When a carrier gets its USDOT number, it enters FMCSA's New Entrant Safety Assurance Program, a monitoring period of 18 months. A safety audit generally happens within the first 12 months. The audit looks at whether the basic safety management controls are in place.
What auditors usually look at
- Driver qualification files for every driver, including applications, motor vehicle records and medical certificates.
- Drug and alcohol testing: a program in place, pre-employment tests before drivers operate, random testing through a program or consortium, and the required Clearinghouse queries.
- Hours of service records and supporting documents.
- Vehicle maintenance files, including annual inspections.
- Insurance at the required levels.
- Accident register, if there were any recordable crashes.
Start on day one
Most problems found in audits are missing paperwork, not unsafe trucks. Set up each file the day a driver or truck starts, and keep it current.
If something is missing
Fix it before the audit, document what you did, and keep doing it. Failing certain requirements can lead to the registration being revoked, so take every item seriously.
Our safety audit readiness checklist walks through each file.
General information, not legal advice. FMCSA rules decide what is required; check the current requirements for your operation.
This article is general information, not legal, tax or regulatory advice. Rules change; confirm current requirements with the responsible agency or a licensed professional.
