​The Federal Motor Carrier Safety Administration (FMCSA) has been increasing the number of safety reviews it conducts to ensure motor carriers remain compliant with safety regulations. From October 2012 through June 2013, the organization performed 7,597 federal and 5,701 state reviews. Violations found during these reviews resulted in fines and even shutdowns in some extreme cases. Understanding the review process can help reduce your exposure during an on-site comprehensive investigation.

A compliance review is an on-site examination of a motor carrier’s operations by a federal safety investigator to determine whether the carrier is in compliance with Federal Motor Carrier Safety Regulations and applicable Hazardous Materials Regulations. In a compliance review, a motor carrier’s operations are examined, including hours of service, vehicle maintenance and inspection, driver qualification, controlled substance and alcohol testing, commercial driver’s license requirements, financial responsibility, accidents, hazardous material and commercial/economic regulations (if applicable).

Compliance reviews are generally conducted at the carrier’s principal place of business. The process includes nine steps:

1. Opening interview with a motor carrier official who has knowledge of the entire operation, such as president, vice president or general manager. The federal investigator will explain the purpose of the visit and may request a tour of the facilities. Records requested by a federal investigator must be produced immediately.
2. Ongoing interviews with carrier staff
3. Accident review: The review of the motor carrier’s procedures for handling and evaluating accidents in the last 12 months; inquiries about actions the carrier has taken to stop certain types of accidents from recurring.
4. Financial responsibility: Verifies the carrier has the required minimum levels of financial responsibility and, if applicable, required cargo insurance and property broker’s license.
5. Maintenance review: A review of the general condition of the motor carrier’s vehicles and a review of the vehicle maintenance files for the last 12 months, including vehicle inspections. 
6. Regulatory compliance: Verify various company procedures related to hiring drivers, testing for controlled substance and alcohol, and maintaining driving records, such as driver qualification files, license status, payroll records, dispatch records and bills of lading.
7. Hazardous material
8. Hours-of-service review: Review for compliance and verify records within last six months.
9. Close out interview

As a result of the compliance review, the carrier will be notified within 45 days and issued a safety rating of satisfactory, conditional or unsatisfactory. Motor carriers that receive violations during the compliance review may be subject to fines and penalties. In one incident last year, FMCSA imposed a $253,000 civil penalty against a carrier based on a compliance review revealing two violations for failing to conduct random controlled substances testing and 21 violations of hours-of-service regulations. Keep your fleet in compliance at all times to avoid these types of fines.