THE DOT SAFETY AUDIT GUIDE
49 C.F.R. Part 385 (d) The provisions of this part apply to all "Commercial" Motor Vehicle (CMV) type vehicles (except non-business private motor carriers of passengers like churches or schools).
The US DOT asserts jurisdiction over “intrastate” operations (e.g., Parts 40, 382, 383, 395, 397, and Hazardous Materials Parts 171-180).
All states have adopted most of the Federal Motor Carrier Safety Regulations (FMCSRs). If you own/control/lease/operate, etc., a regulated vehicle, have been issued a U.S. DOT Number or have applied for a new number, then you need to be prepared for a DOT Safety Audit (SA) or Compliance Review (CR) or the new Compliance, Safety, Accountability enforcement "interventions."
"If during the safety audit . . . (the auditor) discovers an acute violation in the new entrant operation, the safety audit will turn into a formal compliance review that could result in penalties against the carrier. PUCO, State of Ohio.
"Audits/reviews will be conducted in such a manner that assures violations are not missed, overlooked or unrecorded." DOT Field Audit Manual
REALITY CHECK: "In practice, the new entrant audits are not in-depth training sessions." Michael A. Garcia, Esq. Moving Company Legal Guide
REALITY CHECK: "The government has created a system to ‘score’ the safety performance of truck drivers, but keeps that data to themselves until it’s time to go ‘get’ the driver for safety violations," said Steve Bryan, CEO of Vigillo, in Fleetowner Magazine.
Violations discovered during the course of the audit, may result in a citation. Citations may result in a failed audit, post-audit investigations and fines, order to correct, re-audit, bad safety record or "out-of-service" order.
GOVERNMENT WARNING: In the first three months of 2010 over 44% of New Entrants failed their Safety Audit, Anne Ferro, FMCSA Administrator, testified on April 28, 2010 to the Senate Subcommittee on Surface Transportation.
NEW DOT Policy: if you are recited for an "egregious" violation or even the same violation(s) in a six-year period the U.S. DOT must assess the maximum fine allowed.
The key is preparation! Don't let any DOT audit or "intervention" turn into an emotional event.
Stay in charge of compliance and safety with the DOT Safety Audit Guide management program.
Based on years of experience: gain valuable insights!
- How to prepare for the DOT auditor, examiner, or investigator
- What to sign . . . and what to never sign!
- Pre-operational (pre-op) requirements after obtaining a US DOT number
- Setting up the Safety Management Systems (SMS)
- Required policies, procedures and protocols
- The MCS-150 Report
- Unified Carrier Registration (UCR) (Inter~ Requirement)
- Checking your C.O.T.S. Safety E-profile for errors
- Protecting yourself against DOT Number Fraud
- Be Compliance, Safety, Accountability enforcement Ready!
- The heart of an audit: where you should focus
- CMV Driver Qualification (with sample forms)*
- Required driver background investigations*
- Checking the required Driver's Certificate for errors*
- Drug & Alcohol Testing for CDL drivers*
- Duties of the company D.E.R.
- Driver Inspections*
- Managing Vehicle and Roadside Inspections*
- Managing Driver "Hours of Service" Part 395*
- Driver training requirements
- Hauling HazMat "Materials of Trade" (for welders, farmers, etc.)
- Usable Forms
- Areas of Strict Enforcement
- Accident Investigation
- And much, much more . . . know the requirements and become more confident!
Updated to keep you current.
"Action Item" checklist format and forms makes audit preparation easy.
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8 1/2 by 11 in. 151 pages,
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The DOT Safety Audit Guide
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