The Complete Audit Binder Series

All 6 compliance checklists in one printable PDF

New Entrant — HOS — Drug & Alcohol —
Maintenance — Insurance — Authority Registrations

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LaunchPath Operating Standard

Complete Audit Binder Series

All 5 compliance checklists — New Entrant, HOS, Drug & Alcohol, Maintenance, Insurance

49 CFR Parts 382, 385, 387, 395, 396·New Entrant Series·2026
49 CFR Part 385, Subpart D

New Entrant Safety Audit Binder

TAB 01

Driver Qualification Files (DQF)

  • Application and hiring forms for each driver
  • CDL copy and current MVR(s)
  • Medical examiner's certificate and tracking of expirations
  • Prior employer checks and road test (or equivalent)
  • Annual MVR reviews with driver certification signatures
TAB 02

Drug & Alcohol Program

  • Consortium or in-house program agreement and written policy
  • Pre-employment and random test results
  • FMCSA Clearinghouse queries (pre-employment and annual)
  • SAP, return-to-duty, and follow-up testing records (if applicable)
  • Supervisor training records for reasonable suspicion
TAB 03

Hours-of-Service & ELD

  • ELD logs for all covered drivers (last 6 months minimum)
  • Supporting documents: fuel receipts, toll records, dispatch records
  • ELD device registration and malfunction/data transfer records
  • HOS written policy and driver training records
TAB 04

Vehicle & Maintenance

  • Periodic (annual) inspection report for each unit
  • Driver Vehicle Inspection Reports (DVIRs) — last 90 days
  • Repair orders and work orders tied to DVIR defect notations
  • Out-of-service order documentation with return-to-service proof
  • Preventive maintenance schedule and completion records
TAB 05

Insurance & Registration

  • Insurance policy declarations page with coverage limits
  • MCS-90 endorsement on file at FMCSA
  • BOC-3 designation on file
  • UCR registration — current year
  • Operating authority (MC number) and USDOT registration
TAB 06

Accidents & Safety Reviews

  • Accident register for all recordable accidents
  • Post-accident drug and alcohol test records
  • Safety review checklist (internal, quarterly recommended)
  • CSA BASICs monitoring documentation and remediation notes
49 CFR Part 395

HOS Audit Binder

TAB 01

Driver Roster & HOS Status

  • List of all drivers subject to federal HOS (Part 395)
  • Documented exception status for each driver (short-haul, agricultural, etc.)
  • Conditions monitored to confirm exception eligibility
  • Date of last HOS/ELD training and signature acknowledgement per driver
TAB 02

ELD Records & System Setup

  • Confirmation that all regulated drivers are active in the ELD system
  • ELD device registration and FMCSA certification documentation
  • Unassigned drive time review and disposition records
  • Log edit history and driver edit annotations (last 6 months)
TAB 03

Violation Reports & Coaching

  • 8-week violation summary report by driver
  • Coaching or discipline records for drivers with repeat violations
  • Falsification findings and corrective action documentation
  • Trend notes showing improvement or escalation over time
TAB 04

Supporting Document Samples

  • Fuel receipts cross-referenced to ELD log locations and times (sample trips)
  • Toll records and GPS/telematics export for sampled drivers
  • Bills of lading / dispatch records for sampled loads
  • Notes on any mismatches found and how they were resolved
TAB 05

HOS Policy & Driver Training

  • Written HOS and ELD policy — current version, dated
  • Covers: personal conveyance, yard moves, log edits, malfunction procedure, short-haul exception
  • Driver training acknowledgements (signature + date per driver)
  • Policy revision history — at least one review per year
TAB 06

ELD Malfunction & Paper Log Protocol

  • ELD malfunction reporting procedure (written)
  • Paper log supply confirmed in each vehicle
  • Documented malfunction incidents with repair and return-to-ELD dates
  • 8-day paper log supply available per driver requirement
49 CFR Part 382

Drug & Alcohol Program Binder

TAB 01

Written Policy & DER Documentation

  • Current written D&A policy, dated and signed — aligns with 49 CFR Part 382 and Part 40
  • Policy acknowledgement signatures from all covered drivers, with dates
  • Designated Employer Representative (DER) name, title, and contact information documented
  • Policy revision history — at least one review per year
TAB 02

Clearinghouse Registration & Query Records

  • Company Clearinghouse registration confirmation
  • Pre-employment full query for each driver — date, driver CDL, and result
  • Driver consent documentation for each Clearinghouse query
  • Annual limited query records for currently employed drivers
TAB 03

Random Testing Program

  • Consortium or TPA enrollment agreement and program documentation
  • Random selection lists — each selection round, names drawn, dates
  • Completed random test results (negative or positive) by driver and date
  • Annual MIS (Management Information System) data if applicable
TAB 04

Pre-Employment & Driver Test History

  • Pre-employment drug test chain-of-custody form and lab result — per driver
  • Any post-accident test records with supporting documentation
  • Reasonable-suspicion test records with supervisor observations documented
  • Return-to-duty and follow-up testing records where applicable
TAB 05

Supervisor Training

  • Reasonable-suspicion training completion certificate for each qualifying supervisor
  • Training provider documentation (60 min alcohol signs, 60 min drug signs)
  • Date of training relative to supervisory duties
49 CFR Part 396

Maintenance & Unit File Binder

TAB 01

Cover & Identity

  • Unit number, year/make/model, VIN, plate number
  • In-service date and current mileage
  • Ownership or lease agreement on file
TAB 02

Core Documents

  • Current registration (copy)
  • Insurance ID card (copy)
  • Latest annual/periodic inspection report
TAB 03

Inspections & DVIRs — last 12–18 months

  • DVIRs where defects were reported, in date order
  • DVIRs tied to roadside or OOS violations flagged for quick access
  • Driver verification sign-offs confirming defect correction
TAB 04

Repairs & Preventive Maintenance

  • Repair orders and invoices with unit number, complaint, cause, and correction
  • PM service records (oil, filters, brakes) with dates and mileage/hours
  • Parts receipts tied to repair order line items
TAB 05

Roadside & Out-of-Service History

  • Roadside inspection reports and citations
  • Repair orders showing how OOS items or serious defects were corrected
  • Return-to-service documentation for each OOS event
TAB 06

Notes & Patterns

  • Notes on repeated issues with corrective action taken
  • Internal decisions on retirements, major repairs, or fleet changes
  • Insurer or auditor findings tied to this unit with corrective action
49 CFR Part 387

Insurance & Authority File

TAB 01

Authority & FMCSA Records

  • Current L&I snapshot showing MC and USDOT status, operating authority type, and insurance filings
  • Operating authority certificate (MC number) and USDOT registration
  • Any recent FMCSA correspondence about authority, revocation, or reinstatement
  • BOC-3 process agent designation on file
TAB 02

Policy & Endorsements

  • Current policy declarations with limits, covered autos, and key forms
  • MCS-90 endorsement (where required) and any other regulatory endorsements
  • Any special conditions, exclusions, or warranties that affect your operations
  • Confirmation that policy classifications match your actual freight and lanes
TAB 03

Filings & Evidence of Financial Responsibility

  • Confirmation or printout showing active BMC-91/BMC-91X filings with effective dates and insurer name
  • Documentation of any prior cancellations and reinstatements with dates
  • Proof of required UCR registration — current year
  • Cargo insurance certificate if required by shippers or brokers
TAB 04

Fleet & Driver Reconciliation

  • Current fleet roster with unit numbers, VINs, plates, garaging locations
  • Current CDL driver roster with hire dates and roles
  • Simple reconciliation sheet showing how each unit and driver ties to the policy
  • Documentation of any leased-on drivers or owner-operator agreements
TAB 05

Notes & Renewal Plan

  • Summary of last renewal: rate changes, coverage changes, and reasons
  • One-page renewal plan: when you start quoting, what information you provide, how you decide on limits
  • Agent contact log — key conversations and decisions documented
  • Reminder dates: renewal, payment due dates, UCR opening window

This checklist series is part of the LaunchPath Operating Standard.

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