If you are regulated by the FMCSA, you should be aware of the common violations that could lead to a compliance review. A compliance review is an on-site examination of your company's DOT operations by the FMCSA to determine your level of compliance with the regulations. The FMCSA can conduct a compliance review at any time, but there are some factors that could increase your chances of getting one. In this blog post, we will explain what these factors are and what are some of the common violations that could result from them.
# Accidents
One of the most obvious triggers for a compliance review is an accident involving your vehicles or drivers. The FMCSA might conduct a compliance review after an accident to investigate the cause and the consequences of the accident. The severity of the accident will determine how much notice the FMCSA will give you before the review. Accidents that result in fatalities or serious injuries will require immediate action from the FMCSA.
Some of the common violations that could result from an accident are:
Failing to report an accident to the FMCSA within 15 days
Failing to conduct a post-accident drug and alcohol test on the driver
Failing to maintain an accident register with all the required information
Failing to implement corrective actions to prevent future accidents
To avoid these violations, you should have a clear accident policy and procedure that covers all the aspects of reporting, testing, recording, and correcting accidents.
# Roadside Inspections
Another factor that could trigger a compliance review is a pattern of roadside inspections that result in "out-of-service" violations. These are violations that are so serious that they require the vehicle or driver to be taken off the road immediately. Examples include mechanical defects, hours-of-service violations, or moving violations. The FMCSA tracks these violations through the Safety Measurement System (SMS), which assigns scores to carriers based on their safety performance. The higher your scores, the more likely you are to get a compliance review.
Some of the common violations that could result from roadside inspections are:
Operating a vehicle with defective brakes, tires, lights, or other safety equipment
Operating a vehicle without a valid registration, inspection, or insurance
Operating a vehicle beyond the allowed weight or size limits
Driving beyond the allowed hours-of-service limits or without proper logs
Driving under the influence of drugs or alcohol or without a valid license
To avoid these violations, you should make sure that your vehicles are well-maintained, your drivers are well-trained, and your records are well-organized.
New Entrant Safety Audit
The third factor that could trigger a compliance review is a failure of a New Entrant Safety Audit (NESA). The NESA is a mandatory audit that all new entrants to the FMCSA's jurisdiction must undergo within 18 months of starting operations. The purpose of the NESA is to verify that the new entrant has basic safety management controls in place and is complying with the regulations. If you fail the NESA, you will not only face possible fines and penalties, but also increased monitoring by the FMCSA.
Some of the common violations that could result from a NESA are:
Failing to have a written safety policy and program
Failing to have a driver qualification program that includes background checks, medical exams, and training
Failing to have a drug and alcohol testing program that complies with the regulations
Failing to have a vehicle maintenance program that includes inspections, repairs, and records
Failing to have an accident prevention program that includes analysis, reporting, and corrective actions
To avoid these violations, you should familiarize yourself with the regulations and ensure that you have all the required documents and records.
As you can see, there are several factors that could trigger a compliance review by the FMCSA and several common violations that could result from them. However, you can avoid these triggers and violations by having a robust safety program that ensures compliance with the regulations and prevents accidents and violations. By doing so, you will not only avoid the hassle and cost of a compliance review, but also improve your safety performance and reputation.
At Trucking Services & Logistics, we are specialists in solving all your doubts, also remember that we can give you the necessary assistance in issues concerning the DOT. Do not forget to follow our social networks (Facebook , Instagram, Twitter, Tik Tok and LinkedIn) or call (813) 864 62 87, to obtain more detailed information.
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