Steplane › Guides › Freight broker SOPs
Updated 19 October 2026 · Written by Paul, founder of Steplane, a logistics process specialist with over 13 years in logistics, including at some of the biggest freight forwarders in the world.
In short: A freight brokerage needs six SOPs: customer onboarding and credit, quoting to invoicing, load booking and carrier selection, carrier onboarding and vetting, claims, and documents. Each SOP names a trigger, an owner for every step, and the record that proves the step was done. A small brokerage can write all six and start using them within about 30 days.
An SOP is not a manual. For a brokerage it is a one-page table that answers four questions for each step: what starts it, who does it, what they do, and where the proof is kept. That last column matters: under federal rules a broker must keep a record of each brokered transaction for three years, and both the shipper and the carrier can ask to review it.
Below: the six SOPs, a filled-in load booking SOP, who owns what, and a 30-day rollout plan.
| SOP | Starts when | Owner | Key record | What goes wrong without it |
|---|---|---|---|---|
| 1. Customer onboarding and credit | A new shipper wants to book | Sales, then finance | Credit application, credit check, approved limit | Loads move for shippers who never pay; carriers still need paying |
| 2. Quoting to invoicing | A rate request arrives | Sales, then billing | Quote, accepted rate, invoice with accessorials | Detention, layover and extra stops never get billed |
| 3. Load booking and carrier selection | Shipper tenders a load | Operations (dispatcher) | Rate confirmation, tracking notes, POD | Wrong truck, missed pickup, thin or negative margin |
| 4. Carrier onboarding and vetting | A new carrier is proposed | Carrier compliance | Authority check, insurance confirmation, W-9, signed agreement | Double brokering, cargo theft, uninsured losses |
| 5. Claims | Damage, shortage or loss is reported | Claims owner | Written claim, photos, delivery receipt notes, claim log | Missed time limits, claims paid out of margin |
| 6. Documents | Load booked | Operations, then billing | BOL, rate confirmation, POD, transaction record | Invoices held for missing POD; records you cannot produce |
SOP 1 and 4 protect you before the load. SOP 2 and 3 run every load. SOP 5 and 6 protect you after it.
Purpose: every load goes to an approved carrier at an approved margin, and closes with complete paperwork. Trigger: a shipper tenders a load. Done when: POD and BOL are in the file and billing has the load.
| # | Step | Owner | Trigger | Record |
|---|---|---|---|---|
| 1 | Check the shipper is approved and under its credit limit | Dispatcher | Load tender received | Customer status in the customer register |
| 2 | Confirm load details in writing | Dispatcher | Shipper approved | Tender or confirmation email in the load file |
| 3 | Check the margin; get approval if below minimum | Dispatcher; manager if below | Details confirmed | Expected cost and margin on the load |
| 4 | Choose an approved carrier | Dispatcher | Margin approved | Carrier status = approved, insurance in date |
| 5 | Verify carrier contact by phone on the official record | Dispatcher | Carrier chosen | Call note with number used |
| 6 | Send rate confirmation; get it signed back | Dispatcher | Carrier verified | Signed rate confirmation |
| 7 | Dispatch, track and report delays | Dispatcher | Rate confirmation signed | Check calls or tracking notes |
| 8 | Collect BOL and POD; hand off to billing | Dispatcher, then billing | Delivered | Signed POD and BOL; load status = ready to invoice |
No step 6 before step 4 and 5 are done. Hold to that rule and no load goes to an unchecked carrier.
In a small brokerage one person may hold three roles. That is fine. What matters is that each step has exactly one owner, and the record is in the same place every time.
| Role | Owns | Keeps these records |
|---|---|---|
| Sales | New shipper requests, quotes | Quote log, accepted rates |
| Finance | Credit approval, limits, collections, stop-credit | Credit application, checks, customer register |
| Carrier compliance | Carrier onboarding, insurance expiry, annual review | Carrier file: authority check, certificate, W-9, agreement |
| Dispatcher | Load booking, tracking, POD | Load file: tender, rate confirmation, tracking notes, POD |
| Billing | Invoices, accessorials, carrier pay | Invoice, carrier invoice, date paid to carrier |
| Claims owner | Claim intake, filing, follow-up | Claim log with dates and amounts |
The federal transaction record. For each brokered load, 49 CFR 371.3 requires a record of the consignor's name and address, the carrier's name, address and registration number, the bill of lading or freight bill number, your compensation and who paid it, any non-brokerage services, and the freight charges you collected and the date you paid the carrier. Build these fields into your load file so the record is complete for every load.
| Week | Do this | Done when |
|---|---|---|
| Week 1 | Write SOP 3 (load booking) and SOP 4 (carrier vetting) from how you work today. One page each | Both reviewed by the people who do the work |
| Week 2 | Write SOP 1 (customer credit) and SOP 2 (quote to invoice). Agree the stop-credit and minimum margin rules | Rules signed off by the owner |
| Week 3 | Write SOP 5 (claims) and SOP 6 (documents). Set up the registers: customers, carriers, claims | Every open load and carrier is in a register |
| Week 4 | Use all six on live loads. Check 10 closed loads against the SOPs and fix what people skipped | 10-load check done; changes recorded in revision history |
Then check 10 loads a month. If people skip a step, ask why before you add a rule: often the step is not needed or the record is in the wrong place.
Six editable kits that match the six SOPs above: customer onboarding and credit, quote to invoice, booking and carrier, carrier onboarding, claims and damage, and documents and customs. Each has a process and rollout plan with owners, triggers and records, plus the forms and registers. US versions use bill of lading and Letter paper.
€49 (about $55) per kit, one-time. EU and US versions. Any 3 kits €99, all 6 kits €199. 14-day money-back guarantee.
Six: customer onboarding and credit, quoting to invoicing, load booking and carrier selection, carrier onboarding and vetting, claims, and documents. Together they cover who you work with, every load, and what happens after delivery.
A purpose, a trigger that starts it, numbered steps, one owner per step, and the record that proves each step was done. Keep it to one page; link to checklists for detail.
Under 49 CFR 371.3, a record of each transaction for three years: consignor, carrier and its registration number, bill of lading or freight bill number, compensation and who paid it, and freight charges collected and the date the carrier was paid.
The carrier vetting and load booking SOPs require an approved carrier, a phone check on the contact details in the official record, and a no re-brokering clause on the rate confirmation before the load is given.
Under 49 CFR Part 370, a carrier must acknowledge a proper written claim within 30 days and pay, decline or make a firm settlement offer within 120 days.
About an hour per SOP if you write down how you work today and fix the gaps later. A small brokerage can have all six in use within 30 days.
Answer simple questions about how your company works today. You get the process map with owners, triggers and records, the money leaks with estimates and a written procedure. Free, no sign-up.
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