Dot audit coming!! Help please!!

A couple things that tripped me up were the driver file and drug consortium. Drug consortium was an automatic fail. Driver file was weird because I'm the owner and the driver, yet according to the auditor, I'm supposed to have a driver file on myself as if I was a different person. She wire brushed me for not having a copy of my CDL, even though I always have the actual with me, and for not having a list of interview notes from when I interviewed myself for the job.

I was in a drug consortium from the time I got my DOT# and began hauling commercial, but she had evidence of me being out of state a year before while hauling my own cattle. No fines handed down, but I was on some sort of probationary period for a while. Lack of supporting documents for my logbook was another thing that made her grouchy. I run illegal logs all the time, so it was hard for me to come up with much, but I was able to fish through my fuel receipts and get a few to match my logs. Even though I scrubbed my logs pretty good, she was able to dig through and find one I didn't sit still long enough for, and didn't realize at the time was illegal. I made the mistake of thinking that running safe would mean that my logs were alright, but it isn't about safety, it's about legality.

You'll have to work hard to make a worse impression than me. I did that intentionally so those who come after me will have it easier since I set the bar so low. Your welcome.

 

Below is a link to OOIDA. It's a little lengthy but it has a basic checklist you can go through. It's starts I think on page 17.

http://www.ooida.com/BenefitsServices/Services/docs/Getting-your-own-authority.pdf

 

You'll be fine, just be courteous. I've never heard of anyone being fined on the initial inspection, but they will write you up for something to show they're doing their job. When all is said and done they'll outline the things you need to do, they seldom ever come back unless you've screwed something up worse than me and osokusmc.

 

there are pretty lenient on the new entrant audit. theres is a short list of things that are a automatic fail, like drug testing policy. but as long as your got all the majors in the bag and 90% of your t's crossed and i's dotted on the little stuff you should be ok. obviously try to make sure you got everything covered though

 

I was reading this.Do we have to ''memorize'' this and explain the definitions to the audit guy.Or do you just have to have all the ''paperwork'' involved and in order...

 

No, but it helps to understand everything.

My best advice is: don't over-think it. I've been through this and a host of other process-related audits in another industry.

With any audit, treat it like a court deposition. If it's in person, dress neat but don't overdo it. Look like you know what you're doing even if you're scared to death on the inside. Above all, relax. They're going to want to see evidence that you are following the rules and have process in place to make sure you do. That is all. Nothing to be afraid of. They won't call you names or hit you. It's a business audit, not a suspect interview.

The OOIDA checklist is excellent. Follow that and you'll do well. Just don't wait till the day before to come back to us and ask questions. You'll need to build some files and create some very simple, one page process documents. It's easy if you aren't trying to do it on the way there. Examples of most of it can be found on the internet. Or just about everyone here running with authority has created one.

Answer the questions but do not get carried away and elaborate. Yes, no, simple direct answers. Don't babble. Don't get flustered if you missed something or can't find something. It happens. If you don't understand what they're asking, don't be ashamed to ask for clarification. Even better if you say back what you think they mean and ask them to help. They will.

Since you've already introduced yourself as the (currently) non-driving partner/spouse of the person doing the driving, here's another tip from my audit. Get your driver to come along too if it's at all possible. Here's why. The two of you can support each other when answering the auditor. With both of you there, you will also give the impression that you've taken this seriously enough to both be present.

Georgia did our interview in a conference room in their HQ in Atlanta. I show up with my box of goodies (everything fit in a single file box), ready to go. There was a guy in there already. He was soaked with sweat and holding a single manilla folder with a few scraps of paper in it. He was getting the 3rd degree from the auditor, a uniformed diesel cop, about everything. He didn't have enough insurance, didn't know what an authority number was, nothing. He basically bought a truck off another guy and went trucking. He had a real bad day.

As my audit was wrapping up, a young lady entered the room and took a seat. Like the first guy, she was also clutching a single manilla folder with a few scraps of paper. My stuff was all spread out on the table with the auditor picking through it. As I was loading it back in the box, she was looking like she wanted to disappear into the pattern on the chair she sat in. From what I overheard when she came in, she was just like you - a partner/spouse and the driver running the business chose not to attend for whatever reason. She knew she was screwed before they even started. And on top of that, she didn't have any support with her.

The thing those two had in common was they had totally not bothered to even attempt to be in compliance. I felt really bad for the lady that came in after me. She had the look of someone that had been sent in there to take the heat while her man was staying clear.

 

I had been driving for years, but not commercially, so I went into my audit nearly blind. The purpose of the new entrant is to get you informed. I did learn a lot and I'm now kind of the local expert, in my neck of the prairie, on FMCSA stuff. Most of the guys trucking in my area have been at it so long that they weren't required to go through new entrant. Out here in the sticks, we don't encounter many DOT cops so some guys have been driving with really outdated information for years.

If your stomach can handle it, focus more on taking notes on stuff you need to improve, and less on thinking you're in trouble. In the end, you'll get a report on all the categories you either failed or were weak on. I hate government regulations and generally dislike the people who enforce them, but they are pretty much a fact of life if you run trucks. I do admit that it is better to get your stuff in order through a new entrant audit in one fell swoop, rather than piece meal via several roadside tickets and out of service situations.

 

I was stressed about mine. I wound up doing it online. dunno if it's a new thing or just Illionois or what, but I just submitted a bunch of documents and good to go. I was actually a bit surprised myself I really had everything in place and ready to go. Sometimes some of us just feel disorganized I think. Probably in better shape than those strutting around with their heads popped up, only to be cut off !

 

I too was driving myself crazy leading up to the audit...mainly cuz I didn't know what to expect. As other said, it is NOT a come in and fine you for everything they can find you are doing wrong. It is supposed to be more of an educational experience, to see what you are doing right and where you need to improve if you are not in compliance. My auditor said that they never "shut down" or penalize any carriers unless there is overt blatant gross negligence. The purpose is to make sure you understand all of the requirements and what you need to do to be in full compliance, not to punish you for missing something.

Take the approach with them of " I think I have everything right, but let me know what I am missing" and you will be kicking yourself over stressing about the audit.