# Presentation: 664750

## Slide 1

##   This Training Module is designed to       educate Management on FMCSA  	
    Compliance Review (CR).    

-   This Training Module is designed to       educate Management on FMCSA
-     Compliance Review (CR).

**Notes:**
This Training Module is designed to educate on FMCSA Compliance Review.

## 

 A Compliance Review is an on-site   examination of a motor carrier’s     operations by a U.S. federal safety  investigator to determine a motor      carrier’s safety fitness. 

-  A Compliance Review is an on-site   examination of a motor carrier’s     operations by a U.S. federal safety  investigator to determine a motor      carrier’s safety fitness.

**Notes:**
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. 

## Review of motor carrier operations such as:

driver’s hours of service
vehicle maintenance and inspection
driver qualification 
controlled substance and alcohol testing
commercial driver’s license requirements

**Review of motor carrier operations such as:**
- driver’s hours of service
- vehicle maintenance and inspection
- driver qualification
- controlled substance and alcohol testing
- commercial driver’s license requirements

**Notes:**
In a Compliance Review, a motor carrier’s operations are examined. Such operations include driver’s 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).

## Review of motor carrier operations such as:

financial responsibility
accidents 
hazardous material
commercial/economic regulations (if applicable)

- financial responsibility
- accidents
- hazardous material
- commercial/economic regulations (if applicable)

##  The Compliance Review focuses on         the carrier’s: 
 safety management controls    
 operational performance
 U.S. regulatory compliance

-  **The Compliance Review focuses on        **** the carrier’s:**** **
-  safety management controls
-  operational performance
-  U.S. regulatory compliance

**Notes:**
A Compliance Review focuses on not only the carrier’s safety management controls, but also the carrier’s operational performance and regulatory compliance.

## 
Compliance Review will determine whether the company’s operation is in regulatory compliance with U.S. Federal Motor Carrier Safety Regulations (FMCSRs) and applicable U.S. Hazardous Materials Regulations (HMRs). 
The Information needed can be found at:

Federal Motor Carrier Safety Regulations links
          http://www.fmcsa.dot.gov/rulesregs/fmcsr/fmcsrguide.htm
Hazardous Materials Regulations links: http:\\hazmat.dot.gov 

- Compliance Review will determine whether the company’s operation is in regulatory compliance with U.S. Federal Motor Carrier Safety Regulations (FMCSRs) and applicable U.S. Hazardous Materials Regulations (HMRs).
- The Information needed can be found at:
- Federal Motor Carrier Safety Regulations links
-           _[http://](http://www.fmcsa.dot.gov/rulesregs/fmcsr/fmcsrguide.htm)__[www.fmcsa.dot.gov/rulesregs/fmcsr/fmcsrguide.htm](http://www.fmcsa.dot.gov/rulesregs/fmcsr/fmcsrguide.htm)_
- Hazardous Materials Regulations links: http:\\hazmat.dot.gov

## Compliance Review of motor carriers are generally conducted at the carrier’s principal place of business.
Scheduling the Compliance Review
FMCSA’s Division Offices and/or State Offices are responsible for calling the carrier to schedule a mutually agreeable time and location for conducting the Compliance Review.
The Investigator’s call to the carrier will be followed by a letter to the carrier confirming when and where the Compliance Review will be conducted.

- Scheduling the Compliance Review
- FMCSA’s Division Offices and/or State Offices are responsible for calling the carrier to schedule a mutually agreeable time and location for conducting the Compliance Review.
- The Investigator’s call to the carrier will be followed by a letter to the carrier confirming when and where the Compliance Review will be conducted.

**Notes:**
At some point within the 18-month provisional operating period, FMCSA is required to conduct a Compliance Review consistent with federal safety fitness evaluation procedures. 

## The Compliance Review process consists of 9 steps: 

	1.  Opening Interview 
	2.  On-Going Interviews with Carrier Staff 
	3.  Accident Review 
	4.  Financial Responsibility
	5.  Maintenance Review

- 	1.  Opening Interview
- 	2.  On-Going Interviews with Carrier Staff
- 	3.  Accident Review
- 	4.  Financial Responsibility
- 	5.  Maintenance Review

**Notes:**
The Compliance Review process is as follows:
1.	Opening Interview – initial Carrier information and interview with Carrier officer, follow-up interviews will be conducted as necessary 
      On-Going Interviews with Carrier Staff 
      Accident Review – Check accidents register, loss runs OS&D reports, claim files, police reports, profile and inspection, etc., Part 390
4.      Financial Responsibility - Part 387
5.	Maintenance Review – accident information, profile and inspection insurance records Part 393 & 396

## The Compliance Review process consists of 9 steps: (continued)

	6.  Commercial Drivers License, Controlled       Substance Testing & Driver Review 
	7.  Hazardous Material 
	8.  Hours of Service Review 
	9.  Close Out Interview 

- 	6.  Commercial Drivers License, Controlled       Substance Testing & Driver Review
- 	7.  Hazardous Material
- 	8.  Hours of Service Review
- 	9.  Close Out Interview

**Notes:**
6.	Commercial Drivers License, Controlled Substances Testing, Federal Motor Carrier Safety Regulations and applicable Hazardous Materials                Regulations & Driver Review – accident information profile and inspections Part 382, 383 & 391 
      Hazardous Material – information gathering at all stages of Compliance Review
8.	Hours of Service Review – inspections, accidents, payroll, other information Part 395
9.	Close Out Interview 

## The Opening Interview is conducted with a motor carrier/shipper official who has knowledge of the entire operation:

President
Vice President
General Manager

- President
- Vice President
- General Manager

**Notes:**
The opening interview is always conducted with an official that has knowledge of the entire operation; such as a president, vice president or general manager.

## During the Opening Interview, the U.S. federal investigator:

will explain the purpose of the visit

may request a tour of the facilities to see how the general day-to day operations work

- will explain the purpose of the visit
- may request a tour of the facilities to see how the general day-to day operations work

**Notes:**
In the opening interview, the U.S. federal investigator will explain the purpose of the visit. He/she may request a tour of the facilities to see how general operations work. He/she will also explain the company records that will be reviewed and will ask to talk to individuals responsible for compliance with safety, hazardous materials, financial responsibility, and commercial/economic regulations.

##   During the Opening Interview, the 
      investigator:

will explain the various company records to be reviewed

will ask to talk to the individuals in the company responsible for compliance with the safety, hazardous materials, financial responsibility, and commercial/economic regulations

**      ****investigator:**
- will explain the various company records to be reviewed
- will ask to talk to the individuals in the company responsible for compliance with the safety, hazardous materials, financial responsibility, and commercial/economic regulations

## Upon the arrival of a investigator at a motor carrier’s principal place of business, regional office, or driver work-reporting location, those records that are maintained at such locations must be produced for inspection immediately upon request.

**Notes:**
Records requested by a federal investigator must be produced immediately.

## A motor carrier with multiple offices or terminals may maintain required records at these locations.

All required records maintained at these locations must be made available for inspection upon request by the investigator   at the principal place of business or other location specified by the investigator within 48 hours after a request.

- All required records maintained at these locations must be made available for inspection upon request by the investigator   at the principal place of business or other location specified by the investigator **within 48 hours** after a request.

**Notes:**
If a motor carrier has multiple offices in which records are kept, the company has 48 hours after a request is made to make those records available.

## 	Accident Review – 49 CFR Part 390
	Financial Responsibility - 49 CFR Part 387
   Maintenance Review – 49 CFR Part 393 & 396
	Commercial Drivers License, FMCSRs,       	Controlled  Substance Testing & Driver    	Review – 49 CFR Part 382, 383, 391 & 392
	Hours of Service Review – 49 CFR Part 395
	Hazardous Material – 49 CFR Part 171-180

- 	Financial Responsibility - 49 CFR Part 387
-    Maintenance Review – 49 CFR Part 393 & 396
- 	Commercial Drivers License, FMCSRs,       	Controlled  Substance Testing & Driver    	Review – 49 CFR Part 382, 383, 391 & 392
- 	Hours of Service Review – 49 CFR Part 395
- 	Hazardous Material – 49 CFR Part 171-180

## Accident Review – 49 CFR Part 390
The review of motor carrier’s procedures for handling and evaluating accidents.   

Inquires about actions that the motor carrier have  taken to stop certain type of accidents from reoccurring.

It covers the 12 month period prior to the initiation date of the Compliance Review.

- The review of motor carrier’s procedures for handling and evaluating accidents.
- Inquires about actions that the motor carrier have  taken to stop certain type of accidents from reoccurring.
- It covers the 12 month period prior to the initiation date of the Compliance Review.

## Financial Responsibility - 49 CFR Part 387 
Verifies that motor carriers have the required minimum levels of financial responsibility subject to Part 387.

Cites violation of Part #387(a) and initiates enforcement action for the motor carriers subject to Part 387 that do not have the required minimum level of financial responsibility in effect.

- Verifies that motor carriers have the required minimum levels of financial responsibility subject to Part 387.
- Cites violation of Part #387(a) and initiates enforcement action for the motor carriers subject to Part 387 that do not have the required minimum level of financial responsibility in effect.

## Financial Responsibility - 49 CFR Part 387

Reviews motor carriers subject to require cargo insurance, property broker’s license, offering arbitration on loss and damage claims, and filing of form BOC-3. 

- Reviews motor carriers subject to require cargo insurance, property broker’s license, offering arbitration on loss and damage claims, and filing of form BOC-3.

## Maintenance Review – 49 CFR Part 393 & 396 
The purpose of this review is to establish the effectiveness of the vehicle maintenance practices of the motor carrier or its agent,  and to determine the general condition of the motor carrier’s vehicles.    

Review of the vehicle maintenance files. It may also include vehicle inspections and out-of service rate calculations.

- The purpose of this review is to establish the effectiveness of the vehicle maintenance practices of the motor carrier or its agent,  and to determine the general condition of the motor carrier’s vehicles.
- Review of the vehicle maintenance files. It may also include vehicle inspections and out-of service rate calculations.

## Maintenance Review – 49 CFR Part 393 & 396

It covers the 12 month period prior to the initiation date of the Compliance Review or since the prior CR if the period is less than 12 months.

- It covers the 12 month period prior to the initiation date of the Compliance Review or since the prior CR if the period is less than 12 months.

## Commercial Drivers License, FMCSRs, Controlled Substance Testing & Driver Review – 49 CFR Part 382, 383, 391 & 392 
Verify company’s procedures for  hiring drivers, testing for controlled substance and alcohol, and maintaining driving record of drivers. 
Reviews of drivers qualification files, driving records, drivers license  status, payroll records, dispatch records, bills of landing, controlled substance and alcohol testing records, and vehicle maintenance files. 

- Verify company’s procedures for  hiring drivers, testing for controlled substance and alcohol, and maintaining driving record of drivers.
- Reviews of drivers qualification files, driving records, drivers license  status, payroll records, dispatch records, bills of landing, controlled substance and alcohol testing records, and vehicle maintenance files.

## Hours of Service Review – 49 CFR Part 395

Review for compliance and verify information in the records of duty status (RODS) and/or time records for hour-of-service.

- Review for compliance and verify information in the records of duty status (RODS) and/or time records for hour-of-service.

##    Hours of Service Review – 49 CFR Part 395 
It covers the 6 month period prior to the initiation date of the Compliance Review or since the prior CR if the period is less than 6 months.  When appropriate this may be expanded beyond the six months.

- It covers the 6 month period prior to the initiation date of the Compliance Review or since the prior CR if the period is less than 6 months.  When appropriate this may be expanded beyond the six months.

## Hazardous Material – 49 CFR Part 171-180

Review for compliance hazardous materials shipping papers, material safety data sheets, registration with the Research and Special Program Administration (RSPA), and  Hazardous Material incident records. 

- Review for compliance hazardous materials shipping papers, material safety data sheets, registration with the Research and Special Program Administration (RSPA), and  Hazardous Material incident records.

##   Hazardous Material – 49 CFR Part 171-180 
Interview hazmat employees and verify their training and procedures.

Check the dock to determine the compliance of shipments in transit.

- Interview hazmat employees and verify their training and procedures.
- Check the dock to determine the compliance of shipments in transit.

## 
As a result of the Compliance Review, the carrier will be issued a safety rating of: 
 satisfactory 
 conditional 
 unsatisfactory

**As a result of the Compliance Review, the carrier will be issued a safety rating of**:
-  satisfactory
-  conditional
-  unsatisfactory

**Notes:**
As a result of the Compliance Review, the carrier will be issued a safety rating of satisfactory, conditional or unsatisfactory.  Carriers must receive a satisfactory rating in order to qualify for permanent operating authority. 

## Receiving a satisfactory safety rating for the Compliance Review reveals that the carrier is:

in compliance with the FMCSRs and 
    HMRs (if applicable) and

has basic safety management controls.  

- in compliance with the FMCSRs and
-     HMRs (if applicable) and
- has basic safety management controls.

**Notes:**
The carrier will receive a satisfactory safety rating if the Compliance Review reveals that the carrier is in compliance with the Federal Motor Carrier Safety Regulations and applicable Hazardous Materials Regulations and has basic safety management controls.  

## 

The FMCSA will notify the carrier of its rating no later than 60 days after the completion of the Compliance Review.  

- The FMCSA will notify the carrier of its rating **no later than 60 days** after the completion of the Compliance Review.

**Notes:**
The FMCSA will notify the carrier no later than 45 days after the completion of the Compliance Review of its rating. 

## 
If the carrier receives an unsatisfactory rating as a result of the Compliance Review the FMCSA will notify the carrier no later than 45 days after completion of the Compliance Review of its rating.

- If the carrier receives an unsatisfactory rating as a result of the Compliance Review the FMCSA will notify the carrier **no later than 45 days** after completion of the Compliance Review of its rating.

**Notes:**
If the carrier receives an unsatisfactory rating as a result of the Compliance Review the FMCSA will notify the carrier no later than 45 days after completion of the Compliance Review of its rating.

## 
Consequences:  
The carrier’s operating authority to operate would be suspended effective 15 days after the service date of the notice and an Operation Out of Service Order would be imposed, prohibiting the carrier from operating any motor vehicle in the U.S., unless the carrier demonstrates, within 10 days of the service date of the notice, that the Compliance Review contained errors.  

**Consequences:**
- The carrier’s operating authority to operate** **would be suspended effective 15 days after the service date of the notice and an Operation Out of Service Order would be imposed, prohibiting the carrier from operating any motor vehicle in the U.S., unless the carrier demonstrates, within 10 days of the service date of the notice, that the Compliance Review contained errors.

**Notes:**
Consequences: The carrier’s operating authority would be suspended effective 15 days after the service date of the notice and an Operation Out of Service Order would be imposed, prohibiting it from operating any motor vehicle in the U.S., unless the carrier demonstrates, within 10 days of the service date of the notice, that the Compliance Review contained material error. 

## 

Failure to take corrective action: 

Within 30 days of the Suspension Order, the carrier must take the necessary corrective action specified in the Order or the carrier’s provisional operating authority will be revoked.  

**Failure** **to take corrective action:**
- Within **30 days** of the Suspension Order, the** **carrier must take the necessary corrective action specified in the Order or the carrier’s provisional operating authority will be revoked.

**Notes:**
Failure to take corrective action: Within 30 days of the Suspension Order, the carrier must take the necessary corrective action specified in the Order or the carrier’s provisional operating authority will be revoked. 

## 

Follow-up review: 

A review may be conducted to ensure that all necessary corrective actions have been taken. 

**Follow-up review: **
- A review may be conducted to ensure that all necessary corrective actions have been taken.

**Notes:**
Follow-up review may  be conducted to ensure that all necessary corrective actions have been taken. 

## 
If a carrier receives a conditional rating as a result of the Compliance Review, the FMCSA will notify the carrier no later than 45 days after completion of the Compliance Review of its rating.

- If a carrier receives a conditional rating as a result of the Compliance Review, the FMCSA will notify the carrier **no later than 45 days** after completion of the Compliance Review of its rating.

**Notes:**
If a carrier receives a conditional rating as a result of the Compliance Review, the FMCSA will notify the carrier no later than 45 days after completion of the Compliance Review of its rating.

## 
Consequences: 

The carrier’s Operating Authority will be revoked and an Operating Out of Service will be imposed unless it presents evidence of necessary corrective action within 30 days from the service date of the Order.

**Consequences:**
- The carrier’s Operating Authority will be revoked and an Operating Out of Service will be imposed unless it presents evidence of necessary corrective action within 30 days from the service date of the Order.

**Notes:**
If a carrier receives a conditional rating as a result of the CR, the FMCSA will notify the carrier no later than 45 days after completion of the Compliance Review of its rating and that the carrier’s operating authority will be revoked and an Operating Out of Service will be imposed unless it presents evidence of necessary corrective action within 30 days from the service date of the Order.

## 

Follow-up review: 

A review may be conducted to ensure that all necessary corrective actions have been taken.

**Follow-up review: **
- A review may be conducted to ensure that all necessary corrective actions have been taken.

**Notes:**
 A follow-up review may be conducted to ensure that all necessary corrective actions have been taken.

## 
Compliance Review is part of FMCSA’s initiative designed to determine whether carriers comply with applicable U.S. safety regulations and conduct safe operations. 

- Compliance Review is part of FMCSA’s initiative designed to determine whether carriers comply with applicable U.S. safety regulations and conduct safe operations.

**Notes:**
The Compliance Review is part of an FMCSA initiative to help determine if the carriers comply with applicable safety regulations and conduct safe operations. 

## 
The Compliance Review is one of the two main components of FMCSA safety 
     monitoring system.

The other is roadside performance monitoring.

- The Compliance Review is one of the two main components of FMCSA safety
-      monitoring system.
- The other is roadside performance monitoring.

**Notes:**
The Compliance Review is one of the two main components of the FMCSA’s safety monitoring system.  The other component is roadside performance monitoring. 

## FMCSA Web site: 
     http://www.fmcsa.dot.gov

FMCSA Spanish Web site: http://www.fmcsa.dot.gov/español

- FMCSA Web site:
-      http://www.fmcsa.dot.gov
- FMCSA Spanish Web site: http://www.fmcsa.dot.gov/español