THE FOLLOWING CHECKLIST CAN BE USED TO SATISFY RECORD-KEEPING REQUIREMENTS DURING A SAFETY AUDIT CONDUCTED BY THE FMCSA ON ALL NEW ENTRANT MOTOR CARRIER APPLICANTS.

• Proof of insurance: All motor carriers must provide proof of financial assurance that can cover costs associated with bodily injury, property damage, and environmental restoration caused by their entity. Examples of insurance include BMC-91, BMC-91x or MCS-90
• Driver list: The driver list will include all drivers who have worked for the company over the last 365 days. The driver list must include each driver’s first and last name, date of birth, date of hire, license number, and license state. It is recommended to include the termination date for each driver listed but no longer employed.
• Vehicle list: The vehicle list will include all vehicles owned, operated, or leased by the company. The list must include vehicle identification number (VIN), unit number, plate number, and state.
• Driver qualification file: The driver qualification file is a background file for each driver that meets all the requirements of Federal Regulation 49 CFR 391. During the safety audit, the full file must be provided to meet FMCSA requirements.

The Items Listed Below Are The Primary Components Of The Driver Qualification File, Including:

• Driver’s license: A copy of the driver’s license that fits the requirement of the vehicle they operate. (CDL, non CDL)
• Driver’s Motor Vehicle Record (MVR): The driver’s MVR, known as the driving record, must be reviewed annually and included in the driver qualification file. Medical certificate: All drivers must be physically and mentally fit to operate the commercial vehicle. The driver must be examined by a medical examiner, who will complete a Medical Examination Report. Upon completion of the physical examination, the driver will be given a copy of the Medical Certificate.
• Driver’s application: The driver’s application must be completed to show the driver’s information, accident/ticket history, driving history and previous employment. (This includes owner/operators)
• Previous employment: Documentation of any previous employer for which the driver held employment in the last three years and operated a commercial vehicle must be contacted to complete an interview regarding the driver’s performance history.

The following checklist can be used to satisfy record-keeping requirements during a safety audit conducted by the FMCSA on all New Entrant motor carrier applicants.

• Proof of insurance: All motor carriers must provide proof of financial assurance that can cover costs associated with bodily injury, property damage, and environmental restoration caused by their entity. Examples of insurance include, BMC-91, BMC-91x or MCS-90
• Driver list: The driver list will include all drivers who have worked for the company over the last 365 days. The driver list must include each driver’s first and last name, date of birth, date of hire, license number, and license state. It is recommended to include the termination date for each driver listed but no longer employed.
• Vehicle list: The vehicle list will include all vehicles owned, operated, or leased by the company. The list must include vehicle identification number (VIN), unit number, plate number, and state.
• Driver qualification file: The driver qualification file is a background file for each driver that meets all the requirements of Federal Regulation 49 CFR 391. During the safety audit, the full file must be provided to meet FMCSA requirements.

The items listed below are the primary components of the Driver Qualification file, Including:

• Driver’s license: A copy of the driver’s license that fits the requirement of the vehicle they operate. (CDL, non CDL)
• Driver’s Motor Vehicle Record (MVR): The driver’s MVR, known as the driving record, must be reviewed annually and included in the driver qualification file.
• Medical certificate: All drivers must be physically and mentally fit to operate the commercial vehicle. The driver must be examined by a medical examiner, who will complete a Medical Examination Report. Upon completion of the physical examination, the driver will be given a copy of the Medical Certificate.
• Driver’s application: The driver’s application must be completed to show the driver’s information, accident/ticket history, driving history and previous employment. (This includes owner/operators)
• Previous employment: Documentation of any previous employer for which the driver held employment in the last three years and operated a commercial vehicle must be contacted to complete an interview regarding the driver’s performance history.
• Driver’s road test: All drivers will complete a road test or show proof of a Commercial Driver’s License or equivalent. Used to show understanding of vehicle operations
• Drug and alcohol program: Carriers whose drivers are required to have CDLs to operate or operate over 26,001 GVWR must be enrolled in a random drug and alcohol testing program.
• Proof of enrollment in a consortium (randomized testing pool): Documentation of enrollment date and expiration date of the random drug and alcohol testing program.
• Workplace policy: A policy given to the drivers to ensure they are aware of enrollment into a drug and alcohol testing program and provides the company with the proper permission to send a driver in for testing.
• Negative pre-employment test: Before the driver is legal to operate the vehicle, a negative pre-employment test result must be on record. The chain of custody form that was provided at the time of testing should also be on record.
• Supervisor training certificate: In the event, the carrier has a HIRED DRIVER they are required to have a supervisor complete one hour of training to recognize the symptoms of drug use and one hour of training to recognize the symptoms of alcohol abuse in the workplace.
• Driver’s records of duty (ROD): Each carrier must keep a record of his/her duty status for every 24-hour period. All Hours of Service rules must be followed. Supporting documentation should be included such as fuel receipts, bills of lading, or trip reports. The record of the last 6 months must be made available at all times.

Record of Duty Types:

• Electronic Logging Device (ELD)
• Log Books
• Time Records Be sure that you are aware of the Record of Duty device that is appropriate for your company. Not using the appropriate Record of Duty process/device can lead to penalties.
• 6 Months provided RODS
• Disciplinary Process in place to address non-compliance with Hours of Service Rules
• Policy in place for inspection of RODS to ensure driver compliance

• Annual Inspection: The vehicle must receive an annual inspection on a yearly basis. The vehicle is not to be operated unless the vehicle has passed an inspection at least once during the preceding 12 months and documentation of inspection is on the vehicle. (Date of Inspection, Name and Address of motor carrier, Certification that the passed an inspection in accordance with 396.17)
• Hazardous Materials Designation: Carriers transporting hazardous materials must provide the correct placarding and documentation. Shippers of hazardous materials must provide corresponding paperwork and emergency response information.

AUTOMATIC FAILURE OF NEW ENTRANT SAFETY AUDIT

Drug And Alcohol Violations

• No drug or alcohol testing program in place
• No RANDOM selection program for drugs or alcohol
• Allowing driver the company knows to have blood alcohol content of .04 or greater to operate
• Allowing driver the company knows to have have refused drug or alcohol test to operate
• Allowing driver who failed to complete follow up requirements after testing positive for drugs to operate

Driver Violations

• Driver operating without a valid CDL
• Operating with a disqualified driver
• Operating a driver with a revoked or suspended license
• Driver is not medically qualified to operate vehicle

Operation Violations

• Non-adherence to driver-required Hours of Service records
• Operating a vehicle without having insurance

Repairs And Inspection Violations

• Operating a vehicle that has not been annually inspected
• Not performing repairs reported in OOS reports
• Operating a vehicle with documented safety deficiencies before repairs have been made

If the New Entrant Safety audit is failed the entrant needs to implement a Corrective Action Plan to correct safety and management practices. Failure to implement will place USDOT number “OUT OF SERVICE’

• Driver’s road test: All drivers will complete a road test or show proof of a Commercial Driver’s License or equivalent. Used to show understanding of vehicle operations
• Drug and alcohol program: Carriers whose drivers are required to have CDLs to operate or operate over 26,001 GVWR must be enrolled in a random drug and alcohol testing program.
• Proof of enrollment in a consortium (randomized testing pool): Documentation of enrollment date and expiration date of the random drug and alcohol testing program.
• Workplace policy: A policy given to the drivers to ensure they are aware of enrollment into a drug and alcohol testing program and provides the company with the proper permission to send a driver in for testing.
• Negative pre-employment test: Before the driver is legal to operate the vehicle, a negative pre-employment test result must be on record. The chain of custody form that was provided at the time of testing should also be on record.
• Supervisor training certificate: In the event the carrier has a HIRED DRIVER they are required to have a supervisor complete one hour of training to recognize the symptoms of drug use and one hour of training to recognize the symptoms of alcohol abuse in the workplace.
• Driver’s records of duty (ROD): Each carrier must keep a record of his/her duty status for every 24-hour period. All Hours of Service rules must be followed. Supporting documentation should be included such as fuel receipts, bills of lading, or trip reports. The record of the last 6 months must be made available at all times.

Record of Duty Types:

• Electronic Logging Device (ELD)
• Log Books
• Time Records

Be sure that you are aware of the Record of Duty device that is appropriate for your company. Not using the appropriate Record of Duty process/device can lead to penalties.

• 6 Months provided RODS
• Disciplinary Process in place to address non-compliance with Hours of Service Rules
• Policy in place for inspection of RODS to ensure driver compliance

• Annual Inspection: The vehicle must receive an annual inspection on a yearly basis. The vehicle is not to be operated unless the vehicle has passed an inspection at least once during the preceding 12 months and documentation of inspection is on the vehicle. (Date of Inspection, Name and Address of motor carrier, Certification that the passed an inspection in accordance with 396.17)
• Hazardous Materials Designation: Carriers transporting hazardous materials must provide the correct placarding and documentation. Shippers of hazardous materials must provide corresponding paperwork and emergency response information.

Automatic Failure Of New Entrant Safety Audit

Drug and Alcohol Violations

• No drug or alcohol testing program in place
• No RANDOM selection program for drugs or alcohol
• Allowing driver the company knows to have a blood alcohol content of .04 or greater to operate
• Allowing driver the company knows to have have refused drug or alcohol test to operate
• Allowing driver who failed to complete follow-up requirements after testing positive for drugs to operate

Driver Violations

• A driver operating without a valid CDL
• Operating with a disqualified driver
• Operating a driver with a revoked or suspended license
• A driver is not medically qualified to operate a vehicle

Operation Violations

• Non-adherence to driver-required Hours of Service records
• Operating a vehicle without having insurance

Repairs and Inspection Violations

• Operating a vehicle that has not been annually inspected
• Not performing repairs reported in OOS reports
• Operating a vehicle with documented safety deficiencies before repairs have been made

If the New Entrant Safety audit is failed the entrant needs to implement a Corrective Action Plan to correct safety and management practices. Failure to implement will place USDOT number “OUT OF SERVICE’