February 2013
posted in Newsletter by Brian Gray
What Are Auditors Looking For?
Operating commercial trucks requires compliance with all sorts of regulations from several different agencies. Each agency has the expectation that companies will be compliant with their regulations and have audit processes in place to make sure. In addition to the dreaded IRS and OSHA audits, there is the Federal Motor Carrier Safety Regulation (FMCSR) audit, an International Fuel Tax Agreement (IFTA) audit and/or an International Registration Plan (IRP) audit.
For this article, we will focus on the FMCSR audit or what many call a DOT Safety audit. Within the DOT Safety audit, there can be different types. A focused audit might select just one part of the FMCSR regulations for review. A full compliance audit might involve all records required within the FMCSR regulations.
Here’s a list of documents the DOT auditor will be looking for in a full audit:
Company Documents:
Copy of the MCS 90 Insurance Coverage Form
Accident Register and Corresponding Police Reports
Company Policies (at a minimum: Drug and Alcohol, Hours of Service, Maintenance, and Driver Qualifications)
Driver Log Management Review Documents
Driver Qualification/Employment Documents:
Employment Application
Inquiry to Past Employers
Record of Road Test
Medical Certificate
Pre-employment Drug Test Results
Driver’s Certification of Violation
Driver’s Motor Vehicle Record
Driver Drug and Alcohol Statement
Previous Employer Drug and Alcohol Test Statement
Annual Driver Reviews with Motor Vehicle Records
Driver Certification of Compliance With CDL Requirements
Driver Certification of Having Read and Promise to Abide by Company Policies
Driver Certification for Receiving, Having Read, and Abiding by, the Federal Motor Carrier Safety Regulations.
Driver Logs (they will ask for supporting documents such as Bills of Lading, Fuel Receipts, and others to verify the accuracy of driver logs)
Maintenance Documents:
Maintenance Schedule for Each Truck and Each Trailer (plus documents showing the inspections took place)
Post Trip Inspections (Driver Vehicle Inspection Reports, plus documents showing any noted defects were repaired)
Annual Inspections Certificates
Violation Notices With Corresponding Repair Documents
These are the minimum records needed for a DOT audit. Just having the document does not mean it will be acceptable. The DOT expects the intent of each document be used in the management of the company. The DOT auditor mission is to not only make sure each company is in compliance but also operating safely.
There are additional records other agencies require which we can review in a future article. When it comes to compliance and audits, being proactive is the key. Have systems in place that will guarantee compliance and promote safety. If you need help with a proactive plan, give us a call!
Drug and Alcohol Testing Facility Now Open
A drug and alcohol testing facility is now available inside our Glostone Trucking Solutions office located in Clackamas, Oregon, just off exit 12 on I-205. The facility is operated by CleanFleet and specializes in DOT drug and alcohol testing requirements.
Testing center manager Joe Minick says “Our facility is open and ready to serve. We can work with all Carriers and Third Party Administrators for their random, pre-employment, follow-up, post-accident and return to duty testing.”
Both drug and breath alcohol testing can be performed. No appointment necessary. Hours are 7:30 am to 5 pm, Monday through Friday. Truck parking is available!
FMCSA Offers CSA Tools
The Federal Motor Carrier Safety Administration (FMCSA) has released new materials to assist motor carriers in identifying and addressing their safety and compliance issues. These materials include the Safety Management Cycle (SMC), an important tool that Agency Safety Investigators use during on-site investigations. The SMC is able to identify safety problems, their root causes, and safety solutions.
To help familiarize carriers with how to use the SMC and its six Safety Management Processes, FMCSA developed a factsheet that explains how to use these materials to improve safety practices. FMCSA has also provided a supplemental case study that shows carriers how to use the SMC in the long-term.
Check out these new SMC resources on the CSA web site’s Resources page.
