New entrant safety audit preparation
Every new interstate carrier gets a new entrant safety audit. We help you get your records in order before it happens, and if the audit doesn't go your way, we help you correct the problems and document the fix.
What the new entrant safety audit checks
When you get a USDOT number for interstate work, FMCSA places you in the New Entrant Safety Assurance Program and monitors your operation for 18 months. During that time you get a safety audit. FMCSA aims to complete it within your first 12 months of operation.
The audit is a records review. The auditor wants to see that you control your drivers and your equipment on paper as well as on the road. The list of violations that fail a new entrant on their own, in 49 CFR 385.321, shows where the attention goes: drug and alcohol testing, driver licensing and medical qualification, insurance, hours-of-service records and vehicle inspections.
Most new carriers spend their first months finding freight and paying bills, and the files fall behind. Starting your new entrant safety audit preparation early is far easier than repairing a failed audit later.
Automatic-failure violations to rule out first
49 CFR 385.321 lists 16 violations that fail a new entrant safety audit by themselves. These are among them, in plain words. Read the regulation for the full list.
- No drug and alcohol testing program
- No random testing program
- Using a driver who doesn't have a valid CDL
- Using a driver who isn't medically qualified, such as one without a valid medical certificate
- Operating without the required insurance
- Using a vehicle declared out of service before it is repaired
- Not requiring drivers to keep records of duty status, found on 51% or more of the records examined
- Using vehicles without a periodic (annual) inspection, found on 51% or more of the records examined
How we prepare you for the audit
Intake call
We learn how you run: drivers, trucks, who handles safety and when your authority became active. We also pull your public inspection history from FMCSA's Safety Measurement System.
Records review
You send scans or give us read access. We check driver files, your drug and alcohol program, logs, vehicle files and insurance against the automatic-failure list first, then everything else.
Written gap list
You get a list of what's missing, the regulation behind each item and what to do first.
Fix and organize
We help you close the gaps: building driver qualification files, setting up your drug and alcohol testing program, and setting up vehicle maintenance files.
Audit readiness
We put your records in the order an auditor will ask for them and talk you through the questions you're likely to hear about how your operation really works.
A team helping you through the audit
When you prepare for your new entrant safety audit with us, you have a team, a platform and a network with up-to-date information behind you, helping you get through it the right and correct way.
If you fail the new entrant safety audit
A failed audit is serious, but it comes with a deadline you can work with. Under 49 CFR 385.319, FMCSA sends written notice within 45 days of the audit. Most property carriers then have 60 days from the notice to correct the practices. Hazmat carriers and certain passenger carriers have 45 days. If the corrections aren't made in time, the new entrant registration is revoked and operations are placed out of service.
That window goes fast. We help you:
- Read the notice and list every violation it names
- Fix the practice behind each one, not only the paperwork
- Write a corrective action plan that explains what went wrong, what changed and who is responsible now
- Gather the evidence behind each change, such as completed files, testing program enrollment and inspection reports
- Submit it the way the notice instructs, with your authorization, and keep a copy of everything
If you are past the new entrant period and an investigation left you with a conditional or unsatisfactory rating, see our safety rating upgrade page instead.
Records we build or rebuild for the audit
Driver qualification files
Application, driving records, road test, medical certificate and the rest of the file for every driver.
Drug and alcohol program
Policy, pre-employment and random testing and Clearinghouse queries — we help you set it up and keep it running.
Hours of service and ELD
Records of duty status and a weekly log review someone actually does.
Vehicle maintenance files
A file for each unit, inspection reports and annual inspections on schedule.
Start before the audit is scheduled
We are a carrier-first company. Our work is keeping small trucking companies running, and a clean set of records is part of that. We work remotely with carriers in all 48 contiguous states. If you want a full practice run first, ask about a mock audit.
Questions and answers
When will my new entrant safety audit happen?
FMCSA monitors new interstate carriers for 18 months and aims to complete the safety audit within the first 12 months of operation (FMCSA). Start preparing as soon as your authority is active.
What happens if I fail the new entrant safety audit?
FMCSA sends written notice within 45 days. Most property carriers have 60 days from the notice to correct the practices (45 days for hazmat and certain passenger carriers), or the registration is revoked and operations are placed out of service (49 CFR 385.319).
Do I need a drug and alcohol program before my first load?
Yes, have it in place before your first driver works. A driver needs a verified negative pre-employment drug test before first performing safety-sensitive functions (49 CFR 382.301), and having no testing program is one of the automatic-failure violations.
Can LFS make sure I pass?
No one can honestly promise that. The auditor decides, and may look at records from after our review. What we can do is find the gaps early and help you close them.
Do you only work with Texas carriers?
No. We work remotely with carriers in all 48 contiguous states. We also have local pages for Dallas and Fort Worth.
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Get ready for your new entrant safety audit
Tell us when your authority became active, how many drivers and trucks you run, and whether you have an audit date or a notice. We'll reply with next steps.
Prefer the phone? Call 901-205-9679.