What to Expect in a DOT New Entrant Audit

TransForce
9 min read

A Checklist for First-Year Carriers 

Starting a trucking company is an exciting milestone but if you're a new entrant, one of the most important things you'll face in your first 12 months of operation is a New Entrant Safety Audit by the Department of Transportation (DOT). 

This audit ensures you have the safety management systems in place to operate compliantly under FMCSA (Federal Motor Carrier Safety Administration) regulations. Failing this audit could result in your authority being revoked. But don’t stress, we’ve broken down what to expect and created a helpful checklist to guide you through it. 

🚨 What Is a DOT New Entrant Audit? 

A New Entrant Safety Audit is a one-time review conducted by the FMCSA (or a state partner) typically within the first 12 months of receiving your DOT number. Its purpose is to assess whether your company has basic safety systems in place. 

This audit can be conducted in person or electronically, and it's designed to evaluate whether you're meeting federal safety regulations on everything from driver's qualifications to vehicle maintenance and drug testing protocols. 

📋 The New Entrant Audit Checklist 

Here's what you’ll need to have ready to pass the audit with confidence: 

1. Driver Qualification Files 

  • Valid CDL copies 
  • Medical certificates 
  • Motor Vehicle Records (MVRs) for each driver (annually updated) 
  • Driver application and prior employer checks 
  • Road test certifications or equivalent training proof 

2. Hours of Service (HOS) Records 

  • 6 months of driver logs (paper or ELD) 
  • Supporting documents (fuel receipts, bills of lading, toll records) 
  • HOS policy or procedure 

3. Vehicle Maintenance Records 

  • Preventive maintenance program 
  • Inspection, repair, and maintenance records for each vehicle 
  • Annual inspection forms 
  • DVIRs (Driver Vehicle Inspection Reports) 

4. Drug & Alcohol Testing Program 

  • Pre-employment test results 
  • Random testing pool and consortium documentation 
  • Proof of enrollment in a DOT-compliant drug testing program 
  • Supervisor training certificate (if you employ more than one driver) 

5. Insurance Documentation 

  • Active liability and cargo insurance 
  • MCS-90 form 
  • Proof of filings with the FMCSA 

6. Accident Register 

  • Records of all DOT-reportable accidents within the last 12 months 
  • Required details: date, location, injuries, fatalities, hazmat spills, and tow-aways 

7. Operational Policies 

  • Written safety policy (if applicable) 
  • Driver handbook or onboarding materials 
  • Procedures for addressing violations and training 

🧠 Pro Tips for a Smooth Audit 

  • Stay Organized: Keep digital and physical records neatly categorized and easily accessible. 
  • Be Honest: Auditors appreciate transparency. If you're missing something, let them know how you're working to fix it. 
  • Be Responsive: If your audit is electronic, respond promptly and completely to document requests. 
  • Lean on Experts: If you're unsure about compliance, consulting a partner like TransForce can help. 

✅ Pass the Audit, Build a Safer Fleet 

The DOT New Entrant Audit is your first major compliance test, and it sets the tone for your future operations. Passing it isn’t just about avoiding penalties, it's about proving you're building a safe, responsible business from day one. 

At TransForce, we’re committed to helping carriers stay compliant and confident. Whether you're hiring your first driver or scaling your fleet, our compliance tools and workforce solutions are built to support every step of your journey. 

Want help navigating compliance? 
Let’s talk. Contact TransForce to learn how we can help you build a smarter, safer fleet.