Internal audit of freight forwarding industry
Updated: July 2024, 3
At Support Administrative Scrivener Corporation, we provide support for internal audits of companies that have received freight forwarding business licenses to check whether there are any discrepancies between business content and registration status as an audit measure.
We provide the following audit support based on the checklist provided by the Trucking Association.
1. Business plan etc.
| Checklist | Checkpoint |
| 1. Are there any changes to the location and name of the main office and business? | ① If there is a change, are the prescribed change procedures followed? ○Relevant documents to view: Business permit application, certificate, business plan change approval application, etc. |
| 2. Has there been any change in the number of business vehicles at the business office? | ① Does the number of cars at the business office match what is stated in the business permit application and advance notification of change in business plan? ②Are you moving your vehicles to other business offices or between other companies without reporting? ○Relevant documents to view: Business permit application, certificate, business plan change approval application, etc. |
| 3. Are there any changes to the location and capacity of the garage? | ① If there is a change, are the prescribed change procedures followed? ② Is the vehicle constantly parked at a consignor's location or an affiliated company other than a licensed garage, or is the vehicle taken back to the driver's home? ○Relevant documents to view: Business permit application, certificate, business plan change approval application, etc. |
| 4. Are there any changes to the location and capacity of crew rest/sleep facilities? | ① If there is a change, are the prescribed change procedures followed? ○Relevant documents to view: Business permit application, certificate, business plan change approval application, etc. |
| Five. Are crew rest and sleeping facilities properly maintained and managed? | ① Are you organized so that you can take breaks and sleep? |
| 6. Are there any changes to the reported matters (officers, etc.)? | ① Are there any differences between the reported officers and the current officers? ○Relevant documents to view: Business summary report, certified copy of register, notification of change of officer |
2. Ledgers, reports, etc.
| Checklist | Checkpoint |
| 1. Are accident records properly recorded and stored? | ① Is there an accident record book containing legal items? ② Does the format of the accident record include an item for "recurrence prevention measures"? ③ Is the accident record book kept for three years? ○Relevant documents to view: accident record book, car accident report |
| 2. Have you filed a car accident report? | ① Has there been any serious accident in the past 3 years? ② If an accident stipulated in the Automobile Accident Reporting Regulations occurs, do you submit an automobile accident report within 30 days (report the accident by telephone, etc. to the relevant transportation branch maintenance department within 24 hours)? ○Relevant documents to view: car accident report, accident record book, etc. |
| 3. Is the driver ledger properly filled in and saved? | ① Does the vehicle have a driver ledger that includes legal items? ② If a driver is transferred or retires, is the driver record kept for three years from that day? ③Resume etc. cannot be used as a substitute for the driver's register. If you haven't created one, create one ○Related documents to view: Driver ledger |
| 4. Is the vehicle ledger maintained and properly filled out? | ① Have you created a vehicle ledger such as a copy of your vehicle inspection certificate (vehicle inspection certificate)? ○Relevant documents to view: Vehicle ledger, copy of vehicle inspection certificate (vehicle inspection certificate) |
| 5. Are business performance reports and business reports submitted? | ① Is the business performance report for the year from April 4st of the previous year to March 1st of this year submitted to the competent regional transportation bureau director by July 3th of each year? ② Is the business report submitted to the competent regional transportation director within 100 days after the end of each business year? ○Relevant documents to view: copies of business reports and business performance reports |
3.Operation management, etc.
| Checklist | Checkpoint |
| 1. Do you have the required number of crew members? | ①People who are hired on a daily basis, for a period of less than two months, or for a trial period of less than 2 days cannot work on board, so make sure you have a proper employment contract. ○Related documents to view: Driver ledger |
| 2. Has an operation manager been appointed and has a notification of appointment (change) been submitted? | ① Have you appointed the necessary number of operation managers according to the number of vehicles at your business office? Example: For 30 to 59 cars, two operation managers are required. ②If you have appointed multiple operation managers, select a general operation manager. ③ If you change the appointed operation manager, don't forget to submit a change notification form, and if you dismiss him, don't forget to submit a dismissal notification form. ④Once you have submitted your appointment notification form, keep a copy (the one stamped by the receptionist). ○Related documents to view: Operation manager appointment (change) notification form |
| 3. Are the selection of assistants and their duties appropriate? | ① An assistant can be appointed to assist the operations manager. ② Requirements for selection are those who have acquired the qualification of an operation manager or those who have taken the basic course. If appointed, there is no need to notify the Fukuoka Transportation Branch Office. ③As the assistant is responsible for assisting the operation manager's work, he or she cannot perform all of the operations manager's duties. When conducting a roll call, you can only perform a roll call up to 2/3 of the time. The remaining 1/3 will be carried out by the selected operation manager. ○Relevant documents to view: Operation manager qualification certificate, basic course completion certificate |
| 4. Do operation managers receive training? | ① Have you taken general courses? (Appointed operation managers are required to attend the course once every two years) ②Has the operation manager appointed for the first time at the business operator attended the basic training course (3 days)? (Operation managers who have not taken the basic course are required to take it) ③ If the operation manager of a business office that has been subject to administrative sanctions due to a serious accident, etc. is notified of taking a special training course, have they attended it? ○Related documents to view: Operation manager training notebook |
| 5. Are operation management regulations established? | ① Are the authority of the operation manager and assistants and the chain of command regarding operation management established? ○Related documents to view: Operation management regulations |
| 6. Are working hours and on-boarding hours set with consideration given to preventing overwork, and are break times and rest periods appropriately managed? | ① Are you complying with the notification of improvement standards for working hours, etc.? ○Relevant documents to view: daily driving report, chart paper, attendance record |
| 7. Are roll calls and record keeping appropriate? | ① If the flight starts and ends at a business office, are roll calls conducted face-to-face (or over the phone, if unavoidable due to operational reasons) and records are kept? ② If the train operates for 2 nights and 3 days, are interim roll calls conducted and records kept? ③Are you conducting roll call using an alcohol detector? ④Does the alcohol detector work properly? ○Relevant documents to view: Roll call record book |
| 8. Is it appropriate to create and store records of crew duties, etc. (daily driving reports)? | ① Are you using a form with legal items? ② If you took a break or slept, do you record the location, date and time? ③ If you drive a commercial vehicle with a gross vehicle weight of 8 tons or more or a maximum loading capacity of 5 tons or more, do you record the weight or number of cargo and the loading status? ○Relevant documents to view: Records of crew, etc. (daily driving report) |
| 9. Is the recording by the driving recorder and its storage and utilization appropriate? | ① Are driving recorders installed on tractors that tow vehicles with a gross vehicle weight of 7 tons or more or a maximum load capacity of 4 tons or more, and trailers that fall under these categories? *Applicable to used vehicles from April 29, 4 ② Does the operation manager check the chart paper after boarding to check for continuous operation, excessive speed, etc.? ○Related documents to view: Chart paper or digital tachometer |
| 10. Are the operation instructions properly prepared, carried, and recorded? | ① If the flight is operated for 2 days and 3 nights, are operation instructions prepared and carried by the crew? Do you also create a copy at your office, collect it after each operation, and store it for one year? ② Are copies kept in the office and collected after each operation (total of 2 copies) are kept for one year? ○Related documents to view: Operation instructions |
| 11. Are safety training provided to crew members and records kept? | ① Is safety education related to transportation carried out in a planned manner? ② Are records of the safety education conducted kept? (Records must be kept for three years.) ○Relevant documents to view: Safety education implementation record book, safety education implementation plan sheet |
| 12. Do you require certain crew members to undergo mandatory aptitude tests? | ① Do new employees undergo an initial diagnosis? ②Are people over 65 years of age undergoing appropriate age diagnosis? ③Do crew members who have been involved in serious accidents undergo specific medical examinations? ○Relevant documents to view: Aptitude diagnosis examination list |
| 13. Are special instructions provided to specific crew members? | ① Newly hired crew members are now required to know their accident history through driving record certificates, etc., so please obtain driving record certificates and other documents to understand your accident history. ② Provide special guidance and keep records for newly hired crew members who have no experience with general cargo transportation business vehicles, or those who have experience but have a gap of three years. ③ Crew members aged 65 and over ○Relevant documents to view: Driving record certificate, specific crew training record, etc. |
4.Maintenance management, etc.
| Checklist | Checkpoint |
| 1. Has a maintenance manager been appointed and notified? | ① For offices with five or more vehicles, has a person who is qualified as a maintenance manager been appointed based on the maintenance manager appointment notification form? ② Does the appointed maintenance manager actually engage in maintenance management work? ③ Outsourcing of maintenance managers is prohibited. Is it selected by your own employees? *Companies that meet certain conditions may be permitted to outsource within their group companies as a special case. In that case, please consult with your local transportation branch maintenance division. ○Related documents to view: Maintenance manager appointment (dismissal) notification form |
| 2. Are maintenance managers required to undergo prescribed training? | ①Do you have students attend training provided by the local transportation bureau (once every two years)? ○Relevant documents to view: Maintenance manager training completion certificate, maintenance manager training notebook, etc. |
| 3. Are maintenance management regulations established? | ①Have maintenance management regulations that clearly define the authority of maintenance managers been established and provided at the business office? ② Are the details of legal revisions, etc. reflected in the maintenance management regulations? ○Relevant documents to view: Maintenance management regulations, daily inspection list, etc. |
| Four. Have you created daily inspection standards and are inspections conducted appropriately based on these? | ① Have you created daily inspection standards based on laws and regulations, and have inspections been conducted once a day before the start of operation? ② Does the maintenance manager decide whether or not to operate based on the inspection results? ③Are thorough instructions given to drivers regarding the implementation of daily inspections? ○Relevant documents to view: Daily inspection standards, daily inspection list |
| Five. Are regular inspections and maintenance performed, and are inspection and maintenance records maintained? | ①Are regular inspection standards based on laws and regulations established? ② Are inspections and maintenance carried out every three months at the certified factory according to the periodic inspection and maintenance implementation plan, etc.? ③Are inspection and maintenance record books provided at each office and vehicle? ④ Is the inspection and maintenance record book kept for one year? ○Relevant documents to view: periodic inspection standards, periodic inspection and maintenance implementation plan, inspection and maintenance record book |
5. Labor relations, etc.
| Checklist | Checkpoint |
| 1. Have work regulations been established and reported? | ① For businesses with 10 or more employees, do they create work rules and submit them to the local Labor Standards Inspection Office? ②When there is a change in the content of the employment regulations, are notifications of changes submitted each time? ○Related documents to view: Employment regulations |
| 2. Has a 36 agreement been concluded and notified? | ① If workers are to work beyond the legal working hours (1 hours per day, 8 hours per week) or on legal holidays (one day off per week), labor and management must agree in writing. Have you concluded an agreement and reported it to the competent labor standards inspection office? *36 The validity period of the agreement is within one year. If you work overtime or work on holidays, please report it every year. ○Related documents to view: 36 agreements |
| 3. Have you conducted the necessary health checkups and understand your health status? | ① Does the operator have regular health checkups for the crew members who are constantly using the service once a year, and does the operator understand the health status of the crew members? ② Are the crew members who work late at night examined once every six months to understand their health status? *The determination of whether or not work falls under late-night work is generally from 22:00 to 5:00. It may be difficult to make a determination depending on the nature of the work, so please consult your local Labor Standards Inspection Office. ○Relevant documents to view: List of medical examinations, driver ledger (with date of medical examination written), etc. |
| Four. Do you have workers' compensation insurance/employment insurance? | ① Applicable if you employ at least one worker *Workers who are expected to be employed for 31 days or more and have scheduled working hours of 1 hours or more per week are "compulsory". ○Relevant documents to view: Workers' compensation insurance participation ledger, employment insurance participation ledger, wage ledger |
| Five. Do you have health insurance/employee pension insurance? | ① A corporate business is a business that uses even one worker. ②Individual business establishments are establishments that regularly employ 5 or more workers. *For workers whose scheduled working hours per week and scheduled number of working days in January are both 1/1 or more of that of regular employees, they are "compulsory". ○Relevant documents to view: Health insurance enrollment ledger, welfare pension insurance enrollment ledger, wage ledger |
6.Driving safety management
| Checklist | Checkpoint |
| 1. Do you have a basic policy regarding transportation safety? | ① Under the leadership of management, formulate a "safety policy" regarding transportation safety. Examples: "Transportation safety is the core of our company", "Transportation safety is our social responsibility", etc. ② Let's disseminate the "safety policy" within the company. Example: Posting the "Safety Policy" in business offices, rest facilities, garages, etc., or reciting it during roll call, etc. |
| 2. Do you have specific goals regarding transportation safety? | ① Have you established "specific goals" based on your "safety policy" that include employee opinions? Examples: "No cases of drunk driving or excessive speeding in XX year", "0 cases of product accidents or personal injury accidents", etc. |
| 3. Have you developed and implemented a transportation safety plan? | ①Are regular meetings and safety meetings based on the “specific goals” defined above being held? ② During the implementation period, take into account the voices of the field and the current problems when implementing the project. |
| Four. Is safety-related information made public? | ① How was the achievement of the above “specific goals”? ②The achievement status of the above must be announced every fiscal year. ③ Publication is statistics regarding the achievement status of "specific goals" and accidents. *Please post it in your office so that customers can see it. *You can also post it on your homepage. |
For transportation business applications, please contact Support Administrative Scrivener Corporation
At Support Administrative Scrivener Corporation, we provide application support and consulting regarding transportation businesses, from those who are newly registering and obtaining permission for a transportation business to those who are already operating a transportation business.
The transportation business has moved from the stage of simply receiving a permit to the stage of requiring the establishment of a compliance system.
Our staff has a track record of applying in all prefectures across the country. Please contact us by all means.
Our dedicated staff handles cases nationwide.
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