Avoiding the top 5 DOT recordkeeping mistakes
Maintaining accurate records is crucial for compliance with the Federal Motor Carrier Safety Regulations (FMCSRs) — and for passing your next audit. However, even the most diligent safety professionals can sometimes make mistakes.
Here are five of the most common recordkeeping violations uncovered during audits from the Federal Motor Carrier Safety Administration (FMCSA), and tips on how to avoid them:
1. Using the wrong logging method (49 CFR 395.8(a)(1))
One of the most frequent recordkeeping mistakes is using the incorrect type of log. Keep this in mind: drivers must always use a compliant electronic logging device (ELD) to record their time unless they’re eligible for a specific exemption. If any of your drivers are claiming an ELD exemption, be absolutely certain that the exemption actually applies and that the driver is continually meeting the terms of the exemption.
This violation also occurs when drivers switch from an ELD to paper logs without proper authorization, such as when they mistakenly think there’s an ELD malfunction. It may also occur when a driver uses a less-detailed time record when a standard log is needed.
Drivers who are required to use logs may only use paper logs on up to 8 days out of any 30 consecutive days. Beyond that, an ELD is required.
2. Failing to track maintenance due dates (49 CFR 396.3(b)(2))
Neglecting to track maintenance due dates — and not actually performing the scheduled maintenance — can have serious consequences. Motor carriers must have a systematic vehicle inspection and maintenance program that includes records indicating “the nature and due date of the various inspection and maintenance operations to be performed.”
If you don’t have a maintenance schedule for any vehicle you’ve controlled for 30 consecutive days or more, create one now. Start with the manufacturer’s recommended schedules and modify them to meet your needs and operating conditions. Then, be sure the scheduled maintenance is being performed and recorded.
3. Failing to keep vehicle identification details (49 CFR 396.3(b)(1))
Another common mistake is failing to keep detailed maintenance records that identify each vehicle that the company controlled for 30 consecutive days or more. This includes all such vehicles operated in the past 12 months. Make sure your vehicle records include:
- The make;
- The model year;
- The company-assigned vehicle number (if the vehicle is marked with one);
- The vehicle identification number (VIN);
- The tire size(s); and
- The name of the person who furnished the vehicle, if your company is not the owner.
All maintenance records you maintain for a vehicle should include details (such as the VIN) that tie the record to that specific vehicle.
4. Failing to keep initial MVR (49 CFR 391.51(b)(2))
Motor vehicle records (MVRs) are essential for monitoring driver qualifications and safety. Your drivers’ qualification files probably contain several MVRs from the past few years, but do they contain the original MVR you got at the time of hire? Failing to keep that initial MVR is a common mistake.
Even though you get an annual MVR and need to keep a rotating supply of them (each one must be kept for three years), auditors still expect to see the original MVR from the time of hire. Having that MVR shows that you did your due diligence when first hiring the driver.
What if you’re missing the original MVR? It’s probably too late to fix the mistake, but you should add a note to the file indicating that you’re aware of the violation and have made appropriate changes to ensure it doesn’t happen again.
5. Having an incomplete or no DOT employment application (49 CFR 391.21(a))
The employment application for a commercial motor vehicle driver must contain the questions specified in the FMCSRs, and the driver must complete all required fields. This means you can’t just use a generic employment application. It also means that if an existing employee becomes a driver, that employee will need to complete an FMCSA-compliant application before driving.
Review the list in section 391.21 of the FMCSRs and make sure your applications are compliant and completed fully by anyone who drives.
What if something is missing?
It’s a good idea to perform a self-audit of your records so you find violations before an auditor does. If you find something missing, consider these steps:
- Acknowledge the mistake. Add a note to the file or document indicating that you found the violation on “x” date, so the FMCSA knows you’re making an ongoing effort to verify compliance.
- Fix it if you can. If it makes sense, try to correct the mistake by creating the missing record now, using today’s date. This might mean getting an MVR, checking with a former employer, or having a driver fill out an application. However, never back-date a document to make it look like you were compliant.
- Change your process. Why did the mistake happen? Get to the root cause and then make changes to prevent the violation from happening again. This might mean remedial training or strengthening your policies or procedures, or even converting to an electronic recordkeeping system that does automated auditing.
- Document what you did. Record details about what you did to fix the mistake and ensure the violation won’t happen again, and then add that documentation to the record or file so it’s visible to an auditor.
Key to remember: Take steps to ensure you don’t make some of the most common FMCSR recordkeeping mistakes.