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

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)

DOT Regulations 49 CFR, FMCSRs 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

Compliance, Safety, Accountability (CSA) CSA is FMCSA’s data-driven safety compliance and enforcement program CSA is the safety compliance and enforcement program that FMCSA uses to monitor the safety record of all registered motor carriers in the United States. CSA is important to every motor carrier, including owner-operators, because FMCSA uses it to identify, prioritize, and intervene with large truck and bus carriers who pose the highest safety risk on our roadways. You help keep your fleet on the road by adhering to FMCSA’s rules and regulations, and taking corrective action swiftly when necessary.

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) The CSA program consists of three key components that work together to improve safety on America’s highways: The Safety Measurement System, or SMS The safety interventions process The proposed Safety Fitness Determination, or SFD Through the SMS, CSA analyzes data from roadside inspections, including all violations, investigations, and crash reports from the last two years to prioritize carriers for interventions. It’s important to remember that all roadside inspection results and crash reports count in the SMS, not just out-of-service violations. The second element of the CSA program is the safety interventions process. An intervention is an enforcement action that may be taken when a carrier’s safety performance data indicate a potential safety risk. An FMCSA intervention evaluates why safety problems occur, recommends remedies, encourages corrective action, and when necessary, invokes strong penalties for carriers failing to comply. The proposed SFD is the rule component of the program. The proposed rule will replace the current safety rating process and use on-road safety performance data and/or investigation results to assess the safety fitness of more carriers every month. We expect to publish a Notice of Proposed Rulemaking (NPRM) for the SFD in January 2016. Now, let’s take a closer look at the heart of CSA—the SMS.

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 The SMS assesses your safety compliance with FMCSA’s regulations by organizing your roadside inspection, crash, and investigation data into seven safety behavior categories or BASICs: Unsafe Driving Crash Indicator Hours-of-Service Compliance Vehicle Maintenance Controlled Substances/Alcohol Hazardous Materials (HM) Compliance Driver Fitness The BASICs help you understand where you stand in terms of safety compliance with FMCSA regulations, or Federal Motor Carrier Safety Regulations (FMCSRs). Each BASIC addresses specific requirements in the FMCSRs, and focuses on behaviors linked to crash risk. For instance, the Unsafe Driving BASIC relates to Parts 392 and 397 of the FMCSRs, and refers to the operation of CMVs by drivers in a dangerous or careless manner. Some examples of roadside safety violations that may cause a carrier to rank poorly in this BASIC include speeding, reckless driving, improper lane change, and inattention.

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 It’s also essential to understand what CSA means for your drivers and how their safety performance impacts your business. You are accountable for your drivers’ violations. While you do not inherit past violations of a driver you have just hired, the data from inspections while a driver works for you remain part of your record for two years. It’s vital to safety—and to the health of your business, to make sure your drivers get road smart.

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 Safety Investigators (SIs) use driver information in the SMS to help conduct more effective and efficient investigations by focusing on specific drivers for those carriers already identified for investigations. Here is a very important point, and a source of much confusion in the motor carrier industry: Some third-party companies use data from FMCSA records and issue what THEY call a “CSA score” or “CSA driver scorecard.” These “scores” are not issued by the Federal or State government. Regardless of what you may have heard, FMCSA does not currently assign safety ratings, “scores,” or points to drivers.

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 Let’s talk about how you can use the Pre-Employment Screening Program, or PSP to make informed hiring decisions. PSP provides you with secure, electronic access to a driver’s crash and inspection history from FMCSA’s Motor Carrier Management Information System (MCMIS) database. A PSP record includes a driver’s most recent five years of crash information and most recent three years of inspection information. The record displays a snapshot in time, based on the most recent MCMIS data uploaded to the PSP system. A new snapshot is uploaded approximately once per month. You will need the driver’s consent to obtain the record, and may only request the record for pre-employment screening purposes. Drivers can obtain their own record any time through the PSP online service for a $10 fee or for free via a Freedom of Information Act request. On the next slide, we will show you how to review your safety data in the SMS.

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 First, it’s important to understand what safety data you can view as a logged-in motor carrier and what safety data everyone else can see. The table above provides a breakdown of available safety data by user. The public view is available to everyone—it includes BASIC information for all carriers, with the exception of the HM Compliance and Crash Indicator BASICs. Once you are logged in, you can view all of your company’s own BASIC information, including the HM Compliance and Crash Indicator BASICs, driver names per inspection, and downloadable inspection and crash data. Enforcement can see all of the safety data in your SMS profile, as well as some additional safety information, which help them prioritize their resources and conduct investigations.

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 Your safety data is important to your business. It affects your safety record, and FMCSA, the public, and other safety stakeholders can see it. FMCSA urges you to check your data periodically to make sure that it’s accurate. Let’s take a step-by-step walk through how to check your data, and what you can do if you believe some data needs to be corrected.

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 First, check your safety record on the SMS Website. Then use FMCSA’s online system, DataQs, to request a review of your data if needed. Anyone can use DataQs to file a Request for Data Review, or RDR, to identify concerns about data in FMCSA’s data systems. As a motor carrier or owner-operator, you can file concerns about your inspection and crash data, or other information displayed in your safety record. Once you have completed an RDR form, DataQs will automatically forward your RDR to the appropriate office for resolution and collect updates and responses for your current requests. On the next couple slides, we will cover what you need to know about filing RDRs—from best practices to inappropriate requests. An RDR is your chance to correct errors in your safety data, so it’s important that you provide sufficient information to support your request. States need as much supporting documentation as possible to accurately resolve a data review request. A complete and accurate RDR will make the process faster and reduce the likelihood that you will need to resubmit your request.

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: “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” Understand when you can submit an RDR: You can only submit an RDR for violations that were incorrectly reported or documented during an inspection. Requests that do not meet this criteria are inappropriate. These may include statements such as: the crash wasn’t our fault, or the driver was fired.

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

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.

Sleeper Berth Example CAN BE OFF DUTY OR IN SLEEPER BERTH 10 HOURS OFF DUTY CAN BE OFF DUTY OR IN SLEEPER BERTH 11 HOURS DRIVING 9 HOURS DRIVING

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.

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.

11-Hour Rule Explanation 11 HOURS DRIVING 10 HOURS OFF DUTY 30 minute rest break

11-Hour Rule - Example 11 Hour - NO Rest Break - Yes VIOLATION: START: 6:00 P.M.

14-Hour Rule - Example YES – 14 Hour Rule YES – Rest Break 10:00 P.M. VIOLATION: START:

TOTAL HOURS ON DUTY AND DRIVING Applying the 70/8 Rule DATE DAY TOTAL HOURS ON DUTY AND DRIVING 1 MON 12 2 TUE 14 3 WED 15 4 THU 10 5 FRI 6 SAT 7 SUN 8 9 11 ? On the morning of Saturday the 6th, how many hours did the driver have available? Is there a violation of the 70-hour rule? On the morning of Tuesday the 9th, how many hours did the driver have available? On the morning of Friday the 12th, how many hours does the driver have available?

Duty Status Record Requirements

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 Time records must be maintained for 6 months from date of receipt 100 miles X Normal Work Reporting Location

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 150 miles X Normal Work Reporting Location

How Logs Are Falsified What Actually Happens What Is Logged Drive 14 hours Many hours on duty Many drop-offs and side trips A number of short trips Hours spent in yard work One driver makes many trips in one day Log shows 11 hours driving Hours shown as off-duty or as less than actual Trips not shown on log Log shows off duty entire day Hours shown as off duty or as less than actual Two separate driver logs submitted for same day

Supporting Evidence 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 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 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 _______________________________________________________________

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

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

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

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

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

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

Part 382 Testing Requirements Pre-employment (drugs only) Post-accident Random Reasonable suspicion Return to duty Follow-up

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; and 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

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

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

Drug and Alcohol: Errors on Records

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

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

Importance of Vehicle Maintenance Record Safety Safety rating Customer satisfaction

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

Driver’s Inspection Report

Record of Annual Inspection

Summary of DOT Record-Keeping Time Frame Requirements Record Duration Drivers' Logs Vehicle Inspection Reports Annual Inspection Report Maintenance Records Positive D&A Tests Negative D&A Tests Driver Qualification Files (post employment) 6 months 3 months 14 months 1 year 5 years 3 years (post employment)

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

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

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

Recording Medical Treatment vs. First Aid 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

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

Questions