1. What to Expect at a Compliance Review CTMA Conference July 2015

2. What Triggers a Roadside Inspection? Visible violations ▫Equipment, license plates, permits, HM markings or placards, traffic violations Some states use random number generators HM transportation

3. CSA Impact Roadside violations drive CSA Scores CSA Scores result in Basic Alerts Basic Alerts result in Compliance Investigations

4. What Triggers a Review? Motor Carrier Compliance Review ▫Focused, Comprehensive, or Off-Site ▫CSA Scores ▫Crashes ▫Complaints (internal or external) ▫HM incidents ▫High-Risk HM (Explosives, RAM, PIH) May be Scheduled or Unannounced

5. Preparing for a Review If not provided one, ask for a list of items the investigator will need to see during the review. Don’t manufacture documents! Have key personnel available during the review. Clear your calendar as much as possible. ▫If a staff person is handling the review, check in frequently.

6. During the Review Try to relax! Don’t be offended if the investigator wants to interview staff personnel privately. Investigators realize you won’t have every piece of paper at your fingertips right when they walk in. Realize that investigators must do “due diligence” and investigate all possible violations, and not just accept you at your word.

7. HM Reviews Be prepared for the investigator to: ▫Inspect the warehouse, loading dock, explosive magazines, etc.; ▫Walk around/climb on cargo tanks or other vehicles; ▫Inspect HM packages; ▫Take pictures.

8. It’s Just Paper Paper is an indicator of how your operations are managed ▫How is vehicle maintenance tracked? ▫How are driver qualifications monitored? ▫How are cargo tank qualifications verified? If it’s not documented, it didn’t happen ▫Criminal and civil liability

9. Who’s minding the store?? Consider having a third party audit Outsider point of view DOT compliance often gets pushed aside for the urgent matters of the day

10. The best way to prepare for DOT… Have a corporate attitude to Run Legal Establish a system to regularly manage compliance in these three areas: Vehicles, including cargo tanks Drivers HM transportation

12. HM Training #1 Violation for PHMSA and FMCSA enforcement cases 5 Categories of Training TRAINED TESTEDMust Certify that you have TRAINED and TESTED your HM Employees! Document, document, document

13. Function Specific Training Personnel who: ▫Make and retain shipping papers ▫Fill, load, close, and mark/placard packages and/or vehicles ▫Manufacture or test packages (cargo tanks, IBCs) ▫Manage HM employees

14. Function Specific Training Special Permits Drivers – see 177.816 – CDLs are valid more than 3 years! Must be specific to what they do: ▫Dock worker: Package Closure Instructions, Special Permit, Segregation and Securement, Marking/Labeling/Placarding, etc.

15. Training Questions How often do I have to provide training to my HM employees? If I change my security plan, do I have to provide training to my employees under the plan? What is the one training category that can never be accepted from a previous employer?

16. Other Common Violations Security Plans – ▫Incomplete – see 172.802 ▫No site-specific risk assessment Failing to report HM incidents – 171.15/16 Cargo Tank maintenance ▫Repairs by unregistered shops ▫Improper/no tests/inspections

18. Shipping Paper Violations Improper Sequence No Technical Name Information interspersed No/improper ER TX# No ERI, improperly maintained in vehicle Fail to retain

19. Shipping Paper Retention If using a permanent shipping paper in the trucks, are you maintaining a record? Shipper/Private Carrier : 2 years Must include date, UN#, proper shipping name, and quantity

20. Be careful out there! David W. Ford 404-327-7374 david.ford@dot.gov HM Program Manager Southern Service Center USDOT/FMCSA