Every new interstate motor carrier enters an 18-month probationary “new entrant” period the day their MC number activates. Somewhere inside the first 12 months — typically months 3 through 9 — an FMCSA safety investigator (SI) or state contractor (MCSAP) will schedule an audit under 49 CFR Part 385, Subpart D.
The audit is not optional. The audit is not a friendly check-in. And under 49 CFR § 385.321(b), there are 16 violations that result in automatic failure — most of which are not “you did the wrong thing,” they are “you did not do the thing at all.”
Below is the checklist auditors actually work through. Walk it yourself, in order, before they walk it for you.
◆ How to use this checklist
For each item: ☐ if you have it, ☒ if you don't.
What the auditor opens first.
Sixteen review areas. Seven map to a § 385.321(b) automatic-failure violation — those are marked; the full 16-violation list follows below.
- 01
General company information
USDOT, MC, EIN, registered agent, business address. Verify all four match across FMCSA, IRS, and state filings. Mismatches trigger follow-up questions you don't want.
- 02
Operational classification
Authorized carrier (motor carrier of property), broker, or both. Hazmat or non-hazmat. Interstate or intrastate. Auditor cross-references against your URS application — discrepancies are an automatic write-up.
- 03§ 385.321(b)
Driver Qualification (DQ) file — completeness
§ 391.51 requires 11 specific documents per driver. Employing a disqualified driver (§ 391.15(a)) or a physically unqualified one (§ 391.11(b)(4)) is on the automatic-failure list. Application (§ 391.21), inquiry to previous employers (§ 391.23), MVR (§ 391.25), road test certificate (§ 391.31), medical examiner's certificate (§ 391.43), CDL copy.
- 04
DQ file — driver investigation history (§ 391.23)
This is the single most-missed item. You must contact previous DOT employers in writing for any safety-sensitive employment within the last three years. Auditors want to see the request and the response — or proof of a 30-day good-faith attempt.
- 05
Driver Clearinghouse queries (§ 382.701)
Pre-employment full query before the driver performs a safety-sensitive function. Annual limited query for every driver every 12 months. The pre-employment full query must be run before the driver performs a safety-sensitive function.
- 06§ 385.321(b)
Drug & alcohol testing program (Part 382)
Written DOT-compliant policy. Pre-employment, random, post-accident, reasonable-suspicion, return-to-duty, and follow-up procedures all documented. C/TPA agreement on file if you outsource (most small fleets do). Random selection records that show you met the annual rate.
- 07§ 385.321(b)
Driver medical certificates
Current certificate for every driver, issued by a Certified Medical Examiner from the National Registry. Expired certificate while the driver is operating = automatic failure.
- 08§ 385.321(b)
Hours of Service records (Part 395)
ELD records for the last six months (or paper logs where exempt). Retained per § 395.8(k). Auditor will sample 7–14 days and look for falsification, missing logs, or exceeding the 11/14/70 limits. Operating with no record of duty status where one is required (§ 395.8(a)) is on the automatic-failure list.
- 09
ELD self-certification & registration
Your ELD must appear on FMCSA's registered ELD list. You must have the user manual, malfunction reporting procedure, and instructions for transferring records during a roadside inspection — in the truck.
- 10
Vehicle maintenance file (§ 396.3)
Every power unit and trailer must have a maintenance file showing: identification, scheduled inspection history, brake repairs, tire repairs, and any out-of-service repairs. A missing maintenance program is a serious write-up; the vehicle-side automatic failures are operating out of service (§ 396.9(c)(2)), running uncorrected defects (§ 396.11(a)(3)), and skipping the annual inspection (§ 396.17(a)).
- 11§ 385.321(b)
Annual vehicle inspection (§ 396.17)
Every CMV inspected at least once every 12 months by a qualified inspector. Sticker on the truck, report in the maintenance file. Operating a CMV with no current periodic inspection (§ 396.17(a)) is on the automatic-failure list.
- 12§ 385.321(b)
Driver Vehicle Inspection Reports (DVIRs) (§ 396.11)
A post-trip DVIR is required only when a driver finds — or is told of — a defect; under § 396.11(a)(2)(i) there is no-defect, no-report. When a defect is noted, the carrier must certify the repair (or that none was needed) before the vehicle runs again, and retain the report, repair certification, and driver-review certification for 3 months. A carrier operating only one CMV is exempt from the DVIR requirement entirely (§ 396.11(a)(5)) — but not from the rest of this list. Operating without correcting a reported defect (§ 396.11(a)(3)) is on the automatic-failure list.
- 13
Accident register (§ 390.15)
A register listing every DOT-recordable accident (death, injury requiring transport, or disabling tow-away) for the last 3 years. Even if you have had zero accidents, the empty register itself must exist.
- 14§ 385.321(b)
Insurance and financial responsibility (§ 387.7)
Active BMC-91 (or BMC-91X) on file with FMCSA matching your operating classification. MCS-90 endorsement where applicable. Certificate of insurance showing the required minimums.
- 15
Hazmat program (if applicable)
Drivers HM-trained per § 172.704. Shipping papers, placarding, emergency response info, registration with PHMSA. Skip if you're non-hazmat.
- 16
Cargo securement & loading procedures
Knowledge of § 393 cargo securement standards. Training records for drivers who load or secure cargo.
◆ The pattern across hundreds of audits ◆
Automatic failure isn't usually because you did the wrong thing. It's because you didn't do the thing at all. The DQ file isn't sloppy — it doesn't exist. The maintenance file isn't bad — there is no file.
Your “do not skip” list.
§ 385.321(b) lists 16 specific violations that fail your audit on the spot. The most common automatic failures for new entrants are listed below — memorize these or print them in the cab.
No drug & alcohol testing program (§ 382.115).
Using a driver with an alcohol concentration of 0.04 or greater (§ 382.201).
Using a driver who refused a required alcohol or drug test (§ 382.211).
Using a driver known to have tested positive for a controlled substance (§ 382.215).
No random drug & alcohol testing program (§ 382.305).
Using a driver without a valid CDL (§ 383.3(a)).
Using a driver whose CDL is disqualified, revoked, suspended, or cancelled (§ 383.37(b)).
Using a disqualified driver (§ 383.51(a)).
Operating without the required minimum levels of financial responsibility (§ 387.7(a)).
Operating a passenger vehicle without the required insurance (§ 387.31(a)).
Using a disqualified driver (§ 391.15(a)).
Using a physically unqualified driver (§ 391.11(b)(4)).
No record of duty status where one is required (§ 395.8(a)).
Operating an out-of-service vehicle before repairs (§ 396.9(c)(2)).
Operating without correcting a reported out-of-service defect (§ 396.11(a)(3)).
Operating a CMV with no periodic inspection (§ 396.17(a)).
Three possible outcomes.
Pass
Stay in the new-entrant period
You finish the 18-month new-entrant period and your registration converts to standard with no further action.
Conditional
Corrective action plan
You receive a § 385.319 completion notice that the audit found deficiencies, with a corrective-action plan and a 60-day window (45 days for passenger or hazmat) to fix them.
Fail
Notice of revocation
If you miss the corrective-action window, § 385.325 revokes your new-entrant registration and puts your operation out of service (effective day 61 for property carriers, day 46 for passenger/hazmat).
The audit is winnable. The carriers who fail are almost never the ones running poorly — they're the ones running fine, who didn't build the paper trail to prove it.
Don't walk into the audit unprepared.
Our DOT audit specialists walk this 16-item checklist with you before FMCSA does — find the gaps, build the missing files, and rehearse the auditor’s questions. Whether you have a letter scheduled or just want a clean dry run before month 6.
Disclaimer
For informational purposes only — not legal, tax, or regulatory advice. Always verify requirements with FMCSA, your state agency, and qualified compliance professionals. Regulations and fees change; verify current requirements on official .gov sources before filing.