Audit Index and Cover Sheet

49 CFR 385 Subpart D (New Entrant Safety Assurance Program)

This sheet goes on top of the binder (or first in the upload). It lists every item a New Entrant Safety Audit requests and the tab in this packet that answers it, so the auditor - and you - can see in one glance that nothing is missing.

Carrier

Legal name: ____________________

USDOT number: ____________________ Operating authority: not applicable

Principal place of business: ____________________

Contact for this audit: ____________________ Phone: ____________________ Email: ____________________

Drivers: 1 Power units: 1 Packet prepared: ____________

Request list and where each answer lives

The audit letter and the FMCSA New Entrant brochure ask for the items below. Tab numbers refer to this packet.

• Proof of financial responsibility - insurance certificate with MCS-90 endorsement (387.7) - Tab 15
• Driver list with CDL and medical certificate status - Tab 14
• Equipment list - Tab 14
• Driver qualification file for each driver (391.51) - Tabs 3 to 8
• Controlled substances and alcohol testing program: written policy, driver receipts, consortium enrollment, pre-employment results, random selections, supervisor training (Part 382) - Tabs 2 and 13
• Clearinghouse registration, pre-employment and annual queries (382.701) - Tab 13
• Hours-of-service records for the past 6 months and supporting documents (395.8, 395.11) - Tab 12
• Vehicle maintenance file for each unit (396.3) - Tab 9
• Periodic (annual) inspection for each unit and inspector qualification (396.17, 396.19) - Tab 10
• Driver vehicle inspection reports (396.11) - Tab 11
• Accident register (390.15) - Tab 12
• MCS-150 (biennial update) and UCR registration - Tab 15
• Company safety policy and management controls - Tab 1 (this policy statement) and Tab 16

Company safety policy statement

____________________ operates commercial motor vehicles in interstate commerce under USDOT number ____________________. It is the policy of this company to comply with the Federal Motor Carrier Safety Regulations (49 CFR Parts 350-399) and the Hazardous Materials Regulations where applicable, to qualify every driver before dispatch, to maintain every vehicle in safe operating condition, to keep the records these regulations require, and to correct any deficiency found by a driver, an inspector or an auditor without delay.

The person responsible for safety compliance and for answering the auditor's questions is ____________________, reachable at ____________________ and ____________________. The designated employer representative for the drug and alcohol program is ____________________.

CrewPapers is not a law firm, a safety consultant or a government agency. This packet is a starting point that ____________________ has read, completed and adopted as its own; it does not guarantee the outcome of any audit, inspection or review.

Prepared with CrewPapers (crewpapers.com), a product of AskEvo LLC - not a law firm, a consultant or a government agency. This document is a starting point that Company name has read, completed and adopted as its own. It cites the regulation each requirement rests on; confirm current rules at ecfr.gov. Version 1, checked September 2026. Printed ____________.