How to Pass the FMCSA New Entrant Safety Audit

Every new interstate carrier goes through FMCSA's New Entrant Safety Assurance Program. The center of that program is the safety audit, a review of your records to confirm you have basic safety controls in place. Fail it and fail to fix the problems in time, and FMCSA revokes your registration.

The good news: the audit is predictable. If you set up your records from day one, it is very passable.

The timeline

• 18 months: Your new entrant monitoring period starts when you get your USDOT number. During this time FMCSA watches your roadside inspections and crashes closely.
• 12 months: For property carriers, the safety audit must happen within the first 12 months. (Passenger carriers get audited within 120 days.)
• Earlier, if needed: FMCSA can schedule an expedited audit if you have serious problems, such as a bad roadside inspection or a crash.

Most audits for small carriers are done remotely. You upload documents and talk with the auditor by phone or video.

The 16 violations that mean automatic failure

Federal rules (49 CFR 385.321) list 16 violations that automatically fail a safety audit. For most, a single occurrence is enough:

Drug and alcohol testing

1. Not having a drug and alcohol testing program
2. Using a driver known to have an alcohol concentration of 0.04 or higher
3. Using a driver who refused a required test
4. Using a driver known to have tested positive for drugs
5. Not having a random testing program

Driver licensing and qualification

6. Knowingly using a driver who does not have a valid CDL
7. Knowingly letting a driver operate with a disqualified license or permit
8. Knowingly letting a disqualified driver drive
9. Knowingly using a disqualified driver (under the driver qualification rules)
10. Knowingly using a physically unqualified driver, for example with no valid medical certificate

Insurance

11. Operating without the required minimum insurance (financial responsibility)
12. Operating a passenger vehicle without the required minimum insurance

Hours of service (needs 51% or more of examined records)

13. Not requiring drivers to keep a record of duty status (logs)

Vehicle maintenance

14. Operating a vehicle placed out of service before it is repaired
15. Not fixing out-of-service defects that a driver reported on an inspection report before the vehicle is driven again
16. Using a vehicle that has not had its periodic (annual) inspection (needs 51% or more of examined records)

Beyond these, the auditor also looks for basic safety management controls across your whole operation. Widespread problems in several areas can also lead to a failed audit.

What the auditor will ask for

Have these ready, organized by driver and by vehicle:

Drug and alcohol program

• Proof you joined a testing consortium or run your own program
• Pre-employment drug test results for every driver, including you
• Random testing selection and results
• Drug & Alcohol Clearinghouse registration and query records

Driver qualification files

• Employment application
• Motor vehicle record (MVR) from each state where the driver held a license in the past 3 years
• CDL copy and road test certificate (or equivalent)
• Valid medical examiner's certificate
• Safety performance history from previous employers
• Annual MVR review

Hours of service

• ELD records or logs for a sample of days
• Supporting documents such as fuel receipts, bills of lading and toll records

Vehicle maintenance

• Annual inspection reports for each truck and trailer
• Maintenance and repair records
• Driver vehicle inspection reports (DVIRs) and proof that reported defects were fixed

Insurance and registration

• Proof of required insurance
• Accident register, if you had any recordable crashes

If you fail

You will get a written notice listing what you must fix. Most property carriers have 60 days to submit a corrective action plan and evidence. Carriers of passengers or placarded hazardous materials have 45 days. If FMCSA does not accept your corrections in time, your new entrant registration is revoked and you must stop interstate operations.

If you are revoked, you have to reapply and start the 18-month new entrant period over.

Tips from the road

• Set up files on day one, not the week before the audit.
• Test yourself. Owner-operators who drive for their own company must be in a random testing program too.
• Use a checklist for every new driver before their first load.
• Keep every DVIR and write down when each defect was fixed.
• Do a practice audit using the list above every quarter.

Sources

• eCFR: 49 CFR Part 385 Subpart D, New Entrant Safety Assurance Program
• eCFR: 49 CFR 385.321, Safety audit: Failure
• FMCSA: What is the New Entrant Program?
• FMCSA: Drug & Alcohol Clearinghouse