Preparing for a Compliance Audit
Whether it is a new entrant safety audit, a compliance review or a records request after an inspection, the carriers that do well are the ones that were ready before the notice arrived. Preparation comes down to keeping the same records, the same way, all year.
Keep everyone on the same system
Pick one way to keep each kind of record and make sure every driver and office person uses it. That starts with hours of service: since December 2019 most drivers must use a registered electronic logging device (ELD). The exceptions are narrow, for example drivers who need a record of duty status on no more than 8 days in any 30-day period, and drivers of engines older than model year 2000. When all your logs come from the same kind of system, answering an auditor is much easier.
Keep the people and the equipment on a schedule
- Driver qualification files. A complete file for each driver: application, license, motor vehicle record checks, medical certificate, road test or equivalent, and previous employer inquiries. Track expiration dates for CDLs and medical cards so nothing lapses.
- Drug and alcohol program. Keep your testing program, random pool and records in order. Employers must also query the FMCSA Drug and Alcohol Clearinghouse before a driver starts safety-sensitive work and at least once a year after that.
- Maintenance. Schedule preventive maintenance and annual inspections, and keep the repair records and daily vehicle inspection reports for each unit.
Review your paperwork regularly
It seems mundane, so it gets skipped. Set a monthly time to look through accident records, driver files, receipts, trip reports and maintenance records, and fix gaps while they are small. An auditor will usually ask for the same things: who drove, when, in what equipment, what was hauled and what was done to keep the equipment safe.
Where software helps
The more of this you keep in one place, the less you have to hunt for. Trip Sheet Central keeps trips, fuel and expense records, and on the Premium plan driver qualification files and electronic documents, together with your IFTA reports, so what an auditor asks for is a search away.
Audit rules change, so check fmcsa.dot.gov for what applies to your operation.