Who is subject to FMCSA enforcement?

• All employers, employees, and drivers who operate CMVs must comply with the FMCSRs.
• The regulations are enforced by a combination of state, local, and federal agencies.

Compliance with the Federal Motor Carrier Safety Regulations (FMCSRs) is required of all employers, employees, and drivers operating commercial motor vehicles (CMVs). A “commercial motor vehicle” is any self-propelled or towed motor vehicle used on a highway in interstate commerce to transport passengers or property when the vehicle:

• Has a gross vehicle weight rating (GVWR), gross combination weight rating (GCWR), gross vehicle weight (GVW), or gross combination weight (GCW) of 10,001 pounds or more, whichever is greater; or
• Is designed or used to transport 9 or more passengers (including the driver) for compensation, or 16 or more passengers (including the driver) not for compensation; or
• Is used to transport hazardous materials in a quantity requiring placarding.

Intrastate operations

Carriers and drivers engaged in intrastate-only commerce (within the borders of a state) are not generally subject to the Federal Motor Carrier Safety Administration’s (FMCSA’s) jurisdiction or the monitoring and enforcement programs that apply to interstate operations (except in the case of drivers transporting placarded hazardous materials). Instead, these carriers and drivers are subject to state and local CMV laws and regulations, which are generally compatible with — but not always identical to — the FMCSRs. Some states, for example, exempt CMVs that weigh less than 26,001 pounds.

Who can enforce the FMCSRs?

To ensure that federal CMV safety regulations are enforced, the FMCSA relies on state and local transportation agencies, in addition to its own safety investigators stationed at FMCSA Field Offices in each state. Although any officer of the law can stop a truck or bus on the roadside and issue a citation, only certified officers and investigators can conduct official audits or investigations or conduct roadside inspections that result in compliance data being uploaded to FMCSA. Information on officer certification requirements can be found in Part 385, Subpart C.

The FMCSA helps pay for state and local CMV enforcement programs through the Motor Carrier Safety Assistance Program (MCSAP). To qualify for MCSAP funds, states must have and enforce CMV safety laws that are equivalent to and compatible with the FMCSRs. See:

• Part 350 for more information about MCSAP standards.
• Part 355 for more information about the standards for ensuring that state laws are “compatible” with the FMCSRs.

Roadside inspections

There are more than 3.5 million roadside inspections conducted annually by agents of the Federal Motor Carrier Safety Administration (FMCSA). These agents include FMCSA employees and state, county, and local law enforcement officers trained under the FMCSA’s Motor Carrier Safety Assistance Program (MCSAP). These inspectors have the authority to perform inspections of a driver and a motor carrier’s vehicles and intermodal equipment while in operation — being driven on a highway. A highway is any place to which the motoring public has unrestricted access. (396.9)

The inspection regulations also authorize these same agents to declare a vehicle out of service if continued operation of the vehicle is likely to cause an accident or breakdown due to a safety-related defect or deficiency.

A roadside inspection begins with the officer selecting the driver or vehicle for the inspection and then choosing a location. Common reasons drivers and vehicles are selected include:

• A visible violation
• A driving violation
• A high Inspection Selection System (ISS) score
• Involvement in an accident
• Random selection

Let’s look at each of these reasons for selection:

A visible violation — A trained roadside inspection officer evaluates a vehicle by looking at it. If a visible violation is seen, the officer is likely to select the vehicle for inspection. Examples of violations that will trigger an officer’s interest include a light not functioning, missing conspicuity tape or reflectors, a flat or otherwise visibly defective tire, improper cargo securement or loose securement devices, a missing or unreadable company name or DOT number, and a damaged or overly tinted window or windshield.

A driving violation — Many officers who conduct roadside inspections also conduct patrols and will pull commercial vehicles over for traffic violations. In these scenarios, the officer will conduct, at a minimum, a driver-only inspection. Examples of traffic violations that can lead to a roadside inspection include speeding, failing to obey a traffic control device, following too close, illegal parking, and improper lane use or lane change.

A high ISS score — Officers use an electronic system called the Inspection Selection System (ISS) to help locate poor-performing carriers for inspection. ISS uses a carrier’s Compliance, Safety, Accountability (CSA) BASIC scores to generate a score (from 0 to 100) and a recommendation based on that score.

The three recommendations are Pass, Optional, or Inspect. If the carrier has any BASIC scores over the CSA threshold, the carrier will receive, at best, an Optional recommendation. If the carrier has multiple BASICs over the threshold, the carrier will likely have an Inspect recommendation. A carrier typically has an Inspect recommendation if FMCSA has little or no data on the company.

Involvement in an accident — In most jurisdictions, any time a commercial vehicle is involved in a crash that meets specific criteria, the driver and vehicle must be inspected. In the case of a severe accident where the driver is not available or the inspection is done later, a vehicle-only inspection will be done.

Random selection — In some situations, the inspection facility will select vehicles randomly for inspection. This can also happen if the road officer or the officer at the fixed facility (scale or inspection area) has not seen a vehicle with a violation for a while.

Enforcement tools

• The CSA program is the DOT’s primary tool for identifying high-risk carriers and prioritizing them for enforcement.
• There are a variety of enforcement tools the DOT utilizes to determine if a driver or carrier is out of compliance, including inspections, audits, and investigations.

The Federal Motor Carrier Safety Administration (FMCSA) and its state partners have a variety of enforcement tools at their disposal. Key among them are:

• Roadside inspections of CMVs in operation, and
• Audits and investigations performed either off-site or at the business locations of those subject to the Federal Motor Carrier Safety Regulations (FMCSRs) (including motor carriers, intermodal equipment providers, etc.).

How are drivers and carriers chosen for enforcement?

Because the Department of Transportation (DOT) does not have enough resources to examine every commercial motor vehicle (CMV) or motor carrier in operation, they must prioritize their investigations. The primary means used to prioritize enforcement is the Compliance, Safety, Accountability (CSA) program, which uses a variety of data from roadside inspections, investigations, and crashes to identify the carriers and drivers who have the most compliance problems.

Motor carriers and drivers may also be prioritized for enforcement if:

• Violations are observed on the road,
• There’s a significant crash, or
• There’s a valid complaint about a driver or carrier (from a member of the public, from a driver, from an enforcement official, etc.).

Enforcement tools

Once a driver, motor carrier, or other entity is targeted for enforcement, the DOT must decide which type of enforcement tool is appropriate. These tools include the following:

• Roadside inspections occurring on the roadside, at fixed or portable scales, waysides, ports of entry, rest areas, or other locations along the nation’s roadways.
• Safety audits, which entail examination of a motor carrier’s operations to provide educational and technical assistance on safety and the operational requirements of the FMCSRs and applicable Hazardous Materials Regulations (HMRs). Safety audits are also used to gather critical safety data needed to assess the carrier’s safety performance and basic safety management controls. Safety audits do not result in safety ratings.
• Warning letters sent to drivers or motor carriers, alerting them to a non-compliance issue and pointing them to resources that can help them get back on track.
• Targeted roadside inspections that focus on a specific problem area, such as hours of service. Motor carriers that suddenly feel “picked on” due to an increase in roadside inspections may be the subject of a targeted roadside inspection effort.
• Off-site investigations performed at the DOT’s offices instead of at the carrier’s business location. These types of audits involve the carrier sending compliance documentation (such as driver files or hours-of-service records) to the DOT electronically for auditing.
• Focused on-site investigations at a motor carrier’s location, geared toward a specific problem area such as driver qualification or vehicle compliance.
• Roadability reviews, which are audits of intermodal equipment providers (IEPs) to verify compliance with applicable FMCSRs.
• Comprehensive investigations, also known as compliance reviews. These are usually multi-day audits that result in a safety rating for the motor carrier. They may be conducted on-site or off-site.
• Cooperative safety plans are an option if an investigation reveals safety problems which the motor carrier expresses a willingness to fix. These are structured improvement plans developed and implemented voluntarily by motor carriers to address safety problems, often used as a “last resort” before the carrier is fined. When it agrees to a cooperative safety plan, the FMCSA will monitor the motor carrier’s safety performance and resort to other penalties or enforcement actions if the carrier’s performance does not improve.
• Notices of violation, which are formal written notices informing motor carriers that they are non-compliant and must take immediate corrective action or face a fine or other penalty. After receiving such a notice, the driver or motor carrier would have to provide evidence of corrective action or could try to challenge the identified safety violations.
• Notices of claim, which are formal written notices that assess a monetary penalty (fine) for violations.
• Settlement agreements, whose purpose is to contractually bind the motor carrier to take actions to improve safety. The motor carrier is given the opportunity to enter into the settlement agreement to avoid fines or suspension of operations. The settlement agreement identifies the consequences to the motor carrier if it does not take the agreed-upon action and return to compliance. The agreement would allow the carrier to avoid significant penalties by committing to major safety improvements, for example, with the understanding that failure to comply with the terms of the settlement agreement would result in the immediate imposition of the maximum penalty that would otherwise have been levied.
• Out-of-service orders that instruct a carrier or driver to stop all CMV operations immediately. These are generally issued only after a comprehensive audit or when an imminent hazard is identified.

Note also that state licensing agencies have tools at their disposal to remove driving privileges from individual drivers who have been convicted of certain violations. Refer to Commercial drivers’ licenses and Driver qualifications.

Compliance reviews

• The FMCSA conducts CRs to assess carriers’ safety management controls.

A compliance review is an in-depth examination of a motor carrier’s operations to determine whether the carrier meets the Federal Motor Carrier Safety Administration’s (FMCSA’s) safety fitness standard as described in 385.5. Those that meet the standard are granted a “satisfactory” safety rating. Safety ratings are only issued after a compliance review, not after other types of enforcement actions.

To meet the safety fitness standard, a motor carrier must demonstrate it has adequate “safety management controls” in place, which function effectively to ensure acceptable compliance with the Federal Motor Carrier Safety Regulations. Safety management controls are the systems, policies, programs, practices, and procedures used by a motor carrier to ensure compliance with applicable safety and hazardous materials regulations, which ensure the safe movement of products and passengers through the transportation system, and to reduce the risk of highway accidents and hazardous materials incidents resulting in fatalities, injuries, and property damage. (385.3) The Federal Motor Carrier Safety Regulations (FMCSRs) do not generally specify which safety management controls a carrier must have in place for each compliance topic. Rather, the FMCSA leaves it up to each motor carrier to decide which controls are best to achieve the goal at hand.

Compliance reviews are used:

1. To rate unrated motor carriers,
2. To conduct a follow-up investigation on motor carriers rated unsatisfactory or conditional as a result of a previous review,
3. To investigate legitimate (non-frivolous) complaints,
4. In response to a request by a motor carrier to reevaluate its safety rating, or
5. To assess motor carriers deemed to be high risk.

Motor carriers are usually given at least 48 hours advance notice before a compliance review, not including weekends or federal holidays. In that 48-hour time frame, the carrier is expected to produce all documentation requested by the FMCSA. (390.29) Records that need to be produced include:

• Proof of financial responsibility,
• Driver qualification files (including all required forms),
• Drug and alcohol testing records (if applicable),
• Records of duty status (logs) and supporting documents,
• Driver vehicle inspection reports and maintenance records,
• Hazardous materials records (if applicable), and
• An accident register and copies of all required accident reports.

Auditors will also review roadside inspection results and other data already accessible to the FMCSA.

The compliance review and safety rating process is governed under Part 385. Carriers that are not domiciled in North America but that intend to operate in the United States should refer to Part 385, Subparts H and I.

Safety Management Cycle

• The Safety Management Cycle is a six-component process improvement tool used by the FMCSA to analyze a carrier’s safety and compliance program and help address noncompliance issues.
• The Cycle is made up of six SMPs that signify key components of a carrier’s safety plan.
• The six SMPs are policies and procedures, roles and responsibilities, qualification and hiring, training and communication, monitoring and tracking, and meaningful action.

The Federal Motor Carrier Safety Administration (FMCSA) describes the Safety Management Cycle as the “signature tool” of its investigative process. Fortunately, this tool is publicly available for use by motor carriers looking to address their safety and compliance issues and improve their Compliance, Safety, Accountability (CSA) scores.

Like other process improvement tools, the Safety Management Cycle is applied as a step-by-step process to determine why safety and compliance issues are occurring. The tool also provides a framework for brainstorming remedies, choosing solutions, and designing and implementing plans to improve a carrier’s safety operations.

The Safety Management Cycle can be broken down into six components, known as “Safety Management Processes” (SMPs), as shown below. The six arrows identify key components of a carrier’s safety program where problems may arise. All six “spokes” in the diagram must be working effectively in order for a motor carrier’s safety efforts to succeed.

The SMPs are:

• Policies and procedures define the “what” and “how” of a motor carrier’s operations. Policies establish the guidelines for how motor carriers and their employees behave in a given situation; procedures explain how to accomplish these policies. The other five SMPs focus on how to implement these policies and procedures.
• Roles and responsibilities define what each employee should do to implement policies and procedures.
• Qualifications and hiring covers finding and qualifying people for the defined roles and responsibilities.
• Training and communication of a motor carrier’s policies, procedures, roles, and responsibilities, so that every employee understands the expectations and has the skills and knowledge to perform their assigned functions.
• Monitoring and tracking of employee performance, which enables companies to be aware of their employees’ safety performance and compliance with its policies and procedures and how they execute their roles and responsibilities. Monitoring involves looking at the performance of the operation, while tracking is assessing the data collected, leading to meaningful action.
• Meaningful action gives motor carriers the tools to correct or improve employee behavior, including, for example, refresher training and positive reinforcement such as rewards or bonuses, in order to improve the motor carrier’s overall safety performance.

When an FMCSA investigator looks at a motor carrier’s compliance efforts, the investigator will use the Safety Management Cycle to locate and point out specific areas of noncompliance. When problems are found during an audit, the auditor will want to see the company’s policies and procedures, the assigned roles and responsibilities, and the company’s hiring, qualification, and training practices. The auditor will then want to know how the carrier is tracking and monitoring compliance and will check if there has been meaningful action taken to address the problems.

The FMCSA traditionally leaves it up to the motor carrier to decide the details on implementing safety management controls that best fit its operations. The FMCSA only verifies that the company has some type of controls in place and the carrier is operating safely and compliantly.

If the company were not operating compliantly and safely, as proven by roadside inspection data or the results of an investigation, the FMCSA would likely decide that the company does not have adequate safety management controls in place.

The Safety Management Cycle uses this abstract idea of having controls in place and offers motor carriers — and enforcement personnel — a more concrete, step-by-step guide for implementing a solution. When a carrier performs a self-audit or undergoes an investigation of its records by the FMCSA, the root cause of a safety or compliance problem will fall within one or more of the six SMPs and can be addressed.

FMCSA administrative enforcement proceedings

• A carrier, if found to be noncompliant, might be subject to an administrative judgment within the FMCSA such as a Notice of Violation or a Notice of Claim.

Like other federal agencies, the Federal Motor Carrier Safety Administration (FMCSA) has a process in place for administrative proceedings. These are non-judicial proceedings within the agency, used to:

• Determine whether a motor carrier, intermodal equipment provider, driver, property broker, freight forwarder, or any other entity subject to the FMCSA’s jurisdiction has failed to comply with agency regulations or their underlying statutes; and
• Issue an appropriate order to compel compliance with the statute or regulation, assess a civil penalty, or both, if such violations are found.

Administrative proceedings are regulated under Part 386. These regulations include important information for motor carriers to be aware of should they become subject to enforcement actions, particularly a Notice of Violation, a Notice of Claim, an out-of-service order, or other serious disciplinary actions. In addition, Part 386 governs the proceedings for resolving conflicts in the driver medical examination process under 391.47.

A Notice of Violation is a formal written notice alleging violations of the Federal Motor Carrier Safety Regulations (FMCSRs), Hazardous Materials Regulations (HMRs), or FMCSA commercial regulations (FMCCRs). A Notice of Violation is used when the FMCSA wants to give the recipient a chance to correct the violations, rather than simply issuing a fine.

A Notice of Claim is a formal written notice that the FMCSA is assessing a civil penalty (fine) for violations of the FMCSRs, HMRs, and/or FMCCRs.

In general, when a motor carrier or other entity receives notice that it is the subject of, or is otherwise involved in, an administrative proceeding, the notice will include instructions and deadlines concerning how the carrier may respond or otherwise be involved in the process (e.g., by paying a penalty, appearing for a hearing, correcting violations, contesting a penalty, etc.). (Part 386)

If a carrier becomes involved in an administrative proceeding, they should be aware of the deadlines. For example, after receiving a Notice of Claim, the carrier has 30 days to either pay the penalty, contest the alleged violations, or seek binding arbitration to dispute the amount of the penalty. Failing to meet that deadline could result in a default judgment and order to pay the full penalty amount.

Penalties and fines

• Violations of the FMCSRs and HMRs can result in civil penalties and fines from the FMCSA.
• The penalty amount is based on several factors such as the nature and gravity of the violation.

The Federal Motor Carrier Safety Administration (FMCSA) is authorized to levy fines and penalties against motor carriers, drivers, and other entities who violate the Federal Motor Carrier Safety Regulations (FMCSRs), Hazardous Materials Regulations (HMRs), or FMCSA commercial regulations. These are known as “civil” penalties and are regulated under Part 386 and its appendices.

A civil penalty is a monetary fine imposed by a government agency as compensation for violations. A civil penalty is not the same as a criminal punishment because it cannot carry jail time or other legal penalties.

Fines and penalties issued to drivers after roadside inspections do not fall under FMCSA jurisdiction. Such fines are levied based on state law and there is no uniform fine schedule across states.

How are civil penalties determined?

The regulations in Part 386 generally list the maximum civil penalties that may be levied for various violations, although in some cases they also contain a minimum amount as well. These amounts are established by Congress in the statutes that grant enforcement powers to the FMCSA.

The actual civil penalties that get assessed against a motor carrier, driver, or other entity may depend on a variety of factors, including:

• The nature of the violations,
• The gravity of the violations*,
• The violator’s degree of culpability,
• The violator’s history of prior offenses,
• The effect on the violator’s ability to continue to do business, and
• Other factors “as justice and public safety may require.”

*In the case of drivers who exceed the driving-time limit by more than three hours (called an “egregious” violation), the gravity will be deemed high enough to deserve maximum penalties.

In addition to these, certain civil penalties concerning household goods are also based on the degree of harm caused to a shipper and whether the shipper was adequately compensated before the civil penalty was assessed.

Note that “ability to pay” is not taken into account except in the case of violations of insurance requirements under Part 387.

What if a fine goes unpaid?

A commercial motor vehicle owner or operator who fails to pay a civil penalty in full within 90 days after the deadline specified in a final order from the FMCSA is prohibited from operating in interstate commerce starting on the 91st day. Similarly, a broker, freight forwarder, for-hire motor carrier, foreign motor carrier, or foreign motor private carrier that fails to meet that 90-day deadline will have its registration suspended. (386.83 and 386.84)

The following tables summarize the civil penalty amounts found in Part 386.

Inspection process: Overview

• Inspections by state troopers and other enforcement officers may include an inspection of the driver’s credentials and condition, a “walk-around” vehicle inspection, or a complete inspection of all vehicle components.
• “Special” inspections may be done as part of a national, regional, or local “crack-down” on specific problems such as deficient brakes.
• “Vehicle only” inspections are usually done at a carrier’s facility as part of an investigation or audit, or on the road after an accident where the driver was injured and is unavailable.

The inspections are generally performed by state troopers or motor carrier enforcement officers who work for the states or local law enforcement agencies. There are a variety of inspections the officers will perform on a driver and/or vehicle. These include:

• An inspection of the driver, which includes checking the driver’s credentials and condition.
• A “walk-around” inspection of the vehicle (not to be confused with a driver’s pretrip walk-around inspection) and a check of the driver’s credentials and condition.
• A complete inspection of all vehicle components and the driver’s credentials and condition.
• “Special” inspections — These are either done as part of a larger program to verify or refute specific trends at the national level or as part of a local or regional “crack-down” on specific problems. A brake-only inspection would be an example of a special inspection.
• “Vehicle only” inspections — These are normally done either at a carrier’s facility as part of an investigation or audit, or on the road in situations where the driver is not available. An example of this would be an inspection following a crash where the driver was injured.

Roadside inspections are conducted at scales, inspection sites, or literally on the roadside to determine if drivers and vehicles are following the regulations. The inspector is verifying that the vehicle meets the requirements established in Part 393. If the driver or vehicle is in a condition that could be deemed unsafe (likely to cause an accident or breakdown) the driver and/or vehicle can be placed out of service.

Driver inspection process

• When an officer approaches a driver in a vehicle, the officer will be observing the driver and making note of any suspicious behavior.
• During the interview, the officer will prepare the driver for the inspection by giving basic instructions.
• The officer’s observations of the driver and additional information gained by questioning the driver may lead to a fatigue assessment, field sobriety test, examination by an officer trained in drug recognition, a drug or alcohol test, or an arrest.

When approaching a vehicle, an officer will be looking at the general condition of the vehicle and observing the driver (either directly or through the mirrors). If additional vehicle issues become apparent during the approach to the driver, the officer will mentally note them. The more mechanical problems that are seen, the more likely the officer will do a full inspection, rather than a driver-only inspection.

Also, several behaviors will make the officer suspicious of the driver, including:

• Fidgeting excessively,
• Trying to rearrange items in the cab,
• Reaching for something that is out of sight, or
• Trying to stay out of sight of the officer.

How the officer approaches the driver will be affected by any suspicious behavior by the driver as well as the officer’s concern for personal safety.

If there’s suspicious behavior, the officer’s suspicion will continue all the way through the inspection. The officer will try to discover what the driver was trying to hide or change, or the reason for the driver’s unusual actions or anxiety.

When reaching the driver, the officer will greet the driver and begin the interview. To put the driver at ease, many officers attempt to develop a rapport with the driver during this part of the inspection. The officer may ask some general “small-talk questions.” Common questions include:

• What is your name?
• Who do you work for?
• What are you hauling?
• Where are you coming from and where are you going?
• Where and when did you start your day today?
• How many days have you been out?
• What problems have you encountered lately?

The information gathered during this discussion will be compared to other information captured later in the inspection. During the interview, the officer will prepare the driver for the inspection by giving basic instructions. During this time, the officer is also determining if the driver may be impaired by illness, fatigue, drugs, or alcohol. If the driver appears to be impaired, the next step for the officer is to determine the exact problem. Depending on the officer’s initial findings, this could result in:

• A fatigue assessment;
• A field sobriety test;
• An examination by an officer trained in drug recognition (all officers are trained to recognize general signs of drug use, but certain officers have additional training and can determine what class of drugs is involved); or
• An arrest and drug or alcohol test.

Vehicle inspection process

• The officer will prepare the driver for a vehicle inspection by providing necessary safety information and instructions.
• If the driver does not pay attention to or obey the inspection instructions, the officer or driver could be injured during the inspection, or the officer may see a vehicle defect that is not actually a defect.

If the officer is going to conduct a vehicle inspection, the first step will be preparing the driver for the vehicle portion of the inspection. This involves the officer providing the driver with the necessary safety information and instructions. Common statements the officer may make to the driver include:

• “Your wheels will be chocked until I tell you otherwise, so do not try to move the vehicle or worry about it moving when the brakes are released.”
• “Do not operate any controls unless I ask you.”
• “When I am checking your lights, I will use the following hand signals to indicate which lights I want turned on.”

There will be other instructions as the inspection progresses. It is critical that the driver pay attention to the officer’s instructions. If the driver does not, the officer or driver could be injured, or the officer may see a vehicle defect that is not actually a defect. For example, if the driver does not turn on a light when requested, it could lead an officer to believe it’s not working.

Completion of the inspection

• The inspection report will be given to the driver and another copy sent to the FMCSA.
• A vehicle that is issued an out-or-service order may not be driven and must be repaired at the location of the inspection or towed to a repair facility.
• If the driver can do the repair(s), the carrier should have the driver document the repair(s) and have the inspecting officer sign off on the inspection report before the vehicle leaves the inspection site.

Generally, when a driver undergoes a roadside inspection, the inspecting officer will complete an inspection report known as an ASPEN report or Form MCS-63, Driver Equipment Compliance Check.

Upon completion of the inspection, one copy of the report is presented to the driver and another is sent to the Federal Motor Carrier Safety Administration (FMCSA) and placed on file.

If the vehicle is placed out of service, the vehicle cannot be operated on the highway until it is back into compliance. The officer issuing the out-of-service order will normally review the vehicle before lifting the out-of-service order to assure compliance has been met. If the driver is placed out of service, the driver may not operate any commercial vehicle until back in compliance.

An out-of-service vehicle cannot be driven to a repair facility. Instead, a road service will need to go to the location of the inspection to make the necessary repairs to the vehicle. The only other option is to have the vehicle towed to a repair facility by a vehicle that is designed to tow other vehicles and is equipped with a crane or hoist.

In some cases, the driver may be able to perform the repairs. If so, the carrier should have the driver document the repairs and have the inspecting officer sign off on the inspection report before the vehicle leaves the inspection site.

In cases where violations are noted on the inspection form, but the driver or equipment were not placed out of service, corrective action must be taken as soon as possible, but the vehicle can be operated by the driver.

Operating an out-of-service vehicle is a serious violation

If an out-of-service driver operates a commercial motor vehicle, or a vehicle that is out of service is moved before it is repaired, it is considered a violation of an out-of-service order, which is a very serious violation.

Fines for violating an out-of-service order range from $3,230 to $6,460 for drivers, and $5,833 to $32,297 for employers and equipment providers, and can lead to a driver being disqualified. Drivers should not operate the vehicle until the repairs are completed and the carrier has documentation proving that the repairs were done!

DataQs: Challenging driver/vehicle inspection violations

• If a carrier receives a Driver Vehicle Examination Report and feels the report is incomplete or the information in it is incorrect, it can submit a challenge through DataQs.
• DataQs is the online system for drivers, motor carriers, federal and state agencies, the public, and industry to file concerns about federal and state data maintained in the MCMIS and released to the public by FMCSA.

The DataQs system is an electronic system for filing challenges, formally called Requests for Data Review or RDRs, to data maintained by the Federal Motor Carrier Safety Administration (FMCSA) in the Motor Carrier Management Information System (MCMIS). This database has all roadside inspection reports, DOT-recordable crash reports, and the results of any investigations in it. Many of these reports are provided to FMCSA by the states, as state officers typically conduct roadside inspections and complete crash reports. This data in turn feeds into all the FMCSA’s data systems and carrier scoring systems, including the Safety Measurement System (SMS) in the Compliance, Safety, Accountability (CSA) program.

DataQs can be used by drivers, motor carriers, federal and state agencies, the public, and industry to file concerns about federal and state data maintained in the MCMIS.

Once a driver, motor carrier, or other interested party submits an RDR to DataQs, the system automatically directs the challenge to the correct office and allows FMCSA to have visibility to the challenges that are being filed.

Why would a carrier need to challenge some of the data?

Here are common reasons:

• The event (roadside inspection or crash) involved another carrier.
• The carrier is missing a roadside inspection in its data (i.e., it has the report, but it is not showing up in the carrier’s data in FMCSA’s data systems).
• The driver was not presented with a roadside inspection report, the driver did not submit the driver copy of the report to the carrier, or the report was lost.
• The officer made an error and wrote a violation that was not a violation.
• There is an accident in the carrier’s data that did not involve a vehicle operating under its DOT number or that was not a DOT-recordable accident (i.e., no fatality, no injury requiring immediate treatment away from the scene, and no vehicle towed due to disabling damage).

Verifying documents

• With regards to carrier credentials, the officer will check the carrier’s DOT number and UCR for the existence of an out-of-service order, for valid for-hire authority if acting as a for-hire carrier, and the correctness and validity of the vehicle’s required credentials.
• With regards to the driver, the officer will “run” the driver’s license to get an MVR, verify that the driver is medically qualified and is complying with any medical requirements (i.e., glasses or contact lenses), and verify that the driver has the proper exemption if the driver has a condition that is normally disqualifying (e.g., a skill performance evaluation certificate if the driver has an amputated limb).

During this part of the inspection, the officer is doing more than it appears. The officer is beginning to determine who the carrier is based on the driver’s interview and the documents provided (vehicle registration, driver’s log, shipment paperwork, etc.) and whether the vehicle might be transporting hazardous materials.

The officer will verify the various documents, as well as the carrier and driver qualifications. Related to the carrier itself, the officer will verify that:

• The carrier’s DOT number is current and not inactive,
• The carrier is not under an out-of-service order,
• The carrier’s Unified Carrier Registration (UCR) is current (if an interstate carrier),
• The carrier has valid for-hire authority if acting as a for-hire carrier, and
• The vehicle’s required credentials are correct and valid.

Related to the driver’s documents and qualifications, the officer will:

• “Run” the driver’s license to get a motor vehicle report (MVR) and verify that the license is current and valid. The officer will also note the class, endorsements, and restrictions on the license and compare this information to the vehicle the driver is operating. To determine if a commercial driver’s license (CDL) is required, the officer may check the vehicle’s weight rating.
• Verify the driver is medically qualified. If the driver is a CDL driver, this will involve verifying that the medical information listed on the driver’s MVR is current. If the driver is a non-CDL driver, this will involve checking the driver’s medical card. The officer will look over the medical card line-by-line to make sure it is correct and not fraudulent.
• Verify that the driver is complying with any medical terms listed on either the license or the medical card. As an example, if either one says the driver is required to use corrective lenses, the officer will verify the driver is wearing either glasses or contacts.
• Verify that the driver has the necessary exemption if the driver has a condition that is normally disqualifying. The officer may ask the driver for skills performance evaluation paperwork if the driver has an amputated limb.

Duty status records

• A driver inspection includes an officer’s examination of a driver’s records of duty status, or logs, including supporting documentation.
• An officer’s inspection of a driver’s electronic or paper logs includes a review of whether the correct type of log (electronic or paper) was used, missing information or entries, incidents of driving past a time limit, and falsification.

This part of the inspection has traditionally been the longest part of the driver portion. This involves the officer requesting the driver’s records of duty status, or logs, along with any supporting documents the driver has, such as bills of lading, shipment paperwork, and toll or fuel receipts. The officer will closely examine the logs for the current and previous seven days, looking for:

• The use of the correct type of log (electronic or paper),
• Missing information or entries,
• Incidents of operating past a limit, and
• Falsification.

How this will be done depends on the specific type of log the driver is using: an electronic logging device (ELD), paper logs, or exempt time records.

ELDs: Displaying or transferring data

• The inspecting officer must verify that an ELD is on the FMCSA registry, is connected to the vehicle, and that it can receive the required vehicle data.
• Once the officer verifies that the ELD is registered and functioning, the officer will ask to see the ELD display (or printout) and/or ask that the log data be transferred to the officer.
• If the ELD data cannot be either displayed or transferred, the officer will place the driver out of service for 10 hours.

Electronic logging device (ELD) use is required of commercial drivers who must prepare hours-of-service (HOS) records of duty status. The rule applies to commercial buses as well as trucks, and to Canada- and Mexico-domiciled drivers. There are limited exceptions to the ELD mandate, such as drivers of vehicles manufactured before 2000. (395.8(a))

If the driver is using an ELD, the officer will first determine if the device meets the standards dictated in the regulations. This will involve verifying that the ELD is on the Federal Motor Carrier Safety Administration’s (FMCSA’s) ELD registry and that it is connected to the vehicle in such a way that it can receive the required vehicle data. Once the officer verifies the device is an ELD, the officer will ask the driver to:

• Show them the display or printout, and/or
• Transfer the log data.

The sequence for displaying logs is as follows:

• The officer asks for the logs to be displayed on the ELD or printed if the device does not have a display.
• The driver puts the device into the roadside inspection mode, so the data is visible to the officer.
• The driver provides the device and the device’s user manual to the officer, or displays the requested data if the officer does not want to handle the device.

The sequence for transferring data is as follows:

• The driver tells the officer which overall transfer method the device uses, either telematic or local.
• The officer selects the specific transfer method — webservice or email for telematic, or USB or Bluetooth for local.
• The officer provides the driver with any necessary transfer information or comments to be added to the file.
• The driver uses the roadside transfer mechanism to accomplish the transfer according to the requested transfer method.
• The officer receives the log data by retrieving it from the FMCSA server in the case of a telematic transfer or directly in the case of a local transfer.

The driver must be able to present the display in roadside inspection mode for the officer, as well as transfer data to the officer. If the driver can only do one or the other, the officer will issue a violation. If the driver cannot do either, the officer will place the driver out of service for 10 hours for not having a log. Once the officer has access to the ELD display or the data, the officer will check the header information and underlying data for missing information, which could include:

• Entries the driver missed (shipment numbers or trailer numbers);
• Driver, carrier, or vehicle information that is required to be in the header section of the log/data (the officer will also compare the driver’s name and license number in the ELD data to the license the driver provided); and
• Location, mileage, or engine-hour entries that should have been captured automatically.

ELD: Missing data and HOS violations

• Missing data may indicate driver error (such as a missed entry) or it might indicate a larger issue, such as driving with the ELD disconnected.
• The officer will use a software-based auditing tool to look for HOS violations.

If an officer finds missing data, it might indicate a form and manner error (the driver missed an entry) or a larger issue. A larger issue could include a driver who drove with the electronic logging device (ELD) disconnected. This would result in missing data and a “jump” in location, mileage, and engine hours. If the driver did this repeatedly, there will be repeated incidents of missing data and jumps in location, mileage, and engine hours.

The officer will also look for violations of the hours-of-service (HOS) limits. Using the display method, the officer will manually count the hours and minutes on each duty line between the 8- or 10-hour breaks. If the officer receives the data from the driver, the officer’s computer will compare the driver’s hours to the basic limits and point out any incidents where a limit was exceeded.

In either case, if a limit was exceeded, the officer will look for a comment explaining the excess hours. If a comment is present, the officer will question the driver as to the situation that led to the extra hours and the comment. If the comment is present and the situation meets one of the exceptions or exemptions that allows a driver to exceed a limit, the officer will not write a violation. However, if the driver exceeded a limit and there is no comment, or if the driver’s explanation is not adequate, the driver will receive a violation for driving when out of hours.

ELD: Falsification violations

• If unassigned driving time is found in the ELD data, the officer must determine if it was purposefully created.
• If an officer decides the use of yard move or personal conveyance was improper, the driver will be cited for having a false log.
• If edits are found in the log, the officer must determine if each edit was the result of an error or if the edit was an attempt by the driver to hide on-duty time.

The officer will be looking for falsification violations in the electronic logging device (ELD) data. To detect this, the officer will closely examine:

• Any unassigned driving time on the device,
• The use of either of the special driving categories,
• Any edits to the data, and
• The driver’s use of on-duty time.

Unassigned driving time

The officer will see unassigned driving time in the data (there is a “flag” that specifically points this out to the officer). The officer will look at the circumstances and question the driver about it.

One of the most common methods drivers use to falsify an electronic log is to log out and drive, creating the unassigned driving time. If the officer discovers the time belongs to the driver, but the driver did not accept it as part of the day’s login process, the officer will cite the driver for not accepting it.

Next, the officer must determine if the driver purposefully created a false log to operate in excess of a limit. This is not hard to see. A few clear examples of a false log are if the driver:

• Drove right to a limit, then logged out and continued to drive;
• Logged in late, and when the unassigned driving time is added back into the driver’s log as actual driving time, the 8- or 10-hour break is no longer long enough; or
• Logged in late, and then worked right up to a limit (the driver is well over hours when the unassigned driving is assigned).

Special driving categories

The issue with misusing the special driving categories — yard movement and personal use — is that either one keeps driving time off the driving line, creating a false log. To determine if the use of the special driving category was correct or if an attempt was made to falsify the log, the officer will review any supporting documents the driver has, refer to maps, and question the driver.

For a yard move, which is defined as driving in an area that the public is not allowed to drive in due to signs or gates, this involves the officer verifying the driver was in a yard when the movement took place.

For personal conveyance, this involves the officer determining if:

• The company has a policy allowing the use of personal conveyance;
• The driver could be considered off duty at the time of the move;
• The driver was going to a purely personal destination; and
• There was no benefit to the company as a result of the move; OR
• The movement was made when the driver was out of hours and ordered to move by a shipper, receiver, or officer, and the driver moved to the nearest safe location and documented the situation on the ELD.

If the officer decides the use of yard move or personal conveyance was improper, the driver will be cited for having a false log.

Edits

When it comes to edits, the officer will investigate to determine if each edit was the result of an error or omission, or if the edit was an attempt by the driver (or the driver’s supervisor) to hide on-duty time. The edits that will draw special attention are the ones in which on-duty time was changed to off-duty time.

On-duty time

Finally, the officer will verify that the driver is logging on-duty activities as on-duty time. This is done by comparing supporting documents to the driver’s log and verifying that inspections, loading, unloading, cargo securement, fueling, and other on-duty activities were logged correctly.

ELD: Malfunctions

• An ELD malfunction must be legitimate and not claimed to falsely justify switching to paper logs.
• If an ELD malfunction occurred more than eight days earlier, the officer must ask for a copy of the FMCSA extension letter.
• If an ELD malfunction occurs, the driver must notify the carrier in writing within 24 hours, possess a copy of the carrier notification, and immediately reconstruct the previous seven days by using the device, obtaining printouts of previous days, and/or by using blank paper logs.

If the electronic logging device (ELD) has malfunctioned, the officer will inquire as to the nature of the malfunction to verify that it is a legitimate malfunction and not a situation where the driver was looking to justify switching to paper logs.

The officer will also ask when the malfunction occurred. If the malfunction occurred more than eight days ago, the officer will ask for a copy of the extension letter issued by the Federal Motor Carrier Safety Administration (FMCSA). The extension letter should be in the driver’s possession.

Finally, the officer will expect the driver to present some type of record for each of the required days. The records could be a combination of logs displayed on the device that were captured prior to the malfunction, printouts from the ELD, and/or paper logs.

To pass the inspection with a malfunction, the driver and carrier must follow the malfunction procedures dictated in the regulations. This involves the driver:

• Immediately notifying the company of the malfunction in writing, including the details of why the driver believes the device malfunctioned (the regulation requires notification within 24 hours, but it should be done as soon as possible);
• Possessing a copy of the company notification to show officers; and
• Immediately reconstructing the current and previous seven days using the device, getting printouts covering the previous days, or reconstructing the days using the blank paper logs.

During the roadside inspection, the driver is expected to present records covering the current and previous seven days upon demand. If the driver doesn’t have them prepared when requested, a violation will be written. Saying “I can have my company send them to me if you want to see them” will not satisfy the requirement.

If the carrier is not able to repair or replace the ELD within eight days, the carrier needs to take alternate action, including:

• As of the fifth day after the malfunction, apply to the local FMCSA office for an extension; or
• Assign the vehicle to a driver who is not required to use an ELD.

Once the malfunction is resolved, the driver will need to continue to carry the paper logs that were created during the malfunction for the next seven days. Both paper logs and the device will need to be presented to the officer if the driver undergoes a roadside inspection.

Once all the malfunction days are outside of the eight-day window, the driver can go back to simply presenting the device during a roadside inspection.

Paper logs

• If a driver is using paper logs because the vehicle is older than model year 2000, the officer will verify this by checking the vehicle’s VIN, which has the model year coded into it.
• If the driver is using a paper log when an ELD is required, the driver will be placed out of service for 10 hours, and then allowed to complete the current assignment once the paper log is up to date.
• If the driver is using an app on a cell phone, tablet, or laptop in place of a paper log, the officer will expect the driver to be able to print the logs during the inspection, if requested.

If the driver is using paper logs, the officer will ask the driver why he or she is using paper rather than electronic logs. The officer will listen closely to the driver’s answer and compare the answer to the list of exemptions. If the exemption is legitimate, the officer will verify the driver is qualified to use the exemption and is using it appropriately.

For example, if a driver states he or she can use a paper log because the vehicle is older than model year 2000, the officer will check the vehicle’s identification number (VIN) and verify it is older than model year 2000 (the model year is coded into the VIN). If the vehicle itself is not older than model year 2000, the officer will next check the engine age. If the engine is not older than model year 2000, the officer will cite the driver for not having the correct log.

If the driver is using a paper log when an electronic logging device (ELD) is required, the driver will be placed out of service for 10 hours, and then allowed to complete the current assignment once the paper log is up to date. Once the current assignment is complete, the carrier will need to either purchase and install an ELD on the road or return the vehicle to a company facility empty so an ELD can be installed.

If the driver is found to be using a paper log when an ELD is required during a future inspection, the officer will again place the driver out of service after verifying the driver is on a subsequent assignment.

If the officer verifies there is an exemption that allows the driver to use paper logs, the officer will then dig into the logs. In general, officers are very thorough when inspecting paper logs. They will:

• Make sure all required entries are on the log,
• Compare the log to all supporting documents to make sure it is accurate,
• Verify mileages from point-to-point on the log and for the day,
• Check that all required on-duty time is logged as on-duty time, and
• Verify the driver did not operate when over an hours-of-service limit.

If the driver is using an app on a cell phone, tablet, or laptop in place of a paper log, the sequence will be the same, with one critical difference. Once the officer determines the device is not an ELD, the officer will expect the driver to be able to print the logs during the inspection, if requested.

Time records

• Drivers not required to have an ELD or to log HOS on paper logs may be exempt under one of the short-haul exemptions, the exemption for agricultural operations, or the utility service vehicle exemption.

Drivers who are not required to have an electronic logging device (ELD) or log their hours of service on paper logs could be using one of the short-haul exemptions in 395.1(e) or some other exemption from the normal limits and logging requirements, such as the agricultural exemption or the utility service vehicle exemption in 395.1(k) and (n).

In these cases, the officer will question the driver to determine if the exemption is applicable. If everything is answered accurately, there is no violation. However, if the driver cannot answer the officer’s questions correctly or is incorrectly applying one of these exemptions, the driver will be cited for not having a log and placed out of service for 10 hours.

Driver Vehicle Inspection Reports

• Officers can request any DVIRs in the driver’s possession and will check them for unresolved vehicle issues and the correct completion of any DVIR noting a defect.
• The officer will look for three signatures on the DVIR; the driver who conducted the post-trip inspection and noted the defect, the carrier official who oversaw the repairs or decided the repair was not necessary, and the next driver to pre-trip the vehicle.

In the next step of the roadside inspection, the officer will ask the driver for a Driver Vehicle Inspection Report (DVIR). The regulations do not require the driver to carry previous DVIRs, but an officer can request any DVIRs in the driver’s possession. The officer will check for:

• Unresolved vehicle issues, such as defects noted that were not repaired; and
• Proper completion of any DVIR noting a defect.

If a DVIR indicated a defect and the defect has not been addressed, this could be an issue. If the driver and carrier have been knowingly operating the vehicle with a defect that affects the safety of the vehicle, the officer could write a violation with a significant fine.

If the driver noted a defect and it was addressed, the officer will expect to see three signatures on the DVIR, including that of:

• The driver who conducted the post-trip inspection and noted the defect on the DVIR,
• The carrier official who oversaw the repairs or decided the repair was not necessary, and
• The next driver to pre-trip the vehicle.

Officers are not surprised when the same driver’s name appears in all three spots. This is a common occurrence when the carrier operates assigned equipment, and the driver either oversaw or did the repairs.

Annual (periodic) inspection

• When an officer asks for proof of annual inspection, the driver must provide either a copy of the annual inspection report or point out the decal indicating the inspection was conducted.
• The officer will ask for and the driver must provide proof of annual inspection of each piece of equipment if the vehicle is a combination vehicle made up of a truck or tractor and a trailer or multiple trailers.

The final part of the driver portion of the inspection involves the officer verifying that the vehicle has a current annual inspection (called “periodic” in the regulations). If the vehicle is a combination vehicle made up of a truck or tractor and a trailer (or multiple trailers), the officer will ask for proof of annual inspection for each piece of equipment in the combination. The proof can be either:

• A copy of the annual inspection report, or
• A decal indicating when the inspection was conducted.

The driver is responsible for pointing out the decal when the officer asks for proof of annual inspection. It’s not the officer’s job to locate the decal if the carrier is using that option.

Once the report or decal is located, the officer will verify that the inspection took place within the last 12 months. When viewing the report, the officer will not write a violation until the month after the month the inspection is due. For example, if the annual inspection was due on May 2 based on the date of the last inspection, the officer will not write a violation until May 31 has passed.

If the driver cannot produce a copy of the annual inspection report or locate the decal for the officer, or if the report or decal indicates it has been more than 12 months since the last inspection, the officer will write a violation for no annual inspection.

Driver inspection recap

• If, after the driver inspection, driver violations are found, the officer will compare the violations to the North American Standard Out-of-Service Criteria, published by the CVSA, to decide if the driver should be allowed to continue to drive.
• Roughly five percent of driver inspections result in an out-of-service order.
• No violations are issued in approximately two-thirds of all driver inspections conducted.

If the officer is conducting only a driver inspection, the inspection ends with the annual inspection verification. The officer will document the driver, carrier, and vehicle inspected, and note any violations. If any violations were discovered, the officer will compare the violations to the North American Standard Out-of-Service Criteria, published by the Commercial Vehicle Safety Alliance (CVSA), to decide if the driver should be allowed to continue to drive. An out-of-service order could be issued if the driver:

• Has a driver’s license that has been suspended, revoked, downgraded, disqualified, etc.;
• Does not have the correct license for the vehicle being operated;
• Is found to be impaired by illness, fatigue, drugs, or alcohol;
• Cannot provide logs;
• Cannot provide a reasonable explanation for not having logs; or
• Is currently out of hours or has a false log.

The officer will provide the report to the driver once it is complete and discuss any violations that were discovered. If the driver is placed out of service, the officer will instruct the driver what must be done before the driver can operate a commercial motor vehicle again. Roughly five percent of driver inspections result in an out-of-service order.

If there were violations, but no out-of-service violations, the driver may continue driving, but the violations must be corrected as soon as possible.

The outcome every carrier wants is no violations issued, and that is the case in about two-thirds of all driver inspections conducted.

If the officer will be conducting a vehicle inspection as well, the officer simply rolls right into the vehicle portion of the inspection and will include the driver’s inspection results in the full inspection report.

The “walkaround”

• During the vehicle “walkaround,” the officer will inspect all vehicle components for function, damage, looseness, and excessive wear.
• The officer will verify that the cargo is secured against movement, which may involve breaking the seal of the trailer.

After providing the driver with the necessary preparatory information and instructions, the officer will conduct the “walkaround” portion of the vehicle inspection. This involves checking all the lights and all mechanical components that are visible without going under the vehicle.

The officer will work around the vehicle, starting at the front of the vehicle and then down the left side, across the rear, and up the right side. During this part of the inspection, the officer will be inspecting all of the components listed below for function, damage, looseness, excessive wear, and will be comparing the condition of these components to the requirements in Part 393 and Appendix A to Part 396:

• Windshield and side windows;
• Windshield wipers and washer system;
• All required lights;
• Visible air/brake lines;
• Cargo securement;
• Coupling devices;
• Exhaust system;
• Visible part of the frames;
• Fuel system;
• Visible suspension components; and
• The wheel assemblies, including the tires, rims, lugs, wheels, and hubs.

As far as cargo securement, the officer will verify that the cargo is secured against movement in accordance with the requirements in Subpart I of Part 393. For van-type units, this may involve breaking the seal (if one was used) and verifying the cargo is secured using the front and sidewalls of the trailer, and some type of rear securement. In the case of flatbed-type vehicles, this will involve verifying that there are enough securement devices to satisfy the requirements, that they are tight, and that they are not damaged.

In some cases, the officer may stop the inspection after the walkaround. If this happens, the officer will document the driver portion and any vehicle defects discovered.

The underside

• When inspecting engine components, the officer will check the air compressor (if the vehicle has air brakes, otherwise the brake master cylinder) for any fluid leaks.
• When checking steering components, the officer will look for damage, rubbing, non-factory holes or welds, and any loose components, connection points, or hardware.
• Officers might have a “pit” or “trench” that is used for the underside inspection, if located at a fixed inspection facility, otherwise the officer will use a “creeper” to go under the vehicle.

After the “walkaround,” if conducting a full vehicle inspection, the officer will inspect the underside of the vehicle. To get started, the driver will be asked to open the hood so the officer can check all the engine and steering axle components.

When checking the steering components, the officer will be looking for damage, rubbing, non-factory holes or welds, and any loose components, connection points, or hardware. When looking at the engine components, the officer will be looking at the air compressor (if the vehicle has air brakes, otherwise the brake master cylinder) and for any fluid leaks. If doing a complete vehicle inspection, the officer may check the brake adjustment on the steer-axle brakes at this point. Of course, if the vehicle does not have a conventional configuration, this step will be adjusted accordingly.

At some fixed facilities, the officers will have a “pit” or “trench” that can be used for this portion of the inspection. In other cases, the officer will be on a “creeper” under the vehicle. In all cases, the officer is looking at the following components to determine if any of them do not meet the standards in Part 393 or Appendix A:

• Brake components, including the lines, chambers, connecting hardware, linings/pads, drum/rotor, etc.;
• Brake adjustment using a two-step process, which involves marking the brake pushrods with the brakes released when inspecting other items under the vehicle, and then measuring movement when the brakes are applied on a second pass under the vehicle;
• Driveshaft(s) and driveline components;
• Lower exhaust components;
• Inside of the frame;
• Lower fuel system components; and
• Inside suspension components.

Brake system functions

• To inspect brake system function, the officer will check the tractor protection valve and trailer emergency brakes.
• The officer will also make sure that the ABS warning lights power up and go off, confirming that the warning lights and system are functioning, and verify that the visual low-air warning is functioning.
• If the officer hears multiple or serious air leaks, or there are questions about the air compressor’s condition, the officer will check that the air system can supply the vehicle.

Once the officer is done with the underside of the inspection, the next step will be checking the tractor protection valve and/or trailer emergency brakes. In an air brake vehicle, this involves having the driver disconnect the trailer air supply hose. The officer should hear the trailer spring brakes apply, and the tractor protection valve should close and stop the air loss from the tractor. The driver will then be asked to step on the brake pedal to verify the service side of the protection valve has closed.

The remaining items are checked in close quarters with the driver. The officer will ask the driver to turn the key on. As the vehicle is going through its key-on checks, the officer will verify that the antilock braking system (ABS) warning lights power up and go off, confirming that the warning lights and system are functioning normally. The officer will also verify that the visual low-air warning is functioning. If necessary, the officer will have the driver pump the brakes to lower the air pressure to make the low-pressure alarm activate.

If the officer has heard multiple or serious air leaks, or there are questions about the air compressor’s condition, the officer will check that the air system can supply the vehicle. This involves having the driver release the parking brakes and apply the service brakes with the engine running at idle. If the air system cannot keep up with the leakage, the vehicle will be placed out of service.

Steering wheel free play or ‘lash’ and coupler system play

• “Lash” or free play in the steering system must not exceed certain regulatory values based on steering wheel diameter.
• With the chocks removed and the brakes locked, officer will “wiggle” the truck or tractor against the trailer to measure free play in the coupling system.

As part of the vehicle inspection, the officer will measure the free play or “lash” in the steering wheel and play in the coupler system.

Steering wheel free play The officer will be positioned where the steering wheel movement can be measured while seeing the steer tire. With the engine on and the steering axle wheels in the straight-ahead position, the officer will have the driver turn the steering wheel in one direction until there is a perceptible movement of the steer tire. If a point on the steering wheel rim moves more than the values shown in 570.60 (based on steering wheel diameter) before perceptible movement of the steer wheel under observation occurs, there is excessive lash or free play in the steering system. If the steering wheel diameter is:

• 16 inches or less — 2 inches of lash is allowed.
• 18 inches or less — 2.25 inches of lash is allowed.
• 20 inches or less — 2.5 inches of lash is allowed.
• 22 inches or less — 2.75 inches of lash is allowed.

Coupler play

To measure the coupling system, the officer will remove the chocks, have the driver leave the trailer brakes locked, and “wiggle” the truck or tractor against the trailer to measure the free play in the coupling system. Part of this check includes verifying that the trailer brakes are capable of holding the trailer in place.

Vehicle inspection recap

• The officer will document the inspection on the vehicle inspection report and compare any vehicle violations with the NE OOSC.
• Violations resulting in an out-of-service order must be corrected at the inspection location or the vehicle will have to be towed to a repair facility.
• The driver will be given a copy of the inspection report and the officer will discuss any violations discovered and what must be done to prior to vehicle operation.

At this point, the officer will document the inspection. The driver, the carrier, and the vehicle information will be documented on the vehicle inspection report, and any violations discovered will also be recorded. If the inspection was a full driver and vehicle inspection, the officer will document the driver portion at this time as well.

As with the driver violations, the officer will compare any vehicle violations discovered to the North American (NE) Out-of-Service Criteria (OOSC). Any violations that result in an out-of-service order must be corrected before the vehicle leaves the inspection location. The only other option is to have the vehicle towed by a tow truck to a repair facility. Common reasons vehicles are placed out of service include:

• A flat tire;
• Too many brakes out of adjustment or otherwise defective;
• Critical required light not functioning, such as turn signal at the rear of the rearmost vehicle;
• Damage or excessive wear to certain brake components;
• A suspension component necessary to hold the axle in place found to be defective;
• Excessive air loss;
• Inadequate cargo securement; and
• A steering component that is defective, welded, or excessively worn.

The officer will provide a copy of the inspection report to the driver and discuss any violations that were discovered. If the vehicle is placed out of service, the officer will instruct the driver what must be done before the vehicle can be operated again. Roughly 20 percent of vehicle inspections result in an out of service order.

Disposition of the vehicle inspection report

• The driver must deliver the vehicle inspection report to the carrier upon arrival at the next terminal or facility.
• If not scheduled to arrive at a terminal or facility within 24 hours, the driver must immediately mail, fax, or otherwise transmit the vehicle inspection report to the carrier.
• The carrier must review, sign, and indicate that all violations listed on a vehicle inspection report have been corrected and mail the completed form to the issuing agency within 15 days following the date of inspection.

The driver must submit the inspection report to the carrier. This must be done even if the inspection is passed with no violations. The carrier must then review it, sign it, indicate that all violations listed have been corrected, and return it to the issuing agency within 15 days. A copy of the report must be kept at the carrier’s place of business for one year following the inspection. (396.9(d))

Here is a step-by-step summary of the inspection report disposition process:

• The driver may not operate a vehicle that has been placed out of service until it is repaired and back into compliance, and the carrier has documentation that proves the repairs took place.
• The driver must deliver the vehicle inspection report to the carrier upon arrival at the next terminal or facility.
• If the driver is not scheduled to arrive at a terminal or facility within 24 hours, the report must be immediately sent to the carrier by mail, fax, or other means of transmission.
• The carrier must examine the report and correct any unresolved violations noted. When this happens, the driver is to either get the vehicle repaired during the day (in the case of an out-of-service violation, before operating the vehicle again) or note the defect on the Daily Vehicle Inspection Report (DVIR). If the vehicle is repaired before the end of the day, it does not need to be reported on the DVIR. However, there must be a record of the repair generated. This can be a statement from the driver, a receipt for parts or repairs, or a repair order (RO) showing the defect was repaired in-house.
• If the inspection report included a chassis provided by an intermodal equipment provider, the carrier must forward a copy of the inspection to the intermodal equipment provider.
• A motor carrier official (or an official at the intermodal equipment provider, if a violation involved an intermodal chassis provided to the carrier) must certify on the form that violations have been corrected and mail the completed form to the issuing agency at the address indicated on the form. This must be done within 15 days following the date of the inspection. Documentation proving the repair of out-of-service violations should be kept in the vehicle maintenance records (carriers and providers are required under 396.3 to either keep records or see that the records are kept and available at time of audit).

Maintenance manager follow-up

Frequently the report disposition process is handled by operations or safety personnel. However, the maintenance manager needs to be included in this process. The maintenance manager will need to track the vehicle violations and out-of-service orders to make sure required repairs are being performed.

The maintenance manager will also want to keep an eye on violation trends. If a certain type of vehicle is repeatedly receiving violations for brakes out of adjustment, there may be a systemic problem with that type of brake or a need to change the preventive maintenance scheduling for the vehicles equipped with those brakes.

How does DataQs work?

• A filer of a RDR will write a short narrative explaining the challenge and will have the opportunity to upload supporting documents.
• Challenges to data provided by state agencies must be forwarded by the FMCSA to the appropriate state motor carrier safety office for investigation and decision.
• The decision of the state agency is the final resolution of the challenge; the FMCSA cannot change state records without state consent.

DataQs can be accessed directly at https://dataqs.fmcsa.dot.gov or from any of the BASIC pages in the CSA. At the DataQs website, a driver, carrier, or other interested party can sign up as a user. If signed up as a “carrier user,” extra functionality is provided. To sign up as a carrier user, the carrier will need its DOT number and the PIN assigned to it (this is provided by FMCSA). The process of signing up to be a user takes around 20 minutes.

Filing process

Once signed up as a DataQs user, the process of filing Request for Data Review (RDR) (challenges) begins. The website itself will guide an RDR filer through the online challenge process. To begin with, the system will ask what type of challenge the filer wants to file, what data is being challenged, and the details related to the event in question. As part of the process, the filer will be asked to write a short narrative explaining the challenge and will have the opportunity to upload supporting documents, such as the inspection report or crash report.

State agency investigation and decision

Even though the challenge is filed with the FMCSA, any challenges to data provided by state agencies must be resolved by the appropriate state agency. After the challenge is filed, the FMCSA automatically forwards it to the correct state motor carrier safety office. The state office will investigate based on the filer’s statement and supporting documents, a review of the documents the state has on file related to the event, and a discussion with the officer involved.

This investigator will then decide on the challenge. This may take some time because the state office involved needs to locate and review all documentation and contact the state or local law enforcement agency that initially supplied the data. Generally, a filer should hear back within 14 days, even if all is heard is, “This may take a little while.”

State decision is final

If the carrier does not agree with the state’s decision, the challenge can be resubmitted. However, states will only entertain challenges to the initial decision if additional information is provided. FMCSA considers the state’s decision as the final resolution of the challenge. FMCSA cannot change state records without state consent. In other words, FMCSA does review all challenges, but does not change the data or challenge outcomes provided by states.

How to be successful in DataQs

• Successful DataQs involve the carrier carefully checking the facts, regulations, and official interpretations; putting together a well-thought-out narrative; and providing important supporting documentation and pictures.

The keys to filing a successful DataQs challenge involve a carrier doing its homework and being able to support its arguments. This involves:

• Checking the facts. The carrier should make sure it knows what actually happened. This means interviewing all involved and investigating, not just taking someone’s word for it.
• Checking the regulations and official interpretations (use an outside source if not sure about the regulations and interpretations involved).
• Putting together a well-thought-out argument to be used in the narrative.
  • The carrier should make sure it is clear on what it is challenging.
  • Be specific, not general.
  • Reference correct regulations and interpretations.
  • State facts, not opinions.
  • Be clear, concise, and accurate.
• Rounding up supporting documents to upload. Driver rosters, vehicle lists, a copy of the regulations involved, statements from the driver or a mechanic, and the report involved (crash or inspection) are all examples of supporting documents.
• Rounding up any pictures that support the argument. A picture is worth a thousand words! Remember, drivers have smartphones. Don’t forget to ask the driver for any pictures.

When developing a case for DataQs, the carrier should remember that it needs to prove to the investigator doing the review that the event did not occur, the officer involved was in error, or that the event actually involves someone else. Once the information has been submitted, the investigator will review the paperwork that is on file at the state and discuss the event with the officer involved. To sum up, the carrier must build a solid case!

Using court appearances related to tickets as a supporting document

• Successful DataQs’ decisions have no effect on traffic tickets, but positive results in traffic court can be used as supporting documentation in a DataQs challenge.

One issue to keep in mind is that fighting “tickets” or “citations” is not done with the DataQs system. Having a violation removed from a roadside inspection report due to a successful DataQs challenge has no effect on any tickets that may have been issued. Courts deal with criminal and traffic citations (tickets). DataQs is a separate administrative function for challenging data on roadside inspection reports and crash reports that the Federal Motor Carrier Safety Administration (FMCSA) has in its database. Being successful in DataQs will have no effect on any citation that was issued.

However, there can be a useful connection between DataQs and the court case. If a carrier or driver is successful in getting a ticket related to an inspection “bounced” or “reduced” by the judge, the court’s decision can be used to support any DataQ challenge related to the associated violation on the roadside inspection report. To do this, the carrier or driver needs to submit the court’s decision (the official court paperwork) as a supporting document in the DataQs challenge. This will lead to the violation being removed from the roadside inspection report or the value of it reduced when a DataQs challenge and review are completed.

Crash Preventability Determination Program

• If the FMCSA determines that a crash fits the type of crashes eligible for CPDP review and was non-preventable, the crash will not be used in the calculation of the carrier’s Crash BASIC score in the CSA.

Under the Federal Motor Carrier Safety Administration’s (FMCSA’s) Crash Preventability Determination Program (CPDP), if a driver has an eligible crash, a Request for Data Review (RDR) may be made through the FMCSA’s DataQs website.

The CPDP can be called upon to review certain types of crashes to determine if they were non-preventable as far as the carrier is concerned (i.e., the driver did everything reasonable to avoid involvement in the crash). If FMCSA determines the crash fits the type of crashes eligible for review and was non-preventable, the crash will not be used in the calculation of the carrier’s Crash BASIC score in the Compliance, Safety, Accountability program (CSA).

To participate in this program, the carrier needs to select “determine preventability” when selecting the type of review being requested. Next, when completing the RDR the carrier will need to provide a copy of the police accident report (referred to as a PAR). This will support the carrier’s argument that the crash falls into one of the crash types that can be reviewed.

The following crash types are eligible for participation in the CPDP:

• Struck in the rear type of crash when the CMV was struck:
  • in the rear; or
  • on the side at the rear.

• Wrong direction or illegal turns type of crash when the CMV was struck:
  • by a motorist driving in the wrong direction; or
  • by another motorist in a crash when a driver was operating in the wrong direction; or
  • by a vehicle that was making a U-turn or illegal turn.

• Parked or legally stopped type of crash when the CMV was struck:
  • while legally stopped at a traffic control device (e.g., stop sign, red light, or yield); or
  • while parked, including while the vehicle was unattended.

• Failure of the other vehicle to stop type of crash when the CMV was struck:
  • by a vehicle that did not stop or slow in traffic; or
  • by a vehicle that failed to stop at a traffic control device.

• Under the influence type of crash when the CMV was struck:
  • by an individual under the influence (or related violation, such as operating while intoxicated), according to the legal standard of the jurisdiction where the crash occurred; or
  • by another motorist in a crash where an individual was under the influence (or related violation such as operating while intoxicated), according to the legal standard of the jurisdiction where the crash occurred.

• Medical issues, falling asleep or distracted driving type of crash when the CMV was struck:
  • by a driver who experienced a medical issue which contributed to the crash; or
  • by a driver who admitted falling asleep or admitted distracted driving (e.g., cellphone, GPS, passengers, other).

• Cargo/equipment/debris or infrastructure failure type of crash when the CMV:
  • was struck by cargo, equipment, or debris (e.g., fallen rock, fallen trees, unidentifiable items in the road); or
  • crash was a result of an infrastructure failure.

• Animal strike type of crash when the CMV:
  • struck an animal.
• Suicide type of crash when the CMV:
  • struck an individual committing or attempting to commit suicide.
• Rare or unusual type of crash when the CMV:
  • Was involved in a crash type that seldom occurs and does not meet another eligible crash type (e.g., being struck by an airplane or skydiver or being struck by a deceased driver).