What is the New Entrant Safety Audit?

As one of the Nation’s leading providers for DOT Drug Testing Services and full service TPA Services, Smart Test receives numerous questions from single operators, motor carrier employers and DER’s regarding their New Entrant Safety Audit for the Federal Motor Carrier Safety Administration (FMCSA).  This new entrant audit typically occurs within the first 18 months of beginning operations.

What is the New Entrant Safety Assurance Program?

This program monitored by the Federal Motor Carriers Safety Administration (FMCSA) is a Safety Assurance Program that monitors U.S. and Canada-based motor carriers.

A new entrant is defined as is a motor carrier not domiciled in Mexico that applies for a U.S. Department of Transportation (DOT) identification number, in order to initiate operations in interstate commerce.

Who Is Required To Comply With The New Entrant Audit?

You are a motor carrier if your vehicle:

    • Weighs at least 10,001 pounds, and operates in interstate commerce, or
    • Transports more than 8 passengers (including the driver), for-hire (compensated), or
    • Transports more than 15 passengers (including the driver), private (not for compensation), or
    • Transports amounts of hazardous materials requiring placards (49 CFR, subtitle B, chapter I, subchapter C)
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All new entrants must:

    • Operate in a safe manner
    • Maintain current and up to date records
    • Conduct periodic inspection and maintenance on CMV’s
    • Successfully pass a safety audit

The FMCSA will also:

    • Conduct a safety audit on the new entrant
    • Monitor their safety performance through roadside inspections
    • Grant permanent authority to new entrant, if safe

What Is Required For The New Entrant Safety Audit?

Part 40 & 382 – Drug and Alcohol Program, Do you or your company have?

    • DOT written Drug and Alcohol written policy and copies of driver’s acknowledgement of receipt (49 CFR382.601)
    • Proof of enrollment in 3rd party consortium and consortium roster showing all CDL drivers are enrolled in the random selection pool. (49 CFR 382.305 and 382.403)
    • Annual MIS Summary for previous calendar year indicating the total drivers in the selection pool, the number tested for controlled substance and the number selected for alcohol tests.
    • Negative Pre-employment drug test for each CDL driver also to include the Federal Custody and Control Form AND Negative test result signed by MRO (49 CFR 382.301)
    • ALL Positive or driver refusals for controlled substance and/or alcohol tests.
    • If the employer/carrier is using a driver who has tested positive for controlled substance or alcohol, provideevidence of the return to duty process and associated paperwork. (49 CFR 40 subpart O)
    • Proof of successful completion of supervisor reasonable suspicion training (49 CFR 382.603)
    • Documentation of ALL Post-accident-controlled substance and alcohol test, if applicable (49 CFR 382.303)
    • Proof the employer has asked driver if they have ever tested positive, or refused to test, on anypre-employment-controlled substance or alcohol test, which they did not obtain safety sensitive transportation work covered by DOT testing rules. (CFR 49 40.25 j)

Part 391 – Do Your Driver Qualification Files containing the following?

    • Driver’s application for employment must meet requirements of 49 CFR 391.21
    • Inquiry to all previous employers within the past 3yrs – background check of safety sensitive functions. (49 CFR 391. 23a 2 & c)
    • Inquiry to state motor vehicle records (MVR) covering 3yrs dated within 30 days of hire (49 CFR 391.23a 1 & b)
    • Annual driver certificate of violation, if the driver has been with the carrier over 365 days (49 CFR 391.27)
    • Annual MVR, if the driver has been with carrier over 365 days (49 CFR 391.25)
      Carrier’s annual review of MVR, if the driver has been with the carrier over 365 days (49 CFR 391.25)

What Are Some Reasons That My Company Would Automatically Fail The Safety Audit?

Alcohol and drug violations

    • No alcohol and/or drug testing program
    • No random alcohol and/or drug testing program
    • Using a driver who refused a required an alcohol or drug test
    • Using a driver that the company is aware of a blood alcohol content result of 0.04 or greater
    • Using a driver who failed to complete the required follow up Substance Abuse procedures after testing positive for drugs

What are employer driver violations?

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

For more information on implementing a DOT Drug Policy, MVR Reports or to enroll in a DOT random drug and alcohol testing pool, click the button below or call us at (800)977-8664

Download FMCSA Safety Guide
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