New Entrant Safety Audit Checklist

What the DOT New Entrant Safety Audit is and how it works

The New Entrant Safety Audit is a one-time review conducted by FMCSA (or a state partner) to verify that your company has fundamental safety management controls in place. It typically occurs within the first 12 months of beginning interstate operations and sits within an 18-month monitoring period in which FMCSA evaluates your safety performance. If you pass, your operating authority continues; if you fail and do not correct deficiencies, FMCSA may revoke your U.S. DOT registration.

Audits can be performed on-site or remotely. Expect document sampling, process walkthroughs, and clarifying questions aimed at confirming your ability to maintain compliant operations (driver qualifications, HOS/ELD, vehicle inspections/maintenance, insurance, and accident tracking).

In our practice at Simplex Group, we prepare carriers so the audit becomes a confirmation of their compliance posture. Our compliance, permitting, and tax reporting teams align documentation, deadlines, and filings well before FMCSA makes first contact.

Key Milestones

• Audit window: generally within 12 months after operations begin.
• Monitoring: the first 18 months include oversight via roadside inspections and safety data.
• Outcome: pass and continue under monitoring; fail and you must implement corrective actions or risk revocation. 

On-site vs. electronic

• On-site: investigator visits your principal place of business; records are reviewed on premises.
• Electronic: you upload requested files to the designated system (e.g., ELD data via FMCSA’s NEWS portal when instructed). Prepare clean, clearly named PDFs/CSVs and ensure your ELD vendor supports compliant data transfer workflows. 

The “red flags” to avoid

FMCSA will automatically fail a New Entrant Safety Audit for specific categories of violations:

• Alcohol & drug testing: no program, no random testing, using a driver who refused testing, using a driver at BAC ≥ 0.04, or failing to complete required follow-up after a positive result.
• Driver violations: knowingly using a driver without a valid CDL, a disqualified driver, a driver with a revoked or suspended or cancelled CDL, or a medically unqualified driver.
• Operations: operating without required levels of insurance or failing to require hours-of-service records.
• Repairs & inspections: operating a vehicle declared Out-of-Service before repairs, failing to perform OOS repairs noted in DVIRs, or operating a CMV not periodically inspected.

Our Simplex Group Insurance division routinely verifies active coverage, appropriate limits, and MCS-90 endorsements before an audit window opens, closing one of the most common gaps that can trigger an automatic failure.

The audit checklist by area

Below is a structured, audit-ready checklist aligned to FMCSA’s document expectations. Use it as your internal control list.

FAQs