Quick checklist
- 30 days out: read the audit notice, list drivers and units in scope, and identify every vendor portal that holds required records.
- 14 days out: start collecting records from all six categories — request ELD exports, TPA packets, maintenance invoices, and insurance certificates now, not later.
- 7 days out: do a sample check on one complete driver file and one vehicle file to confirm documents open and are named consistently.
- 48 hours out: test every portal login with the audit contact account, not just an admin account.
- 24 hours out: assemble the packet index, confirm the point of contact has access to all files, and prepare a simple space for the session.
- After: document outcomes, save the result and corrective actions, and note which record category took the most time to retrieve.
Why this matters
Audit preparation works better as a countdown than as one long session the night before. The records themselves are not usually the hard part — retrieving them under time pressure from vendor portals, off-site offices, and shop filing systems is where carriers lose hours. Spreading the work across four or five weeks turns a reactive scramble into a repeatable process. Carriers that have done multiple audits usually say the first one was the most disruptive, and that the improvement came from building a system rather than working harder the second time.
What to prepare
| Area | Records to gather |
|---|---|
| 30 days before |
|
| 14 days before |
|
| 7 days before |
|
| 24 hours before |
|
Common gaps
- Vendor requests are submitted with only a few days left — most TPA and ELD providers need at least a week to pull records.
- The packet folder is built but no one checks whether the files actually open or display correctly.
- Former drivers and inactive units from the audit period are left out of the record pull.
- There is no designated person to answer follow-up questions during the session — the audit contact has to stop and search.
Before / During / After audit
Before
- Use the 30/14/7/24-hour blocks as a working checklist with a named owner for each task.
- Move unresolved vendor requests to the top of each week's work.
During
- Keep the packet index visible during the session.
- Use the timeline to confirm which record categories were already verified.
After
- Save the completed timeline with notes on what took longest.
- Use that information to shorten the next prep cycle.
FAQ
What should a carrier do if the audit notice arrives with only a week of lead time?
Contact the vendor portals and external record sources immediately — the week before the review is too late to wait for normal processing times. Call the ELD provider, TPA, and insurance agent the same day the notice arrives and request expedited access to records. Use a missing-items log to track what has been requested and what is still outstanding. If records cannot be retrieved before the session, document the request history — when you contacted the source, what you requested, and the response — rather than leaving a blank file.
Is there a standard format for submitting records to an FMCSA examiner?
FMCSA does not mandate a single format. Remote reviews often use a secure portal or email submission; onsite reviews typically involve presenting files directly. The most practical approach is to organize records by the same categories the notice uses and submit them in clearly labeled folders or files. Consistent naming and a packet index help the examiner locate specific records without back-and-forth requests during the session.
How far back do audit records typically need to go?
Most compliance review requests cover the 12 months preceding the notice date, but some record categories have different retention and review windows. DQ file records under 49 CFR 391.51 are kept for three years after a driver leaves. HOS records under 49 CFR 395.8 are kept for six months. Maintenance records under 49 CFR 396.3 are kept for one year after the vehicle leaves the fleet. The audit notice specifies the requested date range — prepare records for that range first, and have a plan for pulling older records if requested.
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Sources
FMCSA · agency-guide
New Entrant Safety Audit Resources
FMCSA New Entrant resource hub with safety audit, safety regulation, and program materials.
Last checked: 2026-06-16
FMCSA · official
New Entrant Safety Audits
FMCSA public guidance on safety audits for new entrants.
Last checked: 2026-06-16
FMCSA · official
Investigations and Compliance Reviews
FMCSA overview of interventions, investigations, and compliance review context.
Last checked: 2026-06-16