Quick checklist
- Create master lists for drivers and units.
- Assign record owners by category.
- Review one driver file and one unit file every week.
- Run HOS exception reports on a set schedule.
- Keep a shared audit packet location with controlled access.
Why this matters
Small fleets often depend on a few people who know where everything is. An audit exposes that risk when records are in personal inboxes, vendor portals, and paper folders.
What to prepare
| Area | Records to gather |
|---|---|
| Fleet controls |
|
| Audit packet |
|
Common gaps
- Only one employee can access the ELD or drug testing portal.
- Former drivers and sold units are missing from the review.
- No common file names.
- Roadside inspection repairs are handled but not saved.
Before / During / After audit
Before
- Lock the roster for the audit period.
- Assign categories to owners.
- Review sample files before collecting everything.
During
- Route requests through one audit contact.
- Avoid duplicate uploads from multiple employees.
After
- Create monthly internal checks.
- Cross-train a backup portal owner.
- Archive inactive drivers and units.
Download
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Sources
FMCSA · official
Investigations and Compliance Reviews
FMCSA overview of interventions, investigations, and compliance review context.
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
eCFR · regulation
49 CFR Part 382 - Controlled Substances and Alcohol Use and Testing
Drug and alcohol testing program requirements for CDL drivers where applicable.
Last checked: 2026-05-12