Are you ready for a SAFETY AUDIT or COMPLIANCE REVIEW?

This section includes: Types of audits; List of audit items; List of audit questions; Definition of Acute & Critical Violations; Safety Ratings

DOT Trucking Comliance L.L.C. can assist you with all areas of DOT Compliance – After reviewing this list, can you afford not to have DOT Compliance Professional’s on your side?

If a motor carrier refuses to submit to a Safety Audit, its registration may be revoked in accordance with 49 CFR Section 385.337.

The Department of Transportation (DOT) has developed a number of programs designed to aid motor carriers and their drivers in improving overall highway safety.  

The Federal Motor Carrier Safety Administration (FMCSA) has implemented three methods of auditing and reviewing a carrier, each of which plays a critical role in determining its safety performance. 

#1 SAFETY AUDIT = These audits are used for those identified as new carriers, registering for USDOT identification numbers. They are used to educate and offer technical assistance in assessing the carrier's safety performance and management controls.

#2 COMPLIANCE REVIEWS = Compliance reviews are typically performed on motor carriers with questionable safety fitness. Auditors will take an in-depth look at the carrier's safety performance and compliance with both the FMCSR's and haz mat regulations (HMR's).  A compliance review may or may not result in enforcement action.   According to FMCSA, about 30% of compliance reviews require enforcement actions. 

QUESTIONABLE FITNESS may be triggered by a variety of circumstances. The following list includes some possible reasons for a compliance review:

• High Accident Rates
• High Vehicle or Driver Out of Service Rates
• Past Poor Performance
• Non-frivolous complaints lodged against the carrier

#3 ROADSIDE INSPECTIONS = These inspections are conducted at weigh stations, portable scales, and a variety of other roadside locations, using the Commercial Vehicle Safety Alliance Inspection standards and referencing the FMCSR's to issue out-of-service orders for vehicles and drivers.

TYPICAL LIST OF DOCUMENTS THAT WILL BE REQUESTED

Here is a routine list of items the DOT inspector will ask for/look at:

DISCLAIMER - Other records may be requested and reviewed that are not listed here.  This is intended to be an informational help guide only.  Certain situations may call for additional investigation areas not listed here.

1. Federal Tax ID Number
2. Company gross revenue figure for all operations for the last fiscal year end
3. Total fleet mileage figure for your motor vehicle(s) for the past 365 days
4. MCS-90 or 90B, or equivalent endorsement for motor carrier policies of insurance for current policy period (get from insurance company)
5. List of drivers, dates of hire, date of term, DL Number and State - used during the past 365 days who operated vehicles in excess of 26,000 GVW interstate
6. List of commercial motor vehicles over 10,000 GVW used in interstate commerce
7. Driver Qualification Files, part 391, part 380 and/or 397
8. Alcohol and Controlled Substances drug testing records, including policies and training records and all records from third party administrators or consortium's, laboratories, medical review officers and substance abuse professionals, for your drivers who meet the conditions requiring a commercial drivers license CDL part 382
9. Drivers record of duty status (RODS) for the previous six months, and/or time records for local drivers, to include all supporting documents that may be used to verify the accuracy of the RODS (for example, toll receipts, fuel receipts, trip records, dispatch sheets, expense records, pay sheets, etc) part 395
10. Records for all automated highway toll payment systems, to include an accurate record of driver and/or vehicle transponder and toll card/device assignments
11. Vehicle maintenance records for all vehicles over 10,000 GVW used in interstate commerce, part 396
12. Drivers Vehicle Inspection Reports (DVIR’s), if more than one vehicle is used, for all vehicles over 10,000 GVW
13. Records of periodic annual inspection in accordance with 396.17 & 396.19
14. Records of certification for person(s) responsible for inspection and repair of brakes for all vehicles over 10,000 GVW, part 396.25
15. Company Accident register, accident records parts 390.5, 390.15, and insurance loss runs for the past 365 days

DEFINITIONS OF ACUTE AND CRITICAL VIOLATIONS

What is an ACUTE violation:

Acute violations are those where noncompliance is considered so severe as to require immediate corrective action by a motor carrier regardless of the overall or current safety performance of the carrier.

What is a CRITICAL violation:

Critical violations are those where noncompliance relates to management and/or operational controls.

Noncompliance with critical regulations is an indication of breakdowns in a carrier's management controls.

FINANCIAL RESPONSIBILITY  

Does the carrier have the required minimum level of financial responsibility in effect? 387.7(a) Acute

Does the carrier have required proof of financial responsibility? 387.7(d) Critical 

NOTE: If you transport Motor Vehicles, you are required to have $1,000,000 public liability coverage.  Failure to have $1,000,000 on file with FMCSA and proof at your place of business may result in Acute and critical violations in this area.

ACCIDENTS; FMCSR KNOWLEDGE; VEHICLE MARKING

Can the carrier provide a complete accident register of recordable accidents? 390.15(b)(1)

Does the carrier have copies of all accident reports required by States or other government entities or insurers? 390.15(b)(2) Critical

Is the carrier knowledgeable of the FMCSR’s/HMR’s? 390.3(e)

Does the carrier know the commercial motor vehicles marking requirements? 390.21

DRIVER QUALIFICATIONDoes the carrier maintain complete driver qualification files with the following items? 391.51(a) Critical

• Employment application 10 years for CDL; 3 for others 391.21
•  Employment background check for prior 3 years 391.23
• CDL Drivers must have alcohol/controlled substance background checks 391.23e
•  Copy of Medical Certificate 391.43/391.49
•  Copy of Road Test 391.31g (N/A for CDL)
• Prior 3 years driving history from State Agency DMV/MVR 391.23b
• Once per year Annual record check for the driver consisting of the following; Driving History check from state agency 391.25, must take into consideration any violations of the FMCSR’s or HMR’s and accident record;
•  Annual Certification of Violations with driver’s notation of ANY violations including those in a passenger car 391.27; Carriers signature indicating review complete and record satisfactory, owner operations may complete sections B and C for themselves 391.25c2

Is the carrier using physically qualified drivers? 391.11(b)(4) Acute Does available evidence indicate the motor carrier has used a driver without a medical certificate or with an expired medical certificate? 391.45(a); 391.45(b) Critical Is the carrier using any disqualified drivers? 391.15(a) Acute Does the carrier maintain driving and employment history inquiry date in driver qualification files? 391.51(b)(2) Critical

SUBSTANCE ABUSE & ALCOHOL TESTING PROGRAM

Has the carrier implemented an alcohol and/or controlled substances testing program? 382.115(a) Acute

Has the carrier used drivers who have used controlled substances? 382.213(b) Acute

Has the carrier used a driver who has tested positive for a controlled substance? 382.215 Acute

Has the carrier used a driver known to have an alcohol concentration of 0.04 or greater? 382.201 Acute

Has the carrier used a driver found to have an alcohol concentration of 0.02 or greater but less than 0.04 within 24 hours of being tested? 382.505(a) Acute

Has the carrier ensured that all drivers have undergone testing for controlled substances prior to performing a safety sensitive function? 382.301(a) Critical

Has the carrier conducted post accident testing on drivers for alcohol and/or controlled substances? 382.303(a) Critical

Has the carrier implemented random testing program? 382.305 Acute

Has the carrier conducted random alcohol testing at an annual rate of not less than the applicable annual rate of the average number of driver positions? 382.305(b)(1) Critical

Has the carrier conducted controlled substance testing at an annual rate of not less than the applicable annual rate of the average number of driver positions? 382.305(b)(2) Critical

Has the carrier conducted the required return-to-duty tests on employees returning to safety sensitive functions? 40.305(a)

Is the carrier conducting follow-up testing as directed by the Substance Abuse Professional? 40.309(a)

Has the carrier used a driver who has refused to submit to an alcohol or controlled substances test required under part 382? 382.211 Acute

Has the carrier used a Substance Abuse Professional as required by 49 CFR Part 40 Subpart O? 382.503 Critical

Has a driver operated a commercial motor vehicle without a current operation license, or a license, which hasn’t been properly classed or endorsed? 383.23(a) Critical

Has the motor carrier allowed it’s drivers who’s CDL’s have been suspended, revoked or canceled by a state, have lost the right to operate a CMV in a State, or have been disqualified from operating a CMV to operate a commercial motor vehicle? 383.37(a) Acute

Has the motor carrier knowingly allowed, required, permitted or authorized a driver to drive who is disqualified to drive a commercial motor vehicle? 383.51(a) Acute

HOURS OF SERVICE 

Does the carrier require drivers to make a record of duty status? 395.8(a) Critical

Does the carrier require drivers to submit records of duty status within 13 days? 395.8(i) Critical

Can the carrier produce records of duty status and supporting documents for selected drivers? 395.8(k)(1) Critical

Has the carrier allowed driver(s) to exceed the 11 hour rule (property)? 395.3 (a)(1) Critical

Has the carrier allowed driver(s) to exceed the 14 hour rule (property)? 395.3(a)(2) Critical

Has the carrier allowed driver(s) to driver after having been on duty more than 60 hours in 7 consecutive days? 395.3(b)(1) Critical

Has the carrier allowed driver(s) to drive after having been on duty more than 70 hours in 8 consecutive days (property) 395.3(b)(2) Critical

Has the carrier allowed driver(s) to exceed the 10 hour rule (passenger)? 385.5(a)(1) Critical

Has the carrier allowed driver(s) to exceed the 15 hour rule (passenger)? 395.5(a)(2) Critical

Has the carrier allowed driver(s) to drive after having been on duty more than 60 hours in 7 consecutive days (passenger)? 395.5(b)(1) Critical

Has the carrier allowed driver(s) to drive after having been on duty more than 70 hours in 8 consecutive days (passenger)? 395.5(b)(2) Critical

Does available evidence indicate a selected driver has prepared a false record of duty status? 395.8(e) Critical

Does the carrier adhere to a disciplinary policy for noncompliance with Part 395?

• Motor carriers are responsible for any hours of service violations that are committed by their drivers. Violations may be deliberate and a progressive disciplinary policy is appropriate for those cases. However many violations are the result of inadequate knowledge rather than purposeful acts and the carrier should provide training that will correct the problem prior to enacting any disciplinary policy. Motor carriers are further advised that Section 390.3(e) requires they be fully knowledgeable and compliant with the regulations, and 390.3(e)(2) requires that every driver and employee shall be instructed and shall comply with all application regulations.

Does the carrier have a system for recording hours of duty status on 100 mile radius drivers, and are they properly utilizing the 100 air mile radius exemption? 395.1(e)

Does the motor carrier ensure that drivers operate commercial motor vehicles in accordance with the laws, ordinances and regulations of the jurisdictions in which they are operating? 392.2 Critical

Does the carrier ensure that drivers are not permitted to drive a vehicle without the cargo properly distributed and adequately secured? 392.9(a)(1) Critical

USE OF ILLEGAL SUBSTANCES OR ALCOHOL

Have any drivers operated a commercial motor vehicle while under the influence or, or in possession of, narcotic drugs, amphetamines, or any other substances capable of rendering the drivers incapable of safely operating motor vehicles? 392.4(b) Acute

Have any drivers operated a commercial motor vehicle while under the influence of, or in possession or, intoxicating beverages? 392.5(b)(1) Acute

Have any drivers operated a commercial motor vehicle within 4 hours of having consumed intoxicating beverages? 392.5(b)(2) Acute

MAINTENANCE RECORDS

Maintenance #1 – Can the carrier produce maintenance files for requested vehicles? 396.3(b) Critical

At a minimum, maintenance files must contain the following items:

• Identify the vehicle – year, make, model, serial/VIN, tire size
• Show intended maintenance and inspection schedule (time or mileage based)Show all maintenance and inspections completed as well as unscheduled repairs.
• Record of emergency windows, exit doors and emergency door lighting for buses within 90 days of each other.
• Files retained for a minimum of one year AND for six months after vehicle leave’s carrier’s service

Maintenance #2 – Can the motor carrier produce evidence of periodic (annual) inspections for selected vehicles? 396.17(a) Critical

• Each commercial motor vehicle including trailers and converter dollies must be inspected at least one per year to the standards outlined in FMCSR, Appendix G. A copy of this report or decal containing the minimum required information must be on the vehicle. The carrier must keep a copy of the report where the vehicle is housed or maintained for 14 months.

Maintenance #3 – Does the motor carrier require drivers to complete vehicle inspection reports daily? 396.11(a) Critical

• A motor carrier who operates just one CMV is not required to have drivers complete Daily Vehicle Inspection Reports (DVIR). However, the instruction of a 2nd vehicle to the carrier’s fleet will result in BOTH vehicles requiring DVIR’s 396.11. These records must be kept for a minimum of 90 days and must include the signature certification acknowledging repairs to safety related defects if listed on the DVIR 396.14. Drive away tow away operations and private motor carriers of passenger’s non-business are exempt from this requirement.

Maintenance #4 – Does the carrier ensure that out-of-service defects listed by the driver in the driver vehicle inspections reports are corrected before the vehicle is operated again? 396.11(c) Acute

Maintenance #5 – Does the carrier ensure vehicles that have been declared Out of Service do not operate before repairs have been made? 396.9(c)(2) Acute

Maintenance #6 – Is the carrier using qualified inspectors (mechanics) and maintaining evidence of inspector’s qualifications? 396.19

Maintenance #7 – Can the carrier explain its systematic, periodic maintenance program? 396.3

OTHER

Does the HHG carrier participate in an Arbitration Program? 375.211

Does the HHG carrier assess shipper freight charges based upon published tariffs? 13702

Does the HHG carrier provide reasonably accurate estimates of moving charges? 375.401(c)

Has the carrier avoided “hostage freight” or other predatory practices? 375.407(a)

Does the HHG carrier have sufficient levels of public liability and cargo insurance? 387.301(a)

Is the motor carrier authorized to conduct interstate operations in the United States? 13901

DISCLAIMER - This list does not include the Hazardous Materials Section of a Safety Compliance Review and additional documents or questions may be required that are not listed here.  This is for reference purposes only.

COMPLIANCE REVIEW SAFETY RATINGS

Satisfactory safety rating means that a motor carrier has in place and functioning adequate safety management controls to meet the safety fitness standard prescribed in §385.5. Safety management controls are adequate if they are appropriate for the size and type of operation of the particular motor carrier.

Conditional safety rating means a motor carrier does not have adequate safety management controls in place to ensure compliance with the safety fitness standard that could result in occurrences listed in §385.5 (a) through (k).

Unsatisfactory safety rating means a motor carrier does not have adequate safety management controls in place to ensure compliance with the safety fitness standard which has resulted in occurrences listed in §385.5 (a) through (k).

Unrated carrier means that a safety rating has not been assigned to the motor carrier by the FMCSA.