What it reviews
The audit looks at whether a carrier has the records and practices federal rules require. Auditors review driver qualification files, drug and alcohol testing, hours-of-service records, vehicle maintenance and inspection records, and proof of insurance.
Records to keep ready
- Driver qualification files with applications
- MVRs and medical certificates
- Drug and alcohol testing program enrollment and results
- Pre-employment Clearinghouse queries
- Hours-of-service and ELD records
- Inspection repair and maintenance records for each vehicle
- Accident register
- Proof of insurance
Failing the audit
Some violations lead to automatic failure, such as using a driver without a valid CDL or not having a drug and alcohol testing program. A carrier that fails has a limited time to submit a corrective action plan, and the registration can be revoked if it does not. Review FMCSA's new entrant materials well before the audit.
Why insurers care
Underwriters may review your audit result and safety record at renewal. A clean audit and orderly records help when you ask for better terms after the first year.
Getting help
Compliance consultants and trade associations offer audit preparation. FMCSA publishes educational material for new entrants. Use them; the audit is far easier with records built from day one.
Building the files from day one
The easiest way to pass is to create each record the day it is needed: a qualification file when you hire a driver, an inspection record after every repair, a Clearinghouse query before the first trip. Trying to assemble a year of records the week before the audit rarely works.
Frequently asked questions
Can the audit be done remotely?
FMCSA conducts many new entrant audits offsite, with records submitted electronically. You will be told how it will be conducted.