New Entrant Safety Audit: What FMCSA Checks in Your First Year

You got your new USDOT number, and you are ready to run. But there is one more thing coming: a safety audit from FMCSA. If you are a new carrier, this is the new entrant safety audit. Knowing what it is early can help you be ready. FMCSA stands for the Federal Motor Carrier Safety Administration. It is the federal agency that oversees trucking safety.

What the new entrant safety audit is

The New Entrant Safety Assurance Program is how FMCSA keeps an eye on carriers that are new. After a new carrier finishes all the start-up steps, FMCSA watches it for 18 months. During that time, FMCSA checks whether the new carrier has basic safety management controls in place. In plain words, that means: do you have real systems to run your business safely and follow the rules?

When the new entrant safety audit happens

The audit is generally done between 1 and 12 months after you start operating. FMCSA waits until you have enough records to look at. That is generally at least 3 months of operation. So plan on the audit coming in your first year, and do not wait for the letter to start getting your papers in order.

What FMCSA looks at

An auditor asks to see how you run your business. Expect questions about your records in areas like these:

• Drivers. Do your drivers have valid licenses? Are they medically qualified? Do you keep a driver qualification file? Our article on the driver qualification file explains this file.
• Drug and alcohol testing. Do you have a testing program in place for CDL drivers?
• Hours of service. Do you require your drivers to keep records of their duty status?
• Insurance. Do you carry at least the minimum required insurance?
• Vehicles. Are your trucks and trailers maintained, and do you have periodic inspection records?

Violations that fail the audit right away

Some problems are serious enough that they fail the audit automatically. Under the federal rule for new entrants, these include:

• No alcohol and controlled substance testing program.
• Using a driver who refused a test or tested positive.
• Using a driver without a valid CDL, or a driver who is disqualified or not medically qualified.
• Operating without the minimum required insurance.
• Operating a vehicle that was put out of service, or not fixing out-of-service problems before operating.
• Not having a required periodic inspection.
• Not requiring drivers to keep records of duty status.

These are only the main groups. Read the full rule in 49 CFR 385.321, or ask us to help you check it against your own records. It is much easier to fix a gap in your files today than after an auditor finds it.

How you get your results

FMCSA sends you the result in writing. It must do so as soon as it can, and no later than 45 days after the audit is done. The letter says whether your safety management controls are adequate or not. If they are not, the letter explains what happens next.

Mistakes to avoid

• Waiting for the letter to get organized. Start your files on day one, even before your first load.
• Missing the driver file. Owner-operators need one too.
• Skipping the drug testing program. It is one of the automatic-fail items.
• Forgetting your insurance must stay active. A lapse can hurt you.
• Not keeping inspection and hours-of-service records. If it is not written down, an auditor may treat it as if it did not happen.

Our new entrant safety audit guide has more detail for your first year.

When to call us

TCZ Permits builds your whole file, so your papers are ready when FMCSA asks. Call us at 956-526-6727. We cannot promise you will pass an audit, since that depends on your records and how you run your business. But a complete file helps you go in prepared.

Common questions

How long is the new entrant period? It is 18 months after you finish the start-up requirements.

When will my safety audit happen? Generally between 1 and 12 months after you start operating, once you have enough records for FMCSA to review.

How fast will I get my results? FMCSA sends written notice as soon as it can, and no later than 45 days after the audit is finished.