New-entrant safety audit checklist: what FMCSA actually asks for

If you just got your interstate operating authority, the clock has already started. Under the New Entrant Safety Assurance Program, FMCSA reviews every new carrier within its first 12 months of operation. The review is not a road test — it’s a records audit. An auditor (or an online submission) checks whether the paperwork behind your operation exists and is complete.

This checklist walks the record sets an auditor looks at, in the order they tend to matter. None of it is legal advice — it’s a plain-language map of the public regulations so you know what to have ready.

The three record sets that decide the audit

Almost everything in a new-entrant audit falls into one of three buckets:

1. Driver qualification (DQ) files — one per driver (49 CFR Part 391)
2. The drug & alcohol testing program — company-wide (49 CFR Part 382)
3. Vehicle maintenance records — one set per vehicle (49 CFR Part 396)

Get these three right and you have handled the large majority of what an auditor reviews.

1. Driver qualification files (Part 391)

For each driver, an auditor expects a file containing:

• A completed, signed employment application covering the required work history
• Motor vehicle records (MVRs) — one pulled at hire, and a fresh one at least every 12 months
• A road test certificate, or a copy of a valid CDL accepted in its place
• The medical examiner’s certificate (med card), current and not expired
• Safety performance history inquiries to prior employers, including the drug & alcohol history request required by 382.413
• For CDL drivers, the Clearinghouse pre-employment query before their first driving duty
• The documented annual review of the driving record
• An English language proficiency note

A missing or expired medical certificate is one of the most common findings — and one of the easiest to avoid if something is tracking the expiration date for you.

2. Drug & alcohol testing program (Part 382)

This is the record set most likely to automatically fail an audit if it’s absent. Having no drug & alcohol testing program is treated as a critical violation. An auditor looks for:

• Enrollment in a testing consortium / third-party administrator (C/TPA)
• A written drug & alcohol policy on file
• A designated DER (designated employer representative)
• Pre-employment test results before drivers performed safety-sensitive functions
• Documentation of your random testing pool and selection process
• The Clearinghouse query log — pre-employment (full) and annual (limited)

See the Clearinghouse annual query requirement for the query that trips up carriers most often after the audit.

3. Vehicle maintenance records (Part 396)

For each vehicle you operate — including leased and rented equipment:

• The annual (periodic) inspection report
• Driver vehicle inspection reports (DVIRs) where required
• A maintenance / repair history showing systematic upkeep

The inspection sticker on the door is not a substitute for the inspection record in your file.

What “ready” looks like

You’re ready when, for every driver and every truck, you can produce each document above — current, signed, and organized the way an auditor expects to receive it. That’s exactly what HaulPapers scores and assembles: a single ready / not ready verdict, the list of what’s missing, and a one-click audit binder.

Want to see where one of your drivers stands right now? Run the free single-driver DQ self-check — no account required.

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HaulPapers is software, not a law firm, and is not affiliated with FMCSA or USDOT. This checklist summarizes public regulations and is not legal advice.