Pre-Audit Checklist

Pre-Audit Checklist

Each year, an auditor from Maricopa County will contact you to set up an appointment to review the status of your program. The audit may be conducted in person or over the phone. If, after several attempts to contact the transportation coordinator of record, he may simply issue a request for documentation (RFD), asking that documentation showing implementation of the plan be mailed or faxed to MCTRP.

NOTE! If you get a voice mail or e-mail that an auditor wants to speak with you, respond to the message! A visit or phone audit by County staff is MUCH easier to deal with than a lengthy RFD!

The following is a checklist of items the auditor will most likely ask to see.

NOTE! Don’t wait until the week before your audit to go over the checklist. The trip reduction program is on-going, not something you can just “toss together” in time for the audit. Review the checklist often throughout the year to be sure that you’re prepared.

Remember, your Valley Metro representative is always available to assist you in keeping (or getting) your program on track. Give him a call!

Pre-Audit Checklist

Note: Have a copy of your current year’s TRP plan handy as you go through this list. Not all of the items on the checklist will apply to your plan. Compare your plan to the checklist and highlight the items you will need to document!

1.  Alternative Mode User (AMU) Drawings

£  Drawings held according to frequency stated on plan

£  Communications promoting AMU drawings

£  Receipts for prizes or prize value log²*

£  List of winners

£  Verification of winner forms²*

2.  Other AMU Incentives

New AMU/Move Closer

£  List of those receiving the incentive

£  Receipts for prizes or prize value log²*

£  Verification of winner forms*

£  Communications promoting New AMU/Move Closer incentive

Best AMU

£  List of those receiving incentive

£  Receipts for prizes or prize value log²*

£  Verification of winner forms*

£  Communications promoting Best AMU incentive

Point Program

£  Log of points earned by each AMU

£  Record of redemption of points

£  Communications promoting the Point Program

All AMUs Awarded an incentive

£  Log or tracking of incentive awarded

£  Verification of winner forms or tracking

£  Communications promoting the incentives

3.  Guaranteed Ride Home

£  GRH Policy (posted and/or distributed to employees)*

£  Promotional materials*

£  GRH log*

£  Taxi vouchers, petty cash draws or copies of expense reports including mileage/rate of pay (if employee or manager is reimbursed for mileage)

4.  TRP Activities

Transportation Coordinator Association Meetings

T  Valley Metro Rep faxes sign-in sheets to Maricopa County. Make sure you always sign

the sheet!

£  Notes/agendas from meetings attended

Company AMU Parties

£  Communications promoting the event/party

£  Receipts for expenses

£  Sign in sheet/list of attendees

Valley Metro Rideshare Training

£  Class name/training date

£  Training materials

TRP Fair

£  Communications promoting the event

£  Receipts for expenses

Company prizes for Clean Air Campaign Events (Valley Bike Week & Rideshare Week)

£  Communications promoting the event (including VM posters/materials & flyers for your company’s event

£  Receipts for prizes or prize value log²*

£  List of winners

£  Verification of winner forms*

High Pollution Advisory program with employer incentives

£  Copy of HPA application submitted to Valley Metro

£  Copies of HPA notifications (Ozone Health Warnings (April-September) & HPA Alerts (October - March)

£  Log of AMUs on HPA days or tracking form*

£  Receipts for prizes or prize value log²*

£  List of winners

£  Verification of winner forms*

ShareTheRide.com sign up with employer incentives

£  Communications promoting the employer event and incentives

£  List of participants

£  Receipts for incentives or prize value log²*

£  List of winners

5.  Carpool/Vanpool Parking

£  Location (on property!)/Signage verified No. of spaces ______

£  Sample of carpool hang tags* or dash tags*

£  Carpool registration forms including license plate numbers*

£  Receipts for expenses

£  Communications promoting CP/VP parking including any incentives

6.  Transportation Subsidy

£  Communications promoting the subsidy for each alternative mode

£  List of alternative mode users and amount of subsidy awarded according to frequency indicated on plan

£  Receipts for purchase of bus tickets or accounting

£  Bus Card Plus – Valley Metro invoices and proof of subsidy to bus riders (may include accounting records or copies of employee pay checks)

7.  Physical Amenities

On-site daycare

£  Promotional materials indicating costs/policies

£  Roster of users

Men’s/Women’s Shower facilities

£  Promotional materials (including any restrictions)

£  Showers clean and usable

Bike Rack

£  Location verified (should be in a secure location)

£  Rack in good condition

Pay for Parking

£  Promotional materials or parking policy

£  Log of employees who pay to park (if not all employees)

8.  Alternative Work Modes

£  Current list of employees who Telework on a regular basis (include frequency)

£  Current list of employees working compressed workweeks (include work schedules if more than one option at the site)

9.  Communication methods

£  Bulletin board updated, new posters; all flyers current; TC’s name and contact information; AMU incentives detailed

£  Copies of all relevant communications and promotional materials: memos, e-mails, payroll stuffers, newsletters, etc.

£  All communications/promotional materials available in Spanish if applicable

10. New Hire Information

£  Letter or memo to new hires which includes current list of TRP incentives offered to all AMUs*

£  Orientation presentation available for viewing or hard copy

11. Other Plan Measures

12.  Site Coordinators in compliance – Use this checklist for each additional site.

*Sample available from Valley Metro Rideshare.

² Prize Value Logs should be used when providing incentives which will be used for more than TRP rewards.