Being a federally regulated motor carrier or company with regulated drivers comes with a slew of responsibilities—one of the most important being a safe and reliable business, especially in the eyes of the Federal Motor Carrier Safety Administration (FMCSA).
The agency conducts numerous "checks" on the companies it regulates to ensure they're meeting the guidelines put in place to keep our roadways safe, often referred to as Federal Motor Carrier Safety Regulations (FMCSRs).
Three of the most common interventions the FMCSA conducts are as follows:
Other than the New Entrant Safety Audit, these investigations can occur once your company has reached specific intervention thresholds, often resulting from bad Compliance, Safety, and Accountability (CSA) scores, failed roadside inspections, or accidents.
Preparing for federal interventions before you're notified of an offsite audit with only 48 hours to prepare is the key to passing them with flying colors. In this article, we'll cover when each of these audits can happen, what's involved, and how to prepare for them.
In the eyes of the FMCSA, companies that have successfully registered for a USDOT number and/or an Operating Authority (MC Number) are considered "new entrant carriers" during their first 18 months of operations.
During this time, companies are closely monitored by the FMCSA and are notified of their safety audit via written letter or email.
New Entrant Safety Audits can occur in any of these three formats:
No matter when or where the NESA takes place, companies can expect to provide any or all of the following documents:
The best way to prepare for the NESA is to have all the above documentation readily available in a digital format. That way, you'll be ready for either an in-person or online audit. Plus, you'll be well on track toward meeting your federal recordkeeping requirements!
During an onsite audit, a safety auditor will visit your place of business to verify that you have basic safety management controls in place to comply with FMCSRs.
They will request documents related to drivers and vehicles, as well as general operating procedures and recordkeeping requirements. Normally, companies are given 4 to 6 weeks to provide all the requested paperwork, but the timeline can vary—and it's often not in the company's favor.
A DOT review is divided into six inspection categories:
If you're selected for an onsite audit, you must have all the required documentation ready for the auditor to review on your scheduled day. If not, you could be cited for acute or critical violations, owe thousands of dollars in fines, and be placed out of service until you've proven the violations have been corrected.
Check out the Foley DOT recordkeeping checklist that includes all the documents you may need to present during a DOT audit.
Companies called on for an offsite audit will be required to electronically submit the information requested by an investigator.
Offsite DOT audits require companies to present the same documentation as an onsite audit; however, they must be in a secure, digital format. This means paper files are NOT acceptable.
Both onsite and offsite DOT audits can result in one of three safety ratings:
Achieving the ultimate Satisfactory rating should be every business' goal, and doing so is easier with DOT compliance software that does the all-too-important audit preparations for you.
If your drivers have been involved in DOT-recordable accidents, you have a poor CSA score, or any of your CMVs have failed a DOT roadside inspection, your company has a higher risk of being audited.
But if you're not sure if any of these factors apply to your business, Foley's Audit Risk Monitor (ARM) report can help you keep track of your CSA score and other safety data that impacts your audit risk.
From preparing digital driver files for each of your CMV drivers to ensuring you're enrolled in a DOT drug and alcohol testing program, Foley's DOT compliance software gets your company on track toward better DOT audit preparedness.
Don't leave your company's likelihood of facing (and passing) a DOT audit to chance; connect with a Foley compliance expert today! We're ready to schedule a FREE software demo with your safety and compliance managers now.