New Entry Audit

Just this last month I had my DOT New Entry Audit. I have been wanting to get this information posted but you will see that it is a lot. Some background:

This audit is fairly new and is designed to help, not punish, new carriers understand what all the requirerments are. This is a Federal program that is administered by the state DOT offices. When the officer visits, he is officialy representing federal rules and regulations and any state information is unoffical.

The questions from the form that I will post below is what all states are using. How they use it will differ. I am based in IL.

This audit is called the "free pass" because you will not be fined or shutdown except for a couple specific areas (i.e no insurance, driver not qualified, etc.).

Each quesiton is rated Critical (1 point), Acute (1.5 points) or nothing.

I will post each section seperatly with no personal comments. Part B is 9 pages and I have over 10 pages of notes. So if I added my comments it could get very long.

 

General Qusetion Section

Each quesiton is rated Critical (1 point), Acute (1.5 points) or nothing.


Question General # 1 Section # 387.7(a) Acute
Does the carrier have the required minimum level of financial responsibility in effect?

Question General #2 Section # 387.7(d) Critical
Does the carrier have required proof of financial responsibility (property carrier)?

Question General # 3 Section # 387.31(a) Acute
Does the carrier have the required minimum level of financial responsibility in effect (passenger carrier)?

Question General #4 Section # 387.31(d) Critical
Does the carrier have required proof of financial responsibility (passenger carrier)?

Question General #5 Section # 13901 (392.9a(a)(1))
Is the motor carrier authorized to conduct interstate operations in the United States?

Question General #6 Section #390.1 5(b)(1)
Can the carrier provide a complete accident register of recordable accidents?

Question General # 7 Section # 390.15(b)(2) Critical
Does the carrier have copies of all accident reports required by States or other government entities or insurers?

Question General # 8 Section # 390.3(e)
Is the carrier knowledgeable of the FMCSRs/HMRs?

Question General # 9 Section # 390.21
Does the carrier know the commercial motor vehicles marking requirements?

 

Driver Qusetion Section

Each quesiton is rated Critical (1 point), Acute (1.5 points) or nothing.


Question Driver # 1 Section # 391.51(a) Critical
Does the carrier maintain complete driver qualification files?
Drivers file must contain the following items at a minimum:
1. Drivers employment application. COMPLETED / SIGNED / DATED
2. Copy of medical certificate (and waiver if driver has one) 391.43 / 391.49
3. Copy of road test certificate or equivalent 391.31(g)
4. Driving inquiry from State agency 391.23(b)
5. Once per year an annual check for each driver, consisting of
A. Driving inquiry from State agency 391.25
B. Drivers notation of ANY/ALL violations
C. Carriers signature indicating review complete and record satisfactory
owner operators may complete B&C for themselves
CDL drivers must have alcohol / controlled substance background checks 391.23(e)

Question Driver # 2 Section # 391.11(b)(4) Acute Is the carrier using physically qualified drivers?

Question Driver # 3 Section # 391.45(a), 391.45(b) Critical
Does available evidence indicate the motor carrier has used a driver without a medical certificate or with an expired medical certificate?

Question Driver #4 Section # 391.15(a) Acute Is the carrier using any disqualified drivers?

Question Driver # 5 Section # 391.51(b)(2) Critical
Does the carrier maintain driving inquiry data in driver qualification files?

Motor Vehicle Record (MVR) §391.23, 391.25
Motor carriers are required to obtain a motor vehicle record (MVR) covering the previous 3 years for each new driver they employ. The MVR is a state-issued report detailing the employee's driving record. The particular requirements are as follows: The request must be sent to every state in which the driver held a license or permit during the last 3 years. A copy of each state's record, or documentation of the carrier's good faith efforts to obtain the record, must be placed in the driver's qualification file within 30 days of his/her employment date.

Previous- employer check: Prospective employers must request their applicants' safety performance history information from all previous employers that employed the applicant to operate a commercial motor vehicle within the previous three years. In this case, "commercial motor vehicle" is defined in §390.5, and includes (in part) vehicles used in interstate commerce that weigh 10,001 pounds or more.

The investigation may consist of personal interviews, telephone interviews, letters, faxes, emails, or any other method for investigating that the employer deems appropriate. Safety performance history information received from previous employers, or the prospective employer's good faith efforts to obtain the information, must be placed in a Driver Investigation History file within 30 days of the start of the driver's employment. The information that has to be requested from previous employers includes general identification and employment information, accident information, and drug/alcohol testing information.

Drug/Alcohol Testing ' The prospective employer must obtain information concerning any failures or violations in the applicant's drug/alcohol testing history, including violations of Subpart B of Part 382, or Part 40.

Question Driver #6 Section # 382.115(a), 382.115(b) Acute
Has the carrier implemented an alcohol and/or controlled substances testing program?

Question Driver # 7 Section # 382 .213(b) Acute
Has the carrier used drivers who have used controlled substances?

Question Driver # 8 Section #382.215 Acute
Has the carrier used a driver who has tested positive for a controlled substance?

Question Driver # 9 Section # 382.201 Acute
Has the carrier used a driver known to have an alcohol concentration of 0.04 or greater?

Question Driver # 10 Section # 382.505(a) Acute
Has the carrier used a driver found to have an alcohol concentration of .02 or greater but less than .04 within 24 hours of being tested?

Question Driver # 11 Section # 382.301 (a) Critical
Has the carrier ensured that drivers have undergone testing for controlled substances prior to performing a safety sensitive function?

Question Driver # 12 Section # 382.303 (a) Critical
Has the carrier conducted post accident testing on drivers for alcohol?

Question Driver # 13 Section # 382. 303 (b) Critical
Has the carrier conducted post accident testing on drivers for controlled substances?

Question Driver # 14 Section # 382. 305 Acute
Has the carrier implemented a random testing program?

Question Driver # 15 Section # 382.305(b)(1) Critical
Has the carrier conducted random alcohol testing at an annual rate of not less than the applicable annual rate or prorated rate of the average number of driver positions?

Question Driver # 16 Section # 382.305(b)(2) Critical
Has the carrier conducted controlled substance testing at the applicable prorated rate of not less than the applicable annual rate of the average number of driver positions?

Question Driver # 17 Section #40.305(a)
Has the carrier conducted the required return-to-duty tests on employees returning to safety-sensitive functions?

Question Driver # 18 Section #40.309(a)
Is the carrier conducting follow-up testing as directed by the Substance Abuse Professional?

Question Driver # 19 Section #382.211 Acute
Has the carrier used a driver who has refused to submit to an alcohol or controlled substance test required under part 382?

Question Driver # 20 Section # 382.503 Critical
Has the carrier used a Substance Abuse Professional as required by 49 CFR Part 40 Subpart 0?

Question Driver # 21 Section # 383.23(a) Critical
Has a driver operated a commercial motor vehicle without a current operating license, or a license, which hasn't been properly classed and endorsed?

Question Driver # 22 Section # 383.37(a) Acute
Has the motor carrier knowingly allowed it's drivers who's CDLs have been suspended, revoked or canceled by a state, have lost the right to operate a CMV in a State, or have been disqualified from operating a CMV to operate a commercial motor vehicle?

Question Driver #23 Section #383.51(a) Acute
Has the motor carrier knowingly allowed, required, permitted, or authorized a driver to drive who is disqualified to No drive a commercial motor vehicle?

 

Operations Qusetion Section

Each quesiton is rated Critical (1 point), Acute (1.5 points) or nothing.

Question Operations # 1 Section # 395.1(e)(1), 395.1(e)(2)
Does the carrier have a system for recording hours of duty status on 100/150- mile radius drivers, and are they properly utilizing the 100/150 air-mile radius exemption?

Question Operations # 2 Section # 395.8(a) Critical
Does the carrier require drivers to make a record of duty status?

Question Operations # 3 Section # 395.8(i) Critical
Does the carrier require drivers to submit records of duty status within 13 days?

Question Operations #4 Section # 395.8(k)(1) Critical
Can the carrier produce records of duty status and supporting documents for selected drivers?

Question Operations # 5 Section # 395.3(a)(1) Critical
Has the carrier allowed driver(s) to exceed the 11-hour rule? (Property)

Question Operations # 6 Section # 395.3(a)(2) Critical
Has the carrier allowed driver(s) to exceed the 14-hour rule? (Property)

Question Operations # 7 Section # 395.3(b)(1) Critical
Has the carrier allowed driver(s) to drive after having been on duty more than 60 hours in 7 consecutive days? (Property)

Question Operations # 8 Section # 395.3(b)(2) Critical
Has the carrier allowed driver(s) to drive after having been on duty more than 70 hours in 8 consecutive days? (Property)

Question Operations #9 Section # 395.5(a)(1) Critical
Has the carrier allowed driver(s) to exceed the 10 hour rule? (Passenger)

Question Operations # 10 Section #395.5(a)(2) Critical
Has the carrier allowed driver(s) to exceed the 15 hour rule? (Passenger)

Question Operations # 11 Section # 395.5(b)(1) Critical
Has the carrier allowed driver(s) to drive after having been on duty more than 60 hours in 7 consecutive days? (Passenger)

Question Operations # 12 Section # 395.5(b)(2) Critical
Has the carrier allowed driver(s) to drive after having been on duty more than 70 hours in 8 consecutive days? (Passenger)

Question Operations # 13 Section # 395.8(e) Critical
Does available evidence indicate a selected driver has prepared a false record of duty status?

Operations # 14 Section # 392.2
Does the motor carrier ensure that drivers operate commercial motor vehicles in accordance with the laws, ordinances, and regulations of the jurisdictions in which they are operating?

Question Operations # 15 Section # 392.9(a)(1) Critical
Does the carrier ensure that drivers are not permitted to drive a vehicle without the cargo properly distributed and adequately secured?

Question Operations # 16 Section #392.4(b) Acute
Have any drivers operated a commercial motor vehicle while under the influence of, or in possession of, narcotic drugs, amphetamines, or any other substances capable of rendering the drivers incapable of safely operating motor vehicles?

Question Operations # 17 Section # 392.5(b)(1) Acute
Have any drivers operated a commercial motor vehicle while under the influence of, or in possession of, intoxicating beverages?

Question Operations # 18 Section # 392.5(b)(2) Acute
Have any drivers operated a commercial motor vehicle within 4 hours of having consumed intoxicating beverages?

 

Maintenance Qusetion Section

Each quesiton is rated Critical (1 point), Acute (1.5 points) or nothing.

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Other Qusetion Section

Each quesiton is rated Critical (1 point), Acute (1.5 points) or nothing.

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Yeah I offered him something to drink and he declined.

The process was over three hours and he answered every question I had and provided some suggestions on how to do things.

He also explained the new CSA process and based on what he said it seems like it makes things easier all around.