The DOT Audit Auto-Fail List: 16 Violations That Fail a New Entrant Audit
FMCSA lists exactly 16 violations that fail a New Entrant Safety Audit automatically. They are in the table to 49 CFR 385.321. Find any one of them in your records and the audit fails, however tidy the rest of your files look. Here is the complete list in plain language, the proof that shows you are compliant on each one, and a 10-minute self-check. No email required to read it; a printable two-page PDF version is free on our store.
Where our wording differs from the regulation, § 385.321 controls. FMCSA also publishes a plain-language version on its New Entrant Safety Assurance Program page.
Drug and alcohol: items 1–5 (Part 382)
Five of the sixteen are about drug and alcohol testing, which is why it is the single most important area for a new CDL carrier to get right. These rules apply when your drivers operate vehicles that require a CDL.
| # | Rule | Violation | Proof to keep |
|---|---|---|---|
| 1 | § 382.115(a)/(b) | Failing to implement an alcohol and/or controlled substances testing program | Consortium/C/TPA agreement, written policy, signed driver receipt, pre-employment negative result |
| 2 | § 382.201 | Using a driver known to have an alcohol concentration of 0.04 or greater to perform a safety-sensitive function | Test records; removal-from-duty records |
| 3 | § 382.211 | Using a driver who refused a required test | Test records; Clearinghouse reports |
| 4 | § 382.215 | Using a driver known to have tested positive for a controlled substance | MRO results; removal and return-to-duty records |
| 5 | § 382.305 | Failing to implement a random testing program | Random-pool enrollment certificate, roster showing every CDL driver, selection and test records |
The most common trap for owner-operators is item 5. A one-driver company can't run its own random program, so you must join a consortium (§ 382.103(b)) and make sure you are actually on its roster. More in our drug and alcohol requirements guide.
Licensing and driver qualification: items 6–8, 11–12 (Parts 383 and 391)
| # | Rule | Violation | Proof to keep |
|---|---|---|---|
| 6 | § 383.3(a) / § 383.23(a) | Knowingly using a driver who does not possess a valid CDL | Copy of current CDL with correct class and endorsements; MVR |
| 7 | § 383.37(b) | Knowingly allowing a driver to operate with a disqualified CLP/CDL, or who has lost the right to operate a CMV in a state | Hiring MVRs (§ 391.23) and annual MVRs; annual review note |
| 8 | § 383.51(a) | Knowingly allowing a disqualified driver to drive a CMV | MVRs; annual review note |
| 11 | § 391.15(a) | Knowingly using a disqualified driver | MVRs; annual review note |
| 12 | § 391.11(b)(4) | Knowingly using a physically unqualified driver | Current medical examiner's certificate, or for CDL drivers the CDLIS MVR showing medical status |
The common thread is MVRs. A motor vehicle record is how you "know" a driver is licensed and not disqualified. Pull one from every state the driver held a license in during the past three years, within 30 days of hire (§ 391.23), and again at least every 12 months (§ 391.25). See the DQ file checklist.
Insurance: items 9–10 (Part 387)
| # | Rule | Violation | Proof to keep |
|---|---|---|---|
| 9 | § 387.7(a) | Operating without the required minimum financial responsibility | Policy and MCS-90 endorsement (or MCS-82 surety bond) at your principal place of business |
| 10 | § 387.31(a) | Operating a passenger vehicle without required financial responsibility | Passenger carriers only |
Coverage that lapses for even a few days, or a policy below the minimum in § 387.9 for your cargo type, fits item 9. Set your renewal date in your calendar 30 days ahead.
Hours of service: item 13 (Part 395)
| # | Rule | Violation | Proof to keep |
|---|---|---|---|
| 13 | § 395.8(a) | Failing to require a driver to make a record of duty status (51% threshold) | ELD records (or allowed paper logs/time records) for every driver-day, kept 6 months |
Vehicles: items 14–16 (Part 396)
| # | Rule | Violation | Proof to keep |
|---|---|---|---|
| 14 | § 396.9(c)(2) | Operating a vehicle declared out of service before repairs are made | Roadside inspection reports with signed repair certification, repair invoices |
| 15 | § 396.11(a)(3) | Failing to correct out-of-service defects listed on a DVIR before the vehicle is operated | DVIRs with repair certification signed before next use |
| 16 | § 396.17(a) | Using a CMV not periodically inspected (51% threshold) | Annual inspection report for each power unit and trailer, plus documentation on the vehicle |
The two "51%" items
Items 13 and 16 only count as automatic failures when found in at least 51% of the records examined: driver records of duty status for item 13, and vehicles checked for item 16 (§ 385.321(b) table). Don't treat the threshold as a cushion. With one truck and one trailer, a single expired annual inspection is already 50% of your fleet, and below-threshold gaps still count against you in the Appendix A scoring.
10-minute self-check
Answer each with a document you can actually put your hands on, not a memory:
- Drug and alcohol program running since your first day of operations, with a consortium if you are an owner-operator (§§ 382.115, 382.103(b)).
- Every CDL driver, including you, on the random pool roster (§ 382.305).
- A pre-employment negative result on file for every driver (§ 382.301).
- A current CDL for every driver; hiring MVRs from each state licensed in the past 3 years, pulled within 30 days of hire, and an annual MVR (§§ 383.23, 391.23, 391.25).
- Medical certification current for every driver (§§ 391.11(b)(4), 391.41).
- Insurance at the required level, with proof at your principal place of business (§§ 387.7, 387.9).
- ELD (or allowed alternative) records for every driver-day (§ 395.8(a)).
- An annual inspection within the last 12 months for every tractor and trailer (§ 396.17).
- Every out-of-service or DVIR safety defect repaired and signed off before the next trip (§§ 396.9(c)(2), 396.11(a)(3)).
If you checked all nine, you're clear of the automatic failures. You still need the rest of your records in order; the full new entrant audit checklist covers everything else the auditor reviews.
If an item is found: the clock
- FMCSA sends written notice, generally within 45 days of the audit (§ 385.319(a)).
- You have 60 days from the notice date to submit evidence of corrective action, or 45 days for passenger carriers and placarded hazmat carriers (§ 385.319(c)).
- If FMCSA doesn't accept it in time, your registration is revoked and an out-of-service order takes effect (§ 385.325).
Our step-by-step guide to writing a corrective action plan covers what to submit.
Why these 16?
Each item on the list is either something that puts an unqualified or impaired driver behind the wheel (the drug and alcohol, CDL, disqualification and medical items), something that puts an unsafe vehicle on the road (the out-of-service and inspection items), something that leaves the public without financial protection (the insurance items), or something that makes fatigue impossible to monitor (records of duty status). That is useful when you're unsure whether a gap is serious: if it touches one of those four risks, fix it first.
What this means for a one-truck owner-operator
If you are the only driver, every item on this list is about you. You need a drug and alcohol program on yourself through a consortium, your own pre-employment test, your own MVRs and annual review, your own medical certification on file, insurance proof at your own office, ELD records for every day you drove, and an annual inspection for your tractor and every trailer you pulled. The auditor will not accept "I know I'm qualified" in place of the document; the record is the proof. Small fleets that add a first driver should rerun this self-check the week that driver starts, because items 1 to 8 and 11 to 13 all reset for each new person.
Frequently asked questions
How many violations automatically fail a new entrant audit?
Sixteen. They are listed in the table to 49 CFR 385.321. Finding any one of them during the safety audit is enough to fail it, regardless of the rest of your records.
Which auto-fail items have a 51% threshold?
Two: failing to require drivers to make records of duty status (49 CFR 395.8(a)) and using vehicles that have not been periodically inspected (49 CFR 396.17(a)). Each counts as an automatic failure only when found in at least 51% of the records examined.
Can I fail without any of the 16 violations?
Yes. A carrier can also fail if the auditor finds inadequate basic safety management controls under the evaluation criteria in Appendix A to Part 385, which looks at patterns of acute and critical violations.
Do the drug and alcohol auto-fail items apply if I don't need a CDL?
The Part 382 testing rules apply to drivers who operate vehicles requiring a CDL. If none of your vehicles or drivers require a CDL, the five Part 382 items generally don't apply to you, but the other items, such as insurance, medical certification and vehicle inspections, still do.
Primary sources
- eCFR Title 49 (current text)
- FMCSA: New Entrant Safety Assurance Program
- FMCSA New Entrant Web System (NEWS) Help Center
Regulation text checked against eCFR Title 49 as of October 15, 2026.