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Staying in Good Books with the DOT: The New Entrant Safety Audit

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To keep good standing with state and federal regulators, DOT safety investigators audit new carriers' safety practices during their first months of operation. They ask questions, look at paperwork and inspect vehicles to check that you comply with the rules that apply to you.

The new entrant program

A new motor carrier is monitored by FMCSA for 18 months through the New Entrant Safety Assurance Program. During that time the carrier gets a safety audit, usually within the first 12 months. The audit is a review of your safety management controls and your records. Carriers that fail must fix the problems and send FMCSA a corrective action plan within the time FMCSA gives them, or FMCSA can revoke the carrier's registration.

What causes an automatic failure

Some violations are so serious that a single one fails a new entrant safety audit. FMCSA's description of the violations that fail an audit falls into four groups:

  • Drug and alcohol. No drug and alcohol testing program. Using a driver known to have tested positive, to have an alcohol concentration of 0.04 or more, or to have refused a test. Not following the required steps after a positive test.
  • Drivers. Using a driver who does not hold a valid CDL, or whose CDL is suspended, revoked or cancelled. Using a driver who is disqualified or medically unqualified.
  • Operations. Not having the required minimum insurance (financial responsibility). Not requiring drivers to keep a record of duty status, which can mean not using an ELD when one is required.
  • Vehicles. Operating a vehicle that has been placed out of service before it is repaired. Not correcting out-of-service defects that a driver listed on a vehicle inspection report. Using vehicles that have not had the required periodic inspection.

Some of these require a violation in a share of the records examined before they trigger a failure, so a few missing records do not automatically fail you. The full criteria are in 49 CFR Part 385, Subpart H, Appendix A and FMCSA's New Entrant program page.

Start early

  • Set up your drug and alcohol testing program and join a random testing pool before a driver starts. Register in the FMCSA Drug and Alcohol Clearinghouse and run the required queries.
  • Build a qualification file for every driver: application, motor vehicle records, medical certificate, road test or equivalent and employer inquiries. Track expiration dates.
  • Keep proof of insurance current, and keep records of maintenance, inspections and repairs for every vehicle.
  • Use a compliant ELD, and review driver logs and violations yourself.
  • Teach drivers, dispatchers and the people who keep your books to keep good records and follow the same procedures every time, and keep up with changes from FMCSA and DOT.

A bookkeeping and records system such as Trip Sheet Central keeps your trips, expenses and maintenance in one place, and the Premium plan adds driver qualification files. See also Preparing for a compliance audit and Do you know your BASIC?