Quick checklist
- Set up compliance folders before the first load.
- Create one driver file and one unit file as your template.
- Save authority, insurance, UCR, and registration records.
- Choose who reviews HOS and maintenance records weekly.
- Keep vendor contacts for ELD, insurance, drug testing, and maintenance.
Why this matters
New authorities often grow the paperwork system after the first audit notice. It is much easier to start with a small weekly routine than to rebuild months of records at once.
What to prepare
| Area | Records to gather |
|---|---|
| Before first dispatch |
|
| First 90 days |
|
Common gaps
- The first driver is the owner, so no DQ file is created.
- The ELD is installed but no one reviews logs.
- Insurance documents are saved by the agent only.
- The carrier has no routine for maintenance documents.
Before / During / After audit
Before
- Build folders before operations begin.
- Write down the weekly record review routine.
- Store every vendor contact in the packet.
During
- Use your packet to answer new entrant audit requests.
- Show how records are created and reviewed.
After
- Turn audit lessons into standard operating tasks.
- Review the packet monthly for the first year.
Download
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Sources
FMCSA · official
New Entrant Safety Assurance Program
FMCSA overview for new entrant monitoring and safety audit expectations.
Last checked: 2026-05-12
FMCSA · official
New Entrant Safety Audits
FMCSA public guidance on safety audits for new entrants.
Last checked: 2026-05-12
FMCSA · official
FMCSA Registration
Registration, operating authority, and USDOT number resources.
Last checked: 2026-05-12
eCFR · regulation
49 CFR Part 391 - Qualifications of Drivers
Driver qualification rules, medical certification, applications, inquiries, and annual review context.
Last checked: 2026-05-12
eCFR · regulation
49 CFR Part 396 - Inspection, Repair, and Maintenance
Inspection, repair, maintenance, annual inspection, and roadside inspection records.
Last checked: 2026-05-12
eCFR · regulation
49 CFR Part 395 - Hours of Service of Drivers
Hours-of-service rules and supporting document requirements.
Last checked: 2026-05-12