10 Mistakes That Get New Trucking Companies Shut Down by DOT

Starting a trucking company is an exciting step—but it also comes with serious regulatory responsibilities. Many new carriers lose their operating authority within their first year because they unknowingly violate basic federal safety requirements.

The Federal Motor Carrier Safety Administration (FMCSA) monitors compliance closely during a company’s first 12 months through inspections, documentation reviews, and the required New Entrant Safety Audit.

Understanding the most common compliance mistakes can help protect your authority and keep your trucks on the road.

Below are the 10 most common mistakes that get new trucking companies shut down by DOT—and how to avoid them.

1. Not Completing the New Entrant Safety Audit

Every new trucking company must pass a New Entrant Safety Audit within the first 12 months after receiving a DOT number.

This audit reviews whether your company has:

  • Driver Qualification Files

  • Drug & Alcohol testing program enrollment

  • Hours-of-Service compliance

  • Maintenance records

  • Accident register

  • Safety management controls

Failing this audit can result in revocation of your operating authority.

2. Missing Driver Qualification Files (DQFs)

One of the most common violations discovered during compliance reviews is incomplete or missing Driver Qualification Files.

Each driver file must include:

  • Driver application

  • CDL copy

  • Motor Vehicle Record (MVR)

  • Medical certificate

  • Safety performance history

  • Annual driver review documentation

Missing documents signal to regulators that your company lacks proper safety oversight.

3. Not Enrolling in a DOT Drug & Alcohol Program

All CDL drivers operating under your authority must be enrolled in a compliant DOT drug and alcohol testing program.

Required testing includes:

  • Pre-employment testing

  • Random testing pool participation

  • Post-accident testing

  • Reasonable suspicion testing

Drivers must also be registered in the FMCSA Drug and Alcohol Clearinghouse.

Failure to comply can result in immediate enforcement action.

4. No ELD Compliance

Most carriers must use Electronic Logging Devices (ELDs) to track driver hours.

ELDs help ensure compliance with:

  • daily driving limits

  • weekly driving limits

  • rest break requirements

Operating without required ELD records can result in out-of-service violations during roadside inspections.

5. Missing Vehicle Maintenance Records

The DOT requires carriers to maintain documentation proving their vehicles are safe to operate.

Required maintenance documentation includes:

  • Annual DOT inspections

  • Repair records

  • Preventative maintenance tracking

  • Driver Vehicle Inspection Reports (DVIRs)

Lack of maintenance documentation is a major audit failure issue.

6. Incorrect UCR or Missing BOC-3 Filing

Two critical administrative requirements often overlooked by new carriers are:

UCR Registration

Unified Carrier Registration must be filed annually.

BOC-3 Filing

This identifies your process agent for legal service in each state.

Operating without these filings can delay or invalidate authority activation.

7. Not Updating the MCS-150

Motor carriers must update their MCS-150 Motor Carrier Identification Report every two years.

Failure to meet MCS-150 update requirements can result in:

  • DOT number deactivation

  • roadside enforcement issues

  • inability to haul freight legally

Even if your company information hasn’t changed, the update is still required.

8. Expired Medical Certificates

Every CDL driver must maintain a valid Medical Examiner’s Certificate.

Expired medical cards can result in:

  • driver disqualification

  • roadside violations

  • failed audits

Carriers are responsible for monitoring expiration dates.

9. No Accident Register

Motor carriers must maintain an accident register documenting crashes involving company vehicles.

Required details include:

  • accident date

  • location

  • driver name

  • injuries or fatalities

  • hazardous materials involvement (if applicable)

Failure to maintain this record is a common compliance violation.

10. No Driver Safety Training Program

Safety training is a required part of maintaining proper safety management controls.

Training should cover:

  • Hours-of-Service rules

  • cargo securement

  • inspection procedures

  • accident reporting requirements

  • company safety policies

Without documented safety training, auditors may determine your company lacks adequate oversight systems.

Why These Mistakes Matter

New carriers operate under increased monitoring during their first year.

If the Federal Motor Carrier Safety Administration determines your company does not have proper safety management controls in place, they may:

  • issue corrective action requirements

  • suspend operating authority

  • revoke authority completely

Preventing these mistakes helps ensure your business stays compliant and operational.

How to Stay DOT Compliant from the Start

The best way to avoid shutdown risks is to implement structured compliance systems early.

New carriers should:

  • organize driver qualification files immediately

  • enroll in a drug & alcohol consortium

  • maintain maintenance documentation

  • track MCS-150 deadlines

  • prepare early for the New Entrant Safety Audit

Being proactive dramatically reduces enforcement risk.

Need Help Setting Up Your DOT Compliance Correctly?

Starting a trucking company comes with many moving parts—but you don’t have to manage compliance alone.

A Plus Compliance Group handles the entire compliance setup process so you can focus on running your trucks with confidence.

From driver qualification files to audit preparation and drug testing program enrollment, our team helps carriers stay compliant from day one.

Need help setting up your DOT compliance correctly?

A Plus Compliance Group handles the entire process so you can focus on running your trucks.

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