The New Entrant Safety Audit is FMCSA’s one-time compliance check for new motor carriers operating under a new USDOT number, designed to confirm you have the basic safety systems required by federal law (driver qualification, drug & alcohol/Clearinghouse, HOS/ELD, maintenance, insurance, and accident tracking) in place and actually being used.
It typically takes place around months 9–12 after your authority goes active (sometimes later due to state backlog), and it matters because passing moves you out of new-entrant status while failing can trigger a corrective action plan—or even put your authority at risk if you don’t fix issues fast.
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What is the New Entrant Safety Audit?
The DOT new entrant safety audit examines a new trucking company’s compliance with various FMCSA regulations.
These reviews are more focused on educating companies about proper safety controls. These differ from an FMCSA Safety Audit or “compliance review” of a trucking company. They are much less intrusive and don’t result in the assignment of an FMCSA safety rating.
During the audit, investigators request a list of compliance documents. These documents cover different compliance areas like Vehicle Maintenance, Driver Qualification Files, Drug and Alcohol Testing and Hours of Service. Basically, they are checking each of the major areas of fleet safety management. Before this review, you can conduct a mock DOT audit on your company to make sure that you’re prepared.
What Causes an Automatic Fail in a New Entrant Safety Audit?
During a New Entrant Safety Audit, certain gaps are considered critical failures. If an auditor finds any of these, you can fail the audit even if everything else looks good:
- No DOT drug & alcohol testing program or Clearinghouse compliance.
If you can’t prove you’re enrolled in a compliant DOT drug/alcohol program and running required Clearinghouse queries, that’s a major red flag. - Missing Driver Qualification File (DQF) essentials.
Incomplete or missing driver applications, MVRs, medical cards, road tests, or other required DQF items can trigger an automatic fail. - No Hours of Service (HOS) / ELD records and supporting documents.
If you can’t produce a full month of logs (and matching supporting docs like BOLs, fuel, dispatch records, etc.), the audit will usually fail. - No vehicle inspection or maintenance files.
Auditors expect proof of regular inspections, repairs, and maintenance. Missing DVIRs or maintenance records is a common fail point. - No accident register (even if you’ve had zero crashes).
You must have an accident register on file. If there have been no accidents, it should still show “none” for the required period. - Operating without required insurance proof.
If your insurance filings aren’t active or you can’t prove required coverage under your authority, the audit can’t be passed.
Bottom line: These aren’t “nice to have” documents — they’re the core compliance pillars FMCSA uses to decide whether a new entrant is safe to stay in business.
Grab your free DOT New Entrant Safety Audit Checklist Here!
What to Expect during the New Entrant Safety Audit
Within the first 9-12 months after activating your authority, expect a call or email from your State DOT. You may be skeptical because some DOT compliance services may contact you about this.
But, this is the real deal! Please reply to the auditor ASAP!!
(You can also hire a DOT compliance company to help with this entire process too!)
Once you respond, they’ll ask that you send your compliance information through your FMCSA SMS portal. So, make sure you have your DOT PIN handy! These audits are almost always completed over the phone and online. Some states like to meet with new carriers in person, usually at an area hotel.
Check out our New Entrant Safety Audit video here!
New Entrant Safety Audit Login
If you’re trying to get your New Entrant Safety Audit login information, here is the link to the FMCSA’s New Entrant Safety Audit website. If you’re audit is going to be done remotely, the FMCSA provided you with login information in their email or letter to you. Did you lose that letter or email? No worries! Just click here to create or access your Login.gov account.
Preparing for the FMCSA New Entrant Safety Audit
Preparing for the New Entrant Safety Audit is pretty straightforward. The hardest part of the audit is gathering your compliance information to submit.
Be sure to have already registered for the DOT Clearinghouse and conduct your pre-employment (and annual queries, if they’re due). The DOT investigator will have access to this information beforehand, so beware of a potential land mine here.
Also, you must send in one month worth of ELD records for 1 driver. This will have to be from the last 6 months. To submit your ELD records, you have to go into your ELD system and forward 1 month worth of ELD data to the FMCSA using a special code that the DOT auditor will give you.
Also, make sure that you have all of your HOS supporting documents! You’ll have to submit these for one driver for one of the last 6 months. (It has to be the same month for the ELD logs that you’ll submit to them as well).
Prevent future DOT audits by avoiding these 5 Deadly DOT Violations!
New Entrant Safety Audit: Required Documents
Here are some other items that the auditors are going to ask for during this safety audit:
- Active Driver’s List
- Active Vehicle List
- Annual DOT Inspection for 1 truck
- Copy of CDL for 1 driver
- Copy of medical certificate for 1 driver
- one driver’s pre-hire MVR
- one driver’s negative pre-employment drug test
- Proof of enrollment in a Drug and Alcohol Testing program
- Your DOT Accident Register
- Your MCS-90 form endorsement (your proof of liability insurance)
Pro Tip: Your MCS-90 can be found in the first 10 or so pages of your actual liability insurance policy. If you don’t want to go digging for it, you can request a copy from your insurance agency and they can send one over to you.
Don’t wait until the auditor calls to pull these records together. Most new entrants get tripped up by missing HOS support, incomplete DQ files, or gaps in maintenance documentation. If you can organize everything before you log into the portal, the audit becomes a simple upload—not a scramble.
Want an easy way to prep? Grab our New Entrant Safety Audit Checklist and use it to confirm you have every file the auditor is going to request (before the clock starts).
Download the New Entrant Audit Checklist
What to Expect in a Remote New Entrant Safety Audit (Step-by-Step)
- FMCSA or your state partner agency contacts you.
You’ll usually get a phone call, email, or letter letting you know it’s time for your New Entrant Safety Audit. - Confirm the request is legitimate and respond quickly.
It’s normal to feel skeptical because third-party compliance companies also call carriers about audits—but if the contact is from FMCSA or a state DOT partner, it’s real. Reply ASAP so you don’t miss deadlines. - Log into the FMCSA New Entrant Audit portal.
The auditor will direct you to upload documents through the FMCSA SMS/New Entrant portal. Have your DOT PIN ready because you may need it to access the system. - Upload the compliance documents they request.
The audit is mostly a records review. You’ll submit items tied to driver qualification, drug/alcohol testing, HOS, maintenance, insurance, and your accident register. - Send one month of ELD logs for one driver (from the last 6 months).
You’ll need to transfer a full month of ELD data for a driver, and that month must be within the last six months. - Transfer the ELD data using the auditor’s special code.
Inside your ELD system, you’ll forward that month of logs to FMCSA using a code the auditor provides. - Submit matching HOS supporting documents for the same month.
Be ready to upload supporting documents (fuel, BOLs, dispatch records, etc.) for that same driver and same month. - Complete any follow-ups.
If the auditor needs clarification or a missing document, they’ll contact you to wrap up the file review. Most audits are handled over phone and online. - Receive your closeout notice and status update.
Once the review is complete, you’ll get a closeout letter letting you know whether you passed or if FMCSA needs corrective action.
What Happens After Your New Entrant Safety Audit?
If you PASS the New Entrant Safety Audit:
- Your new entrant status is closed out. You move into standard “permanent” operating status under FMCSA monitoring.
- Yes, you’ll get a closeout letter. It confirms you passed and that your New Entrant requirements have been satisfied.
- You’re still monitored going forward. Passing doesn’t mean FMCSA stops watching your safety performance — inspections, crashes, and BASIC scores still matter. Think of the audit as your “entry exam,” not the end of enforcement.
If you FAIL the New Entrant Safety Audit:
- FMCSA will require corrective action. You’ll receive notice explaining what was missing or non-compliant.
- You must submit a Corrective Action Plan (CAP). This is your written proof that you fixed the violations. That usually includes updated policies, training records, missing files, and any supporting documentation the auditor requests.
- There’s a deadline. The notice will give you a firm timeline to submit the CAP. Missing that deadline can lead to your authority being revoked.
- You may be re-audited. FMCSA or the state partner can schedule a follow-up review to verify the corrections.
Bottom line: Passing closes out your new entrant phase, but safety monitoring continues. Failing isn’t always the end — but you must respond fast, fix the specific issues, and submit a solid CAP on time to avoid being put out of service.
New Entrant Safety Audit: FAQs
What is a New Entrant Safety Audit?
It’s a one-time FMCSA compliance review for new carriers. The New Entrant Safety Audit typically happens within your first year under a new USDOT number to confirm you have basic safety management controls in place and you’re complying with key federal regulations.
When will my company be audited?
Most new entrants are audited around months 9–12 after authority goes active. You’ll be notified by phone, email, or mail from FMCSA or a state partner agency. In some cases, audits can occur closer to 18 months depending on state backlog.
What documents do I need to prepare?
FMCSA is looking for proof that your safety systems are real and working. Be ready to provide records for: driver qualification files, drug & alcohol testing/Clearinghouse, HOS/ELD logs and supporting docs, vehicle inspection/maintenance files, proof of insurance, and an accident register. Having these organized before the portal opens makes the audit much smoother.
Can I fail a New Entrant Safety Audit?
Yes — and a failure can lead to your authority being shut down. If FMCSA finds serious violations or missing safety systems, they’ll issue a Notice of Audit Failure. Most carriers get a chance to submit corrective action within a specific timeframe, but deadlines are strict.
How can I prepare for the audit?
Prepare early and treat it like a real compliance test. Organize your records, review FMCSA requirements, and fix gaps before you’re contacted. Many carriers use a mock audit or a New Entrant Safety Audit checklist to confirm everything is ready before the real review.
Can I reschedule a New Entrant Safety Audit?
Usually yes — if you contact the auditor immediately. If you have a legitimate reason, reach out right away using the contact info in your notice. Don’t ignore the audit request, because missed deadlines without communication can trigger enforcement.
Do owner-operators get audited?
Yes, if you’re operating under your own DOT authority. Even a one-truck company must have the same required files and programs in place during the New Entrant period.
What ELD data do they request during the audit?
They typically want one full month of logs for one driver from the last six months. You’ll transfer that month through your ELD using a special code the auditor provides, and they may request supporting documents (dispatch, BOLs, fuel receipts, etc.) for the same period.
What if I don’t have an ELD yet?
If you’re required to use one, not having it is a major audit problem. FMCSA will still expect compliant HOS records and supporting documentation. If you’re exempt, you’ll need to prove the exemption and provide the alternative records that apply to your operation.
How long does a New Entrant Safety Audit take?
The actual review is usually about 1–2 hours once your files are ready. The full process may stretch over a few days depending on how quickly you upload records and respond to follow-ups.
What if I haven’t started hauling loads yet?
You can still be audited with little or no mileage. FMCSA is checking whether your compliance systems exist — policies, files, and programs — not just your load history.
What happens if I fail the audit — can I keep operating?
Failing triggers a Corrective Action Plan (CAP) with a hard deadline. If you fix the issues and submit a complete CAP on time, FMCSA may allow you to continue operating. If you miss the deadline or don’t correct the violations, your authority can be revoked.
Final Thoughts
Having your compliance “ducks in a row” will go far in making your New Entrant Safety Audit go smoothly. Invest some time and energy into qualifying new truck drivers properly and managing your hours of service well. Feel free to use our updated DOT compliance checklist to help build out your safety and compliance program after your audit.
Doing so will make any FMCSA safety audit much easier and more successful!
For more information, please check out the FMCSA’s New Entrant Portal.
Regulatory References
These are the core FMCSA regulations and official guidance that govern the New Entrant Safety Audit and the compliance areas reviewed.
- 49 CFR Part 385 Subpart D — New Entrant Safety Assurance Program (Safety Audit rules)
- 49 CFR §§ 385.309 & 385.311 — Safety audit purpose and scope
- 49 CFR Part 391 — Driver Qualifications & Driver Qualification Files
- 49 CFR Part 395 — Hours of Service & ELD records
- 49 CFR Part 396 — Inspection, Repair, and Maintenance (annual inspections & records)
- 49 CFR Part 382 — Controlled Substances and Alcohol Testing (incl. Clearinghouse requirements)
- FMCSA Drug & Alcohol Clearinghouse — Registration and query requirements
- 49 CFR § 390.15 — Accident register requirement
About My Safety Manager
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