0. Motor Fleet Safety Basics: Training for the Safety Supervisor
Unit 3: DOT/OSHA Recordkeeping Issues and Requirements

1. 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

2. 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)

3. DOT Regulations 49 CFR, FMCSRs Part 380 – Entry Level Training
Part 381 – Waivers and Exemptions
Part Controlled Substances and Alcohol Testing
Part Procedures for Drug & Alcohol Testing
Part Commercial Drivers License
Part Safety Regulations - General
Part Qualifications of Drivers
Part Hours of Service of Drivers
Part Inspection, Repair & Maintenance
Part 397 – Hazardous Materials
Parts – Hazardous Materials

4. 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.

5. 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.

6. 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.

7. 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.

8. 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.

9. 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 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.

10. 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.

11. 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.

12. 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.

13. 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.

14. 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

15. 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.

16. 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

17. 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.

18. 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.

19. 11-Hour Rule Explanation
11 HOURS DRIVING
10 HOURS OFF DUTY
30 minute rest break

20. 11-Hour Rule - Example 11 Hour - NO Rest Break - Yes VIOLATION:
START: 6:00 P.M.

21. 14-Hour Rule - Example YES – 14 Hour Rule YES – Rest Break 10:00 P.M.
VIOLATION:
START:

22. 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?

23. Duty Status Record Requirements

24. 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

25. 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

26. 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

27. 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
_______________________________________________________________

28. 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

29. 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

30. 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

31. 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

32. 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

33. 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

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

35. 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

36. 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

37. 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

38. Drug and Alcohol: Errors on Records

39. 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

40. 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

41. Importance of Vehicle Maintenance Record
Safety
Safety rating
Customer satisfaction

42. 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

43. Driver’s Inspection Report

44. Record of Annual Inspection

45. 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)

46. OSHA Regulations 29 CFR, Part 1904 OSHA 300 - Log
OSHA 300A – Form that makes it easier to post and calculate incidence rates
OSHA Incident Report
Do not complete these by hand – use the spreadsheet you can download from

50. 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

51. 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

52. 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

53. 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

54. Questions