Getting your DOT number feels like the start of something big. You’ve finally got the green light to run your own operation, and the excitement is real. But once that first wave settles, another feeling usually kicks in—everything tied to safety and compliance now rests on your shoulders. It’s a jarring shift for a lot of new carriers, especially if you’ve never dealt with compliance on your own before.
And just when you’re getting your bearings, you find out the New Entrant Safety Audit is only six months away.
What Is the New Entrant Safety Audit?
The New Entrant Safety Audit is the FMCSA’s way of checking that new interstate motor carriers understand the rules they’re supposed to follow. It’s not a full compliance review, but it gives FMCSA an early look at whether you’ve got the basic systems in place to run safely. Depending on what kind of operation you run, they’ll want to see:
- Driver qualification files
- DOT drug and alcohol testing program enrollment
- Hours of service records
- Vehicle maintenance files
- Insurance and registration documentation
Most new motor carriers get audited within their first six months of operation. And while the purpose hasn’t changed, the way these audits happen today looks nothing like what most longtime drivers remember.
The Shift From Onsite to Offsite Audits
Ten years ago, safety audits meant someone showing up at your door. You’d get a letter in the mail, and next thing you knew, an investigator was sitting in your office going through your files with you. Today, that is the exception.
FMCSA has steadily moved toward offsite, digital audits where carriers upload documents through the portal instead of meeting in person. In fiscal year 2025, investigators conducted 44,167 New Entrant Safety Audits, and almost 80 percent were handled remotely. The table below shows that this has been the norm for at least the past five years.
For new carriers, this shift matters. Offsite audits run on tight deadlines, and there is no time to search for missing paperwork, rebuild a driver file, or hope a policy meets FMCSA standards. When the auditor requests specific documents such as drug testing records, motor vehicle reports, maintenance logs, or Clearinghouse queries, you need them digitized and ready to send.
What to Expect During the New Entrant Safety Audit
Once your audit is scheduled, the FMCSA will outline exactly what they need to review. You’ll receive a notice with the required documents and clear instructions on how to send them.
For offsite audits, you’ll upload your records through the FMCSA portal. The investigator reviews everything remotely and may reach out if something needs clarification.
If your audit is on-site, the review takes place in person. The investigator reviews the files you provide and verifies that your operation aligns with what you reported when your authority became active.
Regardless of format, the focus is the same. The FMCSA is verifying that you have the essential safety programs in place and that your records accurately reflect how you are operating the business.
Most carriers find that the audit functions as a practical documentation check. If something needs attention, the investigator will explain what to correct. If more substantial items are missing, the FMCSA may issue a Corrective Action Plan with a list of updates to be completed by a specific date. A carrier’s authority only becomes an issue if those corrections are not made. The audit is intended to help new entrants start with a solid foundation rather than penalize them.
Your New Entrant Safety Audit Checklist
The best way to approach the New Entrant Safety Audit is to make sure your core compliance records are built and kept current. The requirements are straightforward, but keeping everything organized while you’re running day-to-day operations can be tough.
Here’s what every new carrier should have ready before the audit window opens:
Driver Qualification Files
Create a complete file for every driver operating under your DOT number, including yourself if you’re a driver. This file must include the DOT application, motor vehicle records from each state where the driver has held a license in the past three years, medical certification, employment verification, and any documents required for the type of vehicle they operate.
Drug and Alcohol Testing Program
If you operate CDL vehicles, you need a functioning testing program before your first dispatch. That means pre-employment testing, enrollment in a random testing pool, and a written policy. Keep copies of all test results and program records in a location where they can be accessed quickly.
FMCSA Clearinghouse Compliance
CDL employers must run a pre-employment Clearinghouse query and keep proof that the driver gave electronic consent. Make sure you’ve also got a process for completing the required annual queries for each CDL driver (including yourself).
Hours of Service and ELD Records
Be prepared to show how you track driving time and how you ensure compliance with the hours of service rules. If you use an ELD, keep supporting documents such as fuel receipts or bills of lading with your audit materials.
Vehicle Maintenance Records
Each truck needs its own maintenance file. At a minimum, keep records of routine service, inspections, and any repairs.
Insurance and Registration Documentation
Have proof of insurance, BOC-3, and UCR filings available. If you operate across state lines or use heavier equipment, keep any IRP, IFTA, or state permits readily accessible.
Policies and Safety Procedures
The FMCSA does not require a thick handbook, but they do want to see that you have clear procedures in place for managing safety.
Digital Organization
Since most audits now happen offsite, having everything saved digitally and clearly labeled is crucial. When that audit notice arrives, you need to upload each document without scrambling through paperwork or hunting through folders.
Preparing for the audit takes consistent effort. Most new carriers find that keeping everything updated while running the business is the hardest part, which is why many look for support before the audit window opens.
Starting Strong With the Right Support
The New Entrant Safety Audit is meant to ensure every new carrier starts with a solid compliance foundation. The challenge is that these foundational pieces all come due while you’re trying to book loads, manage equipment, organize paperwork, and get your business off the ground. It’s no wonder new carriers feel stretched thin long before the audit notice shows up.
That’s where having the right guidance really matters. A partner who knows the rules, understands the timing, and can keep your files organized takes the guesswork out of the process.
US Compliance Services supports new entrants through every step of this journey. From creating driver files to setting up drug and alcohol testing programs, organizing digital records, and keeping registrations current, our team helps you get through the audit smoothly and confidently.
If you’re preparing to launch your operation or need support before your audit window opens, we’re here to help. Contact us to get started.