DOT Safety Audit
DOT Safety Audit
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What is a New Entrant Safety Audit?
If you’ve recently acquired a USDOT number and/or an Operating Authority (MC Number), you’re automatically enrolled in the Federal Motor Carrier Safety Administration (FMCSA) New Entrant Program. This program entails an 18-month monitoring period during which you’re expected to familiarize yourself with the Federal Motor Carrier Safety Regulations (FMCSRs) relevant to your operations.
Your responsibilities during this period include setting up mandatory programs such as DOT drug and alcohol testing, maintaining driver qualification files, ensuring regular vehicle maintenance, and preparing for the New Entrant Safety Audit (NESA). Typically, the NESA occurs within the first three to six months of obtaining your DOT number.
The purpose of the audit is to assess your safety management controls and ensure your readiness to operate safely on national roads. It also offers an opportunity to identify and address any shortcomings in compliance with FMCSRs.
What is Compliance Reviews and Investigations?
A compliance review is a comprehensive on-site examination conducted to assess a motor carrier’s safety fitness. It involves scrutinizing various aspects of operations and requires evidence that daily activities are conducted in accordance with regulations. While audits can occur randomly, certain circumstances can trigger DOT compliance reviews.
One triggering factor is involvement in accidents, particularly if they are severe and result in injury or death. In such cases, a deeper investigation, such as a DOT compliance review, is likely.
Additionally, safety complaints are taken seriously by the Department of Transportation. If drivers engage in unsafe behavior on the roads, putting civilians at risk, it can prompt a more rigorous investigation into the company’s operations.
The DOT is committed to ensuring companies operate within safety regulations, so if a complaint appears valid, expect a thorough investigation to follow.
What is a Corrective Action Plan?
A Corrective Action Plan also known as Safety Management Plan, serves as evidence that you have acknowledged and are actively addressing the deficiencies identified in your safety audit failure. It demonstrates your commitment to rectifying the issues and implementing measures to prevent similar problems in the future.
If you get a violation notice, you have 60 days to send a plan to fix it to the USDOT. Your plan must explain why the violation happened, what you’ll do to fix it, and how you’ll stop it from happening again. If your plan doesn’t follow the FMCSA’s rules, your business could be shut down temporarily.
What is a Safety Rating Upgrade?
DOT safety ratings, also known as safety fitness determinations, indicate a motor carrier’s compliance with Federal Motor Carrier Safety Regulations (FMCSRs) at the time of the FMCSA audit. If substantial non-compliance is found during the audit, the carrier may receive an Unsatisfactory rating, leading to shutdown. Additionally, safety ratings can have commercial implications as they are publicly accessible via the FMCSA’s SAFER database.
Safety Rating is not the same as CSA Score. Safety Rating Upgrade involves improving your Conditional or Unsatisfactory Safety Rating to return it to a Satisfactory level. An Unsatisfactory rating is the worst and can halt your company’s operations, indicating failure to implement proper safety protocols. A Conditional rating signifies safety standards below FMCSA requirements, requiring a Corrective Action Plan for upgrade. A Satisfactory or Non-Rated rating is the best, indicating acceptable and controlled safety management.
What are the consequences for Non-Compliance?
Failing your New Entrant Safety Audit (NESA) means you must develop a Corrective Action Plan / Safety Management Plan to address the violations and prevent them from happening again. This plan needs to be submitted to the FMCSA, detailing the actions taken and providing supporting documentation. Failure to submit or have the plan accepted within 60 days (for property carriers) or 45 days (for passenger/hazmat carriers) can result in revocation of your New Entrant Registration for at least 30 days.
The New Entrant Safety Audit (NESA) outcomes are categorized as either “Pass” or “Fail”. While there are no immediate financial penalties for violations or failures, the NESA is the primary factor that decides whether your registration as a motor carrier will face suspension or become permanent.
What type of violations are in a safety audit?
The FMCSA new entrant safety audit has less violations they focus on but when it comes to compliance reviews and investigations the list gets longer.
Whenever you make changes to your trucking business and operations, you need to submit an MCS-150 update.
Safety Rating  VS  CSA Score & BASIC percentile
The FMCSA’s Compliance, Safety, Accountability (CSA) program employs the Safety Measurement System (SMS) to assess data from roadside inspections, crash reports spanning two years, and investigation outcomes. Updated monthly, this data is categorized into seven BASICs (Behavior Analysis and Safety Improvement Categories): Unsafe Driving, Crash Indicator, Hours-of-Service Compliance, Vehicle Maintenance, Controlled Substances/Alcohol, Hazardous Materials Compliance, and Driver Fitness.
The Behavior Analysis and Safety Improvement Category (BASIC) percentile is utilized by the Federal Motor Carrier Safety Administration (FMCSA) to pinpoint motor carriers with safety performance issues for prioritized interventions, including warning letters or investigations. It’s important to note that BASIC percentiles do not impact a carrier’s safety rating.
Safety ratings are issued following an Onsite Investigation as per 49 CFR Part 385. Unlike a BASIC percentile, which updates monthly, a safety rating reflects the investigation date.
- Satisfactory: Indicates that a carrier received an Onsite Comprehensive Investigation, confirming sufficient safety controls to comply with the safety fitness standard. Only an Onsite Comprehensive Investigation can yield a Satisfactory rating.
- Conditional: Indicates that a carrier received an Onsite Comprehensive or Focused Investigation, signaling inadequate safety controls not yet resulting in safety fitness standard violations.
- Unsatisfactory: Reflects an Onsite Comprehensive or Focused Investigation outcome, revealing inadequate safety controls leading to safety fitness standard violations per 49 CFR 385.3. A carrier with an Unsatisfactory rating is barred from operating commercial motor vehicles in interstate commerce as per 49 CFR 385.13(a).
Preparing for Your Audit
A DOT compliance audit covers a wide range of areas related to DOT regulations. It’s essential to have documents and evidence ready for various categories including:
While this list may seem overwhelming, thorough preparation in each area is crucial for success during your DOT compliance review. Conducting an internal audit beforehand can help identify and address any problem areas. Ensure all documentation is up to date, and employees are familiar with policies and safety procedures.
Familiarize yourself with relevant regulations and ensure compliance before the inspection. Being knowledgeable and prepared is key to navigating these circumstances successfully.
