The New Entrant Safety Assurance Program

Before a motor carrier of property or passengers begins interstate operations, it must register with the Federal Motor Carrier Safety Administration and receive a USDOT number. To apply for a USDOT number, you must complete the online registration and application package (form MCSA-1) on the FMCSA website at http://fmcsa.dot.gov. After a new entrant satisfies all applicable pre-operational requirements, it will be subject to the new entrant's safety monitoring procedures for a period of 18 months. During this 18-month period, the motor carrier’s roadside safety performance will be closely watched to ensure basic safety management controls are in place and effective. The motor carrier must operate safely, maintain up-to-date records, conduct periodic maintenance and inspections, and submit to a Safety Audit. The Safety Audit will be conducted within 12 months of applying for registration for property carriers and six months for motor carriers of passengers. A new entrant motor carrier who has not yet participated in a Safety Audit and whose safety data indicates a problem or potential problem with their safety management controls may be subject to a Compliance Review / Investigation instead. It is extremely important to ensure the information provided to FMCSA (MCSA-1) is always correct, current, and updated according to the schedule found in 49 CFR 390.19 (b). Failing to have the correct and current information on record may result in your carrier operations being placed Out of Service.

Click here to obtain the Biennial update schedule.

The Safety Audit

A Safety Audit examines the new entrant motor carrier’s operation. It provides educational and technical assistance on safety, the Federal Motor Carrier Safety Regulations, and, if applicable, the Hazardous Materials Regulations. The Safety Audit aims to gather critical safety data to assess the motor carrier’s safety performance and ensure that basic safety management controls are in place and effective. The Safety Audit is strictly passed or failed, with no safety rating established or fines assessed. All interstate motor carriers in the New Entrant Safety Assurance Program, unless exempted under Map-21, must submit to either a Safety Audit or Compliance Review.   

The regulatory requirements for the New Entrant Safety Assurance Program are found in 49 CFR Part 385 Subpart D.

Who conducts the Safety Audit?

The Oklahoma Department of Public Safety receives an annual grant from the Federal Motor Carrier Safety Administration to conduct Safety Audits on interstate motor carriers whose principal place of business is located within Oklahoma. DPS utilizes State Troopers and civilian Safety Investigators who are certified by FMCSA to conduct the Safety Audit.

Where and when does the Safety Audit occur?

The Safety Audit will be conducted either onsite at the motor carrier’s principal place of business or offsite (remotely) utilizing the New Entrant website to upload the required documents. The type of Safety Audit conducted depends on the type of commodities the motor carrier transports or its safety history. The Safety Audit is completed within the first 12 months of operation for motor carriers of property and within 6 months for passenger or hazardous material motor carriers.

Onsite Safety Audits are usually conducted at the motor carrier’s principal place of business, Monday through Friday, during business hours. The Safety Investigator assigned to conduct the Safety Audit will attempt to contact the motor carrier’s owner, President / CEO, managing member, or authorized carrier representative to explain the Safety Audit requirement and procedure. The Safety Investigator will set an appointment date, time, and location for the Safety Audit to occur during this initial contact. All attempts are made to accommodate the motor carrier and not place an undue hardship on the carrier. However, if a motor carrier does not make a reasonable effort to comply with the Safety Audit process, the carrier will be entered as refusing the Safety Audit.

Offsite Safety Audits are conducted remotely utilizing the New Entrant website. Once assigned as an offsite Safety Audit, the carrier will receive an email from FMCSA and correspondence from one of our Safety Investigators shortly thereafter. This correspondence will explain the documents/information required and how to submit it. BE SURE your contact information (email and phone number) on file with FMCSA is correct. Once the offsite Safety Audit process is initiated, the carrier will have a maximum of 20 days to submit all required documents and information.

How is the motor carrier contacted?

Safety Investigators will contact the motor carrier utilizing information on file with FMCSA. Safety Investigators will attempt to contact the motor carrier either by phone, email, letter or in-person to complete the Safety Audit. The motor carrier is responsible for keeping their information on file with FMCSA current. Any changes to the motor carrier’s physical address, phone number(s), or email address must be immediately updated with FMCSA.

How do I prepare for the Safety Audit?

The type of Safety Audit, onsite or offsite, will determine which documents and information are required to complete the Safety Audit. There are several resources to help the motor carrier prepare for the Safety Audit.

BEWARE of scams! OHP & FMCSA are aware of fake emails being sent to motor carriers by someone pretending to be FMCSA. These emails typically request that you complete an attached form or click on the link provided in the email. Verify any email or communication you feel to be suspicious with FMCSA or the appropriate agency. Learn more about these email scams at: https://www.fmcsa.dot.gov/registration/registration-alerts#Fake Email.

FMCSA’s website provides information and resources to the motor carrier in the New Entrant Safety Assurance Program. https://www.fmcsa.dot.gov/safety/new-entrant-safety-assurance-program

FMCSA's New Entrant website https://ai.fmcsa.dot.gov/NewEntrant/Home.aspx  will help you understand and prepare for an offsite Safety Audit. While this site is designated for offsite Safety Audits, there is valuable information for all motor carriers in the New Entrant Program.

The Motor Carrier Safety Planner is an online guide providing simple explanations and templates to help motor carriers and drivers understand and comply with the Federal Motor Carrier Safety Regulations. This resource is available at  https://www.fmcsa.dot.gov/safety/carrier-safety/motor-carrier-safety-planner.

If your operation involves commercial motor vehicles requiring the drivers to have a commercial driver's license, you must register the carrier with FMCSA's Drug and Alcohol Clearinghouse and purchase a query plan. To register your carrier, visit https://clearinghouse.fmcsa.dot.gov/. Your CDL drivers will also need to register themselves as "drivers" through the website.

What if the carrier cannot be contacted or refuses the Safety Audit?

If the Safety Investigator cannot contact the motor carrier within three attempts or the motor carrier refuses the Safety Audit, the Federal Out-of-Service process will be initiated.

What is the Out-of-Service process for no contact or for refusing the Safety Audit?

If a carrier cannot be contacted or refuse the Safety Audit, the motor carrier will receive a warning letter from FMCSA. This letter advises the motor carrier to contact Troop S within ten days from the date shown on the letter. Upon receiving the letter, the motor carrier should immediately call Troop S at 405-521-6060 and speak with the Lieutenant over the New Entrant program. Once contacted, the Lieutenant will ensure the carrier is within the 10-day window and, if so, stop the Out-of-Service process. The carrier must agree in writing to submit to the Safety Audit. After 10 days from the date of the letter, if the motor carrier has not contacted Troop S, the Out-of-Service order will go into effect. The 10-day warning letter is based on actual days, including holidays, and not ten business days. The Troop S office is closed on the weekends and on approved state holidays.

What does the Out-of-Service for no contact or for refusal mean?

If you are under a federal out-of-service order for no contact or for refusing the safety audit, the carrier is prohibited from operating any interstate motor carrier. FMCSA will send a letter notifying the motor carrier that they are under a federal out-of-service letter and explaining the reinstatement process. The motor carrier’s intrastate operations may also be affected as well. Motor carriers who violate the Out-of-Service order will be subject to state and federal enforcement actions.

How do I get my motor carrier reinstated?

Federal Out-of-Service for no contact or refusal prohibits the motor carrier from conducting interstate operations for a period of 30 days. The 30 days is calculated from the date shown on the FMCSA Out-of-Service letter. Once the 30 days are up, the motor carrier must submit an updated MCSA-1 requesting reinstatement. Once FMCSA processes the MCSA-1, the motor carrier, the Out-of-Service order will be rescinded. Once the order is rescinded, the motor carrier can resume operations and must submit to the Safety Audit.

What if the motor carrier fails the Safety Audit?

If a motor carrier fails the Safety Audit, it will still be able to operate for a period of 60 days for motor carriers of property and 45 days for motor carriers of passengers or hazardous materials. During this period, the motor carrier must complete and submit a Corrective Action Plan (CAP) to FMCSA. The CAP must be submitted and received within 15 days from the written notice that the new entrant failed the Safety Audit to ensure FMCSA has sufficient time to review the CAP. CAPs submitted after the deadline or not approved before the deadline will result in the motor carrier’s authority being revoked.

If a motor carrier fails the Safety Audit, the Safety Investigator will provide instructions for the CAP during closeout. It is very important the motor carrier follow all of the instructions provided. Failing to follow the CAP instructions will result in the CAP being rejected and the motor carrier’s authority to operate being revoked.

How do I submit my CAP to FMCSA?

The CAP (corrective action plan) must be submitted to the appropriate FMCSA Service Center by email or fax. The FMCSA Service Center for Oklahoma motor carriers is the Southern Service Center located in Atlanta, GA. EMAIL: SSCCAP@DOT.GOV or FAX: 877-547-0380.

 DO NOT SEND your motor carrier’s CAP to Troop S. CAPs can ONLY be reviewed/approved by the FMCSA Service Center. All questions regarding the CAP MUST BE addressed with FMCSA’s SSC via phone at 404-327-7351 or email at ssccap@dot.gov.

FMCSA produced a YouTube video explaining How to Submit Your Corrective Action Plan https://www.youtube.com/watch?v=8coLvxiPehE that you may find helpful.

What causes a motor carrier to fail the Safety Audit?

Please refer to 49 CFR 385.321

Chameleon Carriers

Motor carriers may not register for a new USDOT number to avoid adverse motor carrier safety history, paying civil penalties, or avoiding previous Out-of-Service orders. If a motor carrier provides false information or hides information when applying or reapplying for a USDOT number, the carrier may be issued an Out-of-Service order and/or fined. The person providing false information or hiding information when applying or reapplying for a USDOT number could face civil and /or criminal actions.