FMCSA New Entrant Safety Audit Checklist

New entrant safety audits must be successfully passed as part of the Interstate Operating Authority process and in order to continue your business operations. They can either be conducted in person, over the phone or online and need to pass in order for you to operate legally.

Failing an FMCSA review could result in losing registration and incurring costly fines, so it is critical that your compliance efforts are in order prior to an FMCSA inspection.

1. Documentation
New entrant safety audits evaluate whether or not a newly formed motor carrier complies with FMCSA regulations, usually within 12 months of commencing operations and often combined with a full compliance review.

An FMCSA auditor will perform this review in order to assess whether all federal rules have been observed by your company, including training records, driver qualifications and drug & alcohol testing programs.

To prevent failing the new entrant safety audit, it’s crucial to have all of the appropriate paperwork ready. Documents which are easily accessible and identifiable will make this process simpler.

2. Safety Training
Assuming you’ve never been audited, the DOT should inspect you within your first year as an operator. Preparation will help make your new entrant safety audit run more smoothly – having all paperwork ready will help make sure the process goes smoothly.

New entrants must abide by all DOT regulations to avoid penalties and fines. If they fail the safety audit, a notice detailing your failure and providing 60 days to submit a corrective action plan (CAP) will be provided; failing to submit on time will result in their registration being revoked.

3. Vehicle Inspections
Motor carriers just starting up need to undergo a Department of Transportation safety audit within their first 12 months of operations, which may take place either on site at their business or via electronic records submission.

Failing a New Entrant Safety Audit could result in fines from FMCSA, so it’s critical that you comply with all relevant regulations and establish proper safety protocols within your business.

Failing a new entrant safety audit often happens due to operating without adequate insurance, or failing to address out-of-service (OOS) repairs reported on driver vehicle inspection reports. To prevent this from happening, keep records of equipment inspections and follow all proper maintenance procedures.

4. Maintenance Records
Maintaining proper maintenance records can save both time and money during audits, as well as provide valuable data that is useful for strategic planning, fleet growth, and cost control.

FMCSA will issue written notice to any new entrant that fails their safety audit that their U.S. DOT new entrant registration may be suspended and their operations ceased unless satisfactory corrective actions are implemented within 60 days.

Compliance preparation can go a long way toward helping carriers pass an FMCSA safety audit! For the best outcome, our best advice to carriers would be to get ready before being asked for an audit notice arrives.

5. Driver Records
The FMCSA New Entrant Safety Audit provides trucking companies with an inspection that checks for compliance with various regulations that must be observed by them. Unlike DOT inspections, however, this review is less intrusive and more focused on teaching appropriate procedures than inspecting for compliance.

Before an auditor arrives at their doorstep, it is essential for companies to have all their documents organized in order to avoid fines and potential loss of operating authority.

If a trucking company fails the audit, they must create an action plan to address issues with insurance, driving logs and record keeping issues within 45 days and submit this to FMCSA for approval.

6. Hours of Service
Some commenters suggested that new entrants should pass a proficiency examination as part of their safety audit or compliance review prior to receiving registration as newcomers.

FMCSA will notify a carrier who fails their audit and provide them with the reason why. After being notified, they must create and implement a corrective action plan within 45 or 60 days (depending on the outcome of their audit) in order to address deficiencies identified as part of their failure notification.

Failure to pass its audit and take appropriate actions will result in its removal from interstate commerce, and will require them to reapply and undergo an 18-month new entrant safety monitoring period if they reapply again.