The New Entrant Safety Audit and Your Drug & Alcohol Program
Every new trucking company goes through an FMCSA safety audit during its first 18 months. Drug and alcohol testing is one of the main things the auditor checks. Five drug and alcohol mistakes are an automatic fail, so it pays to get this part right before the auditor calls.
Updated September 28, 2026 · Checked against the federal regulations
What the new entrant safety audit is
When you get your USDOT number, you start an 18-month new entrant monitoring period. During that time, FMCSA watches your roadside inspections and does a safety audit.
The audit looks at your safety systems and a sample of your records. It is generally done at your place of business. The audit itself does not give you a safety rating. It decides whether you have basic safety controls in place.
- Driver qualification files
- Hours of service (driver duty status) records
- Vehicle maintenance records
- Accident register
- Drug and alcohol testing records
When the audit happens
The rules say the audit happens once you have been running long enough to have records to review. That is generally at least 3 months.
Federal law calls for the review within 12 months after a property carrier gets its USDOT number, and within 120 days for passenger carriers. If FMCSA has not done the audit by the end of 18 months, and that is not your fault, you can keep operating as a new entrant until it is done.
When the audit can come sooner
FMCSA can speed up your audit, or order a full compliance review, if certain things show up. One of them is using a driver who tests positive or refuses a required drug or alcohol test.
If you already had your audit, FMCSA can instead send a notice asking for proof that you fixed the problem. You get 30 days to answer. If you do not answer, your registration will be revoked.
The five drug and alcohol automatic failures
Section 385.321 lists 16 violations that fail the audit on their own. Five of them come from the drug and alcohol rules in Part 382. For each of these five, one single occurrence is enough to fail.
- 382.115(a): Not having a drug and alcohol testing program in place. For U.S. carriers, it must start the day you begin running commercial motor vehicles. (382.115(b) is the same rule for foreign carriers.)
- 382.201: Using a driver you know has an alcohol concentration of 0.04 or higher.
- 382.211: Using a driver who refused a required drug or alcohol test.
- 382.215: Using a driver you know tested positive for drugs.
- 382.305: Not having a random drug and alcohol testing program.
Drug and alcohol records to have ready
When FMCSA asks for your drug and alcohol records, you must make them available at your main place of business within two business days. Keep them in a secure place with limited access. Here is a practical checklist based on the Part 382 rules.
- Your written drug and alcohol policy, and each driver's signed receipt for it
- Proof your supervisors took the training (at least 60 minutes on alcohol and 60 minutes on drugs)
- A verified negative pre-employment drug test for each driver, received before the driver started
- Clearinghouse records: a full pre-employment query for each new driver and an annual query for every driver
- Random testing records, including how drivers were selected
- Agreements with your collection sites, lab, MRO, and consortium or third-party administrator
- Test results and paperwork from the MRO and alcohol tests
- Records of any post-accident or reasonable suspicion testing decisions
- Any substance abuse professional (SAP) reports and follow-up test records
What happens if you fail
FMCSA will send you written notice within 45 days after the audit. Most carriers then have 60 days to fix the problems and show proof. Some passenger and hazmat carriers get only 45 days. FMCSA may give more time if you are making a good faith effort.
If you do not fix the problems in time, FMCSA revokes your new entrant registration and puts you out of service. Refusing to allow the audit also leads to revocation.
Pact Compliance, a C/TPA registered in the FMCSA Clearinghouse, helps small fleets and owner-operators set up DOT drug and alcohol testing programs.
Common questions
When will my new entrant safety audit happen?
Usually after you have run at least 3 months, so there are records to review. Federal law calls for it within 12 months of getting your USDOT number for property carriers, and 120 days for passenger carriers.
Can I fail the safety audit just because of drug testing?
Yes. Not having a testing program, not having a random program, or using a driver who tested positive, refused, or had 0.04 or higher alcohol are each an automatic fail on a single occurrence.
Where is the new entrant safety audit done?
The rule says it will generally be done at your business premises.
Does the safety audit give me a safety rating?
No. A safety audit does not result in a safety fitness determination. Ratings come from a compliance review.
How long do I have to fix things if I fail?
Most carriers have 60 days from the date of the notice. Certain passenger and hazmat carriers have 45 days.
How fast do I have to produce my drug and alcohol records?
Within two business days after an FMCSA representative asks, at your principal place of business.
Sources
- 49 CFR 385.307 – New entrant safety monitoring
- 49 CFR 385.308 – Expedited safety audits
- 49 CFR 385.311 – Safety audit scope
- 49 CFR 385.315 – Safety audit location
- 49 CFR 385.319 – Safety audit completion
- 49 CFR 385.321 – Safety audit failure
- Appendix A to Part 385
- 49 CFR 382.401 – Retention of records
- 49 CFR 382.603 – Training for supervisors
- 49 CFR 382.701 – Drug and Alcohol Clearinghouse