DOT Audit Prep
New Entrant Safety Assurance
DOT AUDIT PREP
WHAT IS A NEW ENTRANT SAFETY ASSURANCE PROGRAM?
In order to initiate operations in interstate commerce, motor carriers must apply for a U.S. Department of Transportation (DOT) identification number. The New Entrant Safety Assurance Programs affect U.S. and Canada-based motor carriers.
HOW DO I BECOME A NEW
Carriers seeking to operate in interstate commerce must complete form MCS-150 “Combined Motor Carrier Identification Report.” To apply for Interstate Operating Authority, a carrier must complete the appropriate form in the OP-1 series.
HOW LONG IS THE NEW ENTRANT PERIOD?
The New Entrant will be monitored during an initial 18-month period.
WHAT IS REQUIRED FROM THE
The New Entrant is required to operate safely, maintain up-to-date records, conduct periodic inspections, perform maintenance on CMVS, and pass the safety audit.
WHAT IS REQUIRED FROM
FMCSA is required to conduct a Safety Audit on the New Entrant, Monitor safety performance through roadside inspections, and grant permanent authority, if eligible.
SAFETY AUDITS AND COMPLIANCE REVIEWS
WHO IS INVOLVED IN SAFETY AUDITS AND COMPLIANCE REVIEWS?
A certified U.S. federal safety investigator, state or provincial enforcement officer is involved, as well as the motor carrier (possibly including managers, drivers, mechanics, and other staff).
WHEN DOES A SAFETY AUDIT TAKE PLACE?
A Safety Audit takes place within a 12 month period after beginning operations.
WHEN DO COMPLIANCE REVIEWS/INTERVENTIONS TAKE PLACE?
At any time FMCSA safety data indicates problems.
WHERE WILL THESE BE CONDUCTED?
Audits, compliance reviews/interventions are generally conducted at the principal place of business. Post COVID, there are a large numbers that are being done virtually instead of in your place of business.
UNDER WHAT CIRCUMSTANCES WILL A NEW ENTRANT
AUTOMATICALLY FAIL THE SAFETY AUDIT?
A New Entrant will AUTOMATICALLY FAIL the Safety Audit for the following violations:
INTEGRATED WITH YOUR SYSTEM
- No alcohol and/or drug testing program.
- No RANDOM alcohol and/or drug testing program.
- Using a driver who refused a required alcohol or drug test.
- Using a driver the company knows had a blood alcohol content of 0.04 or greater.
- Using a driver who failed to complete required follow-up procedures after testing positive for drugs.
A New Entrant fails the Safety Audit for knowingly:
- Using a driver without a valid CDL.
- Using a disqualified driver.
- Using a driver with a revoked, suspended, or cancelled CDL.
- Using a medically unqualified driver.
- Operating a motor vehicle without having in effect the required level of insurance.
- Failing to require drivers to make hours-of-service records.
- Repairs and Inspections Violations
- Operating a vehicle declared Out-of-Service for safety deficiencies before repairs are made.
- Not performing OOS repairs reported in driver-vehicle inspection reports (DVIRs).
- Operating a CMV not periodically inspected.
RESULTS OF THE SAFETY AUDIT
If passed, FMCSA will continue to monitor the New Entrant’s safety compliance and performance.If a New Entrant fails, they must satisfactorily implement a corrective action to correct safety management practices. Failure to do so will result in immediate revocation of USDOT registration.
HHG and ADA Compliance
Some New Entrant carriers are also required to be in compliance with:
- Household Goods (HHG) Regulations
- Americans with Disabilities Act (ADA)