The audit timeline
Under 49 USC 31144(g)(1), FMCSA must conduct a safety audit of each new motor carrier not later than 12 months after it begins operations under its new registration (120 days for passenger carriers). Under 49 CFR §385.307, new entrants are monitored for 18 months, and the audit generally comes once the carrier has at least 3 months of records. The audit checks whether the carrier has implemented the management systems and recordkeeping required by the Federal Motor Carrier Safety Regulations (FMCSRs).
The audit can be conducted on-site or remotely. The carrier receives a notification with a document request list and a return-by date. A new entrant that refuses to permit the audit will have its registration revoked and its operations placed out of service unless it agrees in writing within 10 days of the notice (49 CFR §385.337).
What auditors review
Auditors review these record areas (49 CFR Part 385, Appendix A groups them into six factors: general, driver, operational, vehicle, hazardous materials, and accident): (1) Driver qualification files under 49 CFR Part 391 - license, MVR, medical card, application, road test record, annual review. (2) Drug & alcohol program under 49 CFR Part 382 - pre-employment, random, post-accident, return-to-duty records. (3) Hours-of-service records under 49 CFR Part 395 - ELD records and supporting documents, which carriers must keep for 6 months (§395.8(k)). (4) Vehicle inspection / maintenance records under 49 CFR Part 396 - annual inspections, DVIRs, maintenance logs.
(5) Accident register under 49 CFR §390.15(b) - every DOT-recordable accident, each entry kept 3 years after the accident. (6) Financial responsibility - current BMC-91 or BMC-91X insurance. (7) Hazmat program (if applicable) under 49 CFR Parts 171, 172, 177, 180 and 397 - driver training, security plan, package verification.
Common failure modes
Common new-entrant audit gaps include missing pre-employment Clearinghouse queries, incomplete driver application forms, missing annual MVR pulls, and gaps in ELD records (typically from driver turnover with no archival of departed-driver logs).
Carriers who fail the new-entrant audit receive written notice (within 45 days after the audit) and must complete the specified corrective actions within 60 days of the notice - 45 days for passenger carriers and placardable hazmat carriers (§385.319(c)). If they do not, FMCSA revokes the new entrant registration and issues an out-of-service order (§385.325). The audit is typically not a snap-failure for organized carriers - most failures stem from unfamiliarity with the document request list, not from substantive non-compliance.