One violation. That’s all it takes to end your new entrant operating authority immediately.
The FMCSA has a list of violations that result in automatic failure of the new entrant safety audit. There’s no gray area. No second chance. One violation found = audit failed = corrective action required.
Automatic Failure Violation #1: No Drug and Alcohol Testing Program
A New Entrant will AUTOMATICALLY FAIL the Safety Audit for having no alcohol and/or drug testing program.
If you have CDL drivers and you don’t have a drug and alcohol testing program in place, you fail immediately.
This isn’t something you can wing. You need:
- Membership in a DOT-approved consortium or third-party administrator
- Registration on the FMCSA Drug and Alcohol Clearinghouse
- Proof of random testing participation
- Documentation of annual queries
Missing this? Automatic failure.
Automatic Failure Violation #2: No Random Drug and Alcohol Testing Program
A New Entrant will AUTOMATICALLY FAIL for having no random alcohol and/or drug testing program.
It’s not enough to test for employment. You need ongoing random testing.
Random testing means you’re conducting unannounced, scheduled tests on drivers throughout the year (minimum 50% of drivers annually for drugs, 10% for alcohol).
If you’re not doing random testing, you’re in violation before the audit even starts.
Missing this? Automatic failure.
Automatic Failure Violation #3: Using a Driver Who Refused a Required Test
A New Entrant will AUTOMATICALLY FAIL for using a driver who refused a required alcohol or drug test.
A driver refuses a test. You have two options:
- Immediately remove them from driving
- Automatically fail your audit
There’s no middle ground. Using a driver after they refuse a test is grounds for immediate failure.
Automatic Failure Violation #4: Using a Driver Without Valid CDL
A New Entrant fails the Safety Audit for knowingly using a driver without a valid CDL.
This seems obvious. But “knowingly” is the operative word. If you should have known (meaning you didn’t check the DQ file or didn’t pull an updated MVR), you failed.
Automatic Failure Violation #5: Using a Medically Unqualified Driver
A New Entrant fails the Safety Audit for knowingly using a medically unqualified driver.
A driver’s medical certificate expires. You don’t notice. You let them keep driving. You failed.
The DQ file should flag expired medical certificates. If your system doesn’t have one, you’re at risk.
Why These Matter
These automatic failures aren’t edge cases. They’re foundational safety controls. The FMCSA makes them automatic failures because they represent the most basic level of responsibility as a motor carrier.
If you can’t keep your DQ files organized enough to prevent these violations, you’re not ready to operate.
The Real Cost of One Violation
One automatic failure means:
- Audit failure notification
- 60-day corrective action deadline
- 30-day minimum revocation if corrective action fails
- Reapplication required
- Full 18-month monitoring cycle restart
That’s 90+ days of lost operating authority before you even get another chance.
Prevention Strategy
Get your DQ file systems in place before the audit. Set up automated reminders for medical certificate renewals. Implement mandatory drug testing protocols. Document everything.
Don’t discover a problem during the audit. Discover it (and fix it) before.
Prevent automatic failures before they happen.
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ComplyDQ: New entrant DQ file management that prevents automatic failures and keeps your operating authority safe.
Sources:
- FMCSA New Entrant Safety Assurance Program Official Documentation
- Foley Services: An Overview of the New Entrant Program & Safety Audit (2024)
- Bobtail: How To Pass The New Entrant Safety Audit