Successfully navigating an FMCSA audit hinges on understanding what to expect and ensuring all necessary documentation is in order. Here’s a helpful overview from JJ Keller on how these audits are conducted and how to prepare for them.

The Federal Motor Carrier Safety Administration (FMCSA) performs thousands of audits annually to enforce motor carrier safety and hazardous materials regulations. These audits target both interstate motor carriers and in-state-only carriers transporting hazardous materials. To navigate an FMCSA audit, it’s crucial to understand the types of audits, know what to expect, and have all required documentation ready.

Types of FMCSA Audits

FMCSA audits, also known as “DOT audits” or “investigations,” come in three main types:

1. Offsite Focused Investigations: These target specific compliance areas, such as hours of service. The motor carrier submits its compliance records to the FMCSA regional office for review. This type of investigation does not result in a safety rating.
2. Onsite Focused Investigations: Similar to offsite investigations, these also target specific compliance areas but are conducted at the motor carrier’s principal place of business. This type of investigation also does not result in a safety rating.
3. Onsite Comprehensive Investigations: These address all aspects of a motor carrier’s operation and take place at the motor carrier’s principal place of business. This type of investigation results in a safety rating.

Safety Ratings

The FMCSA assigns safety ratings only after conducting an onsite comprehensive investigation. The compliance review model used in these investigations is detailed in Appendix B to Part 385, resulting in one of three possible safety ratings:

• Satisfactory: The motor carrier’s safety management controls are deemed adequate and functioning.
• Conditional: The motor carrier lacks adequate safety management controls and must make changes to address problem areas.
• Unsatisfactory: The motor carrier’s safety management controls are inadequate, and violations are severe enough to prohibit the carrier from operating commercial motor vehicles.

New Entrant Safety Audits

In addition to the aforementioned investigations, the FMCSA conducts safety audits for new entrants. A “new entrant” is a motor carrier that applies for USDOT registration to operate in interstate commerce. New entrants are monitored for 18 months under a “new entrant registration” status.

The FMCSA performs a new entrant safety audit within 12 months for property carriers and within 3 months for passenger carriers. The audit examines the same compliance documents and processes as those for established companies. This audit is educational and does not result in a safety rating. However, if a new entrant fails to demonstrate adequate basic safety management controls, it will be unable to continue operating in interstate commerce.

Preparing for an FMCSA Audit

Preparation is key to a successful FMCSA audit. Here are some steps to ensure you’re ready:

• Maintain Accurate Records: Ensure all compliance records are up-to-date and easily accessible. This includes driver logs, vehicle maintenance records, and hazardous materials documentation.
• Conduct Internal Audits: Regularly perform internal audits to identify and address any compliance issues before an FMCSA audit.
• Train Staff: Ensure that all employees are aware of FMCSA regulations and understand their roles in maintaining compliance.
• Review Past Audits: If you have been audited before, review the findings and ensure that any issues have been resolved.

One of the best tools for preparing is J. J. Keller’s FleetMentor® System. This cloud-based compliance tool provides you with a full suite of fleet management resources, including the ability to audit your operations to identify risk areas and develop corrective action plans.