As the industry is starting to get busy again, the Federal Motor Carrier Safety Administration’s compliance reviews and inspections are picking up. But they are different than they were pre-pandemic.
There now are off-site inspections that use an “on-site remote” process for compliance reviews. That process requires a more extensive review of files that must be uploaded to FMCSA, which can be challenging for busy companies.
“They are a little more comprehensive,” said Ken Presley, Legislative & Regulatory Affairs & Industry Relations/COO, who has been fielding calls from UMA Members with questions about the changes.
To answer those questions, UMA invited FMCSA’s Danielle Smith to join a recent Town Hall to give tips on how motorcoach operators can better prepare for the new process, put in place in 2020.
While those changes were implemented because of travel restrictions, many of them are likely to stick around, explained Smith, a transportation specialist in FMCSA’s Passenger Carrier Safety Division
“We decided that most of these investigations could be conducted remotely … (and) that worked out really well. And I think you’re going to see that although some of those restrictions have been lifted and we’re returning to your places of business, so much worked really well that you’re going to see a lot of that continue,” Smith said.
FMCSA off-site audits increased by 400% in 2020 and were expected to double in 2021, according to an analysis by Brandon Wiseman of Trucksafe Consulting.
Mixing virtual, on-site
The new process is a hybrid, involving both virtual meetings with operators and inspectors and company visits by vehicle inspectors. While many investigations can be conducted remotely, some are required to be on-site. Either way, most carriers will submit initial documents online.
On-site audits historically have reviewed a company’s records related to insurance, driver qualification, hours of service and drug/alcohol testing. The audits, depending on the size of the company, could stretch into weeks, often resulting in the issuance of one of three safety ratings: satisfactory, conditional, or unsatisfactory.
Off-site investigations generally are used for motor carriers with fewer safety issues. Fewer documents are requested, and carriers will not receive a safety rating. However, off-site investigations may be converted to on-site remote investigations under certain circumstances. Carriers with investigations that are converted to on-site may be issued a safety fitness rating.
Smith described an over of the investigation as following a 7-step process:
- The safety investigator will conduct an initial phone call with the carrier to introduce themselves and review the reason for the investigation and next steps.
- The safety investigator will email the carrier an Initial Contact Letter that will go over initial documents being requested.
- Carrier will upload the initial documents using the motor carrier’s portal. (NOTE: operators not familiar with utilizing their portal should not wait for a compliance review.)
- After the investigator receives the initial documents, they will likely request additional documents via a Document Request Letter.
- The inspector may contact the carrier via phone and/or email throughout the investigation.
- Once the investigator has completed the investigation, they will request a closeout meeting with the carrier, which can be done by phone, Microsoft Teams, Skype or other platform.
- Carrier may receive a safety rating upon completion of the remote “on-site“ investigation.
All CSA investigations now begin with a risk assessment, a simple intake process to collect documentation and data electronically. Safety investigators send letters requesting documentation to prioritized carriers.
Companies are required to upload documents using the new Safety Measurement System’s Carrier Dashboard. Safety Investigators review documents for specific safety compliance problems related to BASICs above threshold.
FMCSA divisional offices will help
For those who run into problems accessing their portal, one of the best resources is the FMCSA’s divisional offices in their states, according to Smith.
“The division office will have a transportation assistant or a program assistant that sits down with you and goes over that process and helps you get in if you have any problems,” she said.
When uploading the requested information, Smith cautioned operators to make sure their documents are organized.
“You don’t want an investigator to come back and say you didn’t send this or this is missing or use that supporting document … so the better organization that you can provide in your electronic files, the smoother your investigation is going to go,” Smith said.
Throughout the investigation, carriers and safety investigators review, track and communicate about the process. At the end of the investigations, carriers and safety investigators discuss process breakdowns, remedies and how to improve safety compliance.
During the Town Hall, Presley relayed one UMA member’s question about the extra time needed to upload documentation.
“It does seem like the volume and number of files that they look at electronically is pretty substantial, but that requires us to scan each and every one of those requests,” Presley said. “And sometimes we get caught at a very, very busy time. Are there any provisions for requesting additional time to get that stuff in?”
Smith recommended that operators contact the investigator to explain the situation.
UMA members can watch Smith’s entire Town Hall presentation here.
Related:
FMCSA launches Training Provider Registry to meet new standards
