DOT Compliance Presentation 2017

What happens when your scores go on alert?
• You receive a dot audit (compliance review)
• They evaluate your company and drivers
• Company receives a ranking of either Satisfactory/conditional/ or unsatisfactory
• Company / driver(s) receive fines
• Customers no longer willing to “risk” having you transport their freight
• Insurance carriers no longer willing to “risk” having you as a customer and/or
rates go up or they decline.
• NO INSURANCE = NO BUSINESS –FMCSA requires insurance to operate

• Introduction
• Rules of the Game
• Self-Introduction
• Rules and Regulations
• Electronic Log Devices
• Driver Coercion
• CSA
• Forms
• Wrap-up
Agenda

Background
• Graduate Indiana University School
• of Business
• Driver
• Dispatcher
• Operations Manager
• Small Business Owner
• Sales Fortune 500 Company
• Risk Manager
• Partner / Senior Risk Advisor
• Speaker:
• Transportation Profitability Strategies (TPS) group – University of
Georgia
• TCA Recruiting & Retention Seminar
• Instructor:
• Driver Score Card
• WCSS Risk Management
• WCSS Recruiting and Retention
Former Chair:
• Wisconsin Council Safety Supervisors
• ATA Recruiting and Retention
• WCTC Advisory Committee
• WCSS Seminar Series
Member:
• ATA S&LPMC Regulatory Committee
• ATA S&LPMC Accident Review Committee
• ATA S&LPMC Claims and Loss Prevention
Committee
• WCSS – Truck Driving Championship Committee
• WCSS – Accident Review Committee

Rules of the Game
• Deposits and Withdrawals
• The Power of a Team/Group Participation
• Confidentiality
• Avoid Side Conversations
• Cell Phones on Vibrate of Off
• Will Take Plenty of Breaks
• Be Team Players
• Sharing of Ideas
• End on Time
Tweet us!

What creates a compliance review?
• Complaint
• CSA
• High profile crash

Behavioral Analysis &
Safety Improvement Categories
• BASICs for Carriers and Drivers
• Behaviors That Lead To Crashes
• Unsafe Driving
• Hours-of-Services (HOS) Compliance
• Driver Fitness
• Controlled Substances and Alcohol
• Vehicle Maintenance
• Hazardous Materials (HM) Compliance
• Crash Indicator

SEVERITY WEIGHTINGS
• Severity Weightings (1/low risk to 10/high risk)
• Out of service violations – adds 2 points
• Example: 14 hour rule violation
o Severity weight (7 pts) + OOS (2 pts) = 9 pts
o 9 pts multiplied by time weighting (3, 2, or 1)
• Single Inspection Cap – Violation Cap.
oMaximum 30 pts for all violations in same BASIC

DRIVER MEASUREMENT SYSTEM
• All drivers are individually scored in 7 BASICs.
• Scores are available only to enforcement personnel.
o Roadside Inspectors – are used for targeted inspections on known problem
areas.
o Federal DOT - during Onsite Comprehensive intervention with motor carrier.
• Habitual violators
o Driver’s score of 90% or more in a BASIC could result in a fine ($$$) directly
to driver as part of a Compliance Review.

• Part 385 Safety Fitness Procedures
• Part 382/40 - Controlled Substances and Alcohol Use and Testing
• Part 383 - Commercial Driver's License Standards; Requirements and Penalties (Wisconsin CDL Requirements)
• Part 387 - Minimum Levels of Financial Responsibility for Motor Carriers
• Part 390 - General
• Part 391 - Qualifications of Drivers and Longer Combination Vehicle (LCV) Driver Instructors
• Part 392 - Driving of Motor Vehicles
• Part 393 - Parts and Accessories Necessary for Safe Operation
• Part 395 Trans 327 (Wisconsin) / Michigan Intrastate Hours of Service
• Part 396 - Inspection, Repair, and Maintenance
• Hazardous Material Regulations & MOT’s
• CSA
• Websites of Interest
Topics Covered

PART 385: SAFETY FITNESS
PROCEDURES

PART 390: GENERAL APPLICABILITY

Interstate:
Knowledge of and compliance with the regulations. (1) Every employer shall be
knowledgeable of and comply with all regulations contained in this subchapter which are
applicable to that motor carrier's operations.
(2) Every driver and employee shall be instructed regarding, and shall comply with, all
applicable regulations contained in this subchapter.
(3) All motor vehicle equipment and accessories required by this subchapter shall be
maintained in compliance with all applicable performance and design criteria set forth in this
subchapter.
Part 390 – General (Applicability)

Part 390.19 – Filing of MCS-150

Update MCS-150
Website address
Enter DOT # here
Click on below link

Update MCS-150 – Screen Snapshot
Click on this button & click on continue at bottom of the page

Update MCS-150 – Screen Snapshot
Click on File Electronically and complete the updating process

IMPORTANT!!!
AS A CARRIER YOU MUST UPDATE YOUR MCS-150 DURING THE MONTH
AND YEAR DESIGNATED OR YOUR US DOT# WILL BE DEACTIVATED.

The vehicle marking must show:
• The legal name or single trade name of the company operating the vehicle
• The motor carrier identification number, issued by the FMCSA preceded by the letters
“USDOT.”
• Display on the POWER UNIT.
• Visible from 50’ away.
Interpretation
Question 1: What markings must be displayed on a CMV when used by two or more motor
carriers?
Guidance: The markings of the motor carrier responsible for the operation of the CMV must be
displayed at the time of transportation. If 2 or more names are on the vehicle, the name of the
operating motor carrier must be preceded by the words "operated by."
Part 390.21 – Vehicle Marking

Interstate: Applicable (Same applicability as Part 382/40). Only considers GVWR at this
point.
Intrastate: Applicable (applicability differs slightly from Interstate – adding actual weight
and/or registered weight or any combination of the three to determine CDL applicability)
Part 383 – CDL Requirements

Class A:
For operation of a commercial motor vehicle. Any combination of vehicles with a Gross
Vehicle Weight Rating (GVWR), actual weight, or registered weight over 26,000 pounds
provided the GVWR, actual weight, or registered weight of the towed vehicle(s) is
more than 10,000 pounds.
Wisconsin CDL Requirements

Class B:
For operation of a commercial motor vehicle. Any single vehicle with a GVWR , actual
weight, or registered weight over 26,000 pounds, or such vehicle towing a vehicle with a
GVWR, actual weight, or registered weight of 10,000 pounds or less.

Class C:
For operation of a commercial motor vehicle. Any single vehicle with a GVWR, actual
weight, or registered weight of 26,000 pounds or less, (or such vehicle towing a vehicle
less than 10,000 pounds) designed to or actually carrying 16 or more persons including
the driver.

Class C:
For operation of a commercial motor vehicle. Any single vehicle with a GVWR, actual
weight, or registered weight of 26,000 pounds or less, (or such vehicle towing a vehicle
less than 10,000 pounds) transporting hazardous materials requiring placarding.

CDL Issues and Reminders
• Understand the trailer weight, GVWR or registered weight GREATLY impacts the Class A
CDL requirement.
• Drivers with CDL’s are held to the OWI standard of the vehicle they are driving. BUT if
arrested/convicted they cannot obtain an occupational CDL.
• Class D truck with air brakes? Good to go with a Class D license but civilly the driver
should have a clue.
• Pay attention to endorsements and restrictions: tanks, transmissions, air brakes, intra, etc.
• Can a 26000# truck pull a 10000# trailer with a class D drivers license?

Commercial motor vehicle means any self-propelled or towed motor vehicle used on a highway in interstate
commerce to transport passengers or property when the vehicle…
• Has a gross vehicle weight rating or gross combination weight rating, or gross vehicle weight or gross
combination weight, of 10001# or more. (Non-CDL CMV)
• In plain words, the above sections apply to all CMV’s. Drug and alcohol testing (and CDL) apply only to
the previously described CMV’s. The difference is seen when the weight is added, not just the GVWR.
Interstate Applicability of Parts 387, 390, 391, 392, 393,
395 & 396 (All the rest of the FMCSR’s)

(2) Is designed or used to transport more than 8 passengers (including the driver)
for compensation; or
(3) Is designed or used to transport more than 15 passengers, including the driver,
and is not used to transport passengers for compensation.
Interstate Applicability of Parts
387, 390, 391, 392, 393, 395 & 396

(4) Is used in transporting material found by the Secretary of Transportation to be
hazardous under 49 U.S.C. 5103 and transported in a quantity requiring placarding under
regulations prescribed by the Secretary under 49 CFR, subtitle B, chapter I, subchapter C.
Interstate Applicability of Parts
387, 390, 391, 392, 393, 395 & 396

Part 382/40 – Controlled Substances and Alcohol Use and Testing
Commercial motor vehicle means a motor vehicle or combination of motor vehicles used in commerce to
transport passengers or property if the vehicle…
• Has a gross combination weight rating of 26,001 or more pounds including a towed unit with a gross
vehicle weight rating of more than 10,000#. Class A combination CMV.
• Applies both inter and intrastate.
Who is Subject

Commercial motor vehicle means a motor vehicle or combination of motor vehicles used in
commerce to transport passengers or property if the vehicle…
• Has a gross vehicle weight rating of 26,001 or more pounds Class B straight truck
by itself or with a trailer 10,000# or less.
• Applies both inter and intrastate.
Who is Subject

• Is designed to transport 16 or more passengers, including the driver.
• WI statutes add “actually carrying” to the passenger endorsement section.
Who is Subject

• Is of any size and is used in the transportation of hazardous materials REQUIRING
PLACARDS.
• MOT’s (discussed later) are NOT included.
Who is Subject

Reminder…
Applies to both intrastate and
interstate operation!!!
Part 382/40 Controlled Substances and
Alcohol Use and Testing

Part 382/40 –
Types of Controlled Substance Tests
• *Effective 1/1/16 the FMCSA has reduced the random drug testing rate to 25%

Part 382/40 –
Types of Controlled Substance Tests

Part 382/40 - Controlled Substance
Test – Record Retention

Drug and Alcohol Policy
• General requirements. Each employer shall provide educational materials that explain
the requirements of this part and the employer's policies and procedures with respect to
meeting these requirements.
• The employer shall ensure that a copy of these materials is distributed to each driver prior
to the start of alcohol and controlled substances testing under this part and to each driver
subsequently hired or transferred into a position requiring driving a commercial motor
vehicle.
• Each employer shall provide written notice to representatives of employee organizations
of the availability of this information.

• Required content. The materials to be made available to drivers shall include detailed discussion of at
least the following:
• The identity of the person designated by the employer to answer driver questions about the materials;
• The categories of drivers who are subject to the provisions of this part;
• Sufficient information about the safety-sensitive functions performed by those drivers to make clear what
period of the work day the driver is required to be in compliance with this part;
• Specific information concerning driver conduct that is prohibited by this part;
• The circumstances under which a driver will be tested for alcohol and/or controlled substances under this
part, including post-accident testing under § 382.303(d);
• The procedures that will be used to test for the presence of alcohol and controlled substances, protect
the driver and the integrity of the testing processes, safeguard the validity of the test results, and ensure
that those results are attributed to the correct driver, including post-accident information, procedures and
instructions required by § 382.303(d);

• The requirement that a driver submit to alcohol and controlled substances tests administered in
accordance with this part;
• An explanation of what constitutes a refusal to submit to an alcohol or controlled substances test
and the attendant consequences;
• The consequences for drivers found to have violated subpart B of this part, including the
requirement that the driver be removed immediately from safety-sensitive functions, and the
procedures under part 40, subpart O, of this title;
• The consequences for drivers found to have an alcohol concentration of 0.02 or greater but less
than 0.04;
• Information concerning the effects of alcohol and controlled substances use on an individual's
health, work, and personal life; signs and symptoms of an alcohol or a controlled substances
problem (the driver's or a co-worker's); and available methods of intervening when an alcohol or a
controlled substances problem is suspected, including confrontation, referral to any employee
assistance program and/or referral to management.

• Optional provision. The materials supplied to drivers may also include information on
additional employer policies with respect to the use of alcohol or controlled substances,
including any consequences for a driver found to have a specified alcohol or controlled
substances level, that are based on the employer's authority independent of this part. Any
such additional policies or consequences must be clearly and obviously described as being
based on independent authority.
• Certificate of receipt. Each employer shall ensure that each driver is required to sign a
statement certifying that he or she has received a copy of these materials described in this
section. Each employer shall maintain the original of the signed certificate and may provide a
copy of the certificate to the driver.

Part 382.601 – Drug and Alcohol
• Reasonable Suspicion Training
• § 382.603: Training for supervisors.
• Each employer shall ensure that all persons designated to supervise drivers receive at
least 60 minutes of training on alcohol misuse and receive at least an additional 60
minutes of training on controlled substances use. The training will be used by the
supervisors to determine whether reasonable suspicion exists to require a driver to
undergo testing under § 382.307. The training shall include the physical, behavioral,
speech, and performance indicators of probable alcohol misuse and use of controlled
substances. Recurrent training for supervisory personnel is not required.

Vendor Solicitations
• DOT #1052826, ACE ELECTRIC SEWER CLEANERS,
• Mandatory DOT supervisor training !!!
Dot Service Locator <Info@dotservicefinder.com> Mon, Feb 22, 2016 at 3:31 AM
Reply-To: Dot Service Locator
To: NORMAN KEEKER
NORMAN,
Mandatory DOT supervisor training is required for those supervising
CDL licensed operators of vehicles over 26,000 lbs. gross weight.
www.DotServiceFinder.com
Hablamos Espanol !! 318-550-3405
Thanks,
Kelly Williams
Click Here To Unsubscribe:
http://DotServiceFinder.com/unsubscribe.php?email=jeffreyswan82@g
mail.com

Drug and Alcohol Testing Issues
and Reminders
• Random means random. Avoid patterns (every safety meeting) and when you send an
employee in do so immediately. (No warnings) On duty time to and from as well.
• Who has contact with the drivers? Is your most appropriate supervisor the reasonable
suspicion designee?
• Out of the pool for more than 30 days? You need a new PE test.
• Drivers have to “go when they go” or it’s a refusal. Shy bladders cause big issues when
drivers are on a tight schedule and leave the facility.
• Are you sure you are in a program? Have you paid your testing consortium? Have you
been attentive to the requests?
• Good “signed off” policies = less issues with unemployment.
• + Tests require referral to the SAP (a good SAP list) even if you are terminating the driver.
This includes PE, roadside OWI cases and refusals.

PART 391: DRIVER QUALIFICATIONS

Interstate: Applicable
Intrastate: Applicable - same as Interstate except:
1. Only for vehicles with a gross vehicle weight rating or gross combination weight rating of
26,000lbs or more versus 10,001lbs or more for interstate.
2. Passenger capacity must be greater than 15.
3. No need to be at least 21 years of age (18 is OK)
4. Can operate with insulin dependent diabetes as long as you meet the State of Wisconsin
waiver requirements.
5. Can operate with vision issues as long as you meet the State of Wisconsin waiver
requirements.
Part 391 – Qualifications for Drivers and Long
Combination Vehicle (LCV) Driver Instructors

Part 391 – Qualifications for Drivers and Long
Combination Vehicle (LCV) Driver Instructors
WHAT GOES IN A DQ FILE?
• Driver’s application
• Pre-employment questionnaire (if not included in the application) DO NOT FORGET
TO CONDUCT THE PE INQUIRIES AND FULLY DOCUMENT THE RESULTS!
Failure = BIG fines as the FMCSA will hold you accountable if a DQ driver is used.
• The initial MVR
• Certificate of road test (not required if the driver had to take a road test to obtain their
CDL.) BUT don’t forget your non-CDL drivers!
• The MVR used for the annual review
• Certificate of violations
• Annual review
• If you have a driver with a medical exemption, then the skill performance evaluation
certificate or the medical exemption document should be included
• Medical card

Federal Medical Certificate and Your Commercial
Driver License (CDL) – What You Need to Know
TIERS of Operation
• Tier 1 - You drive interstate (you or your cargo crosses state lines) and you need a Fed Med card to drive a
commercial vehicle.
• Tier 2 - You drive interstate (you or your cargo crosses state lines) and you do not need a Fed Med card to drive
a commercial vehicle because of one of the rare exemptions (farmers in straight trucks, bee keepers etc.)
• Tier 3 - You drive intrastate (you or your cargo does not cross state lines) and you need a Fed Med card to drive
a commercial vehicle. (CDL obtained after 7/1996)
• Tier 4 - You drive intrastate (you or your cargo does not cross state lines) and you do not need a Fed Med card
to drive a commercial vehicle because you are grandfathered. (CDL obtained prior to 7/1996 and never lost it)
https://www.youtube.com/watch?v=c04SO57b8aM

Federal Medical Certificate and Your Commercial
Driver License (CDL) – What You Need to Know

Fed Med Cards Additional Information
• Recent additions: For each medical card issued after May 21, 2014, you are required to verify
that the medical examiner is listed on the National Registry of Certified Medical Examiners
and add a note to the file.
• For every medical card issued after January 30, 2015, you need to have an MVR on file for
that driver. Make sure the MVR (referred to as the CDLIS motor vehicle record in the
regulations) includes the tier the driver is self-certifying for along with the examining
physician’s information (including name and medical certification number).
• If you are TIER 1 keep up. Don’t assume that by driving intra all will be fine. Give DMV time to
process your new card and check to see it happened. Don’t ASSume!
• Carry it. FMCSR’s might say you don’t have to, but do so. If intra TIER 3 YOU MUST CARRY
IT!!

Entry Level Driver Training (ELDT)
• Currently in the NPRM stage and will be reviewed by a negotiated rulemaking committee
comprised of LE and industry stakeholders. Effective 3 years following publication.
• Applies to first time CDL applicants (intra or inter), current CDL holders upgrading from
Class B to Class A and disqualified drivers re-applying for a Class A or B CDL.
• The NPRM proposes a Class A CDL core curriculum; a Class B CDL core curriculum;
three specific endorsement training curricula: hazardous materials (H), passenger bus
(P), and school bus (S); and a “refresher” training curriculum. The NPRM also proposes
that a CDL holder who has been disqualified from operating a CMV would have to
successfully complete refresher training.

ELDT
• Training Requirements (Proposed)
• Class A CDL driver-trainees would have to receive a minimum of 30 hours of BTW
training, with a minimum of 10 hours on a driving range. Driving on a public road would
also be required, and Class A CDL driver-trainees may fulfill this requirement by either: (1)
driving 10 hours on a public road, or (2) 10 public road trips (each no less than 50 minutes
in duration).
• Class B CDL driver-trainees would have to receive a minimum of 15 hours of BTW
training, with a minimum of 7 hours of public road driving.

ELDT
• Training?
• As proposed, individuals needing the training would enroll in training programs approved on the training
provider registry (TPR). This could include training programs at public or private schools, or other entities
such as a motor carrier that meets all of the proposed requirements for listing on the TPR.
• There are two different sets of eligibility requirements that training providers would need to meet in order
to appear on the TPR. One set of proposed requirements would apply to in-house or school training
providers that train, or expect to train, more than three drivers per year. The other set would pertain to
small business or for-hire training providers that train, or expect to train, three or fewer drivers per year.
All training providers would complete the Training Provider Identification Report as part of their
application for registration. As proposed, theory and BTW training may be delivered individually.

PART 392: DRIVING OF
MOTOR VEHICLES
(The FMCSA’s Rules of the Road)

Interstate: Applicable
Use of Seatbelts
Why? Because the State laws are generally more detailed and varied than the FMCSR’s
concerning seatbelts. The FMCSR’s currently only speak to the driver’s use of a seatbelt.
This may be changing in the future for CMV passengers. The FMCSR’s also provide for
primary enforcement in CMV’s where some states do not.
Part 392 – Driving of Motor Vehicles

Part 392 – Driving of Motor Vehicles

Texting
• Prohibition. No driver shall engage in texting while driving.
• Motor carriers. No motor carrier shall allow or require its drivers to engage in texting while driving.
• Definition. For the purpose of this section only, driving means operating a commercial motor
vehicle, with the motor running, including while temporarily stationary because of traffic, a traffic
control device, or other momentary delays. Driving does not include operating a commercial motor
vehicle with or without the motor running when the driver moved the vehicle to the side of, or off, a
highway, as defined in 49 CFR 390.5, and halted in a location where the vehicle can safely remain
stationary.
• (d) Emergency exception. Texting while driving is permissible by drivers of a commercial motor
vehicle when necessary to communicate with law enforcement officials or other emergency
services.

Cell Phones
• No driver shall use a hand-held mobile telephone while driving a CMV.
• No motor carrier shall allow or require its drivers to use a hand-held mobile telephone while
driving a CMV.
• Definitions. For the purpose of this section only, driving means operating a commercial motor
vehicle on a highway, including while temporarily stationary because of traffic, a traffic control
device, or other momentary delays. Driving does not include operating a commercial motor
vehicle when the driver has moved the vehicle to the side of, or off, a highway and has halted
in a location where the vehicle can safely remain stationary.
• Emergency exception. Using a hand-held mobile telephone is permissible by drivers of a CMV
when necessary to communicate with law enforcement officials or other emergency services.
• Keys to use? HANDS FREE/ONE BUTTON/WITHIN REACH!

Other Part 392 Prohibitions
• Ill or fatigued operators (Not you or the carrier requiring)
• Drug and alcohol consumption OR possession (Non-CDL too!)
• Speed (Carrier cannot compel a driver either!)
• Driver must inspect and make sure systems are working and loads are properly secured
(Places responsibility on the driver!)
• Warning devices: Responsibility is transferred to the DRIVER for placement (two lane vs.
divided highway) as well as in obstructed view situations.
• Unauthorized persons (Written permission no longer needs to be in the truck but that does not
mean the regulation no longer exists)
• Radar detector possession
• Riding in a closed body of a CMV without exit

Part 393 and 396
• PART 393 covers all the hardware (lights, brakes and everything from stem to stern)
• PART 396 tells us how to maintain, when to maintain and what paperwork is required to
prove we maintain

Interstate: Applicable CMV’s both CDL and non-CDL
WI - Brakes are not required on all wheels if the vehicle was placed in operation in common,
contract, or private carriage prior to 6-1-1987.
MI - Less than 15000# allows surge brakes.
Parts 393 and 396 Inspection, Repair
and Maintenance

Part 393
• Part 393 is extremely detailed and provides graphs as well as pictures to represent what
equipment is required where. Carriers and mechanics must refer to the regulation and its
associated interpretation when researching issues.
• Extras: The use of additional equipment or accessories in a manner that decreases the safety
of operation of a commercial motor vehicle in interstate commerce is prohibited. Nothing
contained in this subchapter shall be construed to prohibit the use of additional equipment and
accessories, not inconsistent with or prohibited by this subchapter, provided such equipment
and accessories do not decrease the safety of operation of the motor vehicles on which they
are used.
• Liability: Every motor carrier and its employees must be knowledgeable of and comply with
the requirements and specifications of this part.

Part 396 – Inspection, Repair
and Maintenance

Part 396 – Inspection, Repair and Maintenance
*Now Only Required When a Defect is Detected!!

Part 396 – Inspection, Repair
and Maintenance
• Do your mechanics know what Appendix G is and where it can be found?

APPLICABILITY
• Interstate commerce utilizing CDL required CMV’s as well as non-CDL CMV’s 10,001#
or more (weight or GVWR).
Part 395 – Interstate Hours of Service

Part 395– Hours of Service
Interstate Hours of Service (HOS) – 11 & 14 Hour Rule
• 395.3(a) No motor carrier shall permit or require any driver used by it to drive nor shall any
driver drive:
o More than 11 cumulative hours following 10 consecutive hours off duty.
o For any period after the end of the 14th hour after coming on duty following 10
consecutive hours off duty
o 34 hour restart (once again applies pending study )
o No current 1A to 5A requirement (Rescinded 12/15/14 waiting restart study)
o 30 minute break must be documented after 8 on duty and/or driving

Interstate Hours of Service (HOS) – 60 & 70 Hour Rule
• 395.3(b) No motor carrier shall permit or require any driver used by it to drive nor shall
any driver drive:
o After having been on duty for 60 hours in any 7 consecutive days, if the motor
carrier does not operate every day of the week.
o After having been on duty for 70 hours in any 8 consecutive days, if the motor
carrier operates every day of the week.

HOURS OF SERVICE
On-duty time means all time from the time a driver begins to work or is required to be in readiness to work until the time the driver is relieved
from work and all responsibility for performing work. On-duty time shall include:
(1) All time at a plant, terminal, facility, or other property of a motor carrier or shipper, or on any public property, waiting to be dispatched,
unless the driver has been relieved from duty by the motor carrier;
(2) All time inspecting, servicing, or conditioning any commercial motor vehicle at any time;
(3) All driving time as defined in the term driving time;
(4) All time in or on a commercial motor vehicle, other than:
(i) Time spent resting in or on a parked vehicle, except as otherwise provided in § 397.5 of this subchapter;
(ii) Time spent resting in a sleeper berth; or
(iii) Up to 2 hours riding in the passenger seat of a property-carrying vehicle moving on the highway immediately before or after a period of at
least 8 consecutive hours in the sleeper berth;
(5) All time loading or unloading a commercial motor vehicle, supervising, or assisting in the loading or unloading, attending a commercial
motor vehicle being loaded or unloaded, remaining in readiness to operate the commercial motor vehicle, or in giving or receiving receipts for
shipments loaded or unloaded;
(6) All time repairing, obtaining assistance, or remaining in attendance upon a disabled commercial motor vehicle;
(7) All time spent providing a breath sample or urine specimen, including travel time to and from the collection site, to comply with the
random, reasonable suspicion, post-crash, or follow-up testing required by part 382 of this subchapter when directed by a motor carrier;
(8) Performing any other work in the capacity, employ, or service of, a motor carrier; and
(9) Performing any compensated work for a person who is not a motor carrier.

HOURS OF SERVICE ( OLD)
• EFFECTIVE February 27, 2012
• Definition of on-duty time :
o NOT TO INCLUDE (which means you can log as off duty) any time resting in
a parked CMV. Note: this does not include time at a shipper/receiver loading,
unloading, or waiting in a state of readiness.
o For team operation: In a moving CMV not to include (which means can be
logged as off duty) up to 2 hours in passenger seat immediately before or
after 8 consecutive hours in the sleeper berth.

HOURS OF SERVICE – OFF DUTY
TIME
• OLD RULE:
• IN ORDER TO BE OFF DUTY AT A SHIPPER, RECEIVER, OR
FACILITY:
• The Driver must:
• Have written permission from motor carrier relieving driver from all
responsibilities.
• Not be performing any tasks for shipper, receiver, or carrier (whether or not
paid is irrelevant).
• Be able to leave the facility

HOURS OF SERVICE – OFF DUTY
TIME
• NEW RULE (effective mid July 2013)
• IN ORDER TO BE OFF DUTY AT A SHIPPER, RECEIVER, OR
FACILITY:
• The Driver must:
o Be relieved from all responsibilities by the motor carrier (does not have to be
in writing
o Not be performing any tasks for shipper, receiver, or carrier (whether or not
paid is irrelevant).
o Be able to choose his/her activities

Interstate & Intrastate Hours of Service (HOS)
• If a driver goes interstate he is subject to interstate laws for the preceding 7 days and
the 7 days that follow the interstate trip.
Note: The driver may abide by intrastate hours of service in the preceding days to the
interstate trip but all the hours will still count against the interstate 60/70 hour rules.

Part 395– Hours of Service 16
Hour Exemption
A property-carrying driver can extend to a 16 hour “on duty” period if:
• The driver has returned to the driver's normal work reporting location and the carrier released the
driver from duty at that location for the previous five duty tours the driver has worked
• The driver has returned to the normal work reporting location and the carrier releases the driver
from duty within 16 hours after coming on duty following 10 consecutive hours off duty
• The driver has not taken this exemption within the previous 6 consecutive days, except
when the driver has begun a new 7- or 8-consecutive day period with the beginning of any off-duty
period of 34 or more consecutive hours as allowed by §395.3(c) (34 reset)

100/150 Air–Mile Radius Driver §395.1(e)
A driver is not required to create a standard log if the following criteria are met:
• 100 air miles from work reporting location (150 for non-CDL drivers)
• The driver leaves and returns to original work reporting location in 12 hours.
• 10 consecutive hours off duty separating each 12 hours on duty
• does not exceed 11 hours maximum driving time following 10 consecutive hours off duty
• The motor carrier maintains time records for 6 months showing:
o The time the driver reports for duty each day
o The time the driver is released from duty each day
o Total number of hours on duty each day
o Total time on duty for the preceding 7 days for drivers used for the first time or intermittently.
• A 100 air–mile radius driver is not exempt from the 11, 14, and 60–hour/7–day or 70-hour/8–day limit.
• 100 air miles are equivalent to 115.08 statute miles. 150 = 121.08

HAZARDOUS MATERIALS OF TRADE
(MOT’S)

HM MOT’s (Exemptions)
• The regulations that apply to MOTs are found in 49 CFR Section 173.6. They include:
o General knowledge of MOTs regulations
o Quantity limitations
o Packaging requirements
o Marking and labeling requirements.
• The MOTs regulations do not require:
o Shipping papers
o Emergency response information
o Placarding
o Formal training or retention of training records.
• What Quantity Limits Apply for Hazardous Materials being Transported as MOTs?
• With the exception of tanks containing diluted mixtures of Class 9 materials, no more than a combined gross weight of 440
lbs. of Materials of Trade can be transported on any one vehicle. This includes the package or cylinder.

PART 387: FINANCIAL RESPONSIBILITY

Interstate/Intrastate: Applicable
Part 387 – Minimum Levels of Financial
Responsibility for Motor Carriers

Type of carriage
Commodity transported January 1, 1985
(1) For–hire (In interstate or foreign commerce, with a gross vehicle weight
rating of 10,001 or more pounds).
Property (nonhazardous) $750,000
(2) For–hire and Private (In interstate, foreign, or intrastate commerce, with
a gross vehicle weight rating of 10,001 or more pounds).
Hazardous substances, as defined in 49 CFR 171.8 transported in cargo tanks, portable tanks,
or hopper-type vehicles with capacities in excess of 3,500 water gallons; or in bulk Division
1.1, 1.2, and 1.3 materials, Division 2.3, Hazard Zone A, or Division 6.1, Packing Group I,
Hazard Zone A material; in bulk Division 2.1 or 2.2; or highway route controlled quantities of a
Class 7 material, as defined in 49 CFR §173.403
$5,000,000
(3) For–hire and Private (In interstate or foreign commerce: in any quantity;
or in intrastate commerce, in bulk only; with a gross vehicle weight rating of
10,001 or more pounds)
Oil listed in 49 CFR 172.101; hazardous waste, hazardous materials and hazardous substances
defined in 49 CFR 171.8 and listed in 49 CFR 172.101, but not mentioned in (2) above or (4)
below
$1,000,000
(4) For–hire and Private (In interstate or foreign commerce, with a gross
vehicle weight rating of less than 10,000 pounds).
Any quantity of Division 1.1, 1.2, or 1.3 material; any quantity of Division 2.3, Hazard Zone A,
or Division 6.1, Packing Group I, Hazard Zone A material; or highway route controlled
quantities of a Class 7 material as defined in 49 CFR 173.403
$5,000,000
Part 387.9

• Important and often forgotten requirement:
• Q: If I’m a private carrier (landscaper, mason, welder etc.) operating a non-CDL CMV in
interstate commerce AND I carry a can of gasoline, mixed gas, diesel, cylinder of propane
or acetylene etc. in the trailer, what is my required level of insurance?
• A: $1,000,000

ELD Proposal
• Published March of 2014
• What’s covered?
o ELD use
o ELD technical standards
o ELD registry
o Harassment protections
o Supporting documents
• Final rule closely matches proposal
o If you know and understand the proposal, you already know and understand the
Final Rule!

ELD Final Rule
• Preview published 12/10/15
• Actual Final Rule published 12/16/15
• What’s covered
o ELD use
o ELD technical standards
o ELD certification
o Harassment protections
o Supporting documents

ELD Use – Who
• Requires all drivers that are required to complete logs to begin using ELDs two years after
final rule published (12/18/2017) or current AOBRDs users 12/16/2019
• CMV drivers involved in interstate commerce and subject to logging requirements in Part
395
• WI does adopt the rule by inference in TRANS 327 but TRANS 327 is being re-written
and a decision to exclude or include ELD’s will be made prior to December of 2017 for
intrastate CDL drivers
• Does not prohibit others not required to use ELD’s from using ELD’s

ELD Exceptions
• The following drivers are not required to use ELD’s:
• Drivers who use paper logs no more than 8 days during any 30-day period.
• Drive-away-tow-away drivers (transporting an empty vehicle for sale, lease, or repair).
• Drivers of vehicles manufactured before model year 2000. (1999 VIN)

Not Excepted
• Small fleets
• Existing vehicles (does not only apply to “new vehicles going forward”)
• “Small” CMV vehicles (non-CDL vehicles)
• Passenger carriers
• Leased or rented vehicles
• Lease or temp drivers
• “Non-trucking” motor carrier entities

Old Versus New Device Standards
• AOBRD can be installed until 12/18/17 and used until December of 2019.
• Only ELDs can be installed after 12/18/17
• An AOBRD installed before the ELD compliance date is considered “grandfathered.”
Drivers and carriers may continue to use an AOBRD instead of an ELD for a period of four
years from the publication of the final rule.
• Note that an AOBRD that has been updated and meets the standards for an ELD,
including certification registration on FMCSA’s website, is not considered a grandfathered
AOBRD. It is considered an ELD.

List of Certified Devices
• As of 12/18/17 all devices installed must be on FMCSA’s registered ELDs list. Available
2/16/16 on the FMCSA site:
o https://www.fmcsa.dot.gov/hours-service/elds/equipment-registration
• Vendors must “self-certify” and provide materials to FMCSA
• If a complaint is filed about a device, FMCSA will address it with vendor before removing
vendor from list

Users and Placement
• Motor carriers must set up ELD user accounts for carrier-employed commercial drivers
who are required to use ELDs.
• Support personnel (including employees, contractors and third-party support) whom the
carrier authorizes to create, remove, and manage user accounts; configure ELDs; and
access, review, and manage driver ELD records.
• Portable devices must be mounted when vehicle is in operation

In Vehicle Requirements for Drivers
• ELD User’s Manual
• Instruction sheet for transferring HOS records to safety officials
• Instruction sheet on reporting ELD malfunctions & recordkeeping procedures during ELD
malfunctions
• A supply of paper tracking forms (grid graphs) for at least 8 days, in case of ELD
malfunction.

Drivers Should Know
• How to Log in
• Assign unassigned driving hours
• Record duty status changes
• Edit records
• Annotate records
• Certify records
• Access RODS data
• Provide ELD display, printout (if available), and send a copy of the printout via email or fax to
inspectors
• Identify and fix data diagnostics
• Report ELD malfunctions

Driver Entries
• Non-driving duty status
• Location (if prompted by device)
• CMV and trailer numbers
• Shipping document/shipper commodity information
• Annotations, comments, and edits

Drivers and Unassigned Driving Miles
• Drivers must be able to account for all unassigned driving miles! This is a key component
to the ELD rule and will be scrutinized thoroughly by enforcement personnel.
• The ELD must warn the driver if the vehicle is moving and no driver is logged in.
• Unassigned driving time in the system must be dealt with by the carrier
• Unassigned miles must be visible at the roadside inspection
• Driver must annotate the record if the unassigned hours are not theirs
• Drivers must add the unassigned hours to your records if they are yours
• Recording changes of duty status BEFORE powering down is the best practice to help
limit edits/annotations, and avoid potential ELD malfunctions

ELD’s and Edits
• Edits are limited with ELDs
• Driving time cannot be changed.
• Edits are only supposed to be used to add missing information or correct mistakes.
• Annotations are used to provide explanations for records, or to give the reason for an edit
• Best practice is to limit edits/annotations, and avoid potential ELD malfunctions
• Certify edits only if they are correct/true.
• Reminder… Law enforcement will be trained to recognize edits and look for unassigned
miles.

ELD’s and Edits
• Drivers may edit and enter missing information
• Driver edited logs must be recertified and resubmitted by the driver
• Supervisors can request edits to logs, however, driver needs to approve and resubmit
• “Reason for edit” must be included in all changes
• All records related to the edit (original, updated, comments, etc.) must be retained

Carrier Retention
• Retain ELD data and backup on separate systems
• 6 months retention for ELD and backup data
• Secure storage to protect driver privacy

Data Capture
The ELD must capture a “data set” at vehicle startup and shutdown, at all duty changes,
once per hour while the vehicle is in operation, and when entering or ending a “special
driving period.”

Data Sets
• Date and time
• Location which is accurate to within 1 mile (on duty driving) or 10 miles (personal
conveyance / off duty driving)
• Engine hours (Engine hours provide a cross-check to verify the odometer data collected)
• Driver
• Vehicle
• Carrier

Default Duty Status
• Driving time must be automatically captured using vehicle data at speeds of no more than
5 MPH
• Default to on duty time when stopped more than 5 minutes after a 1 minute prompt to the
driver
• All other non-driving duty changes must be made by the driver
• Two “special driving categories:”
o Yard time (on-duty time)
o Personal use (off duty time)

Important Note!!!
• New rule DOES NOT:
• Clarify “personal conveyance” issues
• Change any of the definitions of “on-duty time”
• Change any of the limits or exceptions in §395.1, §395.3, or §395.5
• Allow for GPS derived data for mileage
• The ELD must be able to directly monitor the vehicle’s engine operation to automatically
capture engine power status (on or off), vehicle motion, miles driven, and engine hours.

Submission of Records and
Collection by FMCSA
• Drivers must “certify and submit” the ELD record for each 24-hour period within 13 days
(multiple off-duty days are allowed)
• No data transfer requirements for submitting. Carriers may transmit over air (cell, Wi-Fi,
hard wire or direct downloads)
• Only ELD-generated records with violations will be collected during roadside inspections,
safety audits, and other reviews.
• Records with violations will be uploaded in FMCSA’s MCMIS database, as an attachment
to the inspection or other report.
• In addition, only data required by the ELD rule will be transferred to safety officials.

Malfunctions
• Driver must note malfunction and notify carrier within 24 hours
• Be prepared to reconstruct logs (current day and previous 7)
• Follow manufacturers instructions to resolve data inconsistencies
• Carrier must repair or replace within 8 days

Roadside Inspections
• Drivers must be able to hand officer device or printout if requested
• Drivers must be able to provide electronic records to the officer
• Safety officials will be able to select at least one wireless transfer method (Web services
or email) and one local transfer method (thumb drive or USB2.0 or Bluetooth) for each
type of ELD.

Roadside Inspections
• Officers’ laptops will receive the data and audit and display it in “E-RODS”
• Back office files must provide records to investigators in standard format as well

Harassment
• Harassment involves using the data from the system to “force” a driver to drive when ill or
fatigued or out of hours
• Harassment is specific to ELD’s and not as general as the coercion rule
• Drivers must approve all records (including edits and related comments)
• Drivers must have access to all records in the ELD system
• Devices must have mute or volume control
• FMCSA establishes processes for dealing with harassment complaints

Supporting Documents
• Motor carriers and drivers must comply with the rule's supporting document requirements
two years after the publication date of the final rule. (12/17)
• Motor carriers must retain up to eight supporting documents for each 24-hour period that
a driver is on-duty.
• A driver is not required to retain any supporting documents in the vehicle. However, a
driver must show any supporting documents that are in a vehicle to authorized safety
officials on request.

Supporting Documents Defined
(Five categories)
• Bills of lading, itineraries, schedules, or equivalent documents that show the starting and
ending location for each trip
• Dispatch records, trip records, or equivalent documents
• Expense receipts related to “on-duty/not driving” periods (meals, lodging, fuel, etc.)
• Fleet management system communication records
• Payroll records, settlement sheets, or equivalent documents showing payment to a driver
• Drivers using paper RODS must also keep toll receipts – which do not count toward the
eight-document cap

Supporting Documents Must Include
• Driver name (or a carrier-assigned identification number) on the document or on another
document that allows the carrier to link the first document to the driver. The vehicle unit
number may also be used, if that number can be linked to the driver.
• Date
• Location (including the name of the nearest city, town, or village).
• Time

Supporting Documents
• 395.8(K)(1):(k) Retention of driver's record of duty status. (1) Each motor carrier shall
maintain records of duty status and all supporting documents for each driver it employs
for a period of six months from the date of receipt.
• Q#10: Supporting documents are the records of the motor carrier which are maintained in
the ordinary course of business and used by the motor carrier to verify the information
recorded on the driver’s record of duty status.
• The key difference is supporting documents are now defined and require specific
elements (like time!!)

Defined
• Coercion occurs when a motor carrier, shipper, receiver, or transportation intermediary
threatens to withhold work from, take employment action against, or punish a driver for
refusing to operate in violation of certain provisions of the Federal Motor Carrier Safety
Regulations (FMCSRs), Hazardous Materials Regulations (HMRs) and the Federal Motor
Carrier Commercial Regulations (FMCCRs). Coercion may be found to have taken place
even if a violation has not occurred.
• An common example of coercion is when a motor carrier terminates a driver for refusing
to accept a load that would require the driver to violate the hours of service requirements.

Elements of Coercion
• The following must have occurred in order for coercion to have existed:
• A motor carrier, shipper, receiver, or transportation intermediary must request a driver to
perform a task that would result in the driver violating certain provisions of the FMCSRs,
HMRs, or the FMCCRs
• The driver must inform the motor carrier, shipper, receiver, or transportation intermediary of
the violation that would occur if the task is performed, such as driving over the hours of service
limits or creating unsafe driving conditions
• The motor carrier shipper, receiver, or transportation intermediary must make a threat or take
action against the driver’s employment or work opportunities to get the driver to take the load
despite the regulatory violation that would occur

Filing a Complaint
• The Coercion Rule takes effect on January 29, 2016, at that time the FMCSA will start
accepting coercion complaints from drivers.
• Coercion complaints must be filed within 90 days of the alleged coercion action.
• When filing complaints, drivers should include as much supporting information as
possible, such as:
• Text messages or email exchanges between parties showing coercion attempts as well as
driver responses.
• Names of anyone who may witnessed the coercion attempt.
• To file a complaint with FMCSA drivers may contact the Division Office located in the state
where the complainant is employed or the National Consumer Complaint Database.

Examples of Coercion
• Firing or laying off a driver that has voiced an objection to violating the FMCSR’s
• Decreasing dispatch opportunities, reducing pay, or reducing hours
• Reassigning the driver in such a manner as to impact promotion prospects or income potential
• Withholding pay and or benefits
• Reassignment to less favorable shifts or routes; (moving the driver to the “bottom” of the
dispatch list after rejecting dispatch (if the driver would not have otherwise moved to the
bottom had the load been accepted)
• Reporting negative information in an employment history or threatening to make a negative
report about the driver

Coercion vs. Progressive Discipline
• Key factors...
• Was there a violation of the FMCSR’s present that the carrier was informed about at the
time of the issue? In other words if the driver cannot provide evidence that the carrier
knowingly was forcing him or her to violate, no issue, no case.
• When headed down the discipline road you must document everything to protect yourself
from false claims. (Most driver complaints I fielded prior to this “new” regulation stemmed
from terminated drivers and HOS allegations.)

Remember…
• Coercion CAN take place even if the violation never occurred!!! This means the driver can
refuse to go along with the “coercion” and still have a case and file a complaint.
• In theory, the “lawful driver” will refuse to violate, make the objection and file the complaint
using his/her perceived penalty or threat as evidence of coercion.
• Emails, texts, recordings and driver/witness statements will be used to support driver
claims.
• Violations are most commonly HOS issues but do not neglect equipment and fatigued or
ill driver problems as well as drug/alcohol issues, CDL issues etc.

Responding to Objections
• How you respond depends on the objection.
• Drivers with equipment objections need to identify if the severity of the issues present and
provide reasons they will not operate. The regulation does not exclude any violations of
the FMCSR’s as part of coercion but in reality complaints will have to consider the gravity
of the violation(s) in question.
• HOS and or Ill/Fatigued driver claims require the driver to object on the basis of the hours
violation or his/her physical inability to drive. Remember the liability involved when a
driver makes the claim of being ill or fatigued! Document, document, document!!

Coercion vs. Harassment
• Harassment is very specific; harassment occurs when a driver commits an HOS violation
based on carrier actions that were related to ELD use specifically.
• Harassment is action taken by a motor carrier that the carrier knew (or should have known)
would result in a driver violating the Hours of Service (HOS) rules or a situation where the
driver is operating while ill or fatigued.
• The carrier’s action must be based on information from an ELD or other technology used in
combination with an ELD. FMCSA explicitly prohibits a motor carrier from harassing a driver.
• Coercion elements need not be present, the intent of the harassment rules were to specifically
assist with the implementation of ELD’s.

Things to Remember
• Once a driver has objected:
• If the objection is such that transportation of the load would be a clear violation of regulations,
the driver should not be allowed to transport a load.
• If the objection is such that dispatch cannot determine whether or not a violation would clearly
result, the driver should be instructed that if he or she believes a violation would result, then
the load should not be transported.
• If the objection is such that the driver could clearly initiate the move without a violation, then, if
driver is subject to forced dispatch considerations, the driver can be dispatched. But, clear
instructions should be given that in no event should the driver violate the regulations even if it
means a missed appointment.

Reality… From an Enforcement
Perspective and Opinion
• This rule is largely a “feel good” measure in an attempt to address the past problems of uninvestigated driver
complaints. (Complaints were common each time I staffed the MCEIS line)
• Cases will be difficult to prove since this is a civil proceeding where documents speak, not witnesses.
• “Good” carriers will probably worry the most and need to guard against the disgruntled driver who was
terminated for just cause.
• “Bad” carriers won’t care and neither will those drivers.
• Proving a case will require solid documentation and self incrimination by carriers or evidence of same if the
carrier doesn’t admit to the coercion.
• The largest liability will be exposed in crashes and the most aggressive enforcement will take place in the
aftermath of those crashes.
• As Aaron says… R E L A X and document, don’t violate or cause drivers to do the same!

CSA Overview
• Learn the BASICs
• The SMS organizes carrier roadside inspection, crash, and investigation information into
seven BASICs
• DRIVERS! Your safety performance affects your company’s SMS results—and your Pre-
Employment Screening Program (PSP) record
• The BASICs are a good way to remember many of the safety rules you must follow

CSA Overview
• FMCSA maintains several websites that provide easy access to valuable safety-related
information. Carriers only need a USDOT number and PIN # to perform a search. Public
information is limited on all but passenger carriers at the present time.
• Analysis & Information (A&I) Online
• DataQs
• QCMobile
• Safety and Fitness Electronic Records (SAFER) System
• Safety Measurement System (SMS)

FMCSA Portal Access
Website address
Add User ID & Password here & click Login

Websites of Interest – Live Demonstration
FMCSA Website
https://www.fmcsa.dot.gov/
Wisconsin DOT Website
http://wisconsindot.gov/Pages/dmv/com-drv-vehs/mtr-car-trkr/default.aspx
FMCSA: A Motor Carrier’s Guide to Improving Highway Safety
https://www.fmcsa.dot.gov/safety/carrier-safety/motor-carriers-guide-improving-highway-safety
Pipeline and Hazardous Materials Safety Administration (PHMSA) Website
http://www.phmsa.dot.gov/
FMCSA Portal Website
https://portal.fmcsa.dot.gov/login
FMCSA Safer Website (MCS-150 Update)
http://www.safersys.org/CompanySnapshot.aspx
PARS
http://portal.wisconsin.gov/register/index.html#pars

Thank you!
DON JERRELL
Partner/Senior Risk Advisor
djerrell@hni.com

DOT Compliance Presentation 2017

Recommended

Recommended

More Related Content

What's hot

What's hot (20)

Viewers also liked

Viewers also liked (20)

Similar to DOT Compliance Presentation 2017

Similar to DOT Compliance Presentation 2017 (20)

More from HNI Risk Services

More from HNI Risk Services (20)

Recently uploaded

Recently uploaded (20)

DOT Compliance Presentation 2017