What is the New Entrant Safety Audit?

The New Entrant Safety Audit is mandated by 49 CFR § 385 Subpart D

If you’re an interstate carrier, you must complete the DOT New Entrant Safety Audit within two to 12 months of receiving your DOT number. (Intrastate carriers are not enrolled in the program.) You’ll receive a letter by mail with instructions to call the FMCSA to confirm your company information. After the call, they’ll mail you a second letter outlining the documents you need to upload. Submitting everything correctly and on time is required to pass the audit.

You may visit their website to learn more about each document requested.

Documents You’ll Be Asked to Submit

Unless you qualify for an exemption (see below), be prepared to upload the following: 

• Driver List: You’ll need to submit each driver’s name, date of birth, hire date, driver’s license number, and issuing state. 
• Vehicle List: This must include all tractors and trailers, along with their unit numbers, VINs, and license plate numbers. 
• Proof of Insurance: You are required to provide a signed MCS-90 form issued by your insurance provider. 
• Medical Card: At least one driver must have a current medical certificate on file. 
• Motor Vehicle Report (MVR): You’ll need a three-year driving history from the DMV for at least one driver. 
• Copy of Driver’s License: Upload a copy of a valid driver’s license or commercial driver’s license (CDL) for one driver. 
• Driver Logs: You must submit 30 consecutive days of records showing hours of service, including at least one interstate trip. Supporting documents such as ELD data and fuel receipts are also required. 
• Annual Vehicle Inspection: Provide documentation showing at least one vehicle has passed an annual inspection at a DOT-certified facility. 

Agricultural Exemption: If you only operate within 150 miles and your vehicles are used for agricultural purposes, you may be exempt from some of the requirements above. 

Additional Requirements for CDL Operators 

If your company operates vehicles that require a CDL, the following also apply: 

• Pre-Employment Drug Test: You must submit documentation showing that at least one driver passed a DOT-compliant drug test before employment. 
• Drug Consortium Enrollment: You are required to show proof of enrollment in a DOT-approved drug and alcohol testing program, including a list of all enrolled drivers.

What Happens After You Submit the Documents

All required documents must be uploaded to the FMCSA prior to the due date. Failure to pass the audit may result in your USDOT number being revoked or your company being placed out of service.

This safety audit is a review of a motor carrier’s basic safety management controls and helps the FMCSA make an assessment of the new entrant’s ability to comply with applicable federal motor carrier safety regulations.

New motor carriers are placed into the New Entrant Safety Assurance Program and monitored for a period of 18 months.

During this time, safety performance is evaluated to ensure adequate basic safety management practices are in place. This includes compliance with federal requirements such as driver qualification files, drug and alcohol testing, vehicle maintenance records, and hours-of-service logs.

If violations are found during the audit, the carrier may be required to implement a corrective action plan and could be subject to a follow-up DOT audit conducted by a DOT auditor.

Having proper safety management in place is critical to maintaining your operating authority and continuing to operate in interstate commerce without interruption.