The six factors auditors check in a new-entrant safety audit

In an FMCSA new-entrant safety audit, an auditor evaluates six factors: General, Driver, Operational, Vehicle, Hazardous Materials, and Accident. This grouping is defined in 49 CFR Appendix A to Part 385 (Explanation of Safety Audit Evaluation Criteria), and every new US motor carrier goes through the audit within its first 12 months of operating under DOT/MC authority.

What are the six new-entrant audit factors?

1. Factor 1

   General

   Parts 387 and 390

   Financial responsibility (insurance) and general FMCSR requirements — your operating authority, USDOT number marking, and the baseline recordkeeping every carrier owes.

2. Factor 2

   Driver

   Parts 382, 383, and 391

   Driver qualification files, valid commercial driver's licenses, and controlled-substances and alcohol testing — a driver qualification file for every driver, with the medical certificate, MVR, and application in place.

3. Factor 3

   Operational

   Parts 392 and 395

   Safe operation of vehicles and hours-of-service compliance — your records of duty status (logs/ELD data), supporting documents, and driving-of-CMV rules.

4. Factor 4

   Vehicle

   Part 393, 396, and inspection data for the last 12 months

   Parts and accessories needed for safe operation and vehicle inspection, repair, and maintenance — a written maintenance program, periodic inspection records, and your roadside inspection history.

5. Factor 5

   Hazardous Materials

   Parts 171, 177, 180, and 397

   Applies if you haul hazardous materials: general HMR requirements, carriage by public highway, continuing qualification and maintenance of packagings, and hazmat routing and training.

6. Factor 6

   Accident

   Recordable Accident Rate per Million Miles

   Your accident register and recordable accident rate. FMCSA reviews whether your rate is within the acceptable threshold for a new entrant.

Factor definitions summarized from 49 CFR Appendix A to Part 385. Confirm the current regulatory text at ecfr.gov before you rely on it.

How does an auditor score the six factors?

An auditor reviews your records against the acute and critical regulations listed in 49 CFR Appendix B to Part 385. Violations count against the factor they belong to. You are found to have inadequate safety management controls if you come up inadequate in at least three of the six factors, and some acute violations can make a single factor inadequate on their own. For the Accident factor, the thresholds are a recordable rate above 1.7 per million miles for a carrier operating entirely within a 100-air-mile radius, or above 1.5 per million miles for all other carriers.

Scoring rules summarized from 49 CFR Appendix A to Part 385 and Appendix B. Confirm the current text at ecfr.gov.

How do you prepare for each factor?

Preparation is mostly documentation: for each factor, you assemble the records an auditor asks for and confirm they are complete and current.

1. 1

   Build a driver qualification file for every driver

   For the Driver factor, assemble a qualification file per driver with the employment application, motor vehicle record, road-test or CDL equivalent, and a current medical examiner's certificate, plus your drug-and-alcohol testing records.

2. 2

   Write and follow a vehicle maintenance program

   For the Vehicle factor, keep a written maintenance program, periodic (annual) inspection records for each vehicle, and your roadside inspection history for the last 12 months.

3. 3

   Keep records of duty status and supporting documents

   For the Operational factor, retain your drivers' records of duty status (logs or ELD data) and the supporting documents that back them up, so hours-of-service compliance can be verified.

4. 4

   Maintain an accident register

   For the Accident factor, keep an accident register per 49 CFR 390.15 and calculate your recordable accident rate per million miles.

5. 5

   Confirm insurance and marking

   For the General factor, confirm your financial responsibility (insurance) filings and that your USDOT number is marked on the vehicle as the regulations require.

The CarrierReady Audit-Prep Kit gives you fillable templates mapped to all six factors — driver qualification files, a written maintenance program, a drug-and-alcohol testing policy, an accident register, and a document-by-document checklist — so you can prep your own audit without a monthly subscription or a consultant.

Common questions

How many factors are in a new-entrant safety audit?

Six. The FMCSA groups the regulations into six factors: General, Driver, Operational, Vehicle, Hazardous Materials, and Accident. The grouping is defined in 49 CFR Appendix A to Part 385.

When does the new-entrant safety audit happen?

Within the first 12 months after a new motor carrier begins operating under DOT/MC authority. FMCSA notifies you by phone or mail and tells you whether it is an on-site audit or a document submission.

What causes you to fail a new-entrant safety audit?

Under 49 CFR Appendix A to Part 385, an auditor scores each of the six factors from acute and critical regulation violations found in your records. You are considered to have inadequate safety management controls if you are inadequate in at least three of the six factors. Certain acute violations can make a single factor inadequate on their own.

What is the accident-rate threshold for the audit?

For the Accident factor, a carrier operating entirely within a 100-air-mile radius is deemed to have inadequate controls above a recordable rate of 1.7 accidents per million miles; all other carriers, above 1.5 per million miles. This applies when a carrier has two or more recordable accidents in the 12 months before the audit. The thresholds are stated in 49 CFR Appendix A to Part 385.

What documents do auditors ask for most often?

Driver qualification files, hours-of-service records, a written vehicle maintenance program and inspection records, a drug-and-alcohol testing program, and an accident register. Most new-entrant failures trace back to missing or incomplete versions of these documents.

Where can I read the official audit criteria myself?

The six-factor evaluation criteria are in 49 CFR Appendix A to Part 385, and the list of acute and critical regulations is in Appendix B. Both are free at ecfr.gov. CarrierReady is an independent prep tool, not the FMCSA — always confirm the current text there.

CarrierReady is an independent audit-preparation tool — not legal advice, and not affiliated with, endorsed by, or connected to the FMCSA or any government agency; always verify against the official regulations at ecfr.gov.