What the audit reviews
Every carrier domiciled in the United States or Canada that begins interstate operations is a new entrant under Part 385, Subpart D (385.301). The audit asks whether the carrier has basic safety management controls in place, judged against the factors in Appendix A to Part 385. In practice the auditor asks for these records. If you want new entrant safety audit help getting them in order, start there.
| Area | Rule | Records |
|---|---|---|
| Driver qualification | Part 391 | A qualification file for each driver (391.51) |
| Drug and alcohol testing | Part 382 | The testing program, the random pool and pre-employment results |
| Hours of service | Part 395 | Records of duty status and supporting documents |
| Inspection and maintenance | Part 396 | Periodic inspections, inspection reports and repair records |
| Accident register | 390.15 | The register of recordable accidents |
| Insurance | Part 387 | Proof of the required financial responsibility |
FMCSA can hold the audit at the carrier's place of business or off-site, with the records sent in.
The 16 automatic-failure regulations
Section 385.321(b) lists the regulations whose violation fails the audit on its own, whatever the rest of the review shows:
| Regulation | Violation |
|---|---|
| 382.115(a) or (b) | Failing to implement an alcohol and controlled substances testing program |
| 382.201 | Using a driver known to have an alcohol concentration of 0.04 or greater |
| 382.211 | Using a driver who has refused a required test |
| 382.215 | Using a driver known to have tested positive for a controlled substance |
| 382.305 | Failing to implement a random testing program |
| 383.3(a) and 383.23(a) | Knowingly using a driver who does not have a valid CDL |
| 383.37(b) | Knowingly allowing a driver to operate with a State-disqualified CLP or CDL |
| 383.51(a) | Knowingly allowing a disqualified driver to drive |
| 387.7(a) | Operating without the required financial responsibility |
| 387.31(a) | Operating a passenger carrier without the required financial responsibility |
| 391.15(a) | Knowingly using a disqualified driver |
| 391.11(b)(4) | Knowingly using a physically unqualified driver |
| 395.8(a) | Failing to require drivers to make records of duty status |
| 396.9(c)(2) | Operating a vehicle declared out of service before the repairs are made |
| 396.11(a)(3) | Failing to correct out-of-service defects listed on a driver vehicle inspection report |
| 396.17(a) | Using a vehicle that has not been periodically inspected |
Most of the list asks whether a system exists at all: a testing program, a random pool, insurance, qualified drivers, inspected trucks.
The pre-audit checklist
Driver qualification files (Part 391)
- The employment application (391.21) and the road test certificate or its accepted equivalent (391.31, 391.33).
- A valid CDL of the right class, and the motor vehicle record from each state obtained within 30 days of hire (391.23).
- The safety performance history from previous DOT-regulated employers (391.23).
- A current medical examiner's certificate (391.43) with the National Registry verification note (391.23(m)).
- The annual motor vehicle record and the signed note of the annual review (391.25).
Drug and alcohol testing (Part 382)
- A testing program in place (382.115) and enrollment in a random testing pool (382.305).
- A negative pre-employment drug test result before each driver performs safety-sensitive work (382.301).
- Drug and alcohol records kept in a secure location with controlled access (382.401).
Hours of service (Part 395)
- Records of duty status for each driver and their supporting documents (395.8).
Inspection and maintenance (Part 396)
- A periodic inspection within the last 12 months on each vehicle (396.17).
- Driver vehicle inspection reports and proof that reported out-of-service defects were corrected (396.11).
Accident register and insurance
- An accident register under 390.15.
- Proof of the required financial responsibility (Part 387).
If the audit is failed
FMCSA sends a notice naming the corrective action required. Under 385.319, a property carrier generally has 60 days to show the problems are corrected; a passenger carrier or a carrier of placardable quantities of hazardous materials has 45 days. If the correction is not accepted in that time, the new entrant registration is revoked and the carrier is placed out of service.
Worked example: a two-truck carrier eight months in
Illustration, not a customer
The owner drives one truck and employs one driver. Working down the 385.321(b) list against the files turns up three gaps:
- The consortium enrollment letter is not on file. Under 382.305 the carrier needs a random testing program, and the enrollment record is what shows it. First to fix: an automatic-failure regulation.
- The second truck's periodic inspection report is 13 months old. Section 396.17 requires an inspection within the preceding 12 months. Second to fix, also on the 385.321(b) list.
- The hired driver's annual review note is missing. Section 391.25 requires it, and it is not one of the 16, so it comes third.
The order is the point: the 385.321(b) items first, then everything else the audit reviews.
Where FileFlo does the work
Most compliance tools track a date someone typed in and send a notice. FileFlo does the work behind the date: it reads each document, finds the date, checks it against the rule, files it where the rule wants it and works out what is due next, for every driver and every recurring item. For the new entrant audit, it starts from your USDOT number and reads your FMCSA record every day. The Today list shows what is missing or due next, and the packet the auditor asks for stays ready. Nothing goes out to your drivers until you switch each routine on and choose who hears, how and when.
Sources
Checked
- 49 CFR Part 385, Subpart D, new entrant safety assurance process, eCFR
- 49 CFR 385.321, safety audit failure and the automatic-failure list, eCFR
- 49 CFR 385.319, what happens after a failed audit, eCFR
- Appendix A to Part 385, safety audit factors, eCFR
- New Entrant Safety Assurance Program, FMCSA. The 12-month audit window
- What happens if a motor carrier fails its new entrant safety audit, FMCSA
- 49 CFR 382.305, random testing, eCFR
- 49 CFR 396.17, periodic inspection, eCFR
Questions
What is the new entrant safety audit?
It is the review FMCSA makes of a new US- or Canada-domiciled interstate motor carrier under 49 CFR Part 385, Subpart D. The auditor looks at the carrier's basic safety management controls and the records behind them: driver qualification, drug and alcohol testing, hours of service, vehicle inspection and maintenance, the accident register, and insurance.
When does the audit happen?
FMCSA states that a new entrant's safety audit takes place within its first 12 months of operation. The new entrant period itself runs 18 months under Part 385, Subpart D.
What causes an automatic failure?
Section 385.321(b) lists 16 regulations. A violation of any of them fails the audit. They include not having a drug and alcohol testing program or a random testing program, using a driver without a valid CDL or a disqualified driver, operating without the required insurance, and operating a vehicle declared out of service before it is repaired.
What happens after a failed audit?
FMCSA sends a notice. Under 385.319, most property carriers then have 60 days to show they have corrected the problems, and passenger carriers and carriers of placardable quantities of hazardous materials have 45 days. Without an accepted correction, the new entrant registration is revoked and the carrier is placed out of service.
Does the audit apply to a one-truck carrier?
Yes. Subpart D covers every new US- or Canada-domiciled carrier beginning interstate operations, and the same regulations apply whatever the fleet size.