Category: Featured

The Department of Transportation regularly conducts their DOT audits to make sure companies are following all DOT and FMCSA regulations and safety guidelines. Since 2010, the number of DOT audits has increased, due in part to its implementation of the Safety Measurement System, which compiles data from all roadside inspections and weigh stations. The system then assigns a score to each carrier, and companies that have a high number of violations are most at risk for being audited. 

DOT compliance audits take place with little to no advance notice, so it’s important for every carrier to make sure they’re always prepared. Keeping good safety and compliance records, all year long that have plenty of attention to detail, can help make the DOT audit go more smoothly and will help ensure your business passes the audit. In order to pass, your company needs to have a system in place that is always designed to keep you compliant. All the necessary information must be captured to help keep you organized and on track.

Who can be audited?

Companies operating solely in intrastate commerce are subject to applicable state regulations regarding commercial motor vehicles.

Any commercial carrier, driver, or vehicle involved in the transportation of property or passengers in interstate commerce, with a vehicle of gross vehicle weight rating (GVWR) or combination weight rating (GCWR) of more than 10,000 lbs., is subject to Federal Motor Carrier Safety Regulations (FMCSR).

What are the different kinds of DOT audits?

• Compliance Review – This DOT audit looks at how well you are following government regulatory processes and reviews your company’s safety performance.
• New Entrant Audit – This one and the Compliance Review are the two most common DOT audits. A new entrant audit is a safety audit that usually takes place within a carrier’s first 12 months of being in business. This audit is designed to make sure you are complying with all required safety regulations as mandated by Congress.
• Security Audit – This audit looks at your safety plan, driver training, and security measures.
• Hazardous Materials Audit – The DOT will review such things as training, policy, shipping documentation and labeling of hazardous materials.

What are the six inspection categories called factors in a DOT review?

• General
• Driver
• Operational
• Vehicle
• Hazardous Materials
• Accidents

Each these DOT audit factors is reviewed and rated Satisfactory, Unsatisfactory, or Conditional. The safety rating designations are described below:

• Satisfactory – This is the most desired designation. It means the FMCSA has determined the company has adequate safety management controls in place and is doing their best to comply with federal requirements.
• Conditional – This safety rating means that although the FMCSA found at least one violation and/or non-compliance with federal requirements, the company does not pose an imminent safety hazard. A company will not face an Out-of-service Order, but they may incur financial penalties. In order to remove this rating designation, the company must prove corrective action by submitting a “Safety Management Plan” deemed acceptable by the FMCSA.
• Unsatisfactory – This means the FMCSA has found serious violations and/or non-compliance with federal requirements that may cause safety hazards. In addition to financial penalties incurred, the company must prove corrective action by submitting an upgrade request or a “Safety Management Plan” deemed acceptable by the FMCSA within 60 days for property carriers or 45 days for passenger/hazmat carriers. If they fail to do so, they risk being placed Out-of-Service.

How do you prepare for an audit?

Having the right paperwork in place means that you don’t have to scramble when the DOT shows up for an audit. Paying attention to details can mean the difference between passing and failing an audit. A DOT review of your transportation safety program records and evaluation can be pain-free if your company’s management team understands the regulations to which they are subject and what records the DOT expects to see.

What are some important things to keep in mind when preparing for a DOT audit?

• Maintain good business record keeping.
• Have good truck driver hiring, work, and discipline policies.
• Show proof of consistent Hours of Service monitoring, auditing, and corrective actions taken in the event of logbook violations.
• Maintain good vehicle maintenance records including the DVIR, semi-annual inspection, and a preventative maintenance program.
• Establish a carrier safety practices plan.

What are some common DOT audit triggers?

• Crashes – Even one accident can alert the FMCSA to conduct a compliance review. Accidents that result in a fatality or serious injury can prompt the FMCSA to conduct a review with as little notice as possible.
• Activity – Roadside inspections resulting in “Out-of-Service” violations or any high CSA activity. The more roadside inspections that occur with violations, the more likely the FMCSA will want to conduct a compliance review.
• Failure of a New Entrant Safety Audit – Having a firm grasp on the regulations is the best way to ensure the is passed and the FMCSA won’t follow up with a compliance review later.
• Complaint – a complaint in writing must be addressed by the Agency.
• Follow-up – Past audit activity may deem another visit down the road to determine if the fleet has kept with procedures, they said they’d do.

What are some key violations that are considered “critical” in the eyes of the FMCSA and will cause immediate unsatisfactory or conditional rating and can lead to substantial fines?

FMCSA has about a 100 of the regulations deemed the most important to follow. The “List of Acute & Critical Violations” can be found in FMCSR Part 385, Federal Motor Carrier Safety Regulations.

• Many types of Drug & Alcohol Testing violations.
• Using a driver without a valid license.
• Using a driver who has been deemed medically unqualified.
• Operating a CMV without the required level of insurance.
• Failing to maintain HOS records.
• Operating a vehicle deemed “Out-of-Service” during a Roadside inspection before the required repairs are made.
• Operating a CMV that has not undergone an Annual/Periodic DOT inspection.
• Falsification of records.

What are some simple Best Practices about audits?

• Prevent the audit – be DOT compliant and in control.
• Always be prepared .
• Exceed, don’t just meet, DOT regulations.
• Have controls in place for all the basics.
• Consider conducting mock DOT audits.
• Act quickly when problems are discovered.
• Fix high-risk problems immediately.

Compliance reviews, while nerve-wracking and time consuming, are the government’s means to ensure safe companies are on the roads operating around the motoring public. Let’s make sure your drivers get safely home every day and allow you to sleep at night. Utilize compliance review preparations to ensure your fleet has the proper procedures and activities in place every day, not just during audit prep.

Fleetworthy Solutions can assist with process optimization, mock audit, training, or other project that meets your needs to help accomplish this analysis.

A new monitoring service has been introduced for the FMCSA Pre-Employment Screening Program.  The new service automatically notifies drivers when their PSP safety records are updated.  Drivers can sign up to receive emails every time information is added to or removed from their records.  PSP provides instant online access to commercial drivers’ safety histories, with the drivers’ written authorization, to assist motor carriers with the hiring process.  PSP data is updated approximately every 30 days with a new data snapshot from the FMCSA Motor Carrier Management Information System database.  The optional monitoring service automatically notifies drivers when information changes on their individual PSP records, eliminating the need for drivers to check their records constantly.

“The PSP monitoring service simplifies the process for drivers to understand the latest status of their PSP records,” said Laura Johnson, NIC Federal General Manager.  “Thousands of trucking companies use PSP records to assess a driver’s safety performance when making hiring decisions.  It’s important for drivers to know what their prospective employers see on their individual records.”

How Do I Subscribe to the Monitoring Service?

Registered drivers can easily subscribe for the monitoring service from their account dashboards at www.psp.fmcsa.dot.gov.  After drivers receive an email from the monitoring service, they can log in to their accounts to obtain their latest PSP records immediately.  If the driver chooses to print the report, he/she will be charged a $10 report fee.  Once the driver requests the report, it will remain available for five days.

What are the Benefits of the PSP Program and New Monitoring Service?

(From the PSP Site)

The PSP program helps carriers make more informed hiring decisions by providing secure, electronic access to a commercial driver’s five-year crash and three-year inspection history from the FMCSA.  PSP records are available for commercial drivers and companies conducting pre-employment screening.  PSP records may be requested solely to conduct pre-screening of potential operators and only with the operator-applicant’s written consent.  You cannot pull a PSP Report on a current employee.

According to the results of FMCSA’s recent study, companies regularly using PSP have, on average an 8% reduction in crash rates and a 17% reduction in driver out-of-service rates.  Fleets can utilize the PSP for candidate consideration and should encourage their drivers to obtain their PSP reports and to receive monitoring notices.  Drivers can pull their data to ensure that it is accurate, challenge entries when necessary, and now receive notice through the monitoring service when new reports are added.

Madison, WI – Fleetworthy Solutions, one of the leading providers of Intelligent Compliance solutions today announced an expansion of its regulatory and safety compliance management services. The company will begin offering complete, end-to-end solutions to carrier fleets with its new service – Extended Fleet Services (EFS).

“Taking the time to sit down and figure out how best to serve the industry is important to all of us here at Fleetworthy Solutions. We wanted to figure out just what pains organizations the most and we had some good thoughts. One of those thoughts was the idea of taking on the headache, the turmoil, and the chaos of safety and regulatory compliance issues for the benefit of our customers. In this way, we become our customers, learn their ways, and provide a service that frees them up to focus on what they do best – building their business. As our customers augment their teams, we then provide a value to them that is irreplaceable and invaluable during these challenging times.” – Michael Precia, President, Fleetworthy Solutions

Fleetworthy Solutions has built upon 30 years of experience providing services to the industry to develop this new service. The company says it can now help carriers enhance their compliance programs with EFS. Fleetworthy has already piloted this service at a major, national fleet with positive results. There are huge benefits seen by carriers when their internal compliance workload is greatly reduced. This service also works to reduce costs and increase the quality and speed of throughput in compliance work. In the end, many carriers are then able to focus on their core organizational activities like growth, innovation, and customer loyalty strategies.

Internal business processes augmentation has seen tremendous growth in the last several years. Because of the appeal of cost, time, and risk reduction, it has become an attractive option for many businesses. Fleets interested learning more on how EFS can bolster their own compliance strategy can reach out to Fleetworthy Solutions directly online, through email, or via phone.

About Fleetworthy Solutions

Fleetworthy Solutions, Inc. provides outsourced compliance services to owners and operators of truck fleets that take them ‘Beyond compliant’. Fleetworthy combines exceptional client service, advanced technologies, and more than 30 years of transportation industry expertise to make sure that drivers and assets are ‘fleet-worthy’. The company helps private fleets, for-hire carriers, and third-party logistics companies of all sizes surpass compliance of federal, state, and local regulations and streamline processes to reduce costs and mitigate risks.

The Spotted Lanternfly permits are designed to raise awareness for businesses working in the quarantine area and to allow continued safe trade for companies. We need your help to help us contain this invasive species, but how can you help?

What is the quarantine zone?

The state of Pennsylvania has a Spotted Lanternfly quarantine zone of Berks, Carbon, Chester, Dauphin, Delaware, Lancaster, Lebanon, Lehigh, Monroe, Montgomery, Northampton, Philadelphia, and Schuylkill counties.

Not sure if you’re in the quarantine? Use our interactive map!

What can those inside the quarantine zone do?.

Businesses and organizations conducting business in the quarantine zone should obtain a permit from the Pennsylvania Department of Agriculture to move vehicles, equipment, and goods within and out of the zone.

How do I know if my company needs a permit?

If you are unsure if your business or organization is required to carry permits you can read Penn State Extension’s article about requirements for obtaining a permit.

How can I obtain a permit?

The permit training and testing resources are available through Penn State Cooperative Extension: https://extension.psu.edu/spotted-lanternfly-permit-training.

There are three sections in the course, with a quiz at the end of each sections. A score of 70 percent or greater is required to pass the exam.

Should all business employees take the exam?

No. The exam is a “train-the-trainer” course to train designated employees, usually an owner, manager, or supervisor within the company on how to comply with the quarantine regulations. The person taking the exam is responsible for entering the number of permits needed for each of their company vehicles. Once this employee passes the exam, he/she is then responsible for training other employees who are responsible for driving any company vehicle or conveyance, or handling, shipping, packaging or loading any regulated article.

How long does it take to receive a permit?

A paper permit will be issued and mailed to the address listed on the course registration within two to three weeks. The permit can then be copied and distributed to drivers or into the vehicles the permittee is responsible for. In the meantime, you may make copies of your passing certificate to use temporarily.

Why should businesses obtain a Spotted Lanternfly permit?

The permit indicates that the permittee is aware of the Spotted Lanternfly and follows procedures to prevent it from spreading.

What could happen if businesses cross state lines without a permit?

The state of Delaware, New Jersey, New York, and Virginia will honor the Pennsylvania Spotted Lanternfly permits issued by the Pennsylvania Department of Agriculture to businesses operating in the quarantine. If your business works within the quarantine area and moves products into the state of New York without a permit, you may be issued a notice of rejection by them. If your company receives three notices of rejection, the conveyance may be denied entry into New York.

A Driver Vehicle Inspection Report is an important component of fleet DOT compliance and safety. The keys to maintaining DVIR compliance are to ensure that drivers are doing their daily inspections and to make sure that vehicles with failed inspections are getting fixed (if required) before they are driven. The inspections are a critical part of a truck driver’s daily routine and are essential to keeping vehicles in good condition in order to provide safe roads for everyone. The following seven important DVIR facts provide useful guidance to help ensure both safety and compliance in the transportation industry.

What Is a DVIR?

• The full name is “Driver Vehicle Inspection Report”.
• It is a formal record confirming that a driver has completed an inspection on a commercial motor vehicle stating that it is safe for operation. Inspections are carried out at the beginning and end of the day (called the pre-trip and post-trip inspection).
• The DVIR is specified under the Federal Motor Carrier Safety Section 396.11 and 396.13 and is enforced by the DOT.

What is a DVIR Report?

• A Driver Vehicle Inspection Report is a report that needs to be completed daily by drivers for any commercial vehicle they operate. The report is completed either on paper or electronically. With electronic DVIRs (eDVIRS), the inspection process is more efficient and those carriers who have adopted electronic logging can take advantage of vehicle inspection functionality on their ELDs.
• DVIRs are enforced by the Department of Transportation (DOT).
• The report must be retained for three months from the date the report is submitted at the place of business or where the vehicle is housed (domiciled).

What Does a Vehicle Inspection Report Include?

• Brakes and air system (Brakes rank as the most frequent roadside inspection violation for equipment).
• Steering mechanism
• Lights and reflectors
• Tires, wheels, and rims (Tires rank as the second most frequent roadside inspection violation for equipment).
• Windshield wipers
• Rear view mirrors
• Coupling equipment and fifth wheels
• Safety and emergency equipment

What is the DVIR Process?

• Vehicle Visual Inspection – A driver will perform a walk-around of the vehicle, checking under the hood, walking around to look for defects or damage, and starting the vehicle to test the lights and brakes, among other things.
• Report Defects – The driver must report defects or deficiencies that will impact the safe operation of the vehicle or could lead to a breakdown.
• Sign Off – the driver signs the report then submits it to the commercial motor carrier.
• Corrective Action and Certification of Repairs – motor carriers must immediately repair and certify any defects listed on the DVIR that would affect the safe operation of the vehicle.

Why is a DVIR Required?

The ultimate goal is to reduce the number of crashes, injuries, and fatalities involving commercial vehicles. DVIRs help ensure a vehicle is in a safe and optimal condition before and after each trip. This provides a safe environment for the driver and anyone around the vehicle.

Who Conducts Roadside Inspections?

In the U.S., Motor Carrier Safety Assistance Program Inspectors are responsible for carrying out roadside inspections on commercial motor vehicles and drivers. Following the criteria in the North American Standard Inspection Program (established by the CVSA), inspectors check the trucks to verify that they follow federal safety and hazardous materials regulations.

What are the Penalties for Non-compliance?

• Carriers found in non-compliance with DVIR regulations are subject to fines from the DOT officer at their discretion. Aside from fines, there are other costs associated with noncompliance. If a vehicle is found unsafe, it will immediately be deemed Out-of-Service (OOS) until it’s repaired. Unplanned downtime can lead to lost revenue for the carrier. In addition, the carrier’s CSA score could take a hit, which would cause a loss of good reputation.
• The CVSA conducted an International Roadcheck inspection and enforcement initiative in June 2018.

Safety is the most important and obvious reason to perform a vehicle inspection. By completing the next step and filling out the DVIR, the driver is also fulfilling the legal obligation required by the DOT to remain compliant. Breakdowns and crashes on the road can cost fleets precious time, money and lives, so steps must be taken to minimize this liability and risk. These seven important facts regarding DVIRs have outlined what the DVIR entails and how to fulfill this obligation to keep things running smoothly and safely!