Trucking fleets: what an audit looks like
For regional carriers with 20 to 200 drivers facing an FMCSA safety audit, compliance review or state roadside inspection. This page sets out what investigators request, how a review is scored and which findings recur in FMCSA's own violation data.
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Who comes, and how often
FMCSA safety auditors (new entrant safety audit)
A newly registered carrier gets an audit of its safety management systems and a sample of its records. Fourteen listed violations fail the audit on a single occurrence, and two more fail it once 51 percent of examined records are affected.
FMCSA investigators (compliance reviews and investigations)
A compliance review rates unrated carriers, follows up on Conditional and Unsatisfactory ratings, investigates complaints and re-rates on request. FMCSA must also review carriers that rank among the highest risk in its Safety Measurement System for four consecutive months.
State enforcement partners (MCSAP agencies)
States funded through the Motor Carrier Safety Assistance Program run roadside driver and vehicle inspections, traffic enforcement, carrier investigations and new entrant safety audits.
What they ask to see
Driver qualification files
One file per driver holding the application, motor vehicle records from hire and each year, the road test certificate or CDL equivalent, the note of the annual record review and the medical examiner's certificate or CDLIS record. Files stay for the length of employment plus three years.
49 CFR 391.51, 391.23, 391.25Source ↗
Drug and alcohol program records
Policy materials with each driver's signed receipt, supervisor training records, random selection documents, test results and Clearinghouse query records. Negative results are kept one year, positives and refusals five years, collection process records two years and query records three years.
49 CFR 382.401, 382.601(d), 382.701(e)Source ↗
Records of duty status and supporting documents
ELD or paper logs for each driver, plus up to eight supporting documents for each 24-hour period, such as dispatch records, bills of lading, expense receipts and payroll records, kept matched to the log. The carrier keeps both for six months.
49 CFR 395.8(k), 395.11Source ↗
Vehicle inspection, repair and maintenance records
For each vehicle, its identification, the nature and due date of inspection and maintenance work, and dates and nature of repairs, kept for one year and six months after the vehicle leaves the fleet. Annual inspection reports are kept 14 months and driver vehicle inspection reports three months.
49 CFR 396.3(b), 396.3(c), 396.11, 396.17, 396.21Source ↗
Accident register
A list of every accident as defined in 390.5 with date, city and state, driver name, injuries, fatalities and any hazardous materials release, plus copies of accident reports filed with states or insurers. The register covers three years.
49 CFR 390.15(b)Source ↗
Proof of financial responsibility
Evidence of required liability coverage kept at the principal place of business. For-hire carriers of nonhazardous property in vehicles of 10,001 pounds or more must carry at least $750,000.
49 CFR 387.7(d), 387.9Source ↗
What they pick on the day
Driver files across driver categories
Reviewers draw a sample of files and test each against 391.51 and Part 382. A pattern in a compliance review means more than one violation and, where many documents are examined, at least 10 percent of them.
Records of duty status against supporting documents
Logs for sampled drivers are matched to dispatch, trip and payroll records. In a new entrant audit, a missing required log in 51 percent or more of examined records fails the audit under 395.8(a).
Vehicles and their out-of-service history
In a compliance review, maintenance files for sampled vehicles are read alongside the prior 12 months of roadside inspections. A vehicle out-of-service rate of 34 percent or more across three or more inspections starts the vehicle factor at Conditional.
Recordable accidents from the prior 12 months
In a compliance review, two or more recordable accidents are converted to a rate per million miles. A rate above 1.5 (1.7 for carriers operating entirely within 100 air miles) rates the accident factor Unsatisfactory.
What gets cited, with counts where they are published
Vehicle maintenance and periodic inspection proof
2,525,530 of 3,377,270 violations (75 percent) in the Vehicle Maintenance category; 108,723 under 396.17 2025
Vehicle Maintenance accounted for three of every four violations in FMCSA's SMS violation file. Operating without documentation of the annual inspection alone drew 108,723 violations.
Records of duty status
303,237 Hours-of-Service violations; 123,708 under 395.8 2025
Hours-of-service violations numbered 303,237. The largest group sits under 395.8: missing logs, wrong log form and false reports of duty status.
Driver fitness and medical qualification
194,165 Driver Fitness violations; 69,778 medical certificate (391.41) and 44,885 CDL (383.23) 2025
Driver Fitness violations numbered 194,165. Medical certificate violations and CDL violations were the two biggest groups.
What is not published
FMCSA publishes no pass or fail counts or failure reasons for new entrant audits. The counts shown are roadside violations from FMCSA's own violation file, not office audit findings. FMCSA's and CVSA's websites refused automated reads, so nothing here comes from their web pages; rules are from the eCFR and the statute.
Where written policies come in
Drug and alcohol policy with a signed receipt per driver
Part 382 requires educational materials covering a listed set of topics, given to each driver before testing starts and to each driver hired or transferred into driving. The employer keeps the signed certificate of receipt, and 382.601 was last amended on November 18, 2024.
Supervisor training on reasonable suspicion
Everyone designated to supervise drivers needs at least 60 minutes on alcohol misuse and 60 minutes on controlled substances. The training record is kept while the person supervises and for two years after.
Annual driving record review with a named reviewer
The driver qualification file holds the annual motor vehicle record and a note naming the person who performed the review and its date.
Clearinghouse consent and query records
Employers run a full query before hire and at least one query a year for every driver, and keep a record of each query and response for three years. A driver who refuses consent cannot be used to operate a commercial motor vehicle.
Dates that matter
| Date | What happens | Status |
|---|---|---|
| March 16, 2026 | Final rule limiting eligibility for non-domiciled CDLs takes effect Source ↗ | Done |
| March 23, 2026 | Rule confirming driver vehicle inspection reports may be completed electronically takes effect Source ↗ | Done |
| June 10, 2026 | DOT Part 40 amendments take effect: directly observed urine collection where a required oral fluid test is unavailable Source ↗ | Done |
| October 9, 2026 | Comment period closed on the proposed rule making English language proficiency an out-of-service violation Source ↗ | Done |
Questions people ask
Does a new entrant safety audit produce a safety rating?
No. A safety audit ends in a pass or fail on basic safety management controls, and 385.317 states it does not result in a safety fitness determination. A compliance review produces the Satisfactory, Conditional or Unsatisfactory rating.
Which violations fail a new entrant audit automatically?
Sixteen regulations are listed in 385.321(b). Fourteen fail the audit on a single occurrence, including no testing program, using a driver with a positive test, no valid CDL, no required insurance and operating a vehicle declared out of service. Failing to require a record of duty status (395.8(a)) and using vehicles without a periodic inspection (396.17(a)) fail it at 51 percent or more of examined records.
How does a compliance review turn violations into a rating?
FMCSA scores acute and critical regulations in six factors: general, driver, operational, vehicle, hazardous materials and accident. Each acute violation or pattern of critical violations adds a point, and a pattern of hours-of-service violations adds two. A factor with zero points is Satisfactory, one point is Conditional and two or more is Unsatisfactory.
How long must each record be kept?
Driver qualification files run for employment plus three years, records of duty status and supporting documents six months, vehicle maintenance records one year plus six months after the vehicle leaves, driver vehicle inspection reports three months, annual inspection reports 14 months and the accident register three years.
Does FMCSA publish a property carrier's Safety Measurement System percentiles?
No. Under the FAST Act, percentiles and alerts for property carriers were removed from the public site. Inspection, investigation, crash and registration data for all carriers remain public, and a logged-in carrier sees its own results.
Sources
- ecfr.gov /current/title-49/part-385
- ecfr.gov /current/title-49/part-385/subpart-D
- ecfr.gov /current/title-49/part-350
- ecfr.gov /current/title-49/section-391.51
- ecfr.gov /current/title-49/section-391.23
- ecfr.gov /current/title-49/section-391.25
- ecfr.gov /current/title-49/section-382.401
- ecfr.gov /current/title-49/section-382.601
- ecfr.gov /current/title-49/section-382.603
- ecfr.gov /current/title-49/section-382.701
- ecfr.gov /current/title-49/section-395.8
- ecfr.gov /current/title-49/section-395.11
- ecfr.gov /current/title-49/section-396.3
- ecfr.gov /current/title-49/section-396.11
- ecfr.gov /current/title-49/section-396.17
- ecfr.gov /current/title-49/section-396.21
- ecfr.gov /current/title-49/section-390.15
- ecfr.gov /current/title-49/section-387.7
- ecfr.gov /current/title-49/section-387.9
- federalregister.gov /documents/2024/11/20/2024-27087/enhanced-carrier-safety-measure…
- data.transportation.gov /d/8mt8-2mdr
- data.transportation.gov /d/rbkj-cgst
- data.transportation.gov /d/az4n-8mr2
- federalregister.gov /documents/2026/02/13/2026-02965/restoring-integrity-to-the-issu…
- federalregister.gov /documents/2026/02/19/2026-03264/electronic-driver-vehicle-inspe…
- federalregister.gov /documents/2026/05/11/2026-09290/procedures-for-transportation-w…
- federalregister.gov /documents/2026/08/10/2026-16288/english-language-proficiency-ou…
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