1. Auditing your Transportation & Hazmat Shipping Operations
Are You Prepared & up to Speed ?

2. The story with a not so good ending…
DOT Compliance Fail!
Have You Reviewed Your Program Lately?

3. Gregg Smith
Safety Program Manager / APA
John Brooke, Esq. Brooke-Stevens, PC

4. Do you know how to achieve a “Satisfactory” DOT safety rating?
You know that your private trucking company must have a Safety Rating from the US Department of Transportation (DOT) ?
When will I receive this Safety Compliance Audit?
Will DOT / FMCSA call first?
Or, will they just show up?
Either way, you better be prepared!

5. If your company has not received a Safety Rating, or had a Compliance Review in the last 5 years, an Investigator from DOT will visit your company to perform an on-site Safety & compliance review.
This Compliance review will take on average from 3-5 days depending on the size of your company.
You will be expected and prepared to produce all requested documents during the investigation

6. The United States Department of Transportation, Federal Motor Carrier Safety Administration (“FMCSA” or “Agency”) will be conducting a compliance investigation* on your company on 3/2/17 at the principle place of business. This review will be to determine your level of compliance with the Federal Motor Carrier Safety Regulations (FMCSR). You will need to please provide the following records as required by the regulations.

7. Let us review the 3 basic types of Reviews which may occur.
DOT Safety Review
Full Compliance Review (CR)
Hazardous Material Compliance Inspection by PHMSA

8. Why May I get visited by the DOT, Sooner than later?
You have never been reviewed before
Not visited in the last 3-5 years
You transport HM
You have had more than several over the road violations or accidents (CSA) (SMS)
Whistle Blower
Accountability under the SMS / Data Q’s

9. 1. ALL RECORDS FROM ALL TERMINALS ARE REQUIRED.
All identification and identifying information for any and all drivers employed and/or used by you and/or operating a commercial motor vehicle under or displaying your USDOT number, during the previous 12-month period, including any and all subcontractors and/or independent contractors and/or leased drivers (including owner/operators). For each of the drivers, the information shall include:

10. a. Full Name
b. Date of Birth
c. Social Security Number
d. Commercial Driver’s License (CDL) Number and State of issuance
e. Date(s) of hire
Date(s) of termination
g. Driver address(es), telephone number(s), cellular telephone number(s) and any other contact information

11. 2. All driver Qualification files for any and all drivers
Medical examination/certificate and/or examination reports.
Commercial Driver’s License (CDL) and any other licensing information, including a copy of each driver’s Commercial Driver’s License.
Information requested from previous employers.
Information received from previous employers.
Driver history and records requested prior to hire.
Annual certification and list of violations for the driver and annual review of driving record.
Date(s) of hire and first date driver was used in a safety sensitive function.
Any information indicating disqualification.
Information documenting any qualification requirement exemption claimed.

12. All alcohol and Controlled Substances Testing files, records, and
C.F.R. Part 382 for the previous calendar year (2016). The documentation shall include, but not be limited to:
Training program.
Control and custody forms for all alcohol and controlled substances testing samples, including pre-employment testing, random testing, reasonable suspicion testing, post-accident testing, and return to duty testing.
Test results for all samples collected.
Medical Review Officer (MRO) reports.
Documentation of driver refusals to be tested.

13. Documentation of probable cause determinations for driver testing.
Identification and contact information (including address and telephone), and copies of contracts for all laboratories, collection sites, and consortiums.
Driver selection and/or pool lists used for random testing.
Signed release forms by each driver for release of testing information.

14. Information documenting any testing exemptions claimed.
Information documenting the random alcohol and controlled substances testing program, including, but not limited to:
The average number of driver positions for calendar year 2016, and documentation showing how this number was calculated.

15. year 2016, and documentation showing how this number was calculated.
The number of random controlled substances tests conducted for calendar year 2016.
The number of random alcohol tests conducted for calendar year 2016.
The number of pre-employment tests conducted during the previous 12 month period.
Laboratory monthly statistical reports and annual summary.

16. All driver’s records of duty status (RODs
all supporting documents to the driver record of duty status (RODS) for the previous 6-month period
All dispatch and routing records
All payment records
All invoices, bills, and memorandums of agreement with agents, customers and/or brokers
Accident Register and all files
Identification including identifying information for any and all commercial motor vehicle(s) owned and/or leased
All registration documentation

17. All documents related to acquisition and/or use of any and all commercial motor vehicle(s) owned and/or leased
All vehicle maintenance records and the periodic (annual) inspection report for any and all commercial motor vehicles
Identification information for all mechanics and/or maintenance facilities
All records referencing or related to qualifications, certification, and/or training of any and all mechanics and inspectors
All driver vehicle inspection reports (DVIRs)
All documentation evidencing compliance with minimum liability insurance requirements including Form(s) MCS 90
Provide a copy of a current insurance loss run report covering the past 365 days.

18. Provide a record of cargo tank specialized driver training.
All Hazardous Materials Shipping papers
Documentation of training for all of your hazardous materials employees and copies of all materials used for training hazardous materials employees.
Provide a record of current certificate of hazardous material training for every HM employee.
Provide a record of cargo tank specialized driver training.
Provide a copy of HM shipping papers for the past year.
Provide a current hazardous materials shipping paper for each different proper shipping name and identification number.
Provide a recent copy of a HM shipping paper that each driver has delivered. Identify the driver’s name for each shipping paper.

19. Provide a current copy of your USDOT/PHMSA HM registration.
Copy of your current PHMSA certificate of Hazardous Material registration and/or copies of all special permits special you use or have operated under during the previous 12-month period.
Provide a current copy of your USDOT/PHMSA HM registration.
Provide a copy of your security plan.
Provide a copy of the DOT special permit applicable to any package you transported or operated under a special permit (if applicable).
Provide a copy of your grantee letter for every special permit that requires a grantee status (If applicable)
Safety data sheet (SDS) for all hazardous materials you transported or shipped by commercial motor vehicle during the previous 12- month period.

20. All agreements, lease documents, records or other documents between you and any other motor carrier in effect during and/or related to the previous 12-month period.
Total Fleet Mileage for all commercial motor vehicles owned, leased, and/or operated by you or on your behalf and/or under or displaying your USDOT number for the previous 12-month period.
Identification information for all company/corporate owners, partners, directors, officers, members, shareholders and managers for *****, including current contact information (address and telephone) for each.

21. Identification and information for all individuals having a financial interest ******, including current contact information (address and telephone) for each.
All motor carrier compliance records any and all records or other documents that refer or relate to your compliance with the Federal Motor Carrier Safety Regulations, and/or Hazardous Materials Regulations, including but not limited to documents showing actions taken upon the discovery of non-compliance with these regulations for the previous 12-month period.
Business records including corporate charters, articles of incorporation, bylaws, articles of organization, operating agreements, partnership agreements, or other documents identifying the your company’s structure, officers, directors, and/or managers and their responsibilities.
Minutes of corporate meetings for the previous 12-month period.

22. What happens after the investigation is completed
What happens after the investigation is completed? The closing conference Review the investigative report Request explanations Possible violations and other issues Sign and date Will most likely hear back in 7-14 days with final determination.

23. Civil and Criminal Violations
Information you need to Know!

24. 2017
Questions?