Audit Readiness
A New Entrant Safety Audit is conducted for every new motor carrier. For property carriers, it occurs within 12 months of registering with the Federal DOT. For passenger carriers, it occurs within 120 days of registering with the DOT. Typically, audits occur within the first couple of months of operation.
The New Entrant Safety Audit is unique. Most audits of this type are levied as punishment for non-compliance, however the New Entrant Safety Audit is considered to be educational as opposed to punitive. Think of it as a transitioning from your learners’ permit to your full driver’s license. You should, however, take the New Entrant Safety Audit seriously. If you fail, while you will not face fines or punishments, you may struggle to keep your business on the road.
The 16 Deadly Sins
During your audit, there are 16 critical regulatory requirements that you must pass. Failing any one of these requirements will cause you to fail your New Entrant Safety Audit. In the industry, these 16 rules are commonly referred to as the “16 Deadly Sins.” You’ll find an overview of each of these sins below.
Drug and Alcohol Testing Program
| Deadly Sin # | Regulation | Solution |
| 1 | Failing to implement an alcohol and/or controlled substances testing program (domestic and foreign motor carriers, respectively). (49 CFR Parts 382.115(a) and 382.115(b)) | Looking for Answers? Check out Drug Testing for more information. You need a drug and alcohol testing program that complies with the many requirements of 49 CFR Parts 40 and 382, including a policy, MRO Review, reporting, etc. If you employ one or more drivers, all supervisors must complete reasonable- suspicion training. Our DOT Drug and Alcohol Testing Program was designed to make life easy for New Entrants while keeping them in compliance. Once you start hiring drivers, Foley can help you with your training needs as well as provide pre-employment testing services. |
| 2 | Using a driver known to have an alcohol concentration of 0.04 or greater to perform a safety-sensitive function. (49 CFR Part 382.201) | |
| 3 | Using a driver who has refused to submit to an alcohol or controlled substances test as required and has not completed the return-to-duty process. (49 CFR Part 382.211) | |
| 4 | Using a driver known to have tested positive for a controlled substance who has not successfully completed the return-to-duty process. (49 CFR Part 382.215) | |
| 5 | Failing to implement a random controlled substances and/or alcohol testing program. (49 CFR Part 382.305) |
Driver File Management
| Deadly Sin # | Regulation | Solution |
| 6 | Knowingly using a driver who does not possess a valid CDL. (49 CFR Parts 383.3(a) and 383.23(a)) | Looking for Answers? Check out Driver Files for more information. You will need to perform background checks on any new drivers you hire and keep paperwork on your drivers as mandated in 49 CFR Parts 383 and 391. Our Initial Driver File Set-up Service includes the set-up of both the Driver Qualification and Safety Performance History Files as required by FMCSA. Our Driver Qualification File Management Service helps keep existing files compliant. As part of this valuable service, we notify you when the driver’s license or other documentation is due to expire, and even provide you with all the necessary current forms. |
| 7 | Knowingly allowing, requiring, permitting, or authorizing an employee with a commercial driver’s license which is suspended, revoked, or canceled by a State or who is disqualified to operate a commercial motor vehicle. (49 CFR Part 383.37(a)) | |
| 8 | Knowingly allowing, requiring, permitting, or authorizing a driver to drive who is disqualified to drive a commercial motor vehicle. (49 CFR Part 383.51(a)) | |
| 9 | Using a disqualified driver. (49 CFR Part 391.15(a)) | |
| 10 | Using a physically unqualified driver. (49 CFR Part 391.11(b)(4)) |
Financial Responsibility
| Deadly Sin # | Regulation | Solution |
| 11 | Operating a motor vehicle without having in effect the required minimum levels of financial responsibility coverage (Insurance). (49 CFR Part 387.7(a)) | FMCSA’s minimum levels of financial responsibility are outlined in 49 CFR Part 387. Review the regulation requirements that apply to your business, and contact our Compliance Specialists if you have any questions or need a referral. |
| 12 | Operating a passenger carrying vehicle without having in effect the required minimum levels of financial responsibility. (49 CFR Part 387.31(a)) |
Hours of Service
| Deadly Sin # | Regulation | Solution |
| 13 | Failing to require a driver to make a record of duty status. (49 CFR Part 395.8(a)) Automatic failure requires a violation threshold of 51% or more of examined records. | Looking for Answers? Check out Hours of Service for more information. Motor carriers with drivers who must comply with the Hours of Service requirements are required to monitor the compliance of their drivers and the accuracy of their paper or electronic logs. As the industry prepares for the upcoming ELD mandate, Foley is helping motor carriers get prepared through an exclusive partnership with KeepTruckin. Together, we’re providing customers with a compliant ELD solution that automates hours of service, vehicle maintenance and IFTA. |
Vehicle Maintenance
| Deadly Sin # | Regulation | Solution |
| 14 | Requiring or permitting the operation of a commercial motor vehicle declared “out-of-service” before repairs are made. (49 CFR Part 396.9(c)(2)) | 49 CFR Parts 393 and 396 establish vehicle inspection, repair and maintenance rules for motor carriers and drivers. These requirements include driver vehicle inspections, systematic inspections, annual inspections, inspector qualifications, emergency equipment specifications and more. Foley’s ELD solution allows drivers to quickly and easily record vehicle maintenance reports in a free mobile application. |
| 15 | Failing to correct out-of-service defects listed by driver in a driver vehicle inspection report before the vehicle is operated again. (49 CFR Part 396.11(c)) | |
| 16 | Using a commercial motor vehicle not periodically inspected. (49 CFR Part 396.17(a)) Automatic failure requires a violation threshold of 51% or more of examined records. |
New Entrant Safety Audit
Review the following information for a basic overview of what you will need to have in place in order to pass a DOT Safety Audit. To pass your audit, you will need to be able to check every box off as complete and have supporting documents available. If you have any questions, you can discuss them during your Pre-Audit Call or can call a Compliance Specialist any time by calling 1-800-253-5506.
| Task | Regulation |
| My company is enrolled in a random drug and alcohol testing program | § 382.115(a); § 382.115(b) |
| I have a drug & alcohol program policy for my company | § 382.601(b) |
| All active drivers have signed my drug & alcohol policy | § 382.601(d) |
| I have not used a driver with an alcohol content greater than 0.04 | § 382.201 |
| I have not used a driver who has refused to submit to an alcohol or controlled substances test | § 382.211 |
| I have not used a driver known to have tested positive for a known substance | § 382.215 |
| All of my drivers possess an active Commercial Driver’s License | § 383.3(a); |
| My company has the required levels of insurance | § 387.7(a) |
| I have not knowingly used a disqualified driver | § 391.15(a) |
| All of my drivers are physically qualified to drive | § 391.11(b)(4) |
| All of my drivers maintain a record of duty status (hours of service log book/ELD) | § 395.8(a) |
| I perform post trip inspections and maintain a vehicle maintenance log for every vehicle in my fleet | § 396.11(c); § 396.17(a) |
| I correct any out-of-service defects before the vehicle is operated again | § 396.9(c) (2) |
| I maintain complete Driver Qualification Files for every driver in my company | § 391 |
| I maintain complete Safety Performance History Files for every driver in my company | § 391.23 |
| I run an initial Motor Vehicle Report for every new hire | § 391.23(b) |
| I run an annual Motor Vehicle Report for every driver in my company | § 391.25 |
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Terms & Acronyms
