The FMCSA has Contacted Me for a Compliance Review

If a motor carrier has been contacted by the Federal Motor Carrier Safety Administration (FMCSA) or their state motor carrier enforcement division about an audit or intervention, it is likely because their Compliance, Safety, and Accountability (CSA) scores have crossed a threshold that has put the carrier on the FMCSA’s radar. While there are other reasons why audits occur, the CSA score is the most common. Due to a limited number of FMCSA enforcement officers, the agency may contract with state carrier enforcement officers to conduct interventions and audits.

Other Reasons for an Audit or Intervention:

• A carrier is new to the industry (New Entrant).
• The FMCSA is following up after a conditional or unsatisfactory review.
• A carrier has had a high-profile fatal accident or a hazardous materials spill involving an accident.
• A carrier requests an audit.
• Someone has filed a written complaint with the FMCSA regarding non-compliance with motor carrier regulations.

How Much Notification Do Carriers Receive Before a Compliance Review?

Carriers are typically notified by the FMCSA via a written letter and generally given two weeks’ notice before the review. However, if the FMCSA determines that the level of non-compliance or violations is severe, they may conduct an unannounced review.

Before the Compliance Review

When enforcement officers arrive at your place of business, one of the first things you should do—if they do not initially provide it—is ask for identification. Do not hesitate to request this, as all federal and state employees are required to carry identification. You need to confirm that they are indeed federal or state employees.

Be respectful, as they are there to do their job. Set them up in a conference or meeting room away from high-traffic areas to minimize distractions. Offer them coffee, water, or soda while they work, but do not offer to buy lunch or provide any gratuities. Ensure the room's temperature is comfortable for them.

Lastly, provide them with your preferred method of contact during the audit (e.g., text or phone call). As the person responsible for regulatory compliance, you will be their point of contact. It is recommended that you personally deliver all requested documentation.

At the end of the audit, they will conduct a final review with the owner or president of the company, who will be required to wet-sign the audit findings. During this review, you have the opportunity to discuss the violations they have identified. If you disagree with a violation, politely ask the officer to explain how they arrived at that determination. They may have overlooked a piece of documentation that could change their assessment. Additionally, since regulations can sometimes be interpreted differently, you can present your interpretation and discuss any discrepancies.

What Must Carriers Provide for a Compliance Review?

Before the audit, the officer will research the carrier and bring documentation related to driver and vehicle information from the CSA program. They will already have data on drivers and vehicles involved in violations, accidents, and out-of-service violations, and they will likely request supporting documentation.

When providing requested documentation, only provide exactly what is asked for—nothing more. For example, if the officer requests hours-of-service records for a driver for five specified days in a month, do not provide the entire month’s records. If the request is vague, try to clarify the specific days they need.

Common records requested during a compliance review include:

• Proof of financial responsibility (MSC-90 for carriers with for-hire authority only).
• Driver qualification and training files.
• Drug and alcohol testing policies and records (for CDL drivers only).
  
  
• Records of duty status (logs) and supporting documents.
• Inspection and maintenance files (including certification for technicians performing brake repairs and annual inspections).
• Hazardous materials records (if applicable).
• Accident registers and copies of accident reports.
• Medical certifications of drivers.

By regulation, a motor carrier has two business days (48 hours) to produce records upon request.

What Can a Carrier Expect During a Review?

The officer will typically begin with a brief interview and request a tour of the facility. The interview will cover basic questions about the carrier’s operations, safety procedures, and driver training programs.

The review will then focus on documentation. Carriers should provide a table or desk for the investigator to use and ensure they have access to the necessary files and records. If records are stored electronically, be prepared to display and/or print them.

If you are an Idealease customer and are notified of a review, contact your Idealease representative immediately to ensure maintenance files are prepared for the officer’s request.

What Should Carriers Do During the Process?

The best advice for carriers during an audit is to stay calm and cooperative. Carrier representatives should respond to all requests in a timely manner and be honest with the investigator.

Audits can be stressful, but panicking will only make the process more difficult. If a carrier has proper management and safety procedures in place, they are on the right track to successfully completing the audit.

Top Audit Violations

The Top Five Acute Violations

Acute violations are considered severe and require immediate corrective action.

The Top Five Critical Violations

Critical violations indicate a breakdown in a carrier's management controls. A pattern of noncompliance (more than one violation) can negatively impact a carrier's safety rating.

When multiple documents are reviewed, a pattern of noncompliance is defined as violations occurring in at least 10% of the examined records.

Last week we discussed the dangers of driving around snowplows. It is with a heavy heart that we inform you that Nebraska State Trooper Kyle McAcy, a 10-year veteran with the patrol, was accidentally killed by a snowplow while investigating an accident on I-80 near Omaha on Monday. This tragic incident reinforces the dangerous conditions that snowplows present. Our thoughts and prayers go out to his family, friends, and the Nebraska State Troopers.

Frost Laws in 16 States and 9 Provinces!

Spring weather often creates driving challenges. Specifically, the change in ground temperature can damage roads and vehicles and result in "roller coaster" rides from wavy roads. Consequently, motor carriers need to monitor the many state and provincial spring weight restrictions or risk damage to the road and/or the rig.

Be ready for an alternate route. To preserve the integrity of the roadways, many states impose seasonal weight restrictions as early as late February, with some lasting into May. As drivers travel through regions experiencing spring thaws, they need to watch for posted signs indicating allowable weight limits. Signs may also indicate a reduced speed limit. Trip planning may involve visiting state websites to determine if a specific highway is accessible to your vehicles. Additionally, if a driver encounters a weight restriction, they will need to find an alternative route, possibly contacting dispatch for assistance.

Ignoring posted restrictions can result in more than just fines—it can lead to damage to the roads, your vehicle, and/or cargo, and could increase the risk of an accident if the roadway is difficult to maneuver. To view the laws in states and provinces, visit: https://oversize.io/regulations/frost-laws-by-state.

Daylight Saving Time will begin for 2025 on Sunday, March 10, at 2 a.m. local time, when

clocks will move forward one hour. This twice-annual time change affects millions of Americans, though not all states and territories observe it.

• Start now to ensure all drivers are aware of the upcoming time change in two weeks. Route drivers should be especially cautious, as the amount of daylight will shift at their stops.
• Remember to change the batteries in smoke alarms and carbon monoxide detectors as well.

Most sleep experts recommend a minimum of seven hours of sleep per night. Many people lose an average of 40 minutes of sleep on Sunday night, March 9, after Daylight Saving Time returns. To avoid excessive drowsiness, plan ahead—sleep in on Sunday morning and consider taking a nap in the afternoon.

Not all states observe Daylight Saving Time. Hawaii and most of Arizona (except the Navajo Nation) do not participate, nor do the U.S. territories of American Samoa, Guam, the Northern Mariana Islands, Puerto Rico, and the U.S. Virgin Islands.

International Roadcheck is an annual three-day event during which CVSA-certified inspectors conduct compliance, enforcement, and educational initiatives focused on various aspects of motor carrier, vehicle, and driver safety. It is the largest targeted enforcement program on commercial motor vehicles in the world, with an average of nearly 15 trucks and motorcoaches inspected every minute across North America during the 72-hour period.

Since its inception in 1988, more than 1.8 million roadside inspections have been conducted during International Roadcheck. In addition to enforcement efforts, this event serves as an opportunity to educate both industry professionals and the general public on the importance of safe commercial motor vehicle operations and the roadside inspection program.

CVSA sponsors International Roadcheck with participation from the Federal Motor Carrier Safety Administration (FMCSA), Pipeline and Hazardous Materials Safety Administration (PHMSA), Canadian Council of Motor Transport Administrators (CCMTA), Transport Canada, and Mexico’s Ministry of Infrastructure, Communications, and Transportation.