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The Basics of the New Entrant Safety Audit


The FMCSA provides a new entrant safety audit for new carriers. Every carrier must take part in the audit within the first 12 months of operations. Failing this crucial audit could put your trucking company out of business. The key is to follow FMCSA regulations and maintain good records. To learn more about the audit and how to pass it, please continue reading. If you have any questions, do not hesitate to reach out to our organization. What is DOT Audit?

What Will the Government Audit?

FMCSA officials review three main types of documentation. (The FMCSA refers to the Federal Motor Carrier Safety Administration.) The forms of documentation are vehicle, driver, and carrier program. Remember that your carrier must maintain records on itself. It must do so as it would for any driver that the company hires. For example, you'll need to pull the MVR on yourself. Then, you can keep a record of it on file. Of course, every driver in your fleet needs a driver’s qualification (DQ) file. Know about UCR registration.

What Takes Place Throughout the New Entrant Safety Audit?

This FMCSA and DOT audit will happen via an official auditor. An auditor will either show up to your company or the audit can happen online. If it’s an online audit, you will need to file the right documents through the FMCSA. Say that your carrier files all its paperwork. The auditor will assess the results of the audit with your business. He or she will explain how you can boost the safety management of your carrier. In-person DOT audits last anywhere from one hour to four hours. It comes down to how well you prepared the paperwork that gets reviewed. FMCSA holds a drug test of the employees of the motor carrier industry.

The Basics of the Audit

Taking part in the new entrant safety audit is never an option. Instead, it’s an official policy of the FMCSA. This agency needs to ensure that your carrier adheres to all safety standards. That’s why every trucking business can expect to experience this audit. It will take place within the first twelve months of a carrier’s operation. How to get USDOT Number? The FMCSA and DOT will focus on different criteria. It ranges from drug and alcohol violations to operations or driver violations. The agency will also assess repair violations and inspection infractions. You can pass the audit if your trucking company has all these factors under control.

Drug & Alcohol Violations

You cannot run a successful company without following DOT drug and alcohol policies. Of course, your carrier will need to have already set up a drug and alcohol consortium. Plus, it must provide supervisor training about this issue. Point blank: you need to put a DOT-approved system in place. This includes taking part in random drug and alcohol testing. Here is an example. Say that one of your drivers alters his or her test results. You cannot continue to have that person operate vehicles on behalf of your carrier. What are the Top 3 DOT paper-appointed Violations?

Violations Related to Operations

Every trucking business must prevent operations violations from taking place. The main operations violations that happen relate to driving logs and insurance. Here is an example. Is your carrier familiar with the Electronic Logging Device (ELD) Mandate? If not, you must put an FMCSA-approved ELD process in place. Make sure that your carrier uses a government-approved ELD. Plus, your carrier must have set up all required insurance policies of the FMCSA. Also, ensure that you track HOS (hours-of-service) records. For additional programs, check out MCS-150, Must visit FMCSA Hours of Service Suspended topics.

Inspection & Repair Violations

A carrier has to maintain its equipment at all times. Otherwise, it will lose its compliance standing during a DOT audit. Have previous equipment inspections taken place in the past at your carrier? If so, make sure that your trucking business holds onto those records. You must also instruct your drivers to report any negative issues with equipment. Say that a vehicle in your fleet gets put out of service. Your carrier must make needed repairs before a driver can operate that vehicle. Our team is ready to file your BOC-3 form in minutes, fast, and with 100% accuracy.

Violations of Drivers

Your trucking business must maintain accurate DQ (driver qualification) files. Plus, it also has to make sure that each driver’s CDL has an active status. Otherwise, you risk getting into big-time trouble during your safety audit. The key is to make sure that each driver’s qualified. Also, check out Driver Qualification Files. This includes each driver having the right medical qualifications. Must visit FMCSA Hours of Service Suspended.

How Do I Prepare for the DOT Audit?

The key is to have all paperwork at your carrier in place before the DOT shows up to inspect. This concept applies to any style of DOT audit, including a new entrant safety audit. All paperwork should outline how your company adheres to safety regulations. These regulations get set forth by the FMCSA. Say that your carrier’s struggling to prepare for an audit. If that's the case, do not hesitate to call our organization. We can direct you to resources that can help prepare you for any type of audit. Learn here How to Prepare for a Compliance DOT Audit.

What Could Trigger an Audit by the DOT?

Here's how the FMCSA and DOT define a “new entrant.” It’s any trucking business that’s operated for fewer than twelve months. If that's the case for your carrier, then expect to receive a DOT safety audit. But your carrier could also receive an audit if it has a poor CSA score. Or, if the FMCSA notices safety protocol violations. This can take place when investigations or inspections happen. Learn here How to Prepare for a Compliance DOT Audit.

Let Us Know If You Need a Safety Audit Checklist

Many carriers benefit by using a safety audit checklist. Having the checklist can assist any carrier in preparing to get audited. Our organization can provide your trucking business with a first-rate, custom checklist. This way, you can prepare for the safety audit or other audits. Check out The Basics of Farm Exemptions. Please contact us today if you're interested in receiving the checklist. We’re ready to go over federal motor carrier safety regulations with you.

What Happens If You Fail a New Entrant Safety Audit?

Say that your trucking company fails the FMCSA safety audit. The agency could revoke your operating authority status on an immediate basis. This would put your carrier out of business for at least a while. Why? Because you would lose the authority to transport goods or passengers for money. Sure, an inspector could make a mistake. But there are very slim chances of that happening. Now, there is a potential route to recovery, should your carrier fail the audit. Say that you’ve found out that your operating authority will get revoked. In most cases, the government provides a business with a chance to create a CAP. This stands for “corrective action plan.” A plan will address all issues related to the results of an audit. You will then have the ability to maintain complete motor carrier authority or broker. Your trucking company can then file the CAP. Most of the time, a commercial carrier has fifteen days to file a plan. Otherwise, the authority will get revoked. So, if this situation happens, make sure that you file your CAP on time. If the FMCSA accepts your CAP, your trucking business can continue to operate. (Without the revocation of authority taking place.) But expect a DOT auditor to make sure that your carrier’s made changes. Also, take a look at the Drug and Alcohol Program policy. What is DOT Clearinghouse Enforcement?

More Information About Preparing for the Audit

The key is to prepare for the new entrant safety audit as much as you can. This way, the chances increase that your carrier will
pass the audit. You do not want to wait until you receive an FMCSA notice that the audit will happen. All an audit should do is confirm that you're already doing the right things. This means that you have the correct documentation and procedures in place. That’s why the time is now to focus on trucking paperwork and procedures. As a result, you won't panic when you find out that the audit will take place. Focus on organizing so that you can supply the FMCSA with the information it needs. This means that you might need to instruct workers at your trucking company. Do not let them prevent your carrier from passing the audit. Instead, put the right measures in place to focus on complete DOT and FMCSA compliance. Here at our own business, we can help you with all aspects of compliance. Please browse our website to view tools and resources for trucking companies. You'll find that our services can ensure success when audits take place. You will need driver qualification files filed out by all employees that drive for you working. Also, take a look at What Is IRP or Apportioned Registration.

Questions About the New Entrant Safety Audit? Call Us Now

Our organization’s standing by to help your carrier prepare for any DOT or FMCSA audit. Please give us a call today if you have any questions. Must visit BOC-3. Our third-party specialists know all about new entrant safety audits. That's why they’ve prepared the best tools and resources in the US trucking industry. We have one simple mission. It is to ensure the success of every new carrier. Our team won't rest until your company’s prepared for an upcoming audit. Do not hesitate to Call our organization.
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