DOT New Entrant Safety Audit Checklist

The Department of Transportation New Entrant Safety Audit Checklist is an essential document for commercial fleets and transportation services. As part of this audit process, they review documentation concerning all aspects of your operations.

Passing a DOT new entrant safety audit is a tremendous accomplishment for any motor carrier, while failing the audit can bring fines, penalties or even suspension of operations until all regulatory obligations have been fulfilled.

1. Vehicle Inspections
A new entrant safety audit is a critical test for fleets that want to maintain federal compliance, typically done within 18 months of receiving their DOT number.

FMCSA will conduct this review by scrutinizing documents related to company policies and procedures, driver qualifications files, hours-of-service logs, training records, vehicle inspection reports, cargo insurance coverage policies as well as cargo security measures such as labels, placards or training records.

Failing a new entrant safety audit can have dire repercussions for trucking companies, including fines and penalties. The best way to avoid failing this audit is to ensure compliance by qualifying drivers correctly, tracking HOS properly, and improving documentation practices.

2. Safety Training
DOT officials will perform a new entrant safety audit on your company to make sure its processes and procedures comply with federal requirements. They’ll also examine your training records, driver qualifications and drug/alcohol testing programs.

Your new carrier must successfully pass its 18-month new entrant safety audit to complete its 18-month monitoring period, but failing the audit can have serious repercussions; registration could even be suspended until improvements can be implemented in operations. You can avoid this situation by prepping for your audit beforehand: fleets should show DOT officials driver and vehicle lists, safety plans, security measures, hazmat documentation and more to show officials during an audit visit. In addition, monitor your CSA scores regularly so as to not fall below intervention thresholds which would necessitate an audit.

3. Safety Records
No matter whether you are an owner-operator or fleet manager, if your company transports hazardous materials it must pass a Department of Transportation new entrant safety audit. This extensive examination by DOT inspectors covers everything from safety training records to HAZMAT shipping documentation and more.

A Department of Transportation audit can take place anytime within your first 18 months of operation, and should you fail, it may lead to your USDOT authority being suspended and trucks placed out of service.

Preparation is key when it comes to passing a DOT new entrant audit, including having a system in place to record your details so they are accessible when requested by auditors. Our coaches can offer assistance here with developing a tailored game plan tailored specifically for your company.

4. Drug and Alcohol Testing
All new motor carriers must complete a Department of Transportation New Entrant Safety Audit in order to demonstrate they have basic policies and procedures in place. If any federal regulatory violations such as operating with drivers who hold licenses that have been suspended or revoked, failing to record accidents properly, violating hours of service regulations or transporting hazardous materials are found during an audit, they could face fines and even have their DOT number taken away.

Transportation consultants can assist new companies in preparing for inspection. From reviewing driver qualification files to making sure the drug and alcohol testing program complies, consulting firms provide valuable assistance in creating policy documents and training drivers on DOT rules and regulations.

5. Hazardous Materials Training
The Department of Transportation requires trucking companies to pass a New Entrant Safety Audit within their first year of operations. A New Entrant Safety Audit may be conducted by either DOT inspectors or transport service providers.

Hazmat training is mandatory for any employee who handles hazardous materials as part of their employment. This includes employees preparing shipments for air, sea or marine transport as well as those loading and unloading trucks with hazardous cargo. Initial and annual refresher courses must be taken before engaging in hazardous material handling operations.

Arranging all the appropriate documentation is key to passing your DOT audit successfully, and working with a transportation consultant who can help develop regulatory policies and train staff members how to respond to auditor questions is the ideal way to do just that.