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New Entrant Safety Audit checklist: what the auditor will ask for

New interstate carriers are in an 18-month New Entrant monitoring period, and FMCSA generally conducts a safety audit within the first 12 months of operations (49 CFR 385.308). The audit itself is free. Many are done remotely, so expect to upload records. Here is what to have ready, by area.

1. Drug and alcohol (49 CFR Parts 40 and 382)

• Proof you are enrolled in a testing program with a random pool (consortium/C-TPA certificate if you use one).
• A negative pre-employment drug test for every CDL driver before they drove.
• Clearinghouse registration, pre-employment full queries and annual limited queries.
• Your written drug and alcohol policy, with driver receipts, and supervisor reasonable-suspicion training records.

2. Driver qualification files (49 CFR 391)

• Employment application, motor vehicle record (MVR) from each state, road test or CDL equivalent.
• Valid medical examiner's certificate and National Registry verification.
• Previous-employer safety performance inquiries and annual MVR review.

3. Hours of service (49 CFR 395)

• Records of duty status (ELD records or logs) and supporting documents, usually for a sample of recent months.
• ELD registration and the driver's ELD instruction materials.

4. Vehicles (49 CFR 396)

• A maintenance file for each power unit and trailer you control.
• Annual inspection reports, driver vehicle inspection reports (DVIRs) with repairs certified, and roadside inspection reports.

5. Insurance and accidents

• Proof of required financial responsibility kept at your place of business (49 CFR 387.7).
• An accident register, even if you've had no accidents (49 CFR 390.15).

Automatic failures

49 CFR 385.321 lists 16 violations that mean an automatic audit failure, such as using a driver without a valid CDL or medical certificate, not having a drug and alcohol testing program, or operating a vehicle declared out of service. Read the list and fix anything that applies before your audit. If you fail, you get written notice and a set time to submit a corrective action plan (see 49 CFR 385.319 and 49 CFR 385.325).

Want this as a ready-to-use binder? Our $149 Audit-Prep Kit adds templates and a 4-week prep plan. It's education, not a guarantee, and the free first-year checklist covers everything else.

Questions

Does the New Entrant Safety Audit cost anything?

No. FMCSA does not charge for the audit. Be careful of companies that suggest otherwise.

When will my audit happen?

FMCSA generally conducts it within the first 12 months after you begin interstate operations, during an 18-month monitoring period.

Official sources

• FMCSA: New Entrant Safety Assurance Program
• 49 CFR Part 385 Subpart D
• 49 CFR 385.321 (automatic failures)

Last reviewed October 16, 2026. DOT Due Dates is an independent private service. It is not affiliated with, endorsed by, or operated by FMCSA, the U.S. Department of Transportation, the IRS, the UCR Plan, IFTA, Inc., or any state agency. Information is for general reminders only and is not legal or tax advice. Always confirm requirements and due dates with the agency. We do not file anything for you, and all of these filings can be done directly with the agencies.