Motor Fleet Safety Basics:
Training for the Safety Supervisor
Unit 3: DOT/OSHA Recordkeeping Issues and
Requirements
Unit 3 Objectives
• Identify the government agencies and regulations that
are relevant to your job as a fleet safety supervisor
• Identify recordkeeping requirements for the sections of
the FMCSR and OSHA regulations discussed in class
• Audit sample hours of service logbooks and identify
required supporting documentation
• Identify errors and/or violations in driver qualification
files
• Correctly complete an Accident Register
1
Federal Agencies that Regulate Motor
Carriers
• US Department of Transportation:
• Federal Motor Carrier Safety Administration (FMCSA)
• Pipeline and Hazardous Materials Safety Administration (PHMSA)
• US Department of Labor:
• Occupational Safety and Health Administration (OSHA)
• Equal Employment Opportunity Commission (EEOC)
• Environmental Protection Agency (EPA)
• Department of Homeland Security:
• Transportation Security Administration (TSA)
• US Citizenship and Immigration Services (former INS)
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DOT Regulations
49 CFR, FMCSRs
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Part 380 – Entry Level Training
Part 381 – Waivers and Exemptions
Part 382 - Controlled Substances and Alcohol Testing
Part 40 - Procedures for Drug & Alcohol Testing
Part 383 - Commercial Drivers License
Part 390 - Safety Regulations - General
Part 391 - Qualifications of Drivers
Part 395 - Hours of Service of Drivers
Part 396 - Inspection, Repair & Maintenance
Part 397 – Hazardous Materials
Parts 100-185 – Hazardous Materials
3
Compliance, Safety, Accountability (CSA)
• CSA is FMCSA’s data-driven safety
compliance and enforcement program
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CSA’s Three Core Components
• The Safety Measurement System (SMS)
• FMCSA’s workload prioritization tool that identifies carriers for interventions
(e.g., warning letters, investigations)
• Safety Interventions Process
• Creates new and more efficient ways for FMCSA to interact with carriers and
help bring them into compliance (e.g., warning letters and Onsite Focused
Investigations)
• Proposed Safety Fitness Determination (SFD)
• Uses on-road safety performance data and/or investigation results to assess the
safety fitness of more carriers every month (Notice of Proposed Rulemaking
(NPRM) expected to be published in January 2016)
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The SMS and the BASICs
• The BASICs help you understand where you’re having safety problems
so you can correct them
• Each BASIC addresses specific requirements in FMCSA’s regulations
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Motor carriers are accountable for their drivers’ violations
• All inspections and violations your drivers receive while they work for you
remain part of your carrier record for 24 months (regardless of whether
they continue operating for you)
• Carriers do not inherit past violations of a newly hired driver
• Roadside inspection data remain part of a driver’s record for three years,
crash data for five years
7
FMCSA does not issue driver “scores”
• Safety Investigators use drivers’ roadside inspection and crash data when
investigating a carrier
• The SMS does not assign safety ratings, “scores,” or points to drivers
8
Pre-Employment Screening Program (PSP)
• The PSP was mandated by Congress
• It’s a screening tool that provides a driver’s Federal crash and
inspection history record including:
• Five years of reportable crashes
• Three years of inspections
• Carriers can only use PSP for hiring purposes and can only order a
driver’s record with his or her authorization
• Drivers can obtain their record any time
• You can obtain a driver’s record for a $10 fee at
http://www.psp.fmcsa.dot.gov or for free via a Freedom of Information
Act (FOIA) request
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Reviewing Your Safety Data in the SMS
• What safety data can you view?
Public
• BASIC information for all carriers, except for the Hazardous
Materials (HM) Compliance and Crash Indicator BASICs
• Driver names are not included
Carriers (logged in)
• All BASIC information, including HM Compliance and
Crash Indicator BASICs, driver names per inspection,
and downloadable inspection and crash data
• Public view of all other carriers
Drivers
• Public view of all carriers
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Why Your Safety Data Matters
• Your safety data affects your safety record
• The SMS uses your roadside inspection and
crash data to calculate BASIC percentiles
• FMCSA uses the SMS to prioritize carriers for
interventions, focusing on those that pose the
highest safety risk
• FMCSA, the public, and other stakeholders
can see SMS results, so it’s important to make
sure they are based on accurate data
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DataQs: Improving Your Safety Data
• Allows carriers/drivers to file a Request for Data Review (RDR) to identify
concerns about data in FMCSA’s data systems that may be incomplete or
incorrect
• Forwards your RDR to the appropriate office for resolution
• Gives you updates on the status of your RDR, from submission through
resolution
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Requests for Data Review (RDRs)
• RDRs can only be submitted for violations that were erroneously
reported or incorrectly documented during the inspection
• Examples of improper requests:
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“Driver fired”
“Crash not our fault”
“Driver caused the violation”
“An owner-operator or another carrier committed the violation while they
were leased to our operation”
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OSHA Regulations
29 CFR, Part 1904
• OSHA 300 - Log
• OSHA 300A – Form that makes it easier to post and
calculate incidence rates
• OSHA 301 - Incident Report
• Do not complete these by hand – use the spreadsheet you can
download from www.OSHA.gov
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Hours of Service Enforcement
Hours of service rules enforced through log audits:
• 11-hour rule
• 14-hour rule
• 60/7-hour rule
• 70/8-hour rule
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OFF DUTY OPTIONS
• Option #1 – Ten consecutive and uninterrupted hours ”off duty” [line 1]
• Option #2 – Ten consecutive and uninterrupted hours in “sleeper berth” [line 2]
• Option #3 – Ten consecutive and uninterrupted hours “off duty and “sleeper berth [lines 1 and
2]
• Option #4 – Two periods equaling 10 consecutive hours. One period must be 8 consecutive
hours in sleeper berth, which is combined with a second period of at least 2 consecutive
hours either off duty or in the sleeper berth. The on-duty periods will be calculated by using
the driving and on-duty periods immediately prior to the first rest period and between the two
rest periods.
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Sleeper Berth Example
10 HOURS OFF
DUTY
CAN BE OFF DUTY OR IN
SLEEPER BERTH
11 HOURS DRIVING
10 HOURS DRIVING
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16-Hour Exception For Property-Carrying Drivers
Drivers may extend the 14-hour on-duty period by 2 additional hours
IF THEY:
• Are released from duty at the normal work reporting location for
the previous 5 duty tours; AND
• Return to their normal work reporting location and are released
from duty within 16 hours; AND
• Have not used this exception in the previous 7 days, except
following a 34-hour restart of a 7/8-day period.
• Total hours driving may not exceed 11 hours.
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RECENT HOS RULE CHANGES
• REST BREAK - May drive only if 8 hours or less have passed since the end of the driver's last
off-duty period of at least 30 minutes.
• RESTART - May restart a 7/8 consecutive day period after taking 34 or more consecutive
hours off-duty.
• EGREGIOUS VIOLATIONS – Driving (or allowing a driver to drive) 3 or more hours beyond
the driving time limit may be considered an egregious violation and subject to the maximum
civil penalties.
• ON DUTY TIME – Does not include any time resting in a parked vehicle, in a moving property
carrying vehicle, does not include up to 2 hours in the passenger seat immediately before or
after 8 consecutive hours in the sleeper berth.
• OIL FIELD EXEMPTION – Waiting time for certain drivers at oil fields must be shown on
logbook or electronic recording system as off duty and identified by annotations in the remarks
or on a separate line added to the grid.
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11-Hour Rule Explanation
11 HOURS DRIVING
10 HOURS OFF DUTY
30 minute rest break
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11-Hour Rule - Example
VIOLATION:
11 Hour - NO
Rest Break - Yes
START: 6:00 P.M.
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14-Hour Rule - Example
VIOLATION:
YES – 14 Hour Rule
YES – Rest Break
10:00 P.M.
START:
4:00 P.M.
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Applying the 70/8 Rule
1.
On the morning of Saturday the 6th,
how many hours did the driver have
available?
2.
Is there a violation of the 70-hour
rule?
3.
On the morning of Tuesday the 9th,
how many hours did the driver have
available?
DATE
DAY
TOTAL HOURS ON
DUTY AND DRIVING
1
MON
12
2
TUE
14
3
WED
15
4
THU
10
5
FRI
14
6
SAT
10
7
SUN
0
4.
Is there a violation of the 70-hour
rule?
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MON
9
5.
On the morning of Friday the 12th,
how many hours does the driver have
available?
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TUE
12
10
WED
11
11
THU
0
Is there a violation of the 70-hour
rule?
12
FRI
?
6.
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Duty Status Record Requirements
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100-Mile Radius Exemption
Requirements:
• Time records must show start and finish times
• No more than 12 consecutive hours
• No more than 11 hours driving time
• 10 hours off between periods
X
Normal Work
Reporting
Location
• Time records must be maintained for 6 months
from date of receipt
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Shorthaul Provision
Requirements:
• Applicable to non-CDL drivers
• May not drive after 14th hour after coming on
duty 5 days a week or after 16th hour after
coming on duty 2 days a week
• Not required to keep of Record of Duty Status
• May drive a maximum of 11 hours after 10 or
more consecutive hours off duty
• Drivers who use this exemption are not eligible
to use the 100 air-mile exemption or the 16 hour
exemption
X
Normal Work
Reporting
Location
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How Logs Are Falsified
What Actually Happens
What Is Logged
Drive 14 hours
Log shows 11 hours driving
Many hours on duty
Hours shown as off-duty or as less than actual
Many drop-offs and side trips
Trips not shown on log
A number of short trips
Log shows off duty entire day
Hours spent in yard work
Hours shown as off duty or as less than actual
One driver makes many trips in one day
Two separate driver logs submitted for same day
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Supporting Evidence
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Bills of lading
Delivery receipts
Fuel receipts
Meal receipts
Motel and lodging records
Dispatch records
Accident reports
Daily vehicle inspection reports
Payroll records
Lease agreements
Time worked reports
Per diem payments
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Mileage report
Daily trip sheet reports
Road-side inspection reports
Leased operator statements to the
motor carrier
Ports of entry inspections
C.O.D receipts
Special permits for over-weight /
over-length / over-height loads
Unloading stop-off reports
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Lease inspection reports
Charges for demurrage and
other accessorial services
Pick-up orders
Temperature control records or
other in-trip record or
inspections, etc.
GPS records
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Driver Qualification File
Supplemental records:
• Notice to drivers/certificate of compliance
• I-9 immigration form
• MVR verifying Medical Registered with state of
license
• Verification of Medical Registry
• Pre-Employment Screening Program Record
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Inquiries to Past Employers - 391.23
• Past drug & alcohol testing results for previous 3 years
• Within 30 days, employer must investigate driver’s DOT
employment record for previous 3 years
• Previous employers must respond within 30 days
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Driver Investigation History File 391.53
Carriers must maintain records on investigation into safety
performance history of a new or prospective driver
Limited access to those involved in hiring
Can only be used in hiring process
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Driver Investigation History File Cont’d
• File must include:
• Driver’s written authorization to seek information on alcohol/controlled substances history
• Copy of responses received for investigations from previous employers
• History info must be retained for as long as you employ the driver and 3 years
thereafter
• File must be available to FMCSA or authorized state officials or authorized
third party
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PHYSICAL QUALIFICATIONS AND
EXAMINATIONS – 391.41-391.43
• Medical examinations after 5/21/2014
• Completed by medical examiners listed on national registry of certified
medical examiners
• CDL/CLP holders
• 1/30/2015 submit current medical examiners certificate to state of license
• No longer carry medical examiner certificate on person or copy after 15
days
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Acceptable Road Test Equivalents
In place of a road test, carrier may accept:
• Valid commercial driver’s license (except doubles/triples trailer or
tank endorsement)
• Road test certificate issued to driver within previous 3 years
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Part 382 Testing Requirements
• Pre-employment (drugs only)
• Post-accident
• Random
• Reasonable suspicion
• Return to duty
• Follow-up
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Pre-Employment Testing Requirements
• Test prior to performing safety sensitive functions
• Verified negative test results from MRO must be received
• Exemption available by obtaining test results from previous employer:
• If driver has participated in a controlled substance testing program that meets the
regulations within the previous 30 days
• If driver was tested in previous 6 months from the date of application with employer
OR
participated in a random testing program for the previous 12 months,
and
no prior employer has knowledge of a violation of the regulations of any
other DOT Agency within the previous 6 months
• Prospective employer must verify program is in compliance
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Post-Accident Testing Requirements
Required as soon as possible after:
• Fatality, OR
• Bodily injury AND the driver receives a citation for a moving
violation, OR
• Disabling damage requiring tow away AND driver receives a
citation for a moving traffic violation
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Post-Accident Testing Requirements
Alcohol:
• Test within 2 hours of accident
• After 8 hours, cease test attempts
Drugs:
• After 32 hours, cease test attempts
• If no test administered, document why
• Federal or State test results may be used
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Drug and Alcohol: Errors on
Records
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Situations Requiring Accident
Register Entries
• A fatality
• Bodily injury to a person who immediately receives medical treatment
away from scene
• One or more vehicles incurs disabling damage and must be towed away
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Required Accident Register
Information
• Date of accident
• City or town in which (or most near)
accident occurred
• State in which accident occurred
• Driver name
• Number of injuries and fatalities
• Whether hazardous materials were released
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Importance of Vehicle Maintenance
Record
• Safety
• Safety rating
• Customer satisfaction
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Inspection and Maintenance
Recordkeeping Problems
Driver’s Daily Inspection Report Mistakes
• Sometimes drivers skip those items that require getting under the truck or behind
the wheels
• Power unit - service brakes, suspension, wheels/rims/lugs, brakes
• Towed unit - suspension, tires, brakes
Mechanic’s Annual Inspection Record
• Steering linkage
• Frame members
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Driver’s Inspection Report
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Record of Annual Inspection
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Summary of DOT Record-Keeping
Time Frame Requirements
Record
Drivers' Logs
Vehicle Inspection Reports
Annual Inspection Report
Maintenance Records
Positive D&A Tests
Negative D&A Tests
Driver Qualification Files (post employment)
Duration
6 months
3 months
14 months
1 year
5 years
1 year
3 years (post employment)
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OSHA Definition of Employees
Employee status if:
• Employer supervises worker’s day to day activities
• Employer pays worker’s wages and withholds FICA taxes
• Employer hired the worker and has authority to terminate worker’s
employment
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OSHA Definition of Injuries and
Illnesses
Injuries or illnesses are determined by nature of
original event or exposure
• Injuries - instantaneous events in the work environment
• Illnesses - abnormal conditions or disorders caused by
exposure to environmental factors associated with
employment
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Recording Medical Treatment vs.
First Aid
Medical Treatment
• Medical or surgical care for injuries not minor
First Aid
• Limited to 1 time treatment of only minor injuries
• Any 1 time treatment and any follow-up checkup visit
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OSHA Form 300 Common Mistakes
• If no entries, no “0” listed
• Entries not totaled
• Over-recording or under-recording of injuries
• Inaccurate counting of day of occurrence
• Failure to record injuries that occur at another company’s facility
• Injuries that occur on 12/31 erroneously recorded for year during which lost workdays
occur
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Questions
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