http://resources.glostone.com/being-audited-by-fmcsa-now-what The FMCSA’s Comprehensive Safety Analysis guarantees most every motor carrier will be scrutinized for safety compliance on a monthly basis. With scrutiny adds to your chances of being audited. Once selected... Now what?

1. WEBINAR SERIES

2. Tony Hugo, Director of Safety
Glostone Trucking Solutions
www.glostone.com
I’m being audited by the FMCSA –
Now What?

3. Is your company currently being
audited by the FMCSA?
A. Yes.
B. No.

4. What is a Compliance Review
• Conducted by Federal DOT or State DOT Officer
• A Compliance Review is an on-site examination of a motor carrier’s
operations to determine a motor carrier’s safety fitness.
• The Audit will review:
̶ Safety management controls
̶ Operational performance
̶ U.S. regulatory compliance

5. New Entrant Safety Audit
• On Site (In Person) or Audit Upload
• Audit usually happens between the 6th and 12th month of Operation
̶ Considered in the New Entrant Program for first 18 months
• Audit involves examination of the seven BASIC “factors” to determine the
new carrier’s compliance with the safety regulations and assist in
establishing a sound safety program
• The key to compliance is documentation

6. Focused Compliance Review
• Two types of Focused Compliance Reviews
– On-Site focus review
– Off-Site focus review
• When: A BASIC Score is over the threshold
– Targets specific area of compliance
• Does not affect Safety Rating but could face fines

7. Comprehensive Compliance Review
• A full Compliance Review is an on-site examination of a motor carrier by a DOT
Investigator to determine the motor carriers safety fitness.
• Will cover everything safety related
– The DOT will ask you to make all of your files or records available in every factor but will
only review a sampling of each
• Why your company chosen:
– 7 BASIC’s
– Road Side Inspections
– Recent increase in Crashes
– 2-5 years since last audit

8. Scheduling a Comprehensive
Compliance Review
• Steps auditors take to schedule a review
– Phone Calls or Emails
– Mailed “No Contact” Letter
– If no response, Mailed demand letter
• If ignore all requests for scheduling audit companies could face:
– Monetary fines
– Suspension of authority to operate
• Scheduling: Plan for around two weeks so you can prepare for audit

9. 9 Steps of a Comprehensive
Compliance review
1. Opening Interview
2. Driver Qualification Files
3. Hours of Service
4. Drug and Alcohol
5. Maintenance
6. Financial responsibility
7. Accident review
8. HazMat if Applicable
9. Close Out of Review

10. Compliance Review: DQ Files
• Be sure to have all driver files available for review
• Driver file required for any one operating a vehicle over 10,000lbs
• DOT will sample a certain number depending on how many drivers the
company has
– Most common items missing
• Annual MVR (employment, non-employment and medical card information)
• List of violations from driver
• Annual review – Supervisor and driver review the driving record

11. Compliance Review: Hours of Service
• Sampling of log books in the previous 6 months
• Request all supporting documents
– Bills of Lading or load tickets
– Fuel receipts
– Weight tickets
– Food receipts
– Lodging
– Etc

12. Compliance Review: Drug & Alcohol
• List of CDL drivers in a random pool
• Pre-employment test results for each driver
• Reasonable Suspicion Testing

13. Compliance Review: Maintenance
• Annual Inspections
• Preventive Maintenance Schedule
• Random or repair type maintenance register
• DVIRs
• DOT Roadside Inspections

14. Compliance Review: Accident Review
• Any reportable accidents in the previous 12 months (Accident Register)
• Reportable Accident:
– First is a fatality; or
– Bodily injury to a person who, as a result of the injury, immediately receives medical
treatment away from the scene of the accident; or
– One or more motor vehicles incurring disabling damage as a result of the accident,
requiring the motor vehicle or vehicles to be transported away from the scene by a tow
truck or other motor vehicle

15. Comprehensive Compliance Review
Final Report
• 6 Factors that will affect overall rating:
– Factor 1 = General (Part 387, 390)
• Financial Responsibilities
• General Safety Regulation
– Factor 2 = Drivers (Part 382, 383, 391)
• Drug and Alcohol Testing
• CDL Standards
• Driver Qualification
– Factor 3 = Operational (Part 392, 395)
• Driving a CMV
• Hours of Service
– Factor 4 = Vehicle (Part 393, 396)
• Parts and Accessories
• Inspection, repair, and maintenance
– Factor 5 = HazMat (Part 397, 171, 177, 180)
– Factor 6 = Accident rate

16. Results of a Comprehensive
Compliance Review
• Satisfactory Rating
• Conditional Rating
(may incur fines but can submit a CAP
letter)
• Unsatisfactory Rating
(fines, must submit a CAP letter, could lead
to revoking authority)
• Acute Violations
– Noncompliance with an acute regulation requires only
one violation
– Requires immediate corrective action to be taken
• Critical Violations
– Auditor identifies a breakdown in a carrier’s management
controls through a pattern of non-compliance

17. Corrective Action Plan (CAP) Letter
• If submitting due to Unsatisfactory Rating
– Must submit within 60 days (45 days for Passenger or HazMat carriers)
– DOT has 45 days to review CAP letter – so may only have 15 days to submit
• CAP Letter must show:
– Updated safety management controls
• Proof of training
• Implementing or re-writing company policies
• Implementing tracking mechanisms
• Identify who is responsible for process breakdown of specific management cycle
• Could reduce overall fines by as much as 30%

18. Safety Management Cycle

19. Fines
• FMCSA takes into consideration the type of violations that occurred and
the minimum and maximum amounts set forth in Appendices A and B to
Part 386.
• Following are examples of the potential fines:
– Recordkeeping violations — $1,194 for each day the violation continues, up to $11,940
– Falsification of records — Up to $11,940 for each violation
– No recordkeeping violations — Up to $14,502 for each violation
• When calculating the exact fine, the investigator will look at other factors
including the nature, circumstances, extent, and gravity of the violation.
– The FMCSA also looks at the violator’s degree of culpability, history of prior offenses,
ability to pay, and the fine’s effect on ability to continue to do business.
• Another cost that may be harder to quantify is a tarnished brand name.

20. Questions?

21. HOS Logbook MASTERY Class
$99.00
Hours of service rules have been the irritant of driver and manager alike for
as long as anyone can remember. Log book violations are among the
easiest violations for an auditor to find during a safety review. If you fail in
this area the best safety rating you will get is a Conditional.
Our 4 hour Log Book Mastery class will show you how to better understand
and self-regulate:
- Hours of Service rules:11-14, 60/7, & 70/8 rules
- Split-sleeper & combined off-duty options
- How to check for falsified logs
Visit us at:
https://www.glostone.com/solutions/training/log-
book-mastery-training/

22. Have you explored our e-Library?
Visit us at: https://www.glostone.com/library/

23. Upcoming Webinars
June 20, 2017 | Know Before You Go - Passing a Maintenance Level
1 Inspection
Last year’s CVSA 2016 International Roadcheck found 21.5% of vehicles and 3.4% of
drivers, of Level I inspections, were placed out of service due to critical item violations.
http://cleanfleet.org/monthly-webinar/
http://resources.glostone.com/monthly-webinar