The FMCSA New Entrant will be monitored during the initial 18-month period. Generally audits, compliance reviews/interventions take place at the principal place of business. Some are conducted via mail or electronic. What to expect:
FMCSA Information on New Entrant Safety Audit
For the drug and alcohol testing program, the new entrant must show documentation of the following:
- Alcohol and drug testing policies and instructions for implementing your program.
- Copies of written consent forms you sent to obtain 40.25 drug and alcohol information from previous employers, and the responses received from those employers.
- Copies of written consent forms you received from prospective employers for 40.25 information, and documentation of your responses.
- Educational materials for employees.
- Documentation showing how education materials were made available to employees.
- List of supervisors responsible for making reasonable suspicion and reasonable cause determinations.
- Supervisory training lesson plans and course materials.
- Attendance lists for supervisors who received this training.
- Pre-employment testing records.
- Information about the type of method used to select employees for random testing.
- Names of all employees in the random testing pool for each selection period that the DOT Agency will review.
- Names of all employees selected for testing.
- Names of all employees actually tested.
- CCFs and ATFs showing employees were tested within the selection period.
A New Entrant will AUTOMATICALLY FAIL the Safety Audit for violations related to:
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 alcohol or drug test.
- Using a driver the company knows had a blood alcohol content of 0.04 or greater.
- Using a driver who failed to complete required follow-up procedures after testing positive for drugs.
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.
Operations Violations
- Operating a motor vehicle without having in effect the required level of insurance.
- Failing to require drivers to make hours-of-service records.
Repairs and Inspections Violations
- Operating a vehicle declared Out-of-Service for safety deficiencies before repairs are made.
- Not performing OOS repairs reported in driver-vehicle inspection reports (DVIRs).
- Operating a CMV not periodically inspected.
Results of the Safety Audit
If passed, FMCSA will continue to monitor the New Entrant’s safety compliance and performance.
If failed, New Entrants must satisfactorily implement a corrective action to correct safety management practices. Failure to do so will result in immediate revocation of the U.S. DOT registration.
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