How To Prepare For A New Entrant Safety Audit:
1. Understand the Audit
Understand what the New Entrant Safety Audit will cover, including driver qualifications, hours of service, vehicle maintenance, accident records, and controlled substances testing.
2. Organize Required Documentation
Ensure each driver’s DQ file includes:
A valid commercial driver’s license (CDL).
Medical examination certificate.
Motor vehicle record (MVR) from the last three years.
Completed employment application.
Verification of past employment for the last three years.
Maintain accurate records of drivers’ hours of service, including:
Logbooks or electronic logging device (ELD) records.
Supporting documents like fuel receipts, bills of lading, or toll receipts.
Prepare vehicle maintenance records showing:
Regular maintenance and inspections.
Annual vehicle inspection reports.
Documentation of any repairs and maintenance performed.
Maintain a register of all accidents involving your vehicles within the past three years, including:
Date and location of the accident.
Number of injuries or fatalities.
Copies of accident reports.
Ensure compliance with drug and alcohol testing requirements including:
Pre-employment drug test results.
Random testing program documentation.
Post-accident testing records (if applicable).
Have proof of insurance readily available, including:
Liability insurance.
Cargo insurance (if applicable).
3. Review and Implement Safety Policies
Develop and implement written safety policies that outline your safety procedures, including how you handle hours of service, maintenance, drug testing, and driver training.
Ensure that all drivers are trained and knowledgeable about the safety policies and procedures.
4. Conduct Internal Audits
Perform an internal audit to identify any gaps in compliance. Review driver files, logs, maintenance records, and other relevant documents.
5. Ensure Compliance with ELD Requirements
Ensure that all required vehicles are equipped with compliant ELDs and that drivers know how to use them properly.
6. Prepare Your Staff
Inform your drivers, dispatchers, and other relevant staff about the New Entrant Safety Audit and what to expect.
Designate a knowledgeable point of contact to communicate with the auditor and provide the requested documents.
7. Understand Potential Outcomes
Be aware that if the audit identifies significant non-compliance, the carrier may be required to develop a corrective action plan or could face revocation of operating authority.
8. Schedule and Communication
Be ready to schedule the audit with FMCSA and ensure all key personnel are available.
Maintain clear and timely communication with the auditor, providing any requested documents or information promptly.
9. Stay Informed
Keep up-to-date with FMCSA regulations and any changes that may affect your operations.