Driver Resources · Motor Carrier Audit Preparation

New Entrant Safety Audit Readiness Kit

Organize common records, audit requests, safety-management documents, and follow-up tasks before an FMCSA New Entrant Safety Audit.

Start Readiness Kit

Planning aid — not an audit determination. This kit helps a motor carrier organize records and identify follow-up work. It does not determine whether safety management controls are adequate, whether a regulation applies, or whether the carrier will pass or fail. FMCSA or its authorized auditor may request records not listed here.

Official program timing: FMCSA states that a New Entrant Safety Audit generally occurs within the first 12 months of operations and that the New Entrant monitoring period lasts 18 months. Keep registration contact information current and respond to official audit communications.

Automatic-failure areas require special attention. 49 CFR 385.321 lists 16 violations that can result in automatic failure. This kit includes a separate review section, but it does not decide whether a violation exists.

Using the public kit? Your entries stay in this browser session and are not saved, uploaded, or sent. Print the current kit or save it as a PDF before refreshing, closing, or leaving the page.

Get Started

Privacy note: This public page does not upload, store, or send your entries. Avoid entering Social Security numbers, full driver’s-license numbers, passwords, PINs, testing results, medical details, bank information, or other unnecessary sensitive information.

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Organize Requested Records

Review common driver, vehicle, HOS, testing, insurance, accident, and hazardous-materials record areas.

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Review High-Priority Areas

Use the dedicated section for the 16 automatic-failure areas listed in 49 CFR 385.321.

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Track Audit Submissions

Log requested records, submission status, confirmation details, follow-up requests, and deadlines.

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Print a Working Copy

Print the current session, save it as a PDF, or print a blank worksheet for an offline review.

Prepare an Audit Readiness File

Choose the items that apply, record the current status, add factual notes, and use the summary to identify missing records or controls that need attention.

ACarrier & Review Information (optional)

This information appears only in the current browser session and printed worksheet.

BAudit Notice & Submission Information
CFilters & Current Readiness Status
Audit Communication & Carrier Profile›
Keep FMCSA registration and contact information current, preserve every notice, and respond using the instructions and deadlines provided by FMCSA or the assigned auditor.
Compare the carrier's records with current FMCSA registration information and the audit notice.
Registration
Not applicable
FMCSA may conduct an onsite audit at the principal place of business.
Profile
Not applicable
Current contact information helps ensure the carrier receives required calls, letters, and audit instructions.
Contact
Not applicable
Keep call notes, letters, emails, reference numbers, and the name of the person contacted.
FMCSA
Not applicable
Keep the full notice, requested-document list, submission instructions, and deadlines together.
Audit Notice
Not applicable
Use the contact information in the official notice and document questions or clarifications.
Auditor
Not applicable
FMCSA determines the audit format and communicates the selection to the carrier.
Audit Type
Not applicable
FMCSA notes that an FMCSA-issued USDOT PIN—not a docket PIN—may be needed for NEWS and SMS access.
Access
Not applicable
The records organized for review should match the carrier's actual operations.
Operations
Not applicable
Track document due dates, calls, follow-up requests, and any corrective-action deadline.
Deadline
Not applicable
Driver List & Qualification Files›
The carrier should be able to identify each current driver and organize the driver-specific records that apply to the operation.
Include every currently employed or used driver covered by the carrier's operation.
Drivers
Not applicable
Use consistent identifiers so records can be matched to the correct driver.
Drivers
Not applicable
This helps organize which licensing and testing rules apply.
Drivers
Not applicable
Organize the file contents that apply under part 391 and related requirements.
DQ File
Not applicable
Check that applications are complete and available for the drivers selected for review.
DQ File
Not applicable
Keep requests, responses, follow-up attempts, and required notices together.
DQ File
Not applicable
Maintain the record supporting the carrier's qualification decision.
DQ File
Not applicable
Keep the review record and supporting driving record together.
Annual Review
Not applicable
Use the records required for the period under review and note regulatory changes that may affect the file.
Violations
Not applicable
Avoid mixed records, missing pages, and files without names or dates.
Organization
Not applicable
CDL, MVR & Medical Qualification›
Review licensing, driving-record, qualification, and medical records for each driver. Requirements can differ based on vehicle and operation.
Confirm the license class and endorsements fit the vehicle and operation.
CDLHigh priority
Not applicable
Do not rely only on an old photocopy when current status is required.
CDLHigh priority
Not applicable
49 CFR 385.321 identifies knowing use of a driver without a valid CDL as an automatic-failure area.
Auto-FailHigh priority
Not applicable
Review State records and carrier notices before assigning safety-sensitive driving work.
Auto-FailHigh priority
Not applicable
Keep the MVR used during qualification with the driver file.
MVR
Not applicable
Ensure the review record and MVR can be matched.
MVR
Not applicable
Use current official rules and State CDLIS processes where applicable.
MedicalHigh priority
Not applicable
The specific evidence retained may depend on CDL and non-CDL status and current rules.
MedicalHigh priority
Not applicable
Keep the examination date and examiner information used for the qualification record.
Medical
Not applicable
Include applicable limitations and dates with the driver record.
Medical
Not applicable
Hours of Service & ELD / RODS›
Organize records of duty status and supporting documents for the period requested. The auditor may select specific drivers and dates.
FMCSA's resource guide notes that RODS and supporting documentation may be requested.
HOSHigh priority
Not applicable
Organize records by driver and date and ensure they are readable.
RODS
Not applicable
Examples may include fuel, toll, dispatch, trip, payroll, bill-of-lading, or other records that apply.
Support
Not applicable
Confirm access before the deadline rather than waiting until submission day.
ELD
Not applicable
Review unidentified or improperly assigned driving time.
ELD
Not applicable
Keep explanations and supporting records.
ELD
Not applicable
Organize malfunction notes and replacement records when they occurred.
ELD
Not applicable
Keep time records and other evidence required for the exception used.
Exception
Not applicable
Ensure annotations and company practices are consistent with current guidance.
ELD
Not applicable
Do not recreate or alter records merely to make them look complete.
Integrity
Not applicable
Failing to require RODS at the threshold stated in §385.321 is an automatic-failure area.
Auto-FailHigh priority
Not applicable
Drug & Alcohol Program / Clearinghouse›
CDL-required operations generally need a compliant testing program and related records. Use official FMCSA and DOT sources for current requirements.
The program must operate in practice, not exist only as a blank policy.
Part 382High priority
Not applicable
The DER should understand program responsibilities and have access to records.
DER
Not applicable
A C/TPA may assist, but the employer remains responsible for compliance.
C/TPA
Not applicable
Confirm applicable drivers were not used before the required negative result.
Testing
Not applicable
Failure to implement a required random program is an automatic-failure area.
RandomHigh priority
Not applicable
Document the event, decision, timing, attempts, and required explanations.
Post-Accident
Not applicable
Maintain supervisor training evidence and testing documentation.
Reasonable Suspicion
Not applicable
Do not use a prohibited driver for safety-sensitive work.
RTD
Not applicable
Maintain required query evidence and driver consent records.
Clearinghouse
Not applicable
Keep the query result with the applicable driver record.
Clearinghouse
Not applicable
Track consent expiration and any required full-query follow-up.
Clearinghouse
Not applicable
This is listed as an automatic-failure violation in §385.321.
Auto-FailHigh priority
Not applicable
This is listed as an automatic-failure violation in §385.321.
Auto-FailHigh priority
Not applicable
This is listed as an automatic-failure violation in §385.321.
Auto-FailHigh priority
Not applicable
Vehicles, Maintenance & Inspections›
Organize the vehicle and trailer list, annual inspections, maintenance records, roadside repair evidence, and out-of-service correction records.
FMCSA's resource guide says the list should include unit number, VIN, plate number, and State.
Vehicles
Not applicable
Keep records that identify which equipment the carrier operates.
Equipment
Not applicable
Using vehicles not periodically inspected at the threshold in §385.321 is an automatic-failure area.
Annual InspectionHigh priority
Not applicable
Retain the qualification record required for the inspection work performed.
Inspector
Not applicable
Organize repairs, maintenance, inspections, and identifying information by unit.
Maintenance
Not applicable
Show the system used to identify and complete recurring maintenance.
PM
Not applicable
Keep the complete report and match it to the vehicle and driver involved.
Roadside
Not applicable
Include repair invoices, work orders, mechanic notes, or other applicable evidence.
RepairsHigh priority
Not applicable
Operating an OOS vehicle before repair is listed as an automatic-failure violation.
Auto-FailHigh priority
Not applicable
Failure to correct OOS DVIR defects is listed as an automatic-failure violation.
Auto-FailHigh priority
Not applicable
Property-carrying and passenger-carrying requirements differ; use current rules.
DVIR
Not applicable
Keep evidence appropriate to the work performed.
Personnel
Not applicable
A complete file should reflect significant repairs, not only scheduled service.
Repairs
Not applicable
Insurance & Financial Responsibility›
Maintain proof of the coverage or financial responsibility applicable to the operation and ensure the official filings are current where required.
Keep the policy period, insurer, limits, vehicles, and applicable endorsements available.
InsuranceHigh priority
Not applicable
Review current official registration records rather than relying only on a certificate.
FilingHigh priority
Not applicable
Minimum requirements differ by operation.
Limits
Not applicable
Resolve entity-name or address differences with the insurer and official records.
Identity
Not applicable
Operating without required financial responsibility is an automatic-failure area.
Auto-FailHigh priority
Not applicable
Section 385.321 separately identifies the passenger-carrier financial-responsibility requirement.
PassengerHigh priority
Not applicable
Accident Register & Roadside Records›
Organize the accident register when applicable, crash documentation, roadside inspection reports, and evidence that cited defects were corrected.
FMCSA's resource guide says carriers involved in reportable crashes in the past 3 years must retain an accident register.
Accident Register
Not applicable
Review dates, locations, driver, injuries, fatalities, tow-away status, and hazardous-material release information as applicable.
Accident Register
Not applicable
Keep police reports, insurance records, photos, statements, repair records, and internal review materials as applicable.
Crash Records
Not applicable
Document both completed testing and reasons testing was not completed when required.
Testing
Not applicable
The audit may consider whether safety management controls are working.
Roadside
Not applicable
Keep correction evidence and internal follow-up records.
Follow-Up
Not applicable
Use official FMCSA systems and follow available correction processes for inaccurate data.
SMS
Not applicable
Document changes made after a recurring or serious issue.
Controls
Not applicable
Hazardous Materials — If Applicable›
Mark this category not applicable when the carrier does not transport hazardous materials subject to these requirements. Auditors may request additional HM records.
Mark this category not applicable only after reviewing the actual commodities and quantities transported.
HM
Not applicable
Keep current registration evidence for the applicable period.
Registration
Not applicable
FMCSA's resource guide identifies HM shipping papers as a potential audit request.
Shipping Papers
Not applicable
Use current HMR requirements for the materials transported.
HMR
Not applicable
Include general awareness, function-specific, safety, security-awareness, and in-depth security training when applicable.
Training
Not applicable
Keep records current and traceable.
Training
Not applicable
Review applicability and evidence that the plan is implemented.
Security
Not applicable
The exact requirements depend on the material, quantity, package, and vehicle.
Operations
Not applicable
Keep reports, communications, and corrective actions together.
Incident
Not applicable
Safety Management Controls & Procedures›
The audit examines whether the carrier has working systems, policies, practices, and procedures—not merely blank forms or documents created for the audit.
Remove templates that do not apply and ensure staff follow the procedures described.
Policies
Not applicable
Document who reviews records and how missed items are escalated.
Responsibility
Not applicable
Use current regulatory retention periods and auditor instructions.
Retention
Not applicable
Show how the carrier identifies issues before assigning drivers or vehicles.
Review
Not applicable
This structure also supports a CAP if FMCSA later requires one.
Corrective Action
Not applicable
Keep dates, topics, attendees, and supporting materials.
Training
Not applicable
Do not falsify, backdate, or alter records for an audit.
Integrity
Not applicable
Using a C/TPA, ELD provider, maintenance shop, or consultant does not transfer the carrier's responsibility.
Vendors
Not applicable
Automatic-Failure Area Review›
49 CFR 385.321 identifies 16 violations that can result in automatic failure. This section is a planning aid only and does not determine whether a violation exists.
Failing to implement the required program is listed as a single-occurrence automatic-failure violation.
§382.115(a)/(b)High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§382.201High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§382.211High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§382.215High priority
Not applicable
Failing to implement the required random program is listed as a single-occurrence automatic-failure violation.
§382.305High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§383.3(a) / §383.23(a)High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§383.37(b)High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§383.51(a)High priority
Not applicable
Operating without required coverage is listed as a single-occurrence automatic-failure violation.
§387.7(a)High priority
Not applicable
Operating without required passenger coverage is listed as a single-occurrence automatic-failure violation.
§387.31(a)High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§391.15(a)High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§391.11(b)(4)High priority
Not applicable
The automatic-failure guideline applies when 51% or more of examined records violate this requirement.
§395.8(a)High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§396.9(c)(2)High priority
Not applicable
Listed as a single-occurrence automatic-failure violation.
§396.11(c)High priority
Not applicable
The automatic-failure guideline applies when 51% or more of examined records violate this requirement.
§396.17(a)High priority
Not applicable
Audit Submission & Follow-Up›
Prepare readable records, follow the assigned submission method, keep proof of transmission, and track every follow-up request or corrective action.
Match each request to a file location, responsible person, status, and due date.
Submission
Not applicable
Avoid password-protected files, illegible scans, missing pages, and unidentified records.
Quality
Not applicable
Use folders or file names that allow the auditor to match records quickly.
Organization
Not applicable
Follow the assigned NEWS, email, mail, fax, or onsite instructions.
Instructions
Not applicable
Keep confirmation pages, sent-email records, tracking, or fax confirmation.
Evidence
Not applicable
Document any clarification about scope, dates, format, or records that do not exist.
Questions
Not applicable
Explain the gap and show what has changed to prevent recurrence.
Integrity
Not applicable
Keep all auditor communications and responses together.
Follow-Up
Not applicable
A CAP generally explains why a violation occurred, what will correct it, and what will prevent recurrence.
CAP
Not applicable
A passing audit does not end monitoring during the remainder of the 18-month new entrant period.
Post-Audit
Not applicable
Custom Readiness Items›
Add operation-specific items, state requirements, auditor requests, or records that do not appear above.
Before leaving: This public page does not save your work. Use “Print Current Kit” and choose “Save as PDF” in your browser, or print a paper copy. Printing creates a paper copy or browser-saved PDF of this current session only. This public kit is not saved to Clear To Roll and cannot be reopened later for editing from this page.
Official FMCSA Resources

Audit Readiness Review Summary

Items Requiring Attention
0
Needs attention or missing / unavailable
Review not started
  • Current readiness statusReview not started
  • Review dateAug 28, 2026
  • Selected items0
  • Ready / organized0
  • Not reviewed0
  • Needs attention0
  • Missing / unavailable0
  • Automatic-failure-area issues noted0
  • Not applicable0
  • Submission rows0
  • Follow-up rows0
  • Use the exact requested-document list and deadline from the official audit notice.
  • Auditors may request additional records beyond this worksheet.
  • Policies should reflect actual working safety-management controls.
  • Do not fabricate, backdate, or alter records.
  • This public version does not save entries.

Clear To Roll helps organize records. It does not provide a pass/fail decision, legal advice, compliance determination, or representation before FMCSA. Get started.

Requested Document & Submission Log

Track what was requested, its preparation status, when it was submitted, and the confirmation or file location. Do not upload files to this public page.

Requested record / categoryStatusDue or sent dateConfirmation / file location
Follow-Up & Corrective Action Log

Record the issue, responsible person, target date, current status, and evidence.

This is not an FMCSA Corrective Action Plan submission. This worksheet does not generate, submit, certify, approve, or send a Corrective Action Plan and does not state what FMCSA will accept.

Issue or corrective actionResponsible personTarget dateStatus / evidence

Official FMCSA Resources

Use current official sources, the assigned auditor’s instructions, and the applicable regulations. Direct links are provided without tracking parameters.

FMCSA New Entrant Program

Program overview, 18-month monitoring period, safety-audit information, and official resources.

ai.fmcsa.dot.gov — New Entrant Program

FMCSA Safety Audits

Official explanation of audit timing, onsite and offsite audits, preparation, outcomes, and corrective action.

ai.fmcsa.dot.gov — Safety Audits

FMCSA Safety Audit Resource Guide

Official guide to common driver, vehicle, insurance, testing, accident, and hazardous-materials records auditors may request.

ai.fmcsa.dot.gov — Resource Guide

49 CFR Part 385, Subpart D

Current federal regulations governing the New Entrant Safety Assurance Program.

ecfr.gov — Part 385 Subpart D

49 CFR 385.321 Automatic-Failure Criteria

Current regulatory table of the 16 violations that can result in automatic failure.

ecfr.gov — §385.321

FMCSA Motor Carrier Safety Planner

Official planning guide with explanations and templates for federal motor-carrier safety requirements.

csa.fmcsa.dot.gov — Safety Planner

FMCSA Safety Measurement System

Review the carrier's official safety data and roadside performance information.

ai.fmcsa.dot.gov — SMS

FMCSA Drug & Alcohol Clearinghouse

Official employer and driver resources for Clearinghouse requirements and account access.

clearinghouse.fmcsa.dot.gov

National Registry of Certified Medical Examiners

Official search and information for certified medical examiners.

nationalregistry.fmcsa.dot.gov

FMCSA Forms Library

Official FMCSA forms and instructions.

fmcsa.dot.gov — Forms

FMCSA New Entrant Help Center

Official FAQs, corrective-action guidance, contact information, and program materials.

ai.fmcsa.dot.gov — Help Center

FMCSA Contact Center

Official registration and program assistance.

fmcsa.dot.gov — Ask FMCSA

Keep Your Carrier Records Organized

The public kit helps you review one audit-preparation session. A Clear To Roll account helps organize driver records, vehicle records, dates, documents, contacts, load files, incident files, and Business Packets over time.

Get Started

Public worksheet entries do not automatically transfer into an account.

Your driver file, ready when opportunity calls.

New Entrant Safety Audit Readiness FAQs

What is a New Entrant Safety Audit Readiness Kit?+
It is a planning and recordkeeping worksheet that helps a new motor carrier organize common driver, vehicle, hours-of-service, testing, insurance, accident, hazardous-materials, and audit-submission records that FMCSA may request.
When does FMCSA conduct a New Entrant Safety Audit?+
FMCSA states that new entrant motor carriers must undergo a Safety Audit within the first 12 months of operations. The carrier remains in the New Entrant monitoring period for 18 months.
Can the audit be conducted offsite?+
Yes. FMCSA may conduct the audit at the carrier’s principal place of business or electronically through an offsite document-submission process. FMCSA tells the carrier which format applies.
Does completing this kit mean the carrier will pass?+
No. The kit does not determine compliance, adequacy of safety management controls, or the audit result. FMCSA or its authorized auditor makes that determination and may request additional records.
What are automatic-failure violations?+
49 CFR 385.321 lists 16 violations that can cause automatic failure of a New Entrant Safety Audit. The toolkit includes a separate review section for those areas, but only FMCSA can determine whether a violation exists or whether the audit is passed or failed.
What happens after a failed audit?+
FMCSA sends written notice and instructions. The carrier may need to submit evidence of corrective action within the period stated in the notice. Failure to respond or implement acceptable corrective action can result in revocation of New Entrant registration and an out-of-service order.
Does the public kit save my entries?+
No. The public kit runs in the browser and does not save, upload, or send entries. Print the current kit or save it as a PDF before refreshing, closing, or leaving the page.
cleartoroll.com855-506-8060support@cleartoroll.com

This kit is for planning, organization, and recordkeeping only. It is not legal, safety, DOT, FMCSA, hazardous-materials, insurance, employment, tax, accounting, or compliance advice and does not determine whether a carrier has adequate safety management controls or will pass an audit. Requirements vary based on operation, vehicle, cargo, driver, jurisdiction, and current law. FMCSA or its authorized auditor may request additional records. Clear To Roll does not verify, approve, certify, audit, screen, qualify, represent, or guarantee any carrier, driver, vehicle, record, safety program, corrective action, or audit result. Official links reviewed July 2026.