Source: https://part380.com/blog/category/audits/
Timestamp: 2019-02-16 23:35:41
Document Index: 39058415

Matched Legal Cases: ['§ 385', 'art 385', 'art 385', 'arts 383', 'art 395', 'arts 393', 'art 390', 'art 382', 'art 383', 'art 387', 'art 391', 'art 392', 'art 393', 'art 395', 'art 397', 'arts 170', 'art 171', 'art 390', 'art 390']

Audits | DOT / CSA Insights: Success Ahead
What is the DOT’s New Entrant Safety Audit?
§ 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:
(e) Controlled substances and alcohol use and testing requirements. (Part 385.311)
If you have registered for a new DOT Number, depending on your operations, you may be subject to a New Entrant Safety Audit. If so, you will be notified several weeks in advance.
The safety audit is an examination of the new entrant’s safety management systems, including records and documentation to see if your operations are compliant with the Federal Motor Carrier Safety Regulations (FMCSRs), any applicable Hazardous Materials Regulations (HMRs) and related record-keeping requirements as specified in Appendix A of Part 385. The areas for review include, but are not limited to, the following:
(a) Driver qualification – Parts 383 and 391;
(b) Driver duty status – Part 395;
(c) Vehicle maintenance Parts 393 and 396;
(d) Accident register and copies of accident reports Part 390; and
(e) Controlled substances and alcohol use and testing. Part 382
Other areas looked at may include:
• Commercial driver’s license standard violations Part 383;
• Inadequate levels of financial responsibility Part 387;
• The use of unqualified drivers Part 391;
• Improper use and driving of motor vehicles Part 392;
• Unsafe vehicles operating on the highways Part 393;
• The use of fatigued drivers Part 395;
• Transportation of hazardous materials, driving and parking rule violations Part 397;
• Violation of hazardous materials regulations Parts 170 to 177;
• Hazardous materials incidents – Part 171.
Safety audits do not result in safety ratings.
Biggest Problem Areas
It’s no secret how new entrants fail the safety audit. The FMCSA recently reported on a new entrant who admitted he was too busy to concern himself with learning about the federal regulations. This wasn’t what the auditor wanted to hear.
Not responding to a request for an audit, or not having requested records is another way not to pass. Not responding (short of a “life or death” type of circumstance) can result in a cancellation of the DOT number and the need to re-apply in 30 days. In the mean time, you would not be able to operate your DOT regulated vehicle(s) in interstate commerce (and intrastate in some states).
Certain rule violations are considered automatic failures. Drug and alcohol compliance is high on the list. So is having a qualified driver, a vehicle with a periodic inspection and insurance, and adherence to Hours of Service rules.
A new entrant who fails the safety audit may be allowed to submit a written corrective action, within 45 or 65 days, depending on the type of their operations. Waiting to the last day to submit the documentation is not a good idea, as it needs to be approved.
The good news is that most new entrants will be successful, if they follow the federal regulations and keep good records (if it’s not documented— it’s not done)..
Posted in Audits, Compliance	| Tagged DOT written corrective action, New Entrant DOT Safety Audit, rule violations are considered automatic safety audit failures
Crunch Time: Accident Documentation
The Federal Motor Carrier Safety Regulation 49 Part 390.15 requires that all motor carriers maintain an accident register and accident files (copies of the crash reports) on all “DOT reportable” accidents, for a period of three years from the date of each accident.
An “accident” is defined in Part 390.5 as:
1. A fatality;
2. Bodily injury to a person who, as a result of the
injury, immediately receives medical treatment
away from the scene of the accident; or
3. One or more motor vehicles incurring *disabling
damage as a result of the accident, requiring the
motor vehicle(s) to be transported away from the
scene by a tow truck or other motor vehicle.
* Damage to a motor vehicle which prohibits the vehicle from leaving the scene in its usual manner during daylight hours after simple repairs; or
Damage to a motor vehicle that could have been driven, but would have been further damaged if driven
The term “accident” for DOT purposes does not include:
1. An occurrence involving only boarding and alighting from a stationary motor vehicle; or
Required information on the register:
Whether hazardous materials, other than fuel spilled from the fuel tanks of motor vehicle involved in the accident were released.
I recommended that motor carriers maintain two accident registers (for the calendar year):
1. a DOT recordable accidents only register;
2. a Non-DOT recordable accidents register.
This will limit information in an audit situation, yet still provide the big picture to effectively analyze all incidents and accidents.
Accident registers may be kept electronically— if you can print a hard copy for the FMCSA upon request.
Click here for sample Accident Register in .pdf format.
Q. We are a small operation and, knock on wood, have never had an accident. Do we need an accident register?
A. Yes. If you have not had a reportable accident, then create the accident register form and write “None” on the form.
Posted in Audits, DOT 101	| Tagged DOT accident register, DOT audits, reportable DOT accident