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THE Basic Foundation of a Successful Trucking Company...Brief Overview of the Essential Elements a Trucking Entrepreneur Must Be Knowledgeable of...and a little more!
Citation preview
1
By
Johnny Schrunk
“The Nations #1 Trucking Business Coach”
All Rights Reserved. ©2009
2
The Essential Elements of
Safety & Security
The Essential Elements of
Safety & Security
Regulatory Insurability
Risk Control
20092009
3
Regulations..errrrRegulations..errrr FMCSRFMCSR OSHA RecordkeepingOSHA Recordkeeping
4
Federal Motor Carrier Safety Regulations
Federal Motor Carrier Safety Regulations
Driver Qualification & Selection Drug & Alcohol Testing Hours of Service Regulatory Updates Compliance
5
The Qualification ProcessThe Qualification Process
Requirements Application Background Checks
Employment History Drug/Alcohol History
Motor Vehicle Records Drug Test & Physical Exam Testing & Training
6
Minimum Requirements for Driver Qualifications
Minimum Requirements for Driver Qualifications
Written form Minimum age Minimum experience MVR standards
Meet or exceed DOT requirements Meet or exceed insurance company
standards Followed without exception
7
The ApplicationThe Application
Completed in its entirety Must list:
All employers in past 3 years All commercial driving experience for the 7
years preceding this 3-year period All accidents & violations in past 3 years All other required information
8
Background Checks:Employment History
Background Checks:Employment History
Investigation must be made within 30 days of the date employment begins
Written record Past employer’s name &
address Date of contact Comments made
regarding the driver
9
Previous employers for prior 2 years Driver’s written authorization Inquire about:
Alcohol test results of 0.04 alcohol concentration or greater
Positive drug test results Refusals to test Positive pre-employment tests
Background Checks:Drug/Alcohol History
Background Checks:Drug/Alcohol History
10
Motor Vehicle RecordsMotor Vehicle Records
Pre-hire Obtained within 30 days of qualification Kept while driver is employed
Annual Annual reviews kept for 3 years
11
10 Basic Rules of Employee Recruiting
10 Basic Rules of Employee Recruiting
1. If you DO NOT need new employees, DO NOT recruit & accept applications.
2. If you DO need new employees, first recruit from within.
3. Give all prospective applicants an equal opportunity for selection.
4. Accept only official company employment application forms.
5. Ensure that your employment application is legally sound & protects your interests.
12
10 Basic Rules of Employee Recruiting (cont’d)
10 Basic Rules of Employee Recruiting (cont’d)
6. Interviewers trained to ask the right questions
a. Avoid questions about: Race Religion National origin Sex Age Disability
13
7. Conduct background investigations & reference checks.
8. Evaluate candidates on objective criteria.9. Ensure the right person(s) make the final
decision.10. Be consistent & fair throughout the
process.
10 Basic Rules of Employee Recruiting (cont’d)
10 Basic Rules of Employee Recruiting (cont’d)
14
How to Attract QUALITY DriversHow to Attract QUALITY Drivers
REFERRALS Advertising Recruitment Firms/Employment
Agencies Johnny’s SOCIAL MEDIA MATRIX
15
Employee ScreeningEmployee Screening
Preliminary Interviews Written Applications
Consistent policy for unsolicited employment inquiries
Accept only applications on company-approved forms (no resumes)
Time limit on considering applications
Planned or Scheduled Interviews
16
Interviewing GuidelinesInterviewing Guidelines
Be prepared Be a DAMN GOOD
listener Be consistent Be objective Interview defensively Hire Offensively USE PROFILING!!!
17
Negligent Entrustment…bad dealNegligent Entrustment…bad deal
Entrusting a vehicle to someone without completing proper steps
Closely related to: Respondeat Superior = Holds employer
responsible for the conduct of an employee Negligent Hiring = Failure to check for a poor
driving record
18
Negligent Entrustment IssuesNegligent Entrustment Issues
In a case alleging Negligent Entrustment: Driver must be incompetent Employer knew or should have known this
incompetence Employer entrusted the vehicle to the driver Driver was negligent on the occasion in
question Driver’s negligence caused the crash
19
What Makes a Driver Competent? After all, common sense is not that common today!
What Makes a Driver Competent? After all, common sense is not that common today!
FMCSR driver requirements: Legal driving age for the state where license
issued Able to read & speak English Able to safely operate the vehicle Able to safely load & secure the cargo Good health/physically able to operate vehicle Holds a valid driver’s license Completed application form for employment Pass a driving test for the type of vehicle to be
operated No CDL Disqualifications
20
CDL DisqualificationsCDL Disqualifications Driving CMV while under influence of controlled
substance or alcohol Alcohol concentration of 0.04% or more As prescribed by state law Refusal to undergo testing
Transportation, possession or unlawful use of controlled substance or drugs
Leaving the scene of an accident while operating a CMV
Committing a felony involving the use of a CMV Violating out-of-service orders Convicted of 2 or more “serious traffic violations”
in less than 3 years
21
Knowledge of Driver’s Incompetence
Knowledge of Driver’s Incompetence
Employment record Driver’s background Driving record You are negligent if:
Records are missing or incomplete Records show poor driving history
22
Proof of Vehicle EntrustmentProof of Vehicle Entrustment
Driver was within the scope of job duties Vehicle not taken without permission
23
Was the Driver Negligent?Was the Driver Negligent?
Accident scene investigation Interviews with involved parties &
witnesses Other evidence
Citations
24
Did Driver Negligence Cause Crash?
Did Driver Negligence Cause Crash?
Citation Criminally charged Otherwise ruled “at-fault”
25
Ways to Reduce ExposuresWays to Reduce Exposures
Driver recruiting & selection practices New hire evaluation & orientation Ongoing driver reviews & training Post-accident reviews & training
26
Other Exposures to Negligent EntrustmentOther Exposures to
Negligent Entrustment
Loans of vehicles to non-employees Contracted employees
Security guard Maintenance contractor Owner/operator under your authority Temporary employee from employment
service
Trip leasing
27
Drug & Alcohol TestingDrug & Alcohol Testing
Part 40 Revisions Violations Substance Abuse Professional (SAP) Return-to-Duty Process
28
Part 40 RevisionsEffective January 18, 2001
Part 40 RevisionsEffective January 18, 2001
Validity Testing MRO review of substitution and adulteration
test results & split specimen testing
Public Interest Exclusions (PIE) Protects public from the effects of serious non-
compliance by service agents
29
Part 40 RevisionsEffective August 1, 2001Part 40 Revisions
Effective August 1, 2001
Validity Testing All specimens
Stand-Down Temporary removal of employees from safety-sensitive
duties after a MRO-confirmed positive, adulterated or substituted test result
Training Enhanced training requirements for collectors, BATs,
STTs, MROs & SAPs Refresher training every 5 years for collectors, BATs &
STTs Continuing education for MROs & SAPs
30
Part 40 RevisionsEffective August 1, 2001 (cont’d)
Part 40 RevisionsEffective August 1, 2001 (cont’d)
Laboratory Process Initiate validity testing on all specimens
Medical Review Officer (MRO) Prohibits MRO & laboratory relationship which may
create a conflict of interest Required to personally conduct a verification interview
with employee
Alcohol Testing New Breath Testing Form Procedures to correct problems in the testing process
31
Part 40 RevisionsEffective August 1, 2001 (cont’d)
Part 40 RevisionsEffective August 1, 2001 (cont’d)
Substance Abuse Professional (SAP) & Return-to-Duty Process Required education and/or treatment program for all
positive tests & refusals to test
Other Issues Employers required to obtain drug & alcohol testing
information from an applicant’s employers in the past 2 years
“Blanket Releases” still prohibited
32
Drug/Alcohol Rule ViolationsDrug/Alcohol Rule Violations
Verified positive drug test result DOT alcohol test result of 0.04 or greater Refusal to test Violation of drug/alcohol use under a DOT
agency regulation
33
Employer ResponsibilitiesEmployer Responsibilities
Provide a listing of available SAPs Driver cannot perform safety-sensitive
duties until SAP evaluation, referral & education/treatment completed
34
Substance Abuse Professional (SAP)Substance Abuse Professional (SAP)
Who is qualified? A licensed physician (Doctor of Medicine or
Osteopathy) A licensed or certified social worker A licensed or certified psychologist A licensed or certified employee assistance
professional A certified drug and alcohol counselor
35
Substance Abuse Professional (SAP)Substance Abuse Professional (SAP)
Any other requirements? Basic knowledge Qualification training Continuing education Documentation
36
Return-to-Duty ProcessReturn-to-Duty Process
SAP Evaluation SAP referral to appropriate
education and/or treatment program
Completion of prescribed program
Return-to-duty test “Fitness for duty”
determination by employer
37
Follow-Up TestsFollow-Up Tests
SAP functions Written follow-up testing plan presented to
Designated Employee Representative (DER) Determines the frequency & types of tests Requires 6 unannounced tests in the first 12
months of safety-sensitive duty
38
Follow-Up TestsFollow-Up Tests
Employer responsibilities Carry out SAP testing plan Schedule testing dates
Unannounced & without advance notice
Other tests cannot be substituted (i.e. random testing program)
A cancelled follow-up test does not count as completed
39
Hours of Service RulesHours of Service Rules
CMV drivers using the sleeper berth provision must take at least 8 consecutive hours in the
sleeper berth, plus 2 consecutive hours either in the sleeper berth, off duty, or any combination of
the two.
Commercial motor vehicle (CMV) drivers using a sleeper berth must take 10 hours off duty, but
may split sleeper-berth time into twoperiods provided neither is less than 2 hours.
No ChangeMay not drive after 60/70 hours on duty in 7/8 consecutive days.
► A driver may restart a 7/8 consecutive day period after taking 34 or more consecutive
hours off duty.
No ChangeMay not drive beyond the 14th hour after coming on duty, following 10 consecutive hours off duty.
No ChangeMay drive a maximum of 11 hours after10 consecutive hours off duty.
HOURS-OF-SERVICE RULESHOURS-OF-SERVICE RULES
2005 RuleProperty-Carrying CMV DriversCompliance On & After 10/01/05
2003 RuleProperty-Carrying CMV DriversCompliance Through 09/30/05
Short-Haul Provision for non-CDL vehicles within a 150 air mile radius added.Allows two 16 hr days in a 7 day period, no logbook required
provided motor carrier maintains time records.
40
Exemptions to RulesExemptions to Rules
100-Air mile radius Exempt from keeping a logbook if they meet the
following 5 requirements found in the regulation:
Remains within 100 air miles (115.08 statute miles) of their work reporting location.
Returns to the work reporting location within 12 consecutive hours of going on duty
Released within 12 hours, the driver must be afforded 10 consecutive hours off duty
May not drive more than 11 hours during the 12 hour period
41
100 air-mile radius driver395.1(e)(1) (cont.)
100 air-mile radius driver395.1(e)(1) (cont.)
The motor carrier that employs the driver maintains and retains, accurate and true time records that indicate:
1. The time the driver begins to work;
2. The total number of hours the driver works;
3. The time the driver is released from work;
4. And the preceding 7 days of work activities (time records) for drivers used the first time or intermittently
42
Short - haul OperationsNon CDL, 150 air mile
radius395.1(e)(2)
Short - haul OperationsNon CDL, 150 air mile
radius395.1(e)(2)
Drivers of Non-CDL vehicles are exempt from keeping a log if they meet the following requirements found in the regulation:
Operates within 150 air mile radius (172.6 statute miles) of where driver reports to and is released from work (normal work reporting location).
Returns to normal work location and is released at the end of each duty tour (14 or 16 hrs).
Has at least 10 consecutive hours off separating each on-duty period.
May not drive more than 11 hours following 10 hours off duty.
43
Non CDL, 150 air mile radius395.1(e)(2) (cont.)
Non CDL, 150 air mile radius395.1(e)(2) (cont.)
The driver does not drive;(A) After the 14th hour after coming on duty on 5
days of any period of 7 consecutive days; and(B) After the 16th hour on 2 days of any period of 7
consecutive days
The motor carrier maintains and retains for 6 months true and accurate time records(The same as those required for the 100 air mile
radius driver)
44
Management of Hours of ServiceManagement of Hours of Service
Record retention - 6 months Auditing logs
Log for every day Completion of logs/trip records Falsification of logs Logs to home terminal - 13 days Form & manner Accurate mileage Check for speeding Check for Hours violations
45
Compliance with RegulationsCompliance with Regulations
Enforcement Tools SAFER System SafeStat System
Inspections CVSA (Roadside) FMCSA Compliance Reviews
Safety Fitness
46
SAFER SystemSAFER System
Safety And Fitness Electronic Records System
www.safersys.org “Snapshot” - condensed Carrier Profile
Location Identification Numbers Type Commodities carried/shipped Inspection Summary Crash Summary Safety Rating
47
Carrier Snapshot
ABC TRUCKING, INC. USDOT#: 000000
ID/Operations | Inspections/Crashes | Safety Rating | Insurance Carriers: If you would like to update the following ID/Operations information, please complete and submit form MCS-150 which can be obtained online or from your State FMCSA office. Carriers and other users: If you would like to request more detailed information in the form of a MCMIS Carrier Profile please call (800)832-5660 or (703)280-4001 (Fee Required). For help on the explanation of individual data fields, click on any field name or for help of a general nature click here. The information below reflects the content of the FMCSA management information systems as of 12/29/2001.
Entity Type: Carrier Status: Active
Legal Name: ABC TRUCKING, INC
DBA Name:
Physical Address: 111 ANY STREET SOMEWHERE, XX 00000
Phone: (800) 000-0000
Mailing Address: P.O. BOX 123 SOMEWHERE, XX 00000
USDOT#: 000000 State Carrier ID#:
MC or MX #: 000000
DUNS #: --
Power Units: 50 Drivers: 45
Operation Classification:
X Auth. For Hire
Exempt For Hire
Private(Property)
Priv. Pass. (Business)
Priv. Pass.(Non-business)
Migrant
U.S. Mail
Fed. Gov't
State Gov't
Local Gov't
Indian Nation
Carrier Operation:
X Interstate Intrastate Only (HM) Intrastate Only (Non-HM)
HM Shipper Operation:
Interstate Intrastate
Other Information for this Carrier
SafeStat Results
Licensing & Insurance
Cargo Carried:
X General Freight
Household Goods
X Metal: sheets, coils, rolls
Motor Vehicles
Drive/Tow away
X Logs, Poles, Beams, Lumber
X Building Materials
Mobile Homes
Machinery, Large Objects
X Fresh Produce
Liquids/Gases
Intermodal Cont.
Passengers
Oilfield Equipment
Livestock
X Grain, Feed, Hay
Coal/Coke
X Meat
Garbage/Refuse
X US Mail
Chemicals
Commodities Dry Bulk
X Refrigerated Food
X Beverages
X Paper Products
Utilities
Agricultural/Farm Supplies
Construction
Water Well
HazMat Status: (C=Carry S=Ship)
C S Division/Class
Div 1.1
Div 1.2
Div 1.3
Div 1.4
Div 1.5
Div 1.6
Div 2.1
Div 2.1 (LPG)
Div 2.1 (Methane)
Div 2.2
Div 2.2a (Ammonia)
Div 2.3
Div 2.3a
Div 2.3b
C S Division/Class
Div 2.3c
Div 2.3d
Class 3
Class 3a
Class 3b
Combustible Liquid
Div 4.1
Div 4.2
Div 4.3
Div 5.1
Div 5.2
Div 6.1 Poison
Div 6.1 Solid
Div 6.1a
C S Division/Class
Div 6.1b
Div 6.2
Class 7
HRCQ
Class 8
Class 8a
Class 8b
Class 9
Elev. Temp. Mat.
Infectious Waste
Marine Pollutants
Hazardous Sub(RQ)
Hazardous Waste
ORM
48
ID/Operations | Inspections/Crashes | Safety Rating | Insurance Operating Authority and Insurance Information is updated nightly. For the most current information, go to FMCSA Licensing & Insurance site. Insurance Information last updated: 01/02/2002 Docket Number(s): MC000000
Name on Operating Authority Documents: ABC TRUCKING, INC. Docket #: MC000000 Operating Authority Status:
Common Authority Contract Authority Broker Authority
None Active Active
Insurance Requirements and Status:
Liability Insurance Cargo Insurance Bonds or Trust Fund
Required: $1,000,000 OK
Not Required
Required OK
Insurance Profile (For-hire carriers only):
Insurance Type
Insurance Carrier
Policy Number
Effective Date
Coverage Amount
Liability A-1
INSURANCE CO.
XXXXXXX 11/05/1999 $0 - $1,000,000
Bond or Trust Fund
NATIONAL BANK NONE 12/02/2001
* If a carrier is in compliance, the amount of coverage will always be shown as the required Federal minimum ($5,000 for cargo insurance and $10,000 for bond/trust fund). The carrier may actually have higher levels of coverage.
ID/Operations | Inspections/Crashes | Safety Rating | Insurance Inspection results for 24 months prior to: 12/29/2001 Total inspections: 567 Note: Total inspections may be less than the sum of vehicle, driver, and hazmat inspections. Click here for further information. Inspections:
Inspection Type Vehicle Driver Hazmat
Inspections 228 339 0
Out of Service 65 59 0
Out of Service % 28.5% 17.4% 0%
Nat'l Average %(1999) 24.3% 8.3% 7.5%
Crashes reported to FMCSA by states for 24 months prior to: 12/29/2001 Crashes:
Type Fatal Injury Tow Total
Crashes 0 3 1 4
ID/Operations | Inspections/Crashes | Safety Rating | Insurance Carrier Safety Rating: The rating below is current as of: 12/29/2001 Review Information:
Rating date:
03/10/2001 Date: 03/06/2001
Rating: Conditional Type: Compliance Review
49
SafeStat System (Safety Status) SafeStat System (Safety Status)
www.ai.volpe.dot.gov Identifies carriers for Safety Improvement
Programs 4 Safety Evaluation Areas (SEAs)
Accident SEA Driver SEA Vehicle SEA Safety Management SEA
50 5050
SafeStat ScoringSafeStat Scoring
Value from 0-100 determined for all carriers with sufficient data in each SEA
Value of 75-100 = Deficient Carriers must be deficient in at least 2
SEA’s to have an Overall SafeStat Score FMCSA Compliance Reviews
51
US DOT #: 000000 MC #: 000000 Carrier Name: ABC TRUCKING INC Latest SafeStat Results: September 22, 2001
(next update March 2002)
Carrier Information
Carrier Name ABC TRUCKING INC DBA
Address 111 ANY STREET SOMEWHERE, XX 00000
Mailing Address P.O. BOX 123 SOMEWHERE, XX 00000
Telephone (800) 000-0000 Fax (800) 000-0001
Number of Power Units 50 Number of Drivers 45 HM Registered No
Date of Last FMCSA Compliance Review 03/06/2001 Date of Last
MCS-150 Update
SafeStat Summary Results SafeStat Score Category State/National Rank
482.96 A 1 / 1
ISS-2 Safety Results Recommendation Inspection Value
INSPECT 100 Other Information for this Carrier
Licensing & Insurance
SAFER - Carrier Snapshot
FMCSA Do-It-Yourself Website (Resource Information)
Calculation of SafeStat Score
482.96 85.45 91.02 80.84 94.69
SafeStat calculates a SafeStat score to rank carriers in descending order by their safety status (i.e. a carrier with the highest SafeStat score is the first ranked carrier in terms of poor safety status). SafeStat does not assign SafeStat scores to all carriers. To obtain a SafeStat Score, a carrier must be deficient in at least two different Safety Evaluation Areas (SEAs). A SEA with a value from 75 to 100 is defined as deficient (highlighted in Bold type). SEA Values that are less than 75 are not used in the calculation of a SafeStat Score.
Sample SafeStat Report
Sample SafeStat Report
52
Accident SEA Value: 85.45
Compliance Review Results (within 12 months) State Reported Crashes
(within 30 months)
Measures and Indicators
Recordable Accident Indicator (RAI) 28.7 Accident Involvement Indicator (AII) 85.5
Recordable Accident Measure (RAR) 0.904 Accident Involvement Measure (AIM) 0.491
Summary Event Data
Date of Review 07/13/2001 Number of State Reported Crashes 11
Number of Vehicle Miles Traveled 4,426,731 Number of Crashes Resulting in Fatalities 0
Number of Recordable Crashes 4 Number of Crashes Resulting in Injuries 6
Number of Power Units 53
State Reported Crashes (within 30 months)
Crash Date
Report State
Report Number
Location Fatalities Injuries Driver
License State
Vehicle Identification Number
Vehicle Plate
Number
1 7/16/2001 IA 2001040018 1ST AVENUE & A STREET
0 2 IA 1XXXXXXX00XX00000 00000
2 12/28/2000 FL 5411830601 0 4 KS 1XXXX00X0XX0X0000 00000
3 9/6/2000 IA 000047172B 0 0 4X0XXXXXXXX000000 00000
4 4/28/2000 IA 000022351C 0 1 S0000000 XX000
5 11/20/1999 TX 009275160A 0 0 VA 1XX000
6 10/28/1999 IL 0007324289 0 2 ID XXXXXXXX0XXX00000 X00000
7 10/11/1999 NJ 0009910504 0 0 PA 1XXXXX0XXXX000000 X00000
8 10/11/1999 NJ 9926859802 0 0 PA 1XXXXX0X0XX000000 X00000
9 5/19/1999 NE 199040629A 0 1 NE 1XXXXX0X0XX000000 X00000
10 4/27/1999 LA 001184234A 0 0 NE 1XXXX00X0XX000000 X00000
11 4/7/1999 KY 000031553A 0 1 IA 1XX0XX0XXXX000000 X00000
53
D r i v e r S E A V a l u e : 9 1 . 0 2
C o m p l i a n c e R e v i e w R e s u l t s ( w i t h i n 1 8 m o n t h s ) D r i v e r I n s p e c t i o n R e s u l t s
( w i t h i n 3 0 m o n t h s ) M o v i n g V i o l a t i o n R e s u l t s ( w i t h i n 3 0 m o n t h s )
M e a s u r e s a n d I n d i c a t o r s D r i v e r R e v i e w I n d i c a t o r ( D R I ) 0 . 0 D r i v e r I n s p e c t i o n I n d i c a t o r ( D I I ) 9 1 . 0
M o v i n g V i o l a t i o n I n d i c a t o r ( M V I ) 8 0 . 7
D r i v e r R e v i e w M e a s u r e ( D R M ) 0
D r i v e r I n s p e c t i o n M e a s u r e ( D I M ) 0 . 3 8
M o v i n g V i o l a t i o n M e a s u r e ( M V M ) 2 . 0 5
S u m m a r y E v e n t D a t a
D a t e o f R e v i e w 0 3 / 0 6 / 2 0 0 1 N u m b e r o f D r i v e r I n s p e c t i o n s 3 3 9 N u m b e r o f M o v i n g V i o l a t i o n s 4 5
N u m b e r o f C r i t i c a l V i o l a t i o n s
0 N u m b e r o f O O S I n s p e c t i o n s 5 9 N u m b e r o f D r i v e r s 3 8
N u m b e r o f A c u t e V i o l a t i o n s 0
N u m b e r o f I n s p e c t i o n s w / O O S O r d e r V i o l a t i o n 0
D r i v e r O O S R a t e ( D O R ) 0 . 1 7 4
S e l e c t D e t a i l D a t a :
54
Driver OOS Inspections (within 30 months)
Inspection Date Report State Report Number Inspection Level Driver OOS Violations
1 8/2/2001 NE DL00000069 3 1
2 7/24/2001 IA 000T01G6P1 1 1
3 7/13/2001 MO 00C6001854 3 1
4 6/27/2001 OH 00LX301175 2 1
5 6/26/2001 IL 0001137724 1 1
6 6/22/2001 MO 00M1065320 1 1
7 6/19/2001 IA 000T010UHV 3 1
8 5/27/2001 CA 00900110FF 1 3
9 5/15/2001 UT CH50000596 3 1
10 5/5/2001 IN 0000997074 3 1
11 4/21/2001 KS 00WB002305 3 1
12 4/16/2001 NM 0000410667 3 1
13 4/9/2001 IA 000T01118A 2 1
14 3/24/2001 MO 00M1072406 2 1
15 3/11/2001 KS 00BH000104 2 1
16 3/6/2001 AZ 006A000488 2 3
17 3/1/2001 PA 00DY000653 3 1
18 2/20/2001 MO 00H8000222 2 1
19 2/7/2001 IA 000T0240ZC 2 1
20 1/22/2001 NY 00AQ003250 1 2
21 12/14/2000 TN 00HA008246 2 1
22 11/13/2000 GA 0000A04061 3 2
23 11/9/2000 IL 0001109405 2 1
24 10/27/2000 IA 000P770668 3 1
25 8/28/2000 NC 0007003412 2 1
26 8/9/2000 IA 000T081713 1 1
27 8/7/2000 PA 0000569529 1 1
28 8/5/2000 MO 00C6000550 2 1
29 7/17/2000 CA 00223046D5 1 1
30 6/30/2000 MD 00CC000016 3 2
31 6/29/2000 KS 0000231077 2 1
32 6/1/2000 IA 000P738755 3 1
33 6/1/2000 OR 00XK000005 2 1
34 4/29/2000 UT 00CO100240 2 3
35 4/3/2000 CO 00AV002531 3 1
36 3/22/2000 IA 000T092309 2 1
37 3/7/2000 FL 0059600415 3 1
38 3/2/2000 CT 00A-082780 1 1
39 2/25/2000 IA 000P756277 2 1
40 2/18/2000 WY 0067200050 3 2
41 2/16/2000 MO 00M1016751 1 1
42 11/24/1999 IA 000T02CD13 2 1
43 11/16/1999 MS 0030601935 2 2
44 11/5/1999 CA 0003383271 2 1
45 10/28/1999 AZ 00MV029353 2 1
Driver OOS InspectionsDriver OOS Inspections
55
Driver OOS Violation Summary
(within 30 months)
Violation Number
Description Number of OOS Violations
Number of Inspections
383.23A2 OPERATING A CMV WITHOUT A CDL 2 2
391.15A DRIVING A CMV WHILE DISQUALIFIED 5 5
392.2 LOCAL LAWS (GENERAL) 1 1
392.5A POSS/USE/UNDER INFLNCE ALCOHOL-4HR PRIO DUTY 4 2
392.9 DRIVER LOAD SECURE 1 1
392.9A2 FAILING TO SECURE VEHICLE EQUIPMENT 3 3
395.1I1 15,20,70/80 HOURS OF SERVICE VIOLATIONS (AK) 1 1
395.3A1 10 HOUR RULE VIOLATION 10 10
395.3A2 15 HOUR RULE VIOLATION 1 1
395.3B 60/70 HOUR RULE VIOLATION 3 3
395.8 LOG VIOLATION (GENERAL/FORM AND MANNER) 3 3
395.8A NO DRIVERS RECORD OF DUTY STATUS 10 8
395.8E FALSE REPORT OF DRIVERS RECORD OF DUTY STATUS 9 7
395.8F1 DRIVERS RECORD OF DUTY STATUS NOT CURRENT 2 2
395.8K2 DRIVER FAILING TO RETAIN PREVIOUS 7 DAYS LOGS 18 17
Violation code 391.15A: DRIVING A CMV WHILE DISQUALIFIED
Driver OOS Inspections (within 30 months)
No. Inspection Date
Report State
Report Number Driver License State
VIN # Unit License #
Unit License State
1 3/24/01 XX 00M0000000 XX 0XXXXXXXXX000000 TEMP XX
2 6/30/00 XX 00CC000000 XX 000000 A00000 XX
3 2/25/00 XX 000P000000 XX XX000000 00000 XX
4 2/16/00 XX 00M0000000 XX 0XX0XX0X0XX00000 00000 XX
5 4/19/99 XX 000P000000 XX XX000000 AA0000 XX
56
V e h i c l e S E A V a l u e : 8 0 . 8 4
C o m p l i a n c e R e v i e w R e s u l t s ( w i t h i n 1 8 m o n t h s ) V e h i c l e I n s p e c t i o n s R e s u l t s
( w i t h i n 3 0 m o n t h s )
M e a s u r e s a n d I n d i c a t o r s
V e h i c l e R e v i e w I n d i c a t o r ( V R I )
0 . 0 V e h i c l e I n s p e c t i o n I n d i c a t o r ( V I I ) 8 0 . 8
V e h i c l e R e v i e w M e a s u r e ( V R M )
0 V e h i c l e I n s p e c t i o n M e a s u r e ( V I M ) 0 . 8 8 1
S u m m a r y E v e n t D a t a
D a t e o f R e v i e w 0 3 / 0 6 / 2 0 0 1 N u m b e r o f V e h i c l e I n s p e c t i o n s 2 2 8
N u m b e r o f C r i t i c a l V i o l a t i o n s 0 N u m b e r o f O O S I n s p e c t i o n s 6 5
N u m b e r o f A c u t e V i o l a t i o n s 0 V e h i c l e O O S R a t e ( V O R ) 0 . 2 8 5
S e l e c t D e t a i l D a t a :
57
Vehicle OOS Violation Summary (within 30 months)
Violation Number
Description Number of OOS Violations
Number of Inspections
392.2 LOCAL LAWS (GENERAL) 1 1
392.9 DRIVER LOAD SECURE 1 1
393.100 NO OR IMPROPER LOAD SECUREMENT 1 1
393.19 NO/DEFECTIVE TURN/HAZARD LAMP AS REQUIRED 5 5
393.201A FRAME CRACKED/BROKEN/BENT/LOOSE 2 2
393.205A WHEEL/RIM CRACKED OR BROKEN 4 3
393.205B STUD/BOLT HOLES ELONGATED ON WHEELS 1 1
393.205C WHEEL FASTENERS LOOSE AND/OR MISSING 10 5
393.207A AXLE POSITIONING PARTS DEFECTIVE/MISSING 4 4
393.207B ADJ AXLE LOCKING PIN MISSING/DISENGAGED 1 1
393.207C LEAF SPRING ASSEMBLY DEFECTIVE/MISSING 13 11
393.209E POWER STEERING VIOLATIONS 2 2
393.25F STOP LAMP VIOLATIONS 3 3
393.45 BRAKE TUBING AID HOSE ADEQUACY 1 1
393.46 BRAKE HOSE/TUBE CONNECTION 1 1
393.47 INADEQUATE BRAKE LINING FOR SAFE STOPPING 11 7
393.48A INOPERATIVE/DEFECTIVE BRAKES 9 6
393.50 INADEQUATE RESERVOIR FOR AIR/VACUUM BRAKES 1 1
393.51 NO OR DEFECTIVE BRAKE WARNING DEVICE 3 3
393.67 FUEL TANK REQUIREMENT VIOLATIONS 2 1
393.75A FLAT TIRE OR FABRIC EXPOSED 4 4
393.75A1 TIRE-PLY OR BELT MATERIAL EXPOSED 1 1
393.75A3 TIRE-FLAT AND/OR AUDIBLE AIR LEAK 2 2
393.75C TIRE-OTHER TREAD DEPTH LESS THAN 2/32 OF INCH 8 5
393.9 INOPERABLE LAMP (OTHER THAN HEAD/TAIL) 3 3
396.3A1 INSPECTION/REPAIR AND MAINTENANCE 20 11
396.3A1B BRAKES (GENERAL) 6 5
396.3A1BA BRAKE-OUT OF ADJUSTMENT 16 16
58
Violation code 393.207C: LEAF SPRING ASSEMBLY DEFECTIVE/MISSING
Vehicle OOS Inspections (within 30 months)
No. Inspection
Date Report State
Report Number
Driver License
State VIN # Unit License #
Unit License
State
1 7/17/01 XX 000AAAAA XX 000000 XX
2 5/25/01 XX 000000000 XX A000000 XX
3 1/22/01 XX 00AA00000 XX -NONE- XX
4 11/10/00 XX 00A000000 XX 0XXX00X00XX000000 00000 XX
5 9/18/00 XX 00C000000 XX 0XXXX0000XX000000 000000 XX
6 8/9/00 XX 000T00000 XX 00000 XX
7 6/23/00 XX 000000000 XX 000000 XX
8 6/23/00 XX 000000000 XX 00000 XX
9 5/3/00 XX 000000000 XX XX
10 2/17/00 XX 00M000000 XX 0XXXX0000X0000000 000000 XX
11 2/17/00 XX 00M000000 XX 0XXXX0000XX000000 000000 XX
12 12/18/99 XX 00M000000 XX 0XXX00X00X0000000 000000 XX
13 11/29/99 XX 000000000 XX 0XXXX0000XX000000 00000 XX
59
Safety Management SEA Value: 94.69
Compliance Review Results Safety Mgmt
(within 18 months)
Compliance Review Results Hazmat
(within 18 months)
Closed Enforcements Initiated from Compliance Reviews
(within 6 years)
Measures and Indicators
Safety Management Review Indicator (SMRI)
94.7 Hazmat Review Indicator (HMRI)
N/A Enforcement History Indicator (EHI)
Insuf. data
Safety Management Review Measure (SMRM)
86.33 Hazmat Review Measure (HMRM)
N/A Enforcement Severity Measure (ESM)
Insuf. data
Summary Event Data
Date of Review 03/06/2001 Date of Review N/A Last Enforcement Date None
Number of Critical Violations
3 Number of Critical Violations N/A Number of Closed Enforcements
0
Number of Acute Violations 1 Number of Acute Violations N/A
Safety Management Review Violations Safety Management related violations (acute/critical) that were discovered during the last review
Primary Federal Regulation
Secondary Federal Regulation
Violation Description Violation Type
382115(a) Failing to implement an alcohol and/or drug testing program A
39151(a) Failing to maintain driver qual. file on each driver C
3958(k)(1) Failing to preserve driver's record of duty status for 6 months C
3963(b) Failing to keep minimum records of inspection and maintenance C
For Regulatory Descriptions or Guidance for the Federal Motor Carrier Safety Regulations (FMCSRs) click here
60
Inspection Selection System (ISS)
Inspection Selection System (ISS)
Targets carriers with poor safety history Used on roadside inspections
Aids in the selection of “best” drivers/vehicles for inspection
Inspector enters DOT/ICC number for inspection value Recommends specific regulatory areas to concentrate
on – inspector makes final decision
Currently used in 47 states Uses a local database which is refreshed weekly
via SAFER System 60% increase in OOS violations
61
ASPENASPEN
Driver/vehicle inspection software Used by most States & FMCSA Collects inspection details & prints
inspection report Transfers inspection information to SAFER
System Linked to ISS
62
PRISMPRISM
Performance & Registration Information Systems Management CMV registration process Vehicle is identified with responsible carrier Safety fitness required to obtain plates Registration as incentive to improve
63
CVSA InspectionsCVSA Inspections
Commercial Vehicle Safety Alliance (CVSA) - Non-profit organization that standardizes inspections of commercial vehicles Level I – North American Standard Inspection
Full inspection of driver and vehicle Level II – Walk-around Driver/Vehicle
Inspection Level III – Driver-Only Inspection Level IV – Special Inspections Level V – Vehicle-Only Inspection
64
OOS ViolationsOOS Violations
Driver National average: 9.09%
Vehicle National average: 33.33% (CRAPPY)
HazMat National average: 4.76%
65
FMCSA Compliance ReviewFMCSA Compliance Review
An on-site examination of motor carrier operations: Drivers’ hours of service Maintenance/inspection Driver qualification CDL requirements Financial responsibility Accidents Hazardous materials Safety & transportation records
Determines if carrier meets Safety Fitness Standards
66
What can trigger a Review?What can trigger a Review?
A request to change a Safety Rating Potential violations of safety regulations Complaint Evidence of safety violations Recordable Accident
67
Safety FitnessSafety Fitness
Demonstration of adequate Safety Management Controls, which function effectively to ensure compliance with applicable safety requirements.
68
Safety Management ControlsSafety Management Controls
Systems, policies, programs, practices & procedures Ensure compliance with applicable safety
regulations Ensure the safe transportation of
products/passengers Reduce the risk of highway accidents or
HazMat incidents Evaluated through FMCSA Compliance
Reviews
69
Safety Fitness RatingsSafety Fitness Ratings
Satisfactory Adequate safety management controls to meet Safety Fitness Standards
Conditional Lacking adequate safety management controls to meet Safety Fitness Standards
Unsatisfactory Lacking adequate safety management controls to meet Safety Fitness Standards, resulting in violations of the regulations.
70
Measuring Safety FitnessMeasuring Safety Fitness
CDL standard violations (Part 383) Inadequate levels of financial responsibility
(Part 387) Use of unqualified drivers (Part 391) Improper use & driving of motor vehicles (Part
392) Unsafe vehicles operating on highways (Part
393) Failure to maintain accident registers &
copies of accident reports (Part 390)
71
Measuring Safety Fitness (cont’d)Measuring Safety Fitness (cont’d)
Use of fatigued drivers (Part 395) Inadequate inspection, repair & maintenance
of vehicles Transportation of HazMat, driving & parking
rule violations (Part 397) Hazardous materials regulations violations
(Parts 170-177) Accidents & HazMat incidents
72
Unsatisfactory Safety RatingUnsatisfactory Safety Rating
Means “Unfit” Prohibited from operating CMVs in
interstate commerce Motor carriers have 60 days after
determined “unfit” to improve or face shutdown
Passenger/HM carriers have 45 days to correct deficiencies
73
OSHA RecordkeepingOSHA Recordkeeping
Revised Rule
74
Revised RuleRevised Rule
Published in the Federal Register on January 19, 2001
Affects 1.4 million establishments Effective January 1, 2002
75
Benefits of the Revised RuleBenefits of the Revised Rule
Improves employee involvement Creates simpler forms Provides clearer regulatory requirements Increases employers’ flexibility to use
computers
76
FormsForms
OSHA Form 300 – Log of Work-Related Injuries and Illnesses
OSHA Form 301 – Injury and Illness Incident Report
OSHA Form 300A – Summary of Work-Related Injuries and Illnesses
1904.29
77
78
79
80
Recording CriteriaRecording Criteria
Eliminates different criteria for recording work-related injuries and work-related illnesses
Former rule required employers to record all illnesses, regardless of severity
1904.4
81
Recording Criteria Decision TreeRecording Criteria Decision Tree
1904.4
Did the employee experience an injury or
illness?
Is the injury or illness a new case?
Is the injury or illness work-related?
Does the injury or illness meet the general recording criteria or the application to
specific cases?
Update the previously recorded injury or illness
entry if necessary.
NO
YES
YES
Record the injury or illness.
Do not record the injury or illness.
NO
YES
NO YES
NO
82
Work-RelatednessWork-Relatedness
Cases are work-related if: An event or exposure in the work environment
either caused or contributed to the resulting condition
An event or exposure in the work environment significantly aggravated a pre-existing injury or illness
1904.5
83
Work-Related ExceptionsWork-Related Exceptions
Adds additional exceptions to the definition of work relationship to limit recording of cases involving: Eating, drinking, or preparing food or drink for
personal consumption Common colds and flu Voluntary participation in wellness or fitness
programs Personal grooming or self-medication
1904.5(b)(2)
84
General Recording CriteriaGeneral Recording Criteria
Requires records to include any work-related injury or illness resulting in one of the following: Death Days away from work Restricted work or transfer to another job Medical treatment beyond first aid Loss of consciousness Diagnosis of a significant injury/illness by a
physician or other licensed health care professional
1904.7(a)
85
General Recording Criteria (cont’d)
General Recording Criteria (cont’d)
Includes new definitions of medical treatment and first aid to simplify recording decisions
Clarifies the recording of “light duty” or restricted work cases
1904.7(b)(5)
86
Recording NeedlesticksRecording Needlesticks
Requires employers to record all needlestick and sharps injuries involving contamination by another person’s blood or other potentially infectious material
1904.8
87
Hearing LossHearing Loss
Requires employers to record 25 dB shifts in employees’ hearing during 2002
OSHA will reconsider the hearing loss criteria for 2003 and beyond
1904.10
88
Musculoskeletal DisordersMusculoskeletal Disorders
Applies the same recording criteria to musculoskeletal disorders (MSDs) as to all other injuries and illnesses
Employer retains flexibility to determine whether an event or exposure in the work environment caused or contributed to the MSD
OSHA will use the one-year delay to develop definitions of ergonomic injury and MSD consistent with a comprehensive effort
1904.12
89
Tuberculosis & Medical RemovalTuberculosis &
Medical Removal Includes separate provisions describing
the recording criteria for cases involving the work-related transmission of tuberculosis
Requires employers to record cases of medical removal under OSHA standards
1904.11 & 1904.9
90
Day CountsDay Counts
Eliminates the term “lost workdays” and focuses on days away or days restricted or transferred
Includes new rules for counting that rely on calendar days instead of workdays
1904.7(b)(3)
91
Employee InvolvementEmployee Involvement
Requires employers to establish a procedure for employees to report injuries and illnesses and tell their employees how to report
Employers are prohibited from discriminating against employees who do report
Employee representatives will now have access to those parts of the OSHA 301 form relevant to workplace safety and health
1904.35 & 36
92
Employee PrivacyEmployee Privacy
Prohibits employers from entering an individual’s name on Form 300 for certain types of injuries/illnesses
Provides employers the right not to describe the nature of sensitive injuries where the employee’s identity would be known
Gives employee representatives access only to the portion of Form 301 which contains no personal information
Requires employers to remove employees’ names before providing the data to persons not provided access rights under the rule
1904.29(b)
93
Annual SummaryAnnual Summary
Requires the annual summary to be posted for three months instead of one
Requires certification of the summary by a company executive
1904.32
94
Reporting to OSHAReporting to OSHA
Changes the reporting of fatalities and catastrophes to exclude some public transportation and motor vehicle accidents
1904.39
95
For More InformationFor More Information
Go to OSHA’s website:
www.osha.gov
for additional information about the new recordkeeping rule.
96
Insurance & InsurabilityInsurance & Insurability State of the MarketState of the Market Basis of InsurabilityBasis of Insurability How to Improve InsurabilityHow to Improve Insurability
97
State of the MarketState of the Market
Increase in Property & Casualty premiums Started increasing in 2000 Accelerated in 2001 with renewals September 11 pushed premiums higher Soft Market after; many sub-rated markets
Insurance companies forced to get better rate of return
Risk assessment getting more technical
98
State of the MarketState of the Market
Premium Increases (%)*
17%
32% 37%33%
120%
87%
0
20
40
60
80
100
120
140
2000 2001 After 9/11
Primary
Umbrella
*Based on surveys from 1,000 carriers by ATA
99
Why the Increase in Premiums?Why the Increase in Premiums?
“Soft market” prevailed for many years New insurance companies entered transportation
market Cut rates
Existing P&C insurance companies started “transportation programs” Increased competition & kept rates low
Reduced investment income Re-insurance premiums rose due to “shock
losses” Primary rates increased
100
Why the Increase in Premiums?(cont’d)
Why the Increase in Premiums?(cont’d)
Management & shareholders more “bottom-line” oriented
Insurance companies dropped transportation programs
Companies disappeared through acquisitions, mergers, etc. Reduced number of competing companies
101
Basis of InsurabilityBasis of Insurability
Underwriting = Process of reviewing your operation for insurance purposes: Insurance application Nature of operation Financial records & reports Loss history Location Area of travel Commodities Type of equipment Age of business Driver qualifications & records
102
How to Improve InsurabilityHow to Improve Insurability Risk Assessment
Assess your operation Reduce unnecessary risks
Analyze all losses Develop & document programs to reduce losses
Following good business practices Maintain proper documentation Good claims handling, reporting, procedures &
paper trails Written policies/procedures & adhere to them
Hire qualified drivers with good records Train drivers & other employees
103
How to Improve Insurability (cont’d)
How to Improve Insurability (cont’d)
Reduce driver/employee turnover Track & reduce accidents
Re-train drivers after accidents
Frequently obtain your Carrier Safety Profile Track & reduce OOS rates
Stay in compliance with regulations Develop driver recognition programs Develop & maintain an effective safety & loss
control program Adequate security measures
104
Elements of an Effective Safety Program
Elements of an Effective Safety Program
Written Safety Policy/Statement
Company/Driver’s Manual
Written Disciplinary Policies
Safety Awards or Incentive Programs Recognition and/or
Monetary
Safety and Accident Review Committee Quarterly committee
meetings Quarterly company-
wide safety meetings Safety Awareness
Campaigns Newsletters Paycheck stuffers Wireless/Satellite
communication
105
Elements of an Effective Safety Program (cont’d)
Elements of an Effective Safety Program (cont’d)
Annual Accident Analysis/Trending Accident Frequency Rates
Overall Frequency RateDOT RecordableDOT Recordable/Preventable
Determine accident causes/factors Implement disciplinary policies Re-training Develop Action Plans
106
Security MeasuresSecurity Measures
More than physical security measures Institutional/Procedural control Management resolve
Carriers who place the most management emphasis on security have the most successful security programs.
Cargo/Equipment Security Personnel Outside Vendors Facility Access
107
Personnel ScreeningPersonnel Screening
Submit a detailed employment application Photograph of applicant List of past residences Prior employment history – 10 years
Verify address & past employment Credit record Criminal record (if possible)
108
ID SystemID System Identifies personnel authorized to enter
cargo/equipment handling areas ID cards
Physical description & photograph Name & address Date of birth Signature Credential expiration date
Card security Laminate to prevent alterations Assigned control number Recover cards from terminated employees
109
Training TopicsTraining Topics
Include in loss control policy, procedures manual & orientation Procedures for pre-loaded trailers “Live” loading Proper loading & securement techniques for
cargo Theft prevention
110
Additional Training TopicsAdditional Training Topics
Notification procedures for cargo incidents Multiple drop loads Relay loads Handling & unloading cargo at consignee Cargo incidents while loading/unloading Refused loads High value loads
111
Outside VendorsOutside Vendors
Verify background Examine contractor vehicles parked in or
near cargo areas Restrict entrance to necessary areas Must display identification
112
Facility AccessFacility Access
Reduce vulnerability to theft Provide physical barrier against
unauthorized access to cargo/equipment Various access control measures
Gates/fences Intrusion-detection alarms Electronic access control systems Automated gatehouse systems
113
ParkingParking
Prohibit private passenger vehicle parking in or near cargo areas
Security controls for access to employee parking areas Outside fenced operational areas Substantial distance from cargo areas Pass through a supervised area when exiting cargo
areas Notify management/security personnel during hours of
employment Parking by permit only Temporary parking permits for visitors/vendors
114
Risk ControlRisk Control
115
What is Risk?What is Risk?
The measure of the probability & severity of a loss event taking place
116
Risk ManagerRisk Manager
Responsible for insurance programs & other activities that minimize losses resulting from: Fire Accidents Other natural & man-made losses
117
ProbabilityProbability
Likelihood of event taking place
Can be classified as: Frequent Probable Occasional Remote Improbable
118
SeveritySeverity
Magnitude of the loss in a given period of time
Can be classified as: Catastrophic Critical Marginal Negligible
119
Reducing Probability & SeverityReducing Probability & Severity
Factors in traffic accidents Equipment condition Driver selection Training Supervision
120
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