Two distinct but connected requirements under the FMCSA New Entrant Safety Assurance Program. Every new motor carrier faces both — the audit is mandatory, the CAP is required only if the audit is failed.
Every motor carrier that registers a new U.S. DOT number is placed under an 18-month new entrant monitoring period. A safety audit is conducted — in most cases within the first 12 months. Carriers with elevated violation rates or accidents may be audited sooner.
The audit may be conducted offsite (records submitted electronically) or onsite at the carrier’s place of business. Carriers that trigger expedited action criteria under 49 CFR 385.308 are required to undergo an onsite audit.
Five compliance areas are reviewed:
Driver qualification files, driver duty status records (hours-of-service), vehicle maintenance records, the accident register, and controlled substance and alcohol records under 49 CFR 382.
All records must be made available upon request. Failure to permit the audit or produce records results in immediate notification of revocation.
If FMCSA determines the audit discloses inadequate basic safety management controls, written notice of failure is issued no later than 45 days after audit completion. The carrier must then submit a Corrective Action Plan.
The CAP must address every violation that contributed to the failure. It identifies why the violation occurred, the specific corrective steps taken, and includes a signed statement from a corporate officer or owner confirming future compliance with applicable regulations.
Automatic failure triggers: There are 16 regulations that result in automatic audit failure if violated — regardless of performance in all other areas. A single violation of any of these 16 regulations alone constitutes a failed audit.
The CAP is reviewed by FMCSA and must be deemed acceptable. If rejected or not submitted within the deadline, registration is revoked and an Out-of-Service order is issued immediately.
Under 49 CFR 385.308, new entrants that commit certain violations may be subjected to an expedited safety audit, compliance review, or required to submit written evidence of corrective action immediately — regardless of where they are in the 18-month monitoring period.
Expedited action triggers include operating a vehicle placed Out-of-Service without corrective action, using a driver without a valid CDL, a driver or vehicle OOS rate of 50% or more based on at least three inspections in a 90-day period, using a driver who tests positive for controlled substances, and operating without required financial responsibility under 49 CFR 387.
Failure to respond to an expedited action notice within 30 days results in immediate revocation. The 30-day window is shorter than the standard CAP timeline and requires urgent attention.
Online application or phone — a specialist reviews every submission and confirms next steps within one business day.