The Complete FMCSA Safety Audit Checklist
Preparing for an FMCSA New Entrant Safety Audit doesn't have to be overwhelming. This comprehensive checklist covers all six evaluation factors that auditors review, helping you identify compliance gaps before they become costly violations. Ensure DOT compliance and avoid automatic failure violations with this step-by-step preparation guide for motor carriers.
Financial Responsibility
& General Requirements
Insurance & Financial Responsibility
🚨 AUTOMATIC FAILURE RISK: Operating without required insurance
Minimum liability insurance verified
General freight: $750,000
Hazmat operations: $1,000,000
High-risk hazmat: $5,000,000
MCS-90 endorsement on file
Original endorsement from insurance company
Not just a certificate of insurance
Covers public liability obligations
Current insurance documentation
Proof maintained at principal place of business
Policy effective dates current
Coverage amounts clearly specified
Accident Register & Reporting
DOT accident register established
All recordable accidents documented
Required data fields complete
3-year retention verified
Accident documentation complete
Date and location of each accident
Driver names and injury counts
Fatality information recorded
Hazmat release status noted
Supporting accident reports retained
Police reports on file
Insurance claim documentation
State-required accident reports
Company Registration
USDOT number compliance
MCS-150 form current and accurate
USDOT number displayed on vehicles
Biennial update completed when due
Driver Qualification
& Testing Requirements
Driver Qualification Files
(Required for ALL CMV Drivers)
🚨 AUTOMATIC FAILURE RISK: Unqualified drivers operating CMVs
Complete DQ file for every driver
Includes non-CDL drivers of vehicles >10,001 lbs
All required documents present
Files current and properly maintained
Driver applications completed
Employment application (§ 391.21)
3-year employment history verified
All sections completed and signed
Previous employer inquiries
Safety performance history obtained
Good faith efforts documented
CDL drivers: Drug/alcohol history included
Motor Vehicle Records & Reviews
Initial MVR requirements met
MVR from every state (past 3 years)
Records obtained before driving
All violations properly reviewed
Annual MVR updates current
Updated MVR obtained annually
Annual review documented in file
Violation trends identified
Driver violation certifications
Annual traffic violation certification
Driver signature obtained
No violations or all violations listed
Medical Qualification
Current medical certificates
Valid medical examiner's certificate
Examiner on FMCSA National Registry
Verification documented in DQ file
Road testing compliance
Road test certificate on file
OR valid CDL copy as equivalent
Test conducted in representative vehicle
CDL Driver Requirements
🚨 AUTOMATIC FAILURE RISKS: Invalid CDL, disqualified drivers, suspended licenses
Valid CDL verification
Current CDL for all required drivers
Proper class and endorsements
No expired or invalid licenses
Driver qualification status
No disqualified drivers employed
No suspended/revoked CDLs in service
Medical disqualifications addressed
Drug & Alcohol Testing Program
(CDL Drivers Only)
🚨 AUTOMATIC FAILURE RISKS: Missing D&A program, using drivers with positive tests
Written policy established
Comprehensive D&A policy developed
Policy distributed to all CDL drivers
Signed acknowledgments on file
Testing program implementation
Enrolled with qualified C/TPA
DER (Designated Employer Representative) appointed
Supervisor training completed (120 min total)
FMCSA Clearinghouse compliance
Company registered in Clearinghouse
Pre-employment queries completed
Annual limited queries conducted
Required testing completed
Pre-employment: Negative drug tests verified
Random testing: 50% drugs, 10% alcohol rates
Post-accident testing when required
Reasonable suspicion procedures established
Return-to-duty compliance
SAP process for violations
Follow-up testing schedules
No drivers in service with unresolved violations
Hours of Service
& Operational Safety
Hours of Service Compliance
🚨 AUTOMATIC FAILURE RISKS: Missing HOS records, false logs
HOS record requirements
Records required for all CMV drivers
6-month retention period maintained
No false or fraudulent records
Electronic Logging Device (ELD) compliance
ELD installed and functional (if required)
FMCSA-registered device used
Data backup procedures established
ELD exemptions verified
Short-haul exceptions properly documented
Pre-2000 model year vehicles identified
Driveaway-towaway operations confirmed
Supporting Documentation
HOS supporting documents
Up to 8 documents per 24-hour period
Bills of lading retained
Fuel receipts and toll records kept
Earliest and latest time stamps included
HOS violation management
Regular record review conducted
Violations identified and addressed
Driver counseling documented
Driver Safety Training
Part 392 compliance training
Safe driving practices covered
Training documentation maintained
Regular safety meetings conducted
Vehicle Maintenance
& Inspections
Vehicle Maintenance Program
🚨 AUTOMATIC FAILURE RISK: No systematic maintenance program
Maintenance program established
Systematic inspection/repair program
Written maintenance schedules
Program consistently followed
Vehicle maintenance records
Individual file for each vehicle
Vehicle identification information complete
Maintenance history documented
1-year retention while in service + 6 months
Required Vehicle Inspections
🚨 AUTOMATIC FAILURE RISK: No annual inspection
Annual inspections current
Every CMV inspected within 12 months
Qualified inspector performed inspection
Inspection certificate/sticker displayed
Inspection documentation
Inspection reports retained 14 months
Proof of current inspection on vehicle
Failed inspections addressed before operation
Driver Vehicle Inspection Reports
(DVIRs)
🚨 AUTOMATIC FAILURE RISK: Operating with uncorrected DVIR defects
DVIR procedures implemented
Pre-trip inspections required
Post-trip reports when defects found
Driver training on DVIR completion
Defect correction process
Repairs certified before re-dispatch
Out-of-service defects immediately corrected
DVIR records retained 3 months
Vehicle Safety Equipment
Parts and accessories compliance
Part 393 requirements verified
Safety equipment current
Regular equipment inspections
Out-of-service management
No OOS vehicles in operation
Immediate removal from service
Repairs completed before return
Hazardous Materials Compliance
Hazmat Training Requirements
Employee training program
All hazmat employees trained per § 172.704
General awareness training completed
Function-specific training provided
Safety and security training current
Training documentation
Training records maintained
3-year currency verified
Refresher training scheduled
Hazmat Operations
Shipping documentation
Proper shipping papers prepared
Correct placards and labels used
Emergency response information available
Security requirements
Security plan developed (if required)
Annual security plan review
Route planning compliance
Hazmat Record Retention
Document retention compliance
Non-waste hazmat papers: 1 year
Waste materials: 3 years
Training records: Employment + 90 days
Accident Analysis
& Safety Performance
Accident Performance Analysis
Accident rate calculation
Recordable accident rate determined
Performance trends analyzed
Benchmarking against industry standards
Preventive measures implemented
Root cause analysis conducted
Corrective actions developed
Driver training enhanced
Policy modifications made
Post-Accident Procedures
Testing compliance
Post-accident drug/alcohol testing conducted
Testing timelines met
Results properly documented
Investigation procedures
Accident investigation process established
Investigation findings documented
Lessons learned implemented
Final Audit Preparation
Critical Document Organization
Before your audit, ensure you have:
All driver files organized and easily accessible
Vehicle maintenance records sorted by vehicle
Insurance documentation current and complete
Testing records properly filed and current
Accident register updated and comprehensive
Pre-Audit Team Briefing
Staff roles defined for audit day
DER availability confirmed
Document location mapped for quick retrieval
Backup documentation prepared for critical items
Automatic Failure Prevention
Final verification of the 16 most critical items:
Drug & alcohol testing program active (CDL drivers)
No impaired drivers in service
Valid CDLs for all required drivers
Current medical certificates for all drivers
Adequate insurance coverage maintained
HOS records required and accurate
Annual vehicle inspections current
No out-of-service vehicles operating
View more information about violations resulting in automatic failure here.
Next Steps After Completing This Checklist
If All Items Are Checked ✅
Congratulations! You're audit-ready. Schedule regular reviews to maintain compliance.
If Items Are Missing ❌
Prioritize automatic failure risks first
Create action plan with deadlines
Assign responsibility for each task
Document progress regularly
Re-check before audit date
Get Professional Help
By working with the team of transportation compliance veterans at TIPS, you can rest easy knowing that your operation is compliant, free of blind spots that will hurt your business during an audit, and that you’re prepared for any regulatory changes that may alter your responsibilities and requirements during a safety audit.
If you have any questions or concerns regarding your upcoming safety audit, don’t wait until it’s too late to take action — talk to a compliance expert today.