The records an auditor asks for
| Area | Keep for | Rule |
|---|---|---|
| Driver qualification files A complete file for every driver: application, driving records, road test, annual review, medical certification. Full checklist. | Employment + 3 years | Part 391 |
| Hours of service Records of duty status and the supporting documents behind them: fuel receipts, bills of lading, dispatch records. The rules. | 6 months | §395.8 |
| Drug and alcohol program Enrollment in a testing program, random testing, pre-employment results and Clearinghouse queries for every CDL driver. Details. | Varies by record | Part 382 |
| Vehicle maintenance For each truck and trailer: identification, an inspection and maintenance schedule, repair records, annual inspections and driver vehicle inspection reports. Details. | 1 year, and 6 months after the vehicle leaves | §396.3 |
| Accident register Every DOT-recordable crash: date, place, driver, injuries and fatalities, hazmat release, and copies of the crash reports. | 3 years | §390.15 |
| Insurance Proof of the required minimum liability coverage. | Keep current | Part 387 |
New entrant safety audit
A new interstate carrier is monitored for its first 18 months. FMCSA audits it once there are enough records to judge, generally after at least 3 months of operation. Sixteen violations fail the audit automatically, even if everything else is in order:
- Not having a drug and alcohol testing program, or not running random testing
- Using a driver who tested at 0.04 alcohol or higher, refused a test, or tested positive for drugs
- Using a driver without a valid CDL, with a disqualified license, or who is disqualified from driving
- Using a driver who is not medically qualified
- Operating without the required insurance
- Not requiring hours-of-service records (51% or more of the records checked)
- Driving a vehicle that was placed out of service before it was repaired
- Driving a vehicle without fixing the defects a driver reported on the inspection report
- Using a vehicle without its periodic (annual) inspection (51% or more of the records checked)
A carrier that fails gets a written notice within 45 days. It then has 60 days to show the problems are fixed (45 days for passenger and hazardous materials carriers), or its registration is revoked and it is placed out of service.
Safety ratings after a compliance review
- Satisfactory: safety management controls are in place and working.
- Conditional: the controls are not adequate, and that could lead to violations or crashes.
- Unsatisfactory: the controls are not adequate, and that has already led to them.
A Conditional rating is not a shutdown, but it costs freight: in 2026 C.H. Robinson stopped loading carriers rated Conditional.
How to prepare
- Open every driver's file and check the yearly items: annual driving record, review note, medical certification date.
- Pull six months of logs and check that the supporting documents match them.
- Confirm every CDL driver is in a random testing pool and has a Clearinghouse query from the last 12 months.
- Check that every truck and trailer has an annual inspection on file, and that reported defects were repaired and signed off.
- Make sure the accident register lists every recordable crash from the last 3 years.
Find the gaps before the auditor does
We go through your driver files, logs, drug and alcohol program and maintenance records and tell you what an auditor would find. Free, and you keep the list either way.
Sources: 49 CFR 385.3, 385.307, 385.319, 385.321, 390.15, Parts 382, 387, 391, 395 and 396; Land Line, June 3, 2026. General information, not legal advice. IFTAX is not affiliated with FMCSA or any government agency.