FMCSA Compliance for Intermodal Carriers: New Entrant Audit Requirements

Intermodal carriers -- the drayage operators who move containers between ports, rail yards, and warehouses -- often think their port operations exempt them from the standard New Entrant Safety Audit. They do not. The audit is the same six-category document audit any property carrier faces. What is different is that auditors pay attention to chassis-specific records and the carrier's relationship with Intermodal Equipment Providers (IEPs). This guide walks through what intermodal carriers specifically need to have ready.

Standard new entrant audit requirements still apply

An intermodal carrier with a USDOT number and operating authority is a motor carrier under 49 CFR Part 390. Everything in the standard New Entrant Safety Audit applies:

• Driver qualification files under Part 391
• Drug and alcohol testing program under Part 382 (CDL drivers)
• Hours of service records under Part 395
• Vehicle maintenance records under Part 396
• Insurance filings (BMC-91 or BMC-91X)
• Accident register under 390.15

What is different: chassis and IEP

The intermodal world has a unique twist: the tractor belongs to the motor carrier, but the chassis often belongs to the Intermodal Equipment Provider (IEP) -- the steamship line, the chassis pool, or a leasing company. FMCSA addresses this in 49 CFR Part 385 Subpart D and Part 396 Subpart B, which establish responsibilities for IEPs and motor carriers using intermodal equipment.

Key rules for the audit:

1. Pre-trip inspection of the chassis

   Under 49 CFR 396.11, the driver must conduct a pre-trip inspection of every vehicle and intermodal chassis, identifying any safety defects. The DVIR must be completed and retained.

2. Defective equipment reporting

   If the driver identifies a defect, the carrier must report it to the IEP and may not operate the equipment until repaired.

3. Equipment identification

   The chassis must be traceable to the IEP through the Universal Intermodal Interchange and Facilities Access Agreement (UIIA) or equivalent.

4. Refusal of defective equipment

   The carrier has both the right and the obligation to refuse equipment with safety defects. Auditors look for written policies and driver training on this.

Chassis maintenance vs IEP responsibility

The IEP is responsible for systematic maintenance and inspection of the chassis. The motor carrier is responsible for the pre-trip inspection at each interchange and for not operating equipment with known defects. The audit looks for:

• Pre-trip DVIRs for every chassis interchange
• Records of defects reported to the IEP
• Records of refused equipment when applicable
• Driver training records covering chassis pre-trip and defect-reporting procedures

Port-terminal compliance considerations

Drayage operations near major ports (Los Angeles / Long Beach, New York / New Jersey, Savannah, Houston, Charleston, Seattle / Tacoma) face additional layers of port-side compliance:

• Port-specific access registrations (TWIC for drivers entering secured areas)
• Clean Air Action Plan compliance at California ports (truck registry, emissions limits)
• Drayage Truck Registry (DTR) and Clean Trucks programs
• Appointment systems and turn-time documentation

These are layered on top of FMCSA requirements. A New Entrant Safety Audit will not check TWIC or Clean Truck registration -- those are port operations -- but the same documents your port operations require usually overlap with what FMCSA wants.

Hours of service for drayage

Drayage drivers often qualify for the 150-air-mile short-haul exemption under 49 CFR 395.1(e)(1). Many drayage operations are entirely within a 150-mile radius of the port. If your drivers qualify and you operate them under the short-haul exemption, you must maintain time records (start, end, total hours) rather than RODS, and the records must be available at audit.

For drayage carriers running longer outbound or inland loads, ELD is required and must be on the FMCSA registered device list.

Common intermodal audit findings

1. No chassis pre-trip DVIRs

   Drivers assume the chassis is the IEP's problem and skip the pre-trip. This is the most common intermodal finding.

2. No documentation of refused or defective equipment

   The carrier verbally tells the IEP but does not document the refusal.

3. Short-haul exemption claimed without time records

   Driver was over 14 hours occasionally or exceeded the 150-mile radius and the carrier cannot prove it did not happen.

4. DQ files missing for owner-operator drayage drivers

   Many drayage drivers are owner-operators leased to the motor carrier. The carrier still owns the DQ file responsibility under 49 CFR 391.

5. Insurance limits below port-customer requirements

   Steamship lines and beneficial cargo owners often require $1,000,000 or $2,000,000 limits well above FMCSA minimum.

Practical setup for an intermodal new entrant

• USDOT, MC, BOC-3, UCR, MCS-150 -- standard for any carrier
• $1,000,000 liability and $100,000 cargo at minimum -- port customers expect it
• Written chassis pre-trip and defect-reporting policy
• Driver training on chassis pre-trip and UIIA defect-reporting
• TWIC enrollment for any port-secured-area driver
• Drug and alcohol program, Clearinghouse, DQ files, accident register -- standard