All new carriers are entered into the FMCSA’s New Entrant Safety Assurance Program. New trucking companies are closely monitored during their first 18 months to make sure they are operating safely, maintaining current records, and will pass the new entrant safety audit to receive permanent operating authority with the FMCSA. 

So, if you’ve not gone through a New Entrant Audit already, you will soon. Most are scheduled in the fourth quarter (the 10-12 month mark). While the FMCSA provides very comprehensive guides (PDF here) for the overall audit, we will focus on the basic checklist for what is required in the Driver Qualification File (DQF) for each eligible driver (including yourself, if applicable). You must pass this audit to continue operations. 

Who needs driver qualification files (DQFs)?

Your trucking company must maintain a driver qualification file for each driver that you employ. If you’re an owner-operator, you’ll have to keep one for yourself, since the FMCSA views you as both the motor carrier owner and the driver.

The DQF requirement applies to anyone who operates a commercial motor vehicle (CMV) which weighs over 10,000lbs. Other requirements include carriers of hazmat and passengers.

Driver-related documents

Driver’s employment application

The first thing you’ll add to a driver’s DQF is their completed and signed application for employment. The application should include the driver’s complete work history for the past three years, plus any company that they’ve driven a CMV for over the last 10 years.

Disclosure and authorization forms

The DOT requires drivers to receive a document that lists all of the inquiries that will be made. This will include inquiries to previous employers, licensed states (for MVR), acceptance of drug screening for employment (and previous screenings) This must be signed and dated and in the file.

Employee’s safety performance history from previous employers

You will need to reach out to the driver’s former employers for the driver’s safety performance record and request those details to document.

A motor vehicle record (MVR)

A copy of their motor vehicle record (MVR) from each state where they either hold or have held a driver’s license or permit (not just a CDL) over the last three years.

An annual MVR review

You should review each driver’s current MVR once every 12 months to make sure the driver is still qualified to drive a commercial vehicle safely.

An annual certification of violations from the driver

At least once a year, your driver should give you a list of every time they’ve been convicted for violating traffic laws and ordinances over the last 12 months.

Commercial Drivers License 

A Non-expired CDL with proper endorsements and classification. You need to scan the front and back.

The driver’s road test certificate or its equivalent

Your driver can’t operate a CMV until they pass a road test.  However, a current CDL may be accepted in lieu of a road test.

Valid medical examiner’s certificate (med card)

All drivers must pass a medical exam every two years to ensure that they can still safely operate a commercial motor vehicle. 

A note certifying the medical examiner

Finally, you’ll need to include a note verifying that the person who conducted the driver’s medical exam is listed on the National Registry of Certified Medical Examiners (NRCME).

You can view more at the FMCSA site with a checklist of each and how long each article must be retained.

Vehicle-related documents 

Vehicle list

You must provide a list of vehicles for FMCSA which will be used to assess the applicable regulations. The list must include the unit number, vehicle identification number (VIN), plate number, and state.

For each vehicle:

• Unit
• VIN
• Plate number
• State

Vehicle inspection reports

Every tractor and trailer will need to have a yearly inspection (annual DOT inspection) to be certified to operate. You will need to keep and provide these documents. It’s best practice to take a picture and scan the inspections when they are done so that you always have them on file when needed.

Hazardous materials shipping papers

If you transport hazardous materials then you will need to to document the paperwork and keep on file to ensure proper handling. As a motor carrier, you must retain HazMat shipping papers for one year after picking up the shipment, or three years for hazardous wastes.

Carrier-related documents

Proof of insurance

You must provide your proof of insurance to show financial responsibility. You will need details such as your coverage limits, effective dates, and insurance company.

Drug and alcohol program

You are required to have a structured drug and alcohol testing program in place to ensure that all drivers comply with the regulations. This program should include policies, testing procedures, and an up-to-date summary of the past calendar year of random tests. See more details on how to set up a Drug and Alcohol program here.

Accident register

You need to maintain an accident file that records all reportable accidents. This register should include details such as the date of the accident, the location, the nature of the accident, the vehicles involved, and the extent of any injuries or fatalities.

Additional Documentation

In addition to these necessary items for your driver qualification files, you will also want to have the following critical items accounted for as they can be requested during an audit:

• Driver’s 7-day log, documenting the previous 7 day’s Hours of Service prior to the driver’s start date.  
• An up-to-date copy of FMCSA regulations
• MCS 90 form with your current liability insurance
• Drug and Alcohol Testing paperwork, including your company policy and testing procedures, all driver pre-employment test results, and an up-to-date summary of the past calendar year of random tests.
• 6 months of all driver logs
• Complete maintenance records, including 14+ months of annual inspections for all commercial vehicles in operation and 90 days of post-trip inspection reports for any vehicles with issues or defects.
• Drug and alcohol training materials and policies with a signed driver receipt for them (from before hire)
• Documented policies for hiring, discipline, and removal/reinstatement of unqualified drivers from service.

What if I don’t have compliant files?

Penalties for Non-Compliance

Non-compliance with DQF regulations can result in severe penalties for you and your company. The FMCSA has the authority to conduct audits and inspections to ensure compliance and will use this new safety audit to maintain safety standards.

If you are not compliant with the new audit you may be subject to penalties, finds and in some cases your safety rating may be downgraded.

Penalties for violations may include:

Fines and monetary penalties: Carriers failing to maintain accurate and complete DQFs may face significant fines, which can vary depending on the severity and frequency of violations.

Out-of-Service orders: Serious violations of DQF regulations can lead to an out-of-service order, prohibiting a motor carrier from operating until the violations are rectified.

Loss of operating authority: Repeated or egregious violations of DQF regulations may lead to the suspension or revocation of a carrier’s operating authority.

You do not want to face these consequences when starting out which is why it is important to have everything prepared before you start hauling. With a strategy to document as you go and not try to collect everything at once, you will be well on your way to being prepared.

Final thoughts

While the New Entrant Safety Audit may seem overwhelming at first glance, it is something that can easily be managed and prepared for with proper documentation. 

Moving forward in the trucking industry is not easy and we’re here to assist you in optimizing each mile and minimizing the legwork of tracking down documents. Sign up for your free trial today to kickstart your journey as a carrier owner!

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