Audit

[rank]

As you know, I went through a DOT audit recently and I thought I may as well post some of my lessons learned for those of you that haven't had one yet.

-Make sure your log book matches the times on all you reciepts (tolls, fuel, food, scales etc etc etc). It's not as simple as throwing out the receipts that do not match.
-If you pay for anything by credit card, the auditor can ask to see your credit card statement and he will soon have a record of where you have been and at what time. This had better match your logs.
-If you have drivers (as we do), monitor their logs on a regular basis to make sure the above is in compliance.
-Keep a record of all maitenance. We had to go back 2 years.

Finally, and this one is very important for us:
-Make sure you keep a record of all inspections. We passed our audit (2 log violations, 1 major and 1 minor), but we still were rated "conditional" because, according to DOT records, we were placed OOS on 3 of our last 3 inspections.

I asked how we can be doing so well in the US (7% OOS ratio, & zero driver violations) but in our home state we are 0 for 3 in 2007? Furthermore, I KNOW we have been inspected more than 3 times, and I KNOW we have passed some. I asked if it was possible that only the OOS inspections were recorded. "No."

Luckily, I had a copy of one inspection for which we got two stickers. Our safety rating was recalculated and we passed. The DOT had no record of us passing any inspections. The DOT had not entered the inspections that we passed.

[Joymax_Trans2]

Rank,

The good thing is that you passed your audit, even if its "conditional". We received a 100% pass on everything. I really prepared and got things in order after I learned our audit date. We've just been released from the "New Entrant" status. I make sure we do a monthly inspection on our truck like the "big boys" do when your truck is leased onto them.

It's government so you have to check and recheck everything.

[RostyC]

Thanks for posting this rank, I copied it and put in my file for later review.

Couple of questions, when they come in do they have the run of your office or do you have the things they want to see laid out for them when they get there? and if they ask for something else you get it for them.

Also, what's the atmosphere? all business or friendly? maybe that depends on who you get.

[Joymax_Trans2]

The DOT Officer that did my audit was business but nice. I'm a people person so I asked how she started, etc. I always like to break the ice so I focus my topics on the person. I learned that most people like to talk about themselves. I was asked for the items needed. They provide a list of items they need prior to the audit. If you follow the listed items you will be okay.

[rank]

The atmosphere was friendly. He was a good guy.

They did not have the run of the place. For log books, I was told in advance which drivers and which months were being targeted and was told that he would be looking at receipts for those months. For maitenance records, I was told which vehicles. I had all that stuff ready but nothing more.

By the way, we are not conditional. It was an unconditional pass after we added in only one good inspection that they left out.

[RostyC]

Yeah I do that too JT2, another thing that works also is to play stupid. It works like a charm, people for the most part love to help , you just have to let them.

[LOAD IT]

Congrats on passing with the unconditional!! A conditional is the beginning of the end and the kiss of death. You should offer your drivers a bonus for passing DOT inspections $25- $50 (just a suggestion). It will be money well spent and it is usually the same dirt bag, irresponsible drivers that get you OOS. You may even consider fining a driver who is put OOS over something that he could have caught with a good pretrip. I fine $125 for OOS, I dont pay for passing but probably should. I have been through about 5 DOT inspections and they can really go sour if the inspector gets pissed or is an *****hole.

[rank]

I like the $25 idea Loadit. Our OOS ratio is pretty good in the US....1 OOS in 14

[Bandit102]

We passed ours with a satsifactory in nov. of 06. just had everything the letter asked for available, professional yet friendly.

[merrick4]

Rank, I've been meaning to ask; you say they can ask for credit card statements which show where we've been and time but I don't think credit card statements show time?

[allan5oh]

No, but they show the date.

Could you guys tell me how soon after you first get your auth that they do this audit ??? Or how often it comes about ???

[rank]

Rank, I've been meaning to ask; you say they can ask for credit card statements which show where we've been and time but I don't think credit card statements show time?

Yes, the statement shows the date. If they see there was a fuel puchase on June 1 for example, they can ask to see the reciept for that purchase and the reciept may have a time. If the auditor knows you bought fuel at Kalamazzo at 6:00pm on June 1, your logs better darn well say so, or life could get very difficult.

They take false logs very seriously. More serious than running over your hours occasionally because that can have an explanation attached to it. There is no tolerance, and no explanation for a false log other than you lied.

[merrick4]

I always have the same date, it's the time sometimes... You know they make these logs the end instead of what they should be, a means so that you don't drive dangerously. It's seems like more time is spent on making sure the log is correct or that it matches instead of being safe and productive.

I understand why they have the logs and I don't have a simple answer on how to let people work and not be encumbered by so many rules but I don't like it. I'm old enough to know when to stop working.

Of course that's just me; I've never been too much of a conformist. Hell I'm 36 and I for the life of me don't know how to tie a tie.

I had my first audit about 1 year after getting my authority. I'm not sure if it's the same in every state but in New Hampshire you get a free ride on your first one with no tickets or fines if anything is wrong. It's called a compliance review.

[rank]

I had my first audit about 1 year after getting my authority. I'm not sure if it's the same in every state but in New Hampshire you get a free ride on your first one with no tickets or fines if anything is wrong. It's called a compliance review.

he told me right up front that I could be fined if he found anything wrong.

I should have clarified that about my audit. Your very FIRST one is a freebie. After that you get fines.

In New Hampshire you also get the DOT guy for the whole day and will answer any questions and help you with anything you want. He also gives you his cell number and is assigned to you if you ever need questions answered.

After my audit I was required to to write a letter to his commander and a copy had to go to the head of the DMV also on what I thought about the audit and the officers performance. Needless to say he got a rave review. I was very impressed.

[no_worries]

Remember, Canada may be a little different than here. You're not required to show your credit card receipts here. That's because you're not required to keep your CC receipts at part of record retention. However, the officer can certainly ask if you've got them and if you do you'll have to show him. Or, if you keep all your stuff together and he notices a folder full of CC receipts, he can ask to see them. Since you're required to keep your fuel receipts, there's really no need to keep the CC copy. This is yet another reason to make sure you ONLY have the required records present while being audited.

Many of my CC receipts are time-stamped.

[Bandit102]

We've been on our authority here since 2000. Just got our audit in Nov. of 2006. He did say that now-a-days they are trying to audit everyone within their first year of business. He also said that barring any complaints against us or red flags being raised, we'd probably never hear from them again. Ours was a Federal FMCSA DOT audit.

[person]

I should have clarified that about my audit. Your very FIRST one is a freebie. After that you get fines.

In New Hampshire you also get the DOT guy for the whole day and will answer any questions and help you with anything you want. He also gives you his cell number and is assigned to you if you ever need questions answered.

After my audit I was required to to write a letter to his commander and a copy had to go to the head of the DMV also on what I thought about the audit and the officers performance. Needless to say he got a rave review. I was very impressed.

FIRST one is a freebie In CA your first inspection now cost $400. And if you don't have something right and they have to come back again, they charge you more money for the second visit.