Safety Audit

[Mackman]

Can someone give me a heads up on what they look for in your safety aduit. This whole thing seems like a alot of BS to haul some stone.

OOIDA gave me a pocket of stuff. With a driver app. etc. but what else should i do??? Thanks again.

[GMAN]

All new carriers are supposed to be audited within the first 18 months of operation. Any deficiencies are not supposed to hurt you during the initial audit. I know a couple of people who went through an audit shortly after obtaining their authority. You will need to have a drivers application on file for all drivers. If you are the only driver you will still need an application for yourself. You should have a maintenance file on your equipment, subscribe to a drug consortium and have a system set up for handling safety problems, such as for log errors or falsifications. They could ask for logs and audit them. Your IFTA could also be checked for accuracy. The idea of an early audit is to make sure carriers have everything set up properly. If problems are found then they could call for another audit to make sure problem areas have been addressed. If problems are not corrected then the fines could start. During the initial audit they may also do an equipment inspection. As long as your paperwork is set up properly you should not have any problems.

[GMAN]

Your state IRP or IFTA office should have a list of things that you need to have prepared for an audit.

[chris1]

Since implementation of CSA2010 any failure of 15 areas results in a compliance review. Go to CSA2010.com and search for new entrant audit. It will give the areas the are checked.

[LBF]

This might be a good time to find a safety/compliance consultant, one who is also able to take care of paralegal issues for "the fleet"?

Retired enforcement officers with a training background seem to relish working for the "other side" in their retirement, continuing the education of their former co-workers...

Audits are easy, you simply follow all the steps, never mind if they are silly.

[MichiganDriver]

All new carriers are supposed to be audited within the first 18 months of operation. Any deficiencies are not supposed to hurt you during the initial audit. I know a couple of people who went through an audit shortly after obtaining their authority. You will need to have a drivers application on file for all drivers. If you are the only driver you will still need an application for yourself. You should have a maintenance file on your equipment, subscribe to a drug consortium and have a system set up for handling safety problems, such as for log errors or falsifications. They could ask for logs and audit them. Your IFTA could also be checked for accuracy. The idea of an early audit is to make sure carriers have everything set up properly. If problems are found then they could call for another audit to make sure problem areas have been addressed. If problems are not corrected then the fines could start. During the initial audit they may also do an equipment inspection. As long as your paperwork is set up properly you should not have any problems.

When you talk about log errors or falsifications I do get that you're probably not talking about single driver operations but I can imagine that they'd still want some system in place. For one man operations it might be the silly season.

CSA compliance guy: "What is your procedure for handling log book errors".
O/O: "I fine the driver $20".
CSA compliance guy: "What happens to the $20?".
O/O: "I order pizza".
CSA compliance guy: "You can get a decent pizza around here for $20?".
O/O: "If I'm in the mood for a deluxe I just fine myself a little more".
CSA compliance guy: "Ok, seems like a reasonable procedure".

[GMAN]

I have a friend who went through a new entrant audit. He had one or two minor errors on some logs. He was told that he had to have something in place to handle such events. So, my friend sent himself a letter to reprimand himself for his error and told himself to be more careful. I know it sounds silly, but that is our government. It doesn't matter if you are the only driver, they apparently expect you to have a system in place which will deal with safety issues when it comes to drivers. After the initial audit fines can be stiff if they find something that is out of order. My friend didn't have any fines imposed because it was a "new entrant audit." It also seems silly to have a drivers application on file for a single truck operation where the owner is the only driver. No matter how silly some of these rules may seem, if you are going to run your authority you need to learn how to jump through the hoops.

After the new entrant audit some issues could trigger an audit or intervention based upon your history. If you have several log violations or equipment problems which appear on your CSA then it could trigger more aggressive intervention or an audit.

[Papa Rick]

Safety Audit
Can someone give me a heads up on what they look for in your safety aduit. This whole thing seems like a alot of BS to haul some stone.

OOIDA gave me a pocket of stuff. With a driver app. etc. but what else should i do??? Thanks again.

Mackman, I went through my Compliance Review Dec 2009. Didn't get a safety audit, but full blown audit I had 48 hrs to have all my paperwork ready. Praise God, I came through with no dings, perfect score on it. The below is a LONG LIST of items you will need in place (EVEN IF YOU ARE AN O/O), it does not matter if you are the only person with your company, it must be looked at as a Company, including you being on a Drug Consortium (this is HUGE, and can get you shut down if not on the drug consortium) Below is a list of items and the reg you can find what it states for you.

DRIVER QUALIFICATION FILE CHECKLIST
©copyright 2011

____ DRIVERS APPLICATION FOR EMPLOYMENT (49 CFR 391.21) (Form 1Z)
(List all previous employers for the past 10 years, with no gap on employment dates)

____ FAIR CREDIT REPORTING ACT DISCLOSURE STATEMENT (Form 2Z)
(49 CFR 382.413, & 391.25)
(This is used to get permission to request Previous Employment, Driving Record, Drug and Alcohol Test Results)

____ SAFETY PERFORMANCE HISTORY RECORDS REQUEST
(49 CFR 391.23 (a) (2) & c) (Form 3Z)
(This form is used to check with previous employer on drug and alcohol and accident history)

____ DRIVING RECORD FROM STATE AGENCIES - ANNUAL (49 CFR 391.25 (a) & c)
(This the same form, required to be requested every 12 months)

____ DRIVING RECORD FROM STATE AGENCIES-3 YEAR (49 CFR 391.23(a)(1)(b)
(This form is the one you get from each State the Driver held a CDL for the previous 3 years)

____ MOTOR VEHICLE DRIVERS CERTIFICATION OF VIOLATIONS
(49 CFR 391.27) (Form 4Z)
(The Driver will fill out for a list of Traffic Violations for the past 12 Months, excluding parking violations)

____ MOTOR CARRIER SAFETY PROGRAM ANNUAL REVIEW OF DRIVING RECORD
(49 CFR 391.25 (b) & c) (Form 5Z)
(The Motor Carrier shall review and certify the driver meets the minimum requirements for safe driving)

____ RECORD OF ROAD TEST OR EQUIVALENT (49 CFR 391.31) (Form 6Z)
(In Place of the Road Test you may accept the Driver’s CDL as proof of Road Test, unless CDL just acquired)

____ SAMPLE MEDICAL EXAMINER’S CERTIFICATE (49 CFR 391.43)
(Required before starting to drive, this Form should be maintained in a confidential file)

_____ COPY OF EMPLOYEE ELIGIBILITY VERIFICATION (FORM I-9) (Homeland Security)
(You may use CDL and SSAN as proof of verification, Be Sure to make a Copy and maintain in a confidential file)

_____ CERTIFICATION OF COMPLIANCE WITH DRIVER LICENSE REQUIREMENTS
(49 DFR 383.37) (Form 7Z) (This form is used to ensure driver has only one CDL)

______ DRIVER STATEMENT OF ON-DUTY HOURS (For Newly Hired Drivers) (Form 8Z)
395.8 (j)(2)







©Copyright 2011 Zoe Compliance Company Rainsville AL 35986
Form AAA




DRUG AND ALCOHOL REQUIREMENTS


____ ALCOHOL & DRUG RECORDKEEPING LOG (Form 9Z)
(This form is not required by DOT, but is a good item to keep up with dates)

____ PREVIOUS PRE-EMPLOYMENT EMPLOYEE ALCOHOL AND DRUG
TEST STATEMENT (49 CFR, 40.25 (j) ) (Form 10Z)

(This form is used to ask the employee if they have tested positive, or refused to test prior to applying for employment with you)
____ DRUG AND ALCOHOL RECORDS REQUEST
(49 CFR 40.329, 40.331(a), 382.405 (b) & (f) (Form 11Z)
(This is used to request copies of DOT drug and or alcohol testing records from previous employers)

____ ALCOHOL AND/OR DRUG TEST NOTIFICATION (49 CFR 382.113, 382.301) (Form 12Z)
(Prior to the first time a driver performs safety sensitive functions for an employer, the driver shall undergo testing for controlled substances as a condition prior to being used. They must be negative to start work for you!! There are exceptions to doing this check 382.301 (b) )

____ ALCOHOL AND DRUG EMPLOYEE’S CERTIFIED RECEIPT POLICY (Form 13Z)
(49 CFR 382.601 (d)
(This form is for the employee to acknowledge he/she has been briefed on company drug and alcohol policy and rules)

____ ALCOHOL AND CONTROLLED SUBSTANCES TESTING POLICY (CDL)
(382.601 (a) (1) (Form 14Z)
(Very important to ensure everything required in this Refer to 382.601 is included in your Drug and Alcohol Policy, dated and signed)

____ ANNUAL DRUG AND ALCOHOL TEST (49 CFR 382.403) copy of form is provided
This form is provided when you go in for your Test.

____ ANNUAL DRUG TEST RESULTS (40.163 (c)) Copy of form is provided
(Drug Consortium provides this) (BE SURE IT IS THE CORRECT FORM FOR 2010)




Of the 24 List of Acute Regulations, 10 of these are covered by Drug and Alcohol Standards. For A complete list of the 24 refer to Appendix B to Part 385 VII. If you have only 1 Acute Violation your safety rating will be Conditional, 2 or more Acute Violation and you will get an Unsatisfactory safety rating.


VEHICLE AND INSURANCE QUALIFICATION FILE CHECKLIST



____ ANNUAL INSPECTION (CFR 396. 17 - 23)
Sample Copies are provided (Form 15Z) (Be careful who does this, read: 396.19)

____ ACCIDENT REGISTER (49 CFR 390.15) (Form 16Z) (Must be completed every year)

____ ACCIDENT REPORT (49 CFR 390.15 (For accidents within last 3 years)
(Obtain this after an accident from the State it occurred in.)

____ INSURANCE DECLARATION PAGE (49 CFR 387.9) (Sample Copy, Your Ins. Co. will provide)

____ MCS - 90 (49 CFR 387.9.) (Sample Copy, Your Insurance Company should provide you with one)

____ STOP LOSS REPORT (Sample Copy provided) (Insurance Co. will provide)
(Not required but gives proof of any accident)
____ EMPLOYEE MONTHLY TIME SHEET (49 CFR 395(e) (1) (I)(ii)(iii)(iv)(A)(B)(v)(A-D))
(Form 17Z)



VEHICLE MAINTENANCE FILE CHECKLIST


____ IDENTIFICATION OF COMPANY VEHICLE (49 CFR 396.3) (Form 18Z)

____ PRE-TRIP INSPECTION FORM (49 CFR 392.7) (Form 19Z)
**This form is not required by DOT**

____ VEHICLE SERVICE DUE STATUS REPORT (49 CFR 396.3 (a) (b) (2) (3) & 396.5 (a) (b))
(A Form like this is required by the DOT, but you do not have to use
this one, you may do one different as long as it has the required items listed) (Form 20Z)

____ POST-TRIP REPORT DVIR (49 CFR 396.11(a))
(A Form like this is required by the DOT, but you do not have to use
this one, you may do one different as long as it has the required items listed) (Form 21Z)

[chris1]

If you file for an MC# don't forget if you're running intrastate and small enough radius to be Fed HOS exempt that you have to keep a record of the on duty hours(timesheet,paystub,ect)

[Papa Rick]

chris1
If you file for an MC# don't forget if you're running intrastate and small enough radius to be Fed HOS exempt that you have to keep a record of the on duty hours(timesheet,paystub,ect)




B-1. Do these HOS regulations apply to intrastate commerce?
No. Intrastate commercial motor vehicle regulations are under the jurisdiction of each State. The HOS regulations apply directly only to interstate commerce. However, most States have adopted intrastate regulations which are identical or very similar to the Federal hours-of-service regulations. A driver involved exclusively in intrastate operations should contact the State agency handling commercial vehicle enforcement in the driver's home State with any questions. Usually this is the state police or highway patrol, although in some States, the function is handled by the department of motor vehicles, department of public safety, or public service commission.


C-6. How would you summarize the 100 air-mile radius HOS provision in
§ 395.1(e)(1)?
The 100 air-mile radius exception in Part § 395.1(e)(1) is an option to use time records in lieu of RODS on days when the driver meets the conditions of the exception, which are:

The driver operates within a 100 air-mile ( 115 statute miles) radius of the normal work reporting location, and
The driver returns to the work reporting location and be released from duty within 12 consecutive hours, and
The driver maintains time records as specified in the rule, and
The driver is not covered by the "non-CDL 150 air-mile radius" provision.

[chris1]

If you operate just under state authority(PUC,ect) you only have to worry about the state.(if in the 100 radius) If you operate under an MC# and state PUC you have to be carefull on the record keeping.

[Papa Rick]

Sorry Mackman after reading the post again I saw that you wanted to know about the safety audit:

New entrant safety assurance program

§385.307 What happens after a motor carrier begins operations as a new entrant? After a new entrant satisfies all applicable pre-operational requirements, it will be subject to the new entrant safety monitoring procedures for a period of 18 months. During this 18-month period:

(a) The new entrant’s roadside safety performance will be closely monitored to ensure the new entrant has basic safety management controls that are operating effectively.
(b) A safety audit will be conducted on the new entrant, once it has been in operation for enough time to have sufficient records to allow the agency to evaluate the adequacy of its basic safety management controls. This period will generally be at least 3 months.
(c) All records and documents required for the safety audit shall be made available for inspection upon request by an individual certified under FMCSA regulations to perform safety audits.

§385.311 What will the safety audit consist of? The safety audit will consist of a review of the new entrant’s safety management systems and a sample of required records to assess compliance with the FMCSRs, applicable HMRs and related record-keeping requirements as specified in Appendix A of this part. The areas for review include, but are not limited to, the following:

(a) Driver qualification;
(b) Driver duty status;
(c) Vehicle maintenance;
(d) Accident register; and
(e) Controlled substances and alcohol use and testing requirements

§385.315 Where will the safety audit be conducted? The safety audit will generally be conducted at the new entrant’s business premises

§385.317 Will a safety audit result in a safety fitness determination by the FMCSA? A safety audit will not result in a safety fitness determination. Safety fitness determinations follow completion of a compliance review


Hope this helps for the audit, question..... do you go only in one state or out of state?

[Mackman]

Thanks everyone for the replys.

I go out of state. PA NJ AND DE. All this is getting me worked up.

[Papa Rick]

Its not really that bad Mackman as long as you stay on top of it, really not bad at all.