DOT Safety Audit: Complete FMCSA New Entrant Safety Audit Guide for Trucking Companies

• A DOT Safety Audit, also known as an FMCSA New Entrant Safety Audit, verifies whether a new motor carrier has the required safety management controls in place.
• FMCSA may review driver qualification files, HOS/ELD records, vehicle maintenance, drug and alcohol program records, Clearinghouse queries, insurance, accident registers, and safety policies.
• Carriers usually fail not because they ignore safety, but because their records, processes, and compliance documentation are incomplete or disorganized before the audit notice arrives.

A DOT Safety Audit, commonly referred to as an FMCSA New Entrant Safety Audit, is one of the most important compliance milestones for a new motor carrier operating in interstate commerce. It is not simply a paperwork review. It is the Federal Motor Carrier Safety Administration’s way of confirming that a carrier has basic safety management controls in place before receiving permanent operating authority.

For new trucking companies, owner-operators, passenger carriers, hazardous materials carriers, and growing fleets, the Safety Audit can determine whether the business continues operating smoothly or faces corrective action, enforcement pressure, or even revocation of registration.

At Simplex Group, we view DOT Safety Audit preparation as part of the larger compliance picture. A carrier’s audit readiness depends on driver qualification files, vehicle maintenance records, Hours of Service controls, Drug and Alcohol Clearinghouse compliance, insurance, safety policies, and daily operational discipline. After more than 25 years helping trucking entrepreneurs launch, scale, and stay compliant, we have seen that carriers rarely fail because they do not care about safety. They fail because their records and processes are not organized before the audit notice arrives.

What Is a DOT Safety Audit?

A DOT Safety Audit is a review of a motor carrier’s records and safety management controls. The purpose is to verify that the carrier can comply with applicable Federal Motor Carrier Safety Regulations, Hazardous Materials Regulations, and recordkeeping requirements. FMCSA states that motor carriers must undergo a Safety Audit within the first 12 months of operations to complete the New Entrant Program.

In practical terms, the audit answers one question: does this carrier have the systems needed to operate safely and legally?

The auditor may review records related to drivers, vehicles, insurance, accidents, Drug and Alcohol testing, Hours of Service, maintenance, hazardous materials, and company safety procedures. FMCSA’s Safety Audit Resource Guide explains that the audit helps identify documents auditors may request to verify compliance with FMCSRs and HMRs.

What the FMCSA New Entrant Safety Audit Is Designed to Review

The Safety Audit is focused on whether the carrier has basic safety management controls. These controls are the policies, records, procedures, and internal checks that help prevent violations before they occur.

A proper audit preparation process should review, at a minimum:

• Driver Qualification Files.
• CDL and medical certification records.
• Motor Vehicle Records.
• Hours of Service and ELD records.
• Supporting documents such as fuel receipts, toll records, trip sheets, and bills of lading.
• Vehicle maintenance and inspection files.
• Drug and Alcohol testing program records.
• Clearinghouse query records.
• Accident register.
• Proof of insurance.
• Hazardous materials documents, if applicable.
• Safety policies and internal procedures.

A Safety Audit may include a review of safety data, motor carrier documents, and an interview with the carrier’s safety official.

Who Needs an FMCSA New Entrant Safety Audit?

A New Entrant Safety Audit applies to new motor carriers subject to FMCSA oversight. This usually includes interstate carriers that recently obtained operating authority or a USDOT number and are operating commercial motor vehicles under FMCSA jurisdiction.

This may include:

• For-hire trucking companies.
• Private motor carriers.
• Owner-operators with one truck.
• Small fleet operators.
• Passenger carriers such as buses, shuttles, and motorcoach companies.
• Household goods movers.
• Hazardous materials carriers.
• Larger new fleets are building a formal compliance department.

The audit requirement matters whether the carrier has one truck or fifty. The scale of the operation may change the complexity of preparation, but the carrier still needs organized compliance controls.

Is a DOT Safety Audit the Same as a DOT Compliance Review?

No. A DOT Safety Audit and a DOT Compliance Review are related but not the same.

A Safety Audit is generally tied to the New Entrant Program and focuses on whether the new carrier has basic safety controls. A Compliance Review or Compliance Investigation is usually broader and may occur when FMCSA safety data indicates problems. FMCSA notes that Safety Audits generally occur within the first 12 months of operations, while Compliance Reviews or interventions may occur at any time when safety data indicates issues.

For a new carrier, the Safety Audit is the first major test. A Compliance Review may be more extensive and may carry additional consequences related to ratings, enforcement, or operational risk.

How the FMCSA New Entrant Safety Audit Process Works

The FMCSA New Entrant Safety Audit process generally begins when the carrier receives notice that it has been selected for audit. The notice will explain whether the audit will be conducted off-site, on-site, or through another approved process.

When New Motor Carriers Should Expect the Audit

FMCSA states that motor carriers must undergo a Safety Audit within the first 12 months of operations to complete the New Entrant Program.

Carriers should not wait until receiving the audit notice to begin preparing. By that point, the auditor may request documents covering past operations, not just documents created after the notice.

In our experience, the carriers that feel most confident during an audit are the ones that treat compliance as an operating system from day one. They maintain driver files as drivers are hired, update vehicle maintenance files as work is completed, review Hours of Service records routinely, and keep Drug and Alcohol program documentation current.

Off-Site vs. On-Site FMCSA Safety Audit

An FMCSA Safety Audit may be conducted on-site or off-site. The CSA Safety Planner explains that the audit may occur at the carrier’s place of business, at an agreed-upon location, or electronically by submitting relevant documents online or by fax.

FMCSA’s New Entrant Web System is used by carriers selected for an Offsite Safety Audit to submit requested documents, and safety auditors use the same system to review documents and communicate with the carrier.

How Long Does a New Entrant Safety Audit Take from Start to Finish

The exact timeline depends on the carrier’s size, the type of audit, the completeness of records, and whether the auditor requests additional documentation. A small owner-operator with clean records may move through the process faster than a multi-truck carrier with several drivers, vehicles, accidents, roadside inspections, or complex operations.

The actual document review may be relatively focused, but the full process can include:

1. Receiving the audit notice.
2. Reviewing the document request.
3. Gathering and organizing records.
4. Uploading or presenting documents.
5. Responding to additional auditor questions.
6. Receiving pass/fail results.
7. Submit a Corrective Action Plan if the audit fails.
8. Continuing through the New Entrant period until FMCSA grants permanent authority, if safe.

The preparation should begin long before the notice. A carrier that starts building records only after being contacted by FMCSA is already at a disadvantage.

What Happens If You Miss Your Scheduled FMCSA Audit?

A missed audit should be treated as urgent. Carriers should not ignore an audit notice, email, phone call, or document request from FMCSA or a state partner.

If a carrier misses a scheduled audit or cannot meet a deadline, the responsible person should immediately:

• Review the original notice.
• Contact the auditor or agency contact listed in the notice.
• Explain the issue professionally.
• Request instructions for rescheduling or submitting documents.
• Document all communications.
• Gather the requested records without delay.

Failure to respond can create serious compliance risk. FMCSA’s New Entrant training specifically includes information about contact letters and what happens if a carrier does not respond.

What Happens After You Pass the Safety Audit?

Passing the Safety Audit is a major milestone, but it does not mean the carrier can relax its compliance controls. FMCSA monitors New Entrants through roadside inspections and other safety data, and grants permanent authority if the carrier operates safely.

The better approach is to treat the audit as the foundation of a long-term compliance program. Once the audit is passed, the carrier should continue reviewing driver files, monitoring CSA performance, keeping maintenance documentation current, managing Hours of Service, and maintaining Drug and Alcohol program compliance.

Complete DOT Safety Audit Checklist for New Carriers

A strong DOT Safety Audit checklist should be organized around the categories auditors are most likely to review: drivers, vehicles, carrier-level programs, insurance, safety policies, and special operations.

FMCSA’s Safety Audit Resource Guide identifies driver-related, vehicle-related, and carrier/programmatic documents that may be requested during a Safety Audit.

Driver Qualification File Requirements

The Driver Qualification File, or DQF, is one of the most important areas of audit preparation. New carriers often underestimate how much documentation must be collected, verified, and retained.

A DQF should generally include:

• Driver application.
• Copy of CDL, if applicable.
• Motor Vehicle Record.
• Medical Examiner’s Certificate.
• Road test certificate or equivalent documentation.
• Previous employer safety performance history, when applicable.
• Annual review documentation, when required.
• Driver qualification forms and acknowledgments.
• Any required endorsements or credentials.

For an owner-operator, this may feel unnecessary because the driver and business owner are often the same person. However, the compliance obligation still applies. A one-truck carrier must still prove that the driver is qualified.

Hours of Service and ELD Compliance Records

Hours of Service compliance is another major audit area. Carriers should be ready to provide Records of Duty Status, ELD records when required, and supporting documentation.

FMCSA’s Safety Audit Resource Guide notes that motor carriers may be asked to submit supporting documents for drivers’ records of duty status, such as toll records, fuel receipts, bills of lading, trip reports, or similar documents.

A good preparation file should include:

• ELD records.
• Records of Duty Status.
• Supporting documents.
• Unassigned driving review process.
• Personal conveyance and yard move policies, if applicable.
• Procedures for correcting or annotating logs.
• HOS violation review process.

A carrier should not wait for the audit to discover whether logs match trips, fuel, tolls, and bills of lading. These records should be reviewed as part of normal operations.

Vehicle Maintenance and Inspection Records

Vehicle maintenance records should show that the carrier has a process for keeping commercial motor vehicles safe and compliant.

Prepare records such as:

• Vehicle list.
• Maintenance files for each unit.
• Annual inspections.
• Repair invoices.
• Preventive maintenance schedules.
• Driver Vehicle Inspection Reports, if applicable.
• Documentation of repairs for defects.
• Lease agreements or ownership records, if relevant.

FMCSA’s New Entrant materials state that New Entrants must conduct periodic inspections and perform maintenance on commercial motor vehicles.

Drug and Alcohol Program and Clearinghouse Requirements

Carriers operating CDL vehicles subject to DOT Drug and Alcohol testing requirements must maintain a compliant testing program. The Drug and Alcohol Clearinghouse is a secure online database that provides real-time information about CDL and CLP holders’ drug and alcohol program violations.

The Clearinghouse helps employers identify drivers who are prohibited from operating a commercial motor vehicle based on DOT drug and alcohol violations.

Audit preparation should include:

• Drug and Alcohol Testing Policy.
• Enrollment in a compliant testing program or consortium, if applicable.
• Pre-employment test records.
• Random testing records.
• Post-accident, reasonable suspicion, return-to-duty, and follow-up records, if applicable.
• Clearinghouse query records.
• Driver consent documentation.
• Supervisor reasonable suspicion training records, if applicable.
• Educational materials provided to drivers.

FMCSA’s CSA Safety Planner states that employers are required to make known to employees the policies and procedures on drug and alcohol misuse, and that a compliant policy is the foundation of an effective program.

Accident Register and Safety Policies

Carriers should maintain an accident register and supporting documentation for reportable crashes. Even if a new carrier has had no accidents, it should still have a process for documenting, reviewing, and responding to incidents.

Recommended records include:

• Accident register.
• Crash reports.
• Insurance claim documentation.
• Internal incident review notes.
• Corrective action records.
• Driver retraining documentation, if applicable.
• Written safety policies.

Proof of Insurance and New Entrant Coverage Requirements

Proof of insurance is a carrier-level record that should be organized before the audit. Insurance is not only a business protection tool; it is also a compliance requirement for operating authority and financial responsibility.

At Simplex Group, we look at insurance as part of the same operational ecosystem as compliance and safety. A carrier preparing for a DOT Safety Audit should verify that its insurance records match its authority, operations, cargo, equipment, and filings.

Hazardous Materials Documentation, If Applicable

Hazmat carriers must prepare additional documentation. FMCSA’s guidebook includes hazardous materials shipping papers among documents that may be relevant to the Safety Audit.

Depending on the operation, hazmat carriers may need:

• Shipping papers.
• Hazmat registration, if applicable.
• Training records.
• Security plan, if required.
• Emergency response information.
• Proper placarding procedures.
• Driver endorsements.
• Incident reporting procedures.

Hazmat operations add complexity. A carrier transporting hazardous materials should not rely on a generic trucking checklist alone.

Special Safety Audit Requirements by Carrier Type

Not every carrier operates the same way. That is why audit preparation should be tailored to the business model.

At Simplex Group, we understand that every carrier operates differently. A one-truck owner-operator does not need the same support structure as a 50-truck fleet, but both need clean records, clear responsibilities, and a plan before the audit notice arrives.

Owner-Operators with One Truck

An owner-operator may be able to pass a DOT Safety Audit without hiring a dedicated safety director, but that does not mean preparation can be informal.

A one-truck owner-operator should focus on:

• Personal Driver Qualification File.
• Medical card and CDL validity.
• ELD or logbook records.
• Supporting documents.
• Maintenance file for the truck and trailer.
• Annual inspection.
• Drug and Alcohol program participation, if applicable.
• Insurance proof.
• Accident register, even if there are no accidents.
• Clear process for retaining documents.

The biggest risk for owner-operators is assuming that “small” means “exempt.” In most cases, small simply means the owner is personally responsible for every compliance function.

Small Fleet Business Owners

Small fleets should establish a repeatable process. The owner or operations manager should know who is responsible for driver files, vehicle files, HOS review, maintenance documentation, Drug and Alcohol compliance, and audit communications.

A small fleet should prepare:

• A master driver list.
• A master vehicle list.
• DQF checklist per driver.
• Maintenance checklist per unit.
• HOS review process.
• Drug and Alcohol program records.
• Insurance records.
• Accident register.
• Safety meeting or corrective action documentation.

50-Truck Fleets and Compliance Managers

A 50-truck fleet needs more than a folder of documents. It needs a controlled compliance system.

A compliance manager preparing a larger fleet should review:

• Driver file completeness by driver.
• Maintain file completeness by unit.
• Expiring credentials.
• ELD violations and trends.
• Supporting document matching.
• Random testing pool compliance.
• Clearinghouse query completion.
• Accident history.
• CSA BASICs and roadside inspection patterns.
• Corrective action documentation.
• Internal audit reports.
• Training records.

For this type of operation, a mock audit can be extremely valuable because it identifies gaps before the official audit.

Passenger Carriers: Bus, Shuttle, and Motorcoach Operations

Passenger carriers often face heightened scrutiny because they transport people. These operations should pay close attention to:

• Driver qualification.
• CDL passenger endorsements.
• Medical qualification.
• Vehicle inspection and maintenance.
• Hours of Service compliance.
• Accident procedures.
• Insurance and financial responsibility.
• Emergency and safety policies.

Passenger carriers should prepare early and thoroughly. The operational risk is higher, and safety expectations are significant.

Hazmat Carriers

Hazmat carriers need to prepare standard audit records plus hazmat-specific documentation. This may include shipping papers, training records, placarding procedures, emergency response information, endorsements, and applicable registrations.

A hazmat carrier should also verify that employees understand their responsibilities. Having documents is not enough if the operational process does not match the records.

Interstate Moving Companies and Household Goods Carriers

Household goods carriers should prepare the standard safety records while also keeping close control of consumer protection, operating authority, insurance, bills of lading, estimates, and shipment documentation.

For HHG carriers, audit preparation should not be limited to equipment and driver files. The business must also maintain professional processes around customer moves, documentation, and regulatory responsibilities.

Common Reasons Carriers Fail an FMCSA New Entrant Safety Audit

Carriers usually fail Safety Audits because they do not have documented safety controls. In many cases, the business may be operating every day, but the records do not prove compliance.

FMCSA materials explain that certain violations can cause automatic failure, and that a failed audit may require corrective action to avoid revocation of registration.

Missing or Incomplete Driver Qualification Files

Common DQF problems include:

• No driver application.
• Missing MVR.
• Expired medical certificate.
• Missing CDL copy.
• Missing previous employer checks.
• No annual review process.
• Files not organized by driver.
• Owner-operator assuming a DQF is not required.

A driver may be perfectly qualified, but if the carrier cannot produce the required records, the audit risk remains.

Hours of Service, ELD, and Supporting Document Issues

Common HOS and ELD issues include:

• Missing logs.
• Incomplete Records of Duty Status.
• Failure to retain supporting documents.
• ELD records not reviewed.
• Unassigned driving is not addressed.
• False or inconsistent logs.
• No process for handling edits and annotations.

FMCSA auditors may review supporting documents such as fuel receipts, toll records, bills of lading, and trip reports to verify duty status records.

Drug and Alcohol Testing Program Violations

Drug and Alcohol compliance failures can be serious. Common issues include:

• No DOT-compliant program.
• Missing pre-employment tests.
• No random testing pool.
• Missing Clearinghouse queries.
• Lack of driver consent records.
• No written policy.
• No supervisor training is required.
• Allowing a prohibited driver to operate.

The Clearinghouse exists to help identify drivers who are prohibited from operating due to drug and alcohol violations.

Vehicle Maintenance Record Problems

Common maintenance problems include:

• No vehicle maintenance file.
• Missing annual inspection.
• No repair documentation.
• No preventive maintenance schedule.
• Defects noted, but no proof of repair.
• Vehicle list not current.
• Trailer records missing.

Vehicle safety is one of the clearest indicators of whether a carrier is managing risk properly.

Automatic Failure Violations

FMCSA’s New Entrant materials identify automatic failure violations related to serious issues such as using a driver without a valid CDL, using a disqualified driver, using a medically unqualified driver, operating without required insurance, failing to require Hours of Service records, and certain drug and alcohol violations.

Automatic failure issues should be treated as critical. These are not minor paperwork gaps; they can indicate that the carrier lacks basic safety controls.

What Happens If You Fail a DOT Safety Audit?

Failing a DOT Safety Audit can have serious consequences. FMCSA has stated that if a company fails its New Entrant Safety Audit, it may result in revocation of the carrier’s registration unless the carrier takes necessary corrective action within the period established by FMCSA.

Consequences of Failing an FMCSA Safety Audit

Possible consequences may include:

• Required Corrective Action Plan.
• Increased FMCSA attention.
• Registration revocation risk.
• Operational disruption.
• Loss of customer confidence.
• Insurance and business risk.
• Need to re-register after revocation, depending on the case.

A failed audit should never be ignored. The carrier should immediately identify the failure areas, gather supporting documentation, correct policies and procedures, and respond within the required timeframe.

Corrective Action Plan Process After a Failed Safety Audit

A Corrective Action Plan, or CAP, is the carrier’s documented response showing how it corrected the deficiencies that caused the failed audit.

FMCSA provides guidance on submitting a CAP for a failed Safety Audit, and its New Entrant training includes what a CAP is, how the process works, and how to reregister after revocation.

A strong CAP should include:

• Clear identification of each violation.
• Explanation of corrective steps taken.
• Updated policies and procedures.
• Supporting documents.
• Training records, if applicable.
• Proof that the correction has been implemented.
• A plan to prevent recurrence.

The CAP should not be treated as a letter of apology. It should be a structured compliance response.

Can a Carrier Continue Operating After Failing?

Whether a carrier can continue operating depends on the specific circumstances, FMCSA instructions, deadlines, and whether corrective action is accepted. Because a failed audit can lead to revocation if not corrected properly, the carrier should act immediately and follow FMCSA’s instructions.

This is one area where professional compliance support can make a significant difference. A poorly prepared CAP may not resolve the underlying issue.

DOT Safety Audit vs. Other DOT Inspections and Reviews

Many carriers confuse Safety Audits with Compliance Reviews, roadside inspections, or state/port inspections. These processes are different.

FMCSA Safety Audit vs. DOT Compliance Review

A Safety Audit is typically tied to the New Entrant Program. A Compliance Review or Compliance Investigation may occur when FMCSA safety data indicates problems. FMCSA’s New Entrant materials note that Compliance Reviews or interventions can occur at any time when safety data indicates issues.

FMCSA Safety Audit vs. Roadside Inspection

A roadside inspection happens during operations, often at a scale, roadside stop, or inspection station. It focuses on the driver, vehicle, credentials, HOS, and immediate safety condition.

A Safety Audit is more comprehensive in terms of records and safety management controls. Roadside inspections can still matter to new entrants because FMCSA monitors safety performance through roadside inspections during the New Entrant period.

FMCSA Safety Audit vs. State or Port Authority Inspection

State or port inspections may focus on permits, credentials, size and weight, vehicle condition, taxes, or other jurisdiction-specific requirements. These inspections can affect daily operations, but they are not the same as an FMCSA New Entrant Safety Audit.

How CSA Scores Can Affect New Entrant Carriers

CSA scores and Safety Audits are not the same thing. However, roadside inspection data, crashes, and safety performance can affect how a carrier is viewed from a risk perspective.

FMCSA’s New Entrant training includes the Safety Measurement System and BASICs as part of monitoring safety compliance.

For new carriers, CSA monitoring should start early. Waiting until violations accumulate can make corrective action more difficult.

How to Prepare for an FMCSA New Entrant Safety Audit Step by Step

The best way to prepare for a DOT Safety Audit is to build the audit file before the audit is scheduled.

Step 1: Review Your FMCSA Audit Notice Carefully

When the notice arrives, read it immediately. Identify:

• Audit type.
• Deadline.
• Auditor contact.
• Required documents.
• Submission method.
• Time period covered.
• Any special instructions.

Do not assume the request is generic. Follow the specific instructions in the notice.

Step 2: Organize Driver, Vehicle, and Carrier Records

Create separate folders for:

• Driver Qualification Files.
• HOS and ELD records.
• Supporting documents.
• Vehicle maintenance files.
• Drug and Alcohol records.
• Insurance.
• Accident register.
• Safety policies.
• Hazmat, passenger, or HHG records, if applicable.

Label files clearly. A disorganized submission creates unnecessary risk.

Step 3: Check Drug and Alcohol Clearinghouse Compliance

Verify that:

• The company is registered when required.
• Required queries are completed.
• Driver consent records are retained.
• Testing records are available.
• The written policy is current.
• Prohibited drivers are not operating.

Step 4: Review HOS, ELD, and Supporting Documents

Compare ELD records against:

• Fuel receipts.
• Toll records.
• Bills of lading.
• Dispatch records.
• Trip sheets.
• Delivery records.

The goal is to identify inconsistencies before the auditor does.

Step 5: Run a Mock DOT Safety Audit

A mock audit helps identify missing documents, weak policies, and operational gaps before the official audit.

At Simplex Group, mock audits are one of the most practical ways to help carriers understand their risk. The goal is not only to pass the audit, but to build a system that continues working after the audit is complete.

Step 6: Upload Documents to the FMCSA Safety Audit Website

For an off-site audit, the carrier may need to submit documents electronically through the system identified by FMCSA. The New Entrant Web System is used by carriers selected for Offsite Safety Audits to submit requested documents, and auditors use it to review documents and communicate with the carrier.

Before uploading:

• Confirm the document request.
• Scan files clearly.
• Use logical file names.
• Avoid duplicate or incomplete files.
• Confirm dates and coverage periods.
• Keep copies of everything submitted.
• Track all communications.

Do not upload random documents without reviewing them. The submission should be complete, accurate, and organized.

Self-Managed Audit Preparation vs. Hiring a DOT Consultant

Some carriers can prepare internally. Others benefit from professional compliance support. The right approach depends on the carrier’s size, complexity, experience, and risk level.

Can an Owner-Operator Pass Without a Dedicated Safety Director?

Yes, an owner-operator can pass without a dedicated safety director if the carrier understands the requirements and maintains complete records. However, the owner must be disciplined.

The owner-operator is responsible for:

• Driver qualification.
• HOS compliance.
• Vehicle maintenance.
• Drug and Alcohol compliance, if applicable.
• Insurance.
• Accident records.
• Audit response.

A self-managed approach can work when the carrier has simple operations and strong recordkeeping.

When Self-Service Compliance Tools May Be Enough

Self-service tools may be enough when:

• The carrier has one or a few drivers.
• Operations are straightforward.
• Records are already organized.
• There are no significant roadside violations.
• There are no crashes or complex enforcement issues.
• The owner understands FMCSA requirements.

This is where a structured platform or guided compliance system can help a carrier stay organized without full outsourcing.

When to Consider Expert DOT Compliance Support

A carrier should consider professional support when:

• Records are incomplete.
• The audit notice has already arrived.
• Drivers or vehicles were added quickly.
• There are HOS or ELD concerns.
• Drug and Alcohol records are unclear.
• The carrier transports passengers or hazmat.
• The business has roadside violations or crashes.
• The carrier already failed the audit.
• A CAP is required.
• Management does not have time to prepare internally.

Professional support is not about replacing responsibility. It is about helping the carrier build the right compliance structure.

How Simplex Group Helps Carriers Prepare for a DOT Safety Audit

A DOT Safety Audit touches nearly every part of a motor carrier’s operation. Compliance, permitting, insurance, safety, tax reporting, and freight operations all work together. That is why Simplex Group supports carriers with a broader operational approach, not just a one-time document review.

For more than 25 years, Simplex Group has helped trucking entrepreneurs nationwide launch, scale, and stay compliant. Our role is to help carriers protect their authority, reduce risk, improve safety performance, and stay focused on the road ahead.

Compliance Suite Support for Different Fleet Sizes

Simplex Group’s Compliance Suite is designed to meet carriers where they are. A one-truck owner-operator, a growing small fleet, and a larger operation with a compliance manager do not need the exact same level of support.

The common goal is the same: keep records accurate, monitor compliance, reduce exposure, and prepare before problems become urgent.

Simplex Hub, Essentials Program, and Managed Program

Simplex offers three levels of compliance support:

This structure allows carriers to choose the level of support that fits their operation.

Mock Audits, CSA Monitoring, DQF Management, and HOS Support

Simplex can support key areas connected to DOT Safety Audit readiness, including:

• Mock DOT Safety Audits.
• Driver Qualification File management.
• CSA monitoring.
• HOS management.
• Compliance support.
• Insurance coordination through Simplex Insurance.
• Broader operational support through related Simplex divisions.

The objective is not simply to help carriers respond to an audit. The objective is to help build a safer and more compliant operation.

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