February 12 Idealease Safety Bulletin - FMCSA Compliance Review, Top Audit Violations and more

This week's Idealease Safety Bulletin provides important information on FMCSA Compliance review notifications and what to expect if you receive one. 

Click here to read the entire bulletin online or access a PDF version to read, print and/or distribute to your team through the image below.  Remember to sign up to receive the newest bulletins each week to your email inbox! 

Want to review past bulletins? Click here to access the full archive.

The Federal Motor Carrier Safety Administration has Contacted Me for a Compliance Review

If a motor carrier has been contacted by the FMCSA, or their state enforcement division, it is most likely due to Compliance, Safety and Accountability (CSA) scores crossing a particular threshold. 

Other reasons why an audit of intervention could occur:

• New Entrant - Carrier new to the industry
• FMCSA is following up after a conditional or unsatisfactory review
• Motor carrier involved in a high-profile fatal accident or spill of hazardous materials
• Carrier asks for an audit
• Written complaint filed with FMCSA about non-compliance of regulations

How much notification do carriers receive in advance?

• Generally 2 weeks via a written letter
• Can come unannounced if level of compliance or violations are serious

Prior to start of the review:

• Ask for identification to ensure they are federal/state employees
• Be respectful and set them up in a quiet and comfortable area to perform their job
• Provide a preferred method of contact with you during the audit (text, phone, etc)
• Ensure that person responsible for compliance delivers all requested documentation 

What must carriers produce for a review?

The officer will have done their homework and will know which drivers and vehicles are involved in accidents, violations and/or out of service violations. Provide exactly the documentation they request and NO more.  If a request is general, try to get clarification on exactly what time frame they need. 

Examples of some requested documentation:

• MSC-90 on for-hire carriers showing proof of financial responsibility
• Driver qualification and training files
• CDL Driver drug and alcohol testing policy and records
• Duty status(logs) and supporting documents
• Inspection and maintenance files
• Hazardous materials records, if applicable
• Accident registers and copies of accident reports
• Medical Certifications of drivers

What can a carrier expect during a review? 

• Brief initial interview regarding carrier's operation and safety and driver training programs
• Tour of facility
• Investigator will need access to files, records and other documentation. Ensure it is displayed or printed as needed. Idealease customers should reach out to their representative to have maintenance files available on request.  

What should carriers do during the process? 

• Be helpful and remain calm
• Respond to requests in a timely manner
• Be honest

Rapid Rise in FMCSA's Off-Site Compliance Reviews by Year

2016: 118

2017: 76

2018: 330

2019: 1,374

2020: 3,582

TOP AUDIT VIOLATIONS

The top five acute regulations in CY 2020 reflected DOT testing and CDL license violations by rank:

1: Allowing driver to drive with suspended/revoked/etc. CDL (383.37A)
2: Failing to implement an alcohol and/or drug testing program (382.115A)
3: Failing to implement random controlled substance or alcohol testing program (382.305)
4: Allowing driver with more than one CDL to drive a CMV (383.37B)
5: Failing to randomly test for drugs and/or alcohol (382.3052)

Noncompliance with a single acute regulation is considered a serious violation. Noncompliance is so severe that it requires immediate corrective actions by a motor carrier.

The top five critical regulations in CY 2020 included several violation types, with the top two violations falling under hours of service:

1: Not using the appropriate method to record hours of service (395.8A1) 

2: False reports of records-of-duty status (395.8E1) 

3: Inquiries into driving record are not kept in DQ file (391.51B2) 

4: Using a CMV that is not periodically inspected (396.17A) 

5: Using a driver before receiving a pre-employment result (382.301A) 

Critical regulations are identified as those where noncompliance relates to a breakdown in a carrier's management controls. A pattern of noncompliance will affect a carrier's safety rating.

A pattern of noncompliance is considered more than one violation. When several documents are reviewed, the number of violations required to meet a pattern of noncompliance is equal to at least ten percent of those examined.

FMCSA RELEASES ENFORCEMENT DATA FOR 2020

A & I Online summarizes motor carrier and driver compliance on and off the road and commercial motor vehicle (CMV) crashes, as appearing in Motor Carrier Management Information System (MCMIS).

A & I Online captures MCMIS data and provides current year-to-date information, which is often incomplete for the current year. In late January 2021, A & I Online updated its data to reflect all available information on roadside inspections and investigations occurring in CY 2020.

ROADSIDE INSPECTIONS

2,570,280 roadside inspections were performed in calendar year 2020. 

Of those inspections, approximately:

56 percent resulted in a violation, and
18 percent resulted in an out-of-service violation.

The top five driver violations (by rank below) cited during roadside inspections in CY 2020 were primarily based on driving behavior:

1. Speeding 6-10 mph over the limit (392.2SLLS2) 

2. Failure to obey traffic control device (392.2C)

3.  Failing to use seat belt while operating a CMV (392.16)

4. False report of drivers record-of-duty status (395.8E)

5. Lane restriction violation (392.2LV) 

Often a CMV is stopped and then inspected due to an initial traffic violation. 

The top five vehicle-related violations occurring during roadside inspections in CY 2020 include:

1. Inoperable required lamp (393.9)
2. Operating a CMV without proof of a periodic inspection (396.17C)
3. Clamp or roto-type brake out-of-adjustment (393.47E)
4. No/discharged/unsecured fire extinguisher (393.95A)
5. Inspection, repair, and maintenance of parts and accessories (396.3A1)

INVESTIGATIONS CY 2020 BY RANK:

1.  Offsite reviews - 50.32%

2. Onsite focused reviews - 31.45%

3. Onsite comprehensive - 17.21%

4. Cargo tank facilities, shipper reviews, non-rated reviews - accounted for about 1%

Federal and State Enforcement performed 40,579 new entrant safety audits for CY 2020. 

*The Idealease Safety Bulletin is provided for Idealease locations and their customers and is not to be construed as a complete or exhaustive source of compliance or safety information. The Idealease Safety Bulletin is advisory in nature and does not warrant, guarantee, or otherwise certify compliance with laws, regulations, requirements, or guidelines of any local, state, or Federal agency and/or governing body, or industry standards.