented

If you fail: the corrective action process

Failing is not the end unless you were truly negligent.

1. Receive written notice listing specific violations with CFR references.
2. Develop a Corrective Action Plan. For each violation, document what you will do differently.
3. Submit within the deadline. Missing it is treated as refusal to comply.
4. FMCSA reviews. They may accept, request modifications, or reject.
5. Possible re-audit to verify corrections are real.

Authority revocation is reserved for carriers who demonstrate unwillingness or inability to comply. If you had documentation gaps and you fix them, FMCSA generally works with you. If you had no systems at all or committed deliberate fraud, revocation becomes likely.

Only 5% of audited carriers reach Unsatisfactory. Almost all of them had no compliance infrastructure whatsoever.

The audit is a formality if you build compliance into your routine

The carriers who pass without stress are the ones who were always prepared. They did not study for the audit. They maintained their files from day one.

A compliance binder (or cloud folder) organized by the six audit areas. A calendar with every recurring deadline. Daily DVIRs. Accurate ELD records. An organized drug testing file.

When the auditor asks for your DQ file, hand them a tab. When they ask for maintenance records, hand them another tab. No searching, no scrambling.

For the detailed walkthrough of compliance requirements, see our compliance overview. For how your audit results feed into your ongoing safety record, see our CSA scores guide.