FMCSA and Driver Log Audits
If there is one thing that COVID has taught FMCSA, it is how to become efficient with their auditing practices as more interactions are completed virtually rather than in an office. Federal motor carrier compliance investigations (AKA Compliance Reviews) continue to be data intensive. With many companies adopting electronic logging, investigators are better equipped to identify inconsistencies in driver logs.
How are ELD records audited?
The inspector will verify if the ELDs are required by the company and if they meet the requirement of the rule. During this time, it is also confirmed the data can be retrieved electronically. Based on the fleet size and number of drivers, a formula is used to determine how many drivers will be selected for review.
The inspector may request driver records based on known drivers with any re-flag violations or for drivers with:
- Violations in the highest percentile HOS BASIC
- Drivers involved in crashes
- Drivers with the highest violation rates
- Drivers with Poor CDLIS driving records
- Recently hired drivers
- Drivers receiving the highest pay
The inspector will also request all related documents such as toll receipts, fuel report/receipts, pay records, bills of lading, and schedule records.
Investigators will focus on each of the following areas during an investigation:
- Authority
- CDL
- Insurance
- Red Flag Violations (This now tends to include Clearinghouse and drug/alcohol violations.
There are 16 violations considered to be “red flags” and will be investigated in terms of how/why the violation occurred and as importantly, what the carrier did in response to the violation.
Violation Description | BASIC Cat. | FMCSA Reg |
Operating a CMV without a valid commercial driver’s license (CDL) | Driver Fitness | 383.23(a)(2) |
Operating a CMV with more than one driver’s license | Driver Fitness | 383.21 |
Driving a CMV while disqualified | Driver Fitness | 383.51(a) |
Driving a CMV while CDL is suspended | Driver Fitness | 383.51A-SIN |
Driving a CMV while CDL is suspended | Driver Fitness | 383.51A-SOUT |
Operating a CMV with improper CDL group | Driver Fitness | 383.91 (a) |
Unqualified driver | Driver Fitness | 391.11 |
Driver lacking valid license for type of vehicle being operated | Driver Fitness | 391.11(b)(5) |
Driver disqualified from operating CMV | Driver Fitness | 391.11(b)(7) |
Driving a CMV while disqualified | Driver Fitness | 391.15(a) |
Driving a CMV while disqualified/Suspended | Driver Fitness | 391.15A-SIN |
Driving a CMV while disqualified/suspended | Driver Fitness | 391.15A-SOUT |
Driver uses or in possession of drugs | Controlled Substance/Alcohol | 392.4(a) |
Possession, use, under influence of alcohol less than 4 hours prior to duty | Controlled Substance/Alcohol | 392.5(a) |
Driving after being declared out of service | Hours of Service | 395.13(d) |
Operating an out-of-service vehicle | Maintenance | 396.9(c)(2) |
How should you prepare for an ELD Investigation by the FMCSA?
- Prepare an audit checklist
- Ensure your records are up to date and accurate as well as organized and accessible
- Routinely review your records
- Verify drivers are properly using devices and logging data
- Look for inconsistencies such as frequent manual corrections
- Compare driver schedules to logging records
- Verify fueling receipts and logging times
- Verify user login activity
- Verify drivers have/use only one login
- Ensure your ELDs are recording/tracking and reporting to the portal
- Consider having a third party review your process and documents
Having challenges with your Fleet/DOT program, Contact your Innovise Team as we can assist you through the challenges.
