Action Required: New motor carriers must complete the FMCSA New Entrant Audit within 12 months of receiving their MC number. An unsatisfactory rating results in operating authority revocation. Check every item below before your auditor arrives.
✓ Checklist Complete
You know exactly what's missing. Get the templates to fix it — DQ file, D&A policy, accident register — before your auditor calls.
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Category 1 of 6
Driver Qualification Files
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49 CFR Part 391 · One DQ file required per CDL driver
Commercial Driver's License (CDL)
Valid CDL, correct class for vehicle type, copy on file for every driver
High
Medical Examiner's Certificate
Current DOT physical, valid within 2 years (or less if restricted)
High
Motor Vehicle Record (MVR)
Within 30 days of hire AND annually each year after
High
Employment Application
FMCSA-compliant, signed, 10-year work history included
Med
Road Test Certificate or CDL Equivalent
Signed certificate on file; CDL copy accepted as equivalent
Med
Pre-Employment Drug Test (Negative Result)
Must be on file BEFORE driver's first day behind the wheel
High
Annual Review of Driving Record
Completed and signed by carrier for each driver, every year
Med
Previous Employer Safety Performance Inquiry
Written inquiry to prior employers covering last 3 years of CMV employment
Med
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Category 2 of 6
Drug & Alcohol Testing
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49 CFR Part 382 · Written policy required — most common audit failure
Written Drug & Alcohol Policy
Signed, dated, distributed to all CDL drivers — all 6 testing types covered
High
Random Testing Program Enrollment
50% drug / 10% alcohol annually. Enrolled with a consortium or C/TPA
High
Pre-Employment Test Records
Negative result on file for every driver before first CMV operation
High
Post-Accident Testing Process
Written procedure for testing after qualifying accidents (drug: 32 hrs / alcohol: 8 hrs)
Med
Designated Employer Representative (DER)
Named DER in policy with phone number. DER trained on their role
Med
Supervisor Reasonable Suspicion Training
60 min drug + 60 min alcohol training documented for all supervisors
Med
Testing Records Retention
Positives/refusals: 5 yrs · Random program: 2 yrs · Negatives: 1 yr
Low
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Category 3 of 6
Hours of Service Records
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49 CFR Part 395 · 6 months of logs required for inspection
Logbooks or ELD Records — 6 Months
Complete records for all drivers, all days — no gaps allowed
High
ELD Device Registered with FMCSA
Check your device at eld.fmcsa.dot.gov — must be on registered list
High
HOS Exemption Documentation (if applicable)
Short-haul, agricultural, or other exemption eligibility documented
Med
Supporting Documents Available
Fuel receipts, toll records, dispatch logs to corroborate ELD entries
Low
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Category 4 of 6
Vehicle Inspection & Maintenance
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49 CFR Part 396 · Every truck and trailer must have current annual inspection
Annual Vehicle Inspection — All Units
Current sticker AND inspection report on file for every truck & trailer
High
Driver Vehicle Inspection Reports (DVIRs)
3 months of signed DVIRs retained. Defects noted = mechanic sign-off required
Med
Maintenance Records Program
Systematic maintenance schedule documentation for each vehicle
Med
Brake Inspection Records
Brake inspection and adjustment records available per vehicle
Med
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Category 5 of 6
Accident Register
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49 CFR §390.15 · Register must exist even if zero accidents occurred
Accident Register On File — 3 Years
Written log of all accidents for prior 3 years. Empty log is acceptable — it must exist