How To Pass a DOT New Entrant Safety Audit | Episode 43

This is the final episode of a three-part series where I go over some of the most important aspects of compliance with the DOT and FMCSA regulations for motor carriers. This specific episode covers the DOT New Entrant Safety Audit.

What To Expect From Episode 43

I just went through my DOT New Entrant Safety Audit and I want to share my experience with all of you so you know what to expect and have the best experience possible. During this episode Craig and I start with some background for context and then we go into what my experience was like.

What Is a New Entrant Safety Audit?

When you first apply for a DOT Number or Motor Carrier Operating Authority, you are considered by the FMCSA as a New Entrant for 18 months. During that time, the DOT does two things:

1. They actively monitor you
2. They conduct a New Entrant Safety Audit within the first 12 months

A New Entrant Safety Audit is typically a simple version of a full-blown DOT Safety Audit, which is a review of a carrier’s records designed to verify that you have basic safety management controls in place to ensure compliance with the regulations.

Why Does the FMCSA Conduct New Entrant Safety Audits?

The FMCSA wants to be sure all new motor carriers have adequate systems/controls in place to manage the safe operation of their business. After all, you are sending large heavy vehicles down the road that can cause serious damage if not operated safely.

My Experience With Haulin Assets’ New Entrant Safety Audit

Here is an outline of what we talk about:

• How I was notified (You can see the actual letter below)
• How much time I had to complete everything
• Submitting my documents
  • They put me in the offsite program where you upload all the documents they want to review.
• Discussions with the auditor, who gave me some pointers regarding:
  • Misuse of personal conveyance (One of the biggest issues they see)
  • Owner operators not treating themselves like drivers
  • Intrastate carrier mistakes
  • Vehicle inspections
• When and how I got the results back (You can see the actual letter below)

Official Letters

Audit Notice

Audit Results

What happens if you fail?

You usually fail for one of two reasons: you failed to provide all the required documents or you failed to follow part of the regulations. Craig and I talk about what happens when you fail under both of those circumstances.

Keep in mind, the New Entrant Safety Audits are usually conducted by state partners, not necessarily by the FMCSA, so your experience could be different than mine.

Listen to the Full Episode