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 the FMCSA now has the carrier on their radar. There are other reasons why audits occur, but the CSA score is the most common. There are a limited number of FMCSA enforcement officers, so they may contract with your state to use state carrier enforcement officers to conduct interventions and audits.

Other reasons why an audit of intervention could occur:

• 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 spill of Hazardous Materials involving an accident
• A carrier asks for an audit
• Someone has filed a written complaint with the FMCSA about non-compliance of regulations regarding a motor carrier

How much notification do carriers receive in advance of a compliance review?

Carriers are notified by the Federal Motor Carrier Safety Administration typically with a written letter and generally given two weeks prior to the review. However, if they feel that the level of compliance or violations are serious, they can come in unannounced.

Prior to the start of the review

When they arrive at your place of business one of the first things you will ask them for, if they do not initially provide, is identification. Do not be reluctant in asking for this as all federal and state employees are required to have identification with them. You need to be sure that they are federal or state employees.

Be respectful. They are there to do a job. Set them up in a conference or meeting room that is away from the flow of other employees that is quiet. Offer them coffee, water, or soda as a beverage while they are working. Do NOT offer to buy lunch or provide any gratuities. Make sure the heat and air in the room is set to their liking.

Lastly, provide them with a preferred method of how to contact you during the audit. i.e., text, phone, etc.

As the person responsible for compliance with the regulations you will be there point of contact. I would recommend that all documentation requested be delivered by you.

At the end of the audit, they will want to talk to the owner or president of the company for the final review and to wet sign the audit findings. During the review of there findings is your opportunity to discuss with the officer the violations they have discovered. Do not be argumentative with the officer. If you do not agree with a violation, then ask them to explain how they arrived at the violation. They may have missed a piece of documentation that you need them to be aware of. Also, regulations can have different interpretations. Explain to them your interpretation of the regulation and discuss if there is a difference.

What must carriers produce for a review?

Prior to the audit the officer will do their homework on you the carrier and come in with documentation on your driver and vehicle information from the CSA program. They will know the drivers and the vehicles involved in violations, accidents and out of service violations and will likely request documentation related to those violations.

When providing requested documentation provide exactly what they are asking for and NO more. Far example if they request the hours-of-service documentation on a driver for 5 specified days of a month do NOT give them the entire month of documentation. If they are general in their request then see if you can pin them down to specific days.

These are some of the records that will be requested during a compliance review:

• Proof of financial responsibility (MSC-90 this is for carriers with for-hire authority only)
• Driver qualification and training files
• Drug and alcohol testing policy and records if applicable (CDL drivers only)
• Records of duty status (logs) and supporting documents.
• Inspection and maintenance files (this can include certification for technicians who repair brakes and conduct annual inspections)
• Hazardous materials records if applicable
• Accident registers and copies of accident reports.
• Medical certifications of drivers

What can a carrier expect during a review?

The officer will often begin the review by conducting a brief interview and asking carriers for a tour of the facility. The interview will consist of basic questions about the carrier’s operation and safety and driver training programs.

The process will then shift to reviewing documentation. Carriers should make a table or desk available for the investigator to use during the audit. The investigator will also need access to files, records, and other documentation important to the process. If your files are stored electronically, be prepared to display and/or print them. If you are an Idealease customer and you are notified of a review, contact your Idealease representative immediately so they can have your maintenance files ready at the officer’s request.

What should carriers do during the process?

The best advice for carriers during the audit process is to be helpful and remain calm. Carriers’ representatives should respond to all requests in a timely manner and be honest with the investigator.

Audits are a stressful time for companies. But panicking when first learning about the audit will only make the experience more difficult. If carriers have the proper management and safety procedures in place, they are on the right path to getting through an audit with success.