What auditors check, factor by factor
The FMCSA groups the regulations reviewed in a new-entrant safety audit into six factors: General, Driver, Operational, Vehicle, Hazardous Materials, and Accident. Each guide below explains the CFR parts, the exact records an auditor checks, and the common failures — cited to 49 CFR Appendix A to Part 385.
- Factor 1: General — Parts 387 and 390
The General factor covers financial responsibility (Part 387) and the general FMCSRs (Part 390) — your insurance, your USDOT number registration and marking, and the baseline recordkeeping every motor carrier owes. Auditors confirm you carry the required minimum insurance and that your registration is accurate and current.
6 acute/critical regulations are scored under this factor.
- Factor 2: Driver — Parts 382, 383, and 391
The Driver factor covers controlled-substances and alcohol testing (Part 382), commercial driver's licensing (Part 383), and driver qualification (Part 391). Auditors check that every driver has a complete qualification file, a valid CDL, a current medical certificate, and that your drug-and-alcohol testing program is in place and running.
28 acute/critical regulations are scored under this factor.
- Factor 3: Operational — Parts 392 and 395
The Operational factor covers safe operation of vehicles (Part 392) and hours-of-service compliance (Part 395). Auditors review your records of duty status (logs or ELD data) and the supporting documents that back them, checking that drivers stayed within the hours-of-service limits.
31 acute/critical regulations are scored under this factor.
- Factor 4: Vehicle — Part 393, Part 396, and inspection data for the last 12 months
The Vehicle factor covers parts and accessories for safe operation (Part 393) and inspection, repair, and maintenance (Part 396). Auditors check your written maintenance program, periodic (annual) inspection records, driver vehicle inspection reports, and your roadside inspection history. When at least three roadside inspections are on file in MCMIS in the prior 12 months, your out-of-service rate also factors in.
5 acute/critical regulations are scored under this factor.
- Factor 5: Hazardous Materials — Parts 171, 177, 180, and 397
The Hazardous Materials factor applies only if you transport hazardous materials. It covers general HMR requirements (Part 171), carriage by public highway (Part 177), continuing qualification and maintenance of packagings (Part 180), and hazmat routing and training (Part 397). Auditors check shipping papers, security plans, training records, and cargo-tank inspection records.
33 acute/critical regulations are scored under this factor.
- Factor 6: Accident — Recordable Accident Rate per Million Miles
The Accident factor is your recordable accident rate over the prior 12 months. It is used only when a carrier has two or more recordable accidents in that period. A carrier operating entirely within a 100-air-mile radius is deemed to have inadequate controls above a recordable rate of 1.7 per million miles; all other carriers, above 1.5 per million miles (49 CFR Appendix A to Part 385).
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.