Is Your Company in Compliance?

Last year the Federal Motor Carrier Safety Administration and state motor carrier enforcement officials completed over 16,000 compliance reviews.  In addition, nearly 40,000 new entrant audits were conducted.  Many of these carriers were fined for not complying with regulations and some received conditional, or even unsatisfactory, safety ratings.

The following checklist includes many important regulations that receive attention during audits.  Complying with these requirements can help you avoid some of the most common compliance mistakes and the fines that can result.  For a complete description of all regulatory requirements, refer to applicable state and federal motor carrier safety regulations.

Part 382—Controlled Substance and Alcohol Testing

• A controlled substance and alcohol testing program exists that includes pre-employment, random, reasonable suspicion, follow up, and post-accident testing.

• Random testing rates meet minimum requirements (50 percent of drivers tested for controlled substances annually, 10 percent of drivers tested for alcohol use annually).

• A negative pre-employment controlled substance test result is obtained before using a driver in a safety-sensitive function.

• Previous employers (DOT-regulated) are contacted to obtain testing history information (3-year history).

• Managers who oversee drivers’ activities have received reasonable suspicion training.

• Drivers receive information on controlled substance and alcohol testing policies and procedures and consequences for misuse.

Part 387—Financial Responsibility

• MCS-90 (Endorsement for Motor Carrier Policies of Insurance for Public Liability) is available for review.

• Insurance limits meet minimum state and federal requirements (liability and cargo).

Part 390—General

• MCS-150 (Motor Carrier Identification Report) is updated biannually.

• Vehicle markings include company name and state/federal identification numbers.

• DOT-recordable accidents are documented in an accident register.

• Required records and documents are maintained at principle place of business or are available for inspection with 48-hour notice.

• All employees and drivers receive instruction regarding motor carrier safety regulations.

Part 391—Driver Qualification

• All drivers meet minimum qualification requirements (age, English proficiency, valid license, no physical disqualifications, and training requirements).

• Driver qualification files include:

• Completed employment application.

• Documented employment background inquiries completed within 30 days of employment (3-years minimum).

• Valid Medical Examiner’s Certificate.

• Motor Vehicle Record (MVR) from each state a license has been held during the previous 3 years (reviewed within 30 days of employment).

• Annual review of each driver’s driving record.

• Photocopy of driver’s CDL showing valid license and required endorsements.

• Certificate of Violations completed by the driver (updated annually).

• Road test certificate (or equivalent, CDL with proper endorsements).

• A record of hours worked during the prior seven days (for new or intermittent drivers).

Part 392—Driving of Commercial Vehicles

• Operating authority for intrastate, interstate, broker, or freight forwarding operations, as applicable.

• Safety policies and procedures are in place to ensure compliance with basic safety regulations (i.e. adherence to speed limits, equipment inspections, emergency procedures, cargo securement, unauthorized passengers, etc.).

Part 393—Parts and Accessories Necessary for Safe Operation

• Required parts and accessories are in safe working condition (i.e. lights, brakes, tires, emergency equipment, cargo securement devices, fuel system, coupling devices, etc.).

Part 395—Hours of Service

• Drivers are not required or permitted to exceed maximum driving limits (i.e. 11-hour, 14-hour, 60/70 hour rules).

• Drivers complete daily logs (or time records if daily logs are not required).

• Daily logs, time records, and all supporting documents are maintained for at least 6 months.

Part 396—Vehicle Inspection, Repair, and Maintenance

• A systematic inspection, repair, and maintenance program exists to ensure all vehicles and equipment are adequately maintained.

• Records are kept to demonstrate that all vehicles and equipment are inspected, repaired and maintained in accordance with maintenance program.

• Vehicles receive a pre-trip safety check.

• Drivers complete Driver Vehicle Inspection Reports (DVIR) daily (maintained for at least 3 months).

• Periodic (annual or semi-annual, if required) inspections are completed by a “qualified” mechanic.

• Brake system inspections and maintenance is completed by “qualified” personnel.

Part 107 & 397—Hazardous Materials

• Policies and procedures exist to comply with driving and parking rules.

• Shipping papers, labels and vehicle placards are used and conform to hazardous material requirements.

• Drivers possess emergency response procedures for the cargo being transported.

• Drivers and/or affected employees receive hazardous materials training before transporting hazardous materials and at least once every three years thereafter.

• A hazardous materials security plan has been developed.

For more information about these and other requirements, contact your state motor carrier enforcement agency or the Federal Motor Carrier Safety Administration by calling 800.832.5660, or on the Internet at: www.fmcsa.dot.gov.

Links to many other compliance resources are available on Northland’s Transportation Safety Library at:  www.truckinsurance.com. For more information click here.