Company Truckin Inc
RiskAssessment/DOTAuditReport
Conducted by: James Lombard, CSP, ASP
Higginbotham makes no representation or warranty nor assumes any responsibility that locations, products, work places operations, procedures, machinery or equipment of the Company are or will be safe or healthful or in compliance with any law, rule or regulation.
Date of Visit:
REDADCTED COMPANY NAME
Company Officials Contacted: Vance Lee
Contact email:
Persons Conducting Visit: James Lombard
D.O.T. #: Website
Date of Report:
EXECUTIVE SUMMARY
A Risk Assessment / DOT audit was conducted to assess life safety codes, general liability exposures, DOT compliance and employee practices that are implemented for Company. The purpose of this assessment was to evaluate risk management controls, identify potential risk improvement areas and loss control service opportunities on a go forward basis, and to establish a current risk management profile. This report was prepared using information gathered during management interviews as well as information obtained from the FMCSA SAFER website including SMS information, and a review of relevant safety policies & procedures information obtained and reviewed during the visit.
REDACTED NAME is pneumatic sand hauling company based out of REDACTED Texas with most operations out of the REDACTED LOCATION yard. They currently operate a fleet of 112 trucks with 35 company owned and approximately 80 owner operators. The company is safety focused with a full time safety director and a DOT fleet specialist.
Worker’s Compensation
Employee Information
Full
Breakdown of Employees by Dept.
Seasonal
(List the season(s) and the reduction or increase in staff/production)
Union/Non-Union
Shift Work (details)
Drug Test Program
Choose: (At-hire, random, probable cause, postaccident, etc.)
Safety Orientation of New Hires
Language Barrier
Non-Union
Office staff works 8 hrs daytime shifts and all drivers adhere to DOT hours of service regulations.
The company is committed to having a drug-free workplace; a drug & alcohol testing program that adheres to the Federal DOT guidelines and they also have a non-DOT testing program. The company performs the following testingPre-employment, post-accident, for cause and random drug and alcohol testing.
A formal orientation for new drivers is being established, currently only paperwork and HR associate information is provided to the driver.
None
Employee Turnover% unknown
Employee Leasing/Temps (If yes, explain)
Exposure
Driving
Manual Material Handling / Rig assembly and disassembly
Slip & Trip & Fall
None
Quantify the exposure and controls
Driving is the biggest exposure within the company and has multiple controls in place to reduce risk. There is no written program that provides the policies and procedures employees must follow.
Employeesareexposed toseveraltypesoftasksthatrequirelifting,pulling, pushing, and awkward body positioning. There is no training program in place to drivers to comply with OSHA regulations.
Employees are exposed to multiple exposures at site locations, climbing in/out of trucks, oilfield locations, etc. No formal training or policies exist to control hazards.
Commercial Auto
Hazardous Materials
1. Can the carrier produce a copy of the hazardous materials regulations?
2. Does the carrier provide hazardous materials training for new drivers, warehouse personnel, and dispatchers? (Documented)
3. Do new drivers hauling Hazmat undergo a criminal record check?
4 Have all drivers been issued a copy of the Emergency Response Guidebook?
5. Is Hazmat refresher training provided every three years?
6. Is there a system to track Hazmat refresher training?
7. Does the carrier have a written emergency Hazmat spill response plan?
8. Does the carrier have a written DOT Hazmat Security Plan?
9. Do new drivers receive documented training in both the Security and Spill Response Programs?
Additional Comments:
Onboard Equipment
Vehicles equipped with communications systems, GPS systems?
Vehicles equipped with speed governors?
Equipment Replacement
Comments
None
None
Comments
Describe vehicle replacement policy No Program in place
Are owner-operators utilized?
If so how many? Yes approximately 80
Vehicle Maintenance
Inspection, Repair and Maintenance
1. Does the prospect have a written procedure explaining their systematic, periodic vehicle maintenance program?
2. Does the prospect obtain monthly copies of maintenance records for leased equipment and owner/operators?
3. Is the prospect complying with the annual vehicle inspection procedures?
4. Can the prospect produce the prior three months’ vehicle inspection reports on a vehicle selected at random?
5. Are drivers assigned specific equipment?
6. Can the prospect produce a complete maintenance file on a vehicle selected at random?
7. Is each tractor’s electronic control module monitored on a regular basis for panic stops and over speeds?
8. Are company mechanics certified in brake inspection and repairs? (Documented
9. Are mechanics certified to conduct annual vehicle inspections? (Documented
10. Do drivers receive special recognition or rewards for successfully passing a DOT roadside inspection?
11 Are owner/operator vehicles subject to periodic (at least annual) follow-up DOT annual safety inspections at the insured’s shop or approved garage?
Additional Comments:
The company has an informal maintenance program but does not have good records for owner operators or company equipment. Could not verify mechanics have DOT brake certification, 3rd party used for annual inspections, $200 for clean roadside inspection, DOT Fleet person inspects all trucks monthly as of October.
Drivers
Under 23 0 Application:
Total NA Motor vehicle record: Yes Other Medical exam: (Upon hire and every two years, thereafter ) NO
Road test: Set, fixed route for each driver applicant? NO
Additional Comments: No written hiring criteria in place. Recommend that the company require new physical when driver is hired or implement a verification process to ensure the long form is accurate and the physician is approved.
Qualification of Drivers Yes No NA
1. Does the prospect conduct interviews with drivers to verify information submitted on their applications?
2. Does the prospect have a system in place that will ensure the driver’s:
▪ Medical Certificates remain current (every 2 years)?
▪ CDL Remains Valid?
▪ Annual record of violations remains current?
▪ Annual review of driving record (MVR) is run?
3. Does the prospect review the results of the health history and physical examinations?
4. Does the prospect have a checklist outlining the documents to be included in the qualification file?
5. Can the prospect produce completed driver-qualification files on drivers selected at random?
6. Are all documents required in the driver-qualification files readily available?
▪ Application for employment
▪ Original Motor Vehicle Record (MVR)
▪ Previous employment check (Last three years)
▪ Current FMCSA Physical Examination Certificate (valid for two years)
▪ Valid Commercial Driver’s License
▪ Record and Certificate of Road Test or copy of current CDL
▪ If employed for a year:
o Annual Review of Moving Violations (signed)
o Certificate of Violations
▪ Annual MVR
▪ Pre-employment drug test
▪ Receipt of drug and alcohol information
▪ Driver data sheet (retained for six months)
▪ Drug and alcohol history for the past two years
7. Are owner/operators subject to all safety policies?
Additional Comments: Driver files are getting close to being 100% complete, recommend maintaining separate D?A testing files for post injury/accident (non-DOT)
Driver Orientation
1. Is there a formal, documented safety orientation program for all new drivers? (Checklist)
2. Is a specific individual responsible for new employee safety orientation? (Safety director, dispatch)
3. Is there a company manual issued to drivers listing established safety rules and regulations?
4. Is this manual reviewed with all new employees (including office) during orientation? (New driver signature and date)
5. Do company safety policies/procedures include provisions for disciplinary action (s) for failure to comply with safety rules/procedures?
6. Do new hires receive adequate instruction in:
▪ Hours of Service
▪ Inspection and Maintenance Procedures
▪ Pre-trip Inspections
▪ Accident Procedures
▪ Cargo Security
▪ Defensive Driving
▪ Drug and Alcohol Abuse
▪ Disciplinary Action Policy
▪ Rider Policy/Restrictions
▪ Load Securement
Additional Comments: There is no written program in place for new hires, no OSHA or DOT training is completed at time of hire. Monthly safety meetings have been started but not made mandatory so it is difficult to ensure all drivers have attended.
Driver Controls
1. Are driver selection standards written and adhered to?
2. If driver selection standards are not followed on new or retrained drivers, is the reason for hire documented?
3. Is the minimum driver’s age requirement 23 years of age and above?
4. Are drivers required to have at least one year of verifiable experience? (Tractor-trailer)
5. Is pre-hire drug test obtained before dispatch?
6. Is the student-training program in writing, including evaluation forms?
7. Does the company adhere to all parts of the student-training program?
8. Are students selected from PTDIA or carrier-approved schools?
9. Are all new drivers subject to a documented road test?
10. Is a fresh long-form physical exam required?
11. If a prior medical exam from a previous employer is accepted, is the long form required and is it verified?
12. Is a pre-hire MVR obtained on all new hires?
Hours of Service
1. Can the prospect produce the prior six-month’s logs for a driver selected at random?
2. Does the prospect have a system to effectively monitor the drivers’ hours of service? (Documented monthly summary of violations)
3. Are other records (i.e., toll, fuel receipts, etc.) compared to drivers’ logs for falsification?
4. Are drivers adhering to the hours of service rules (i.e., 11, 14, 60/70-hour driving rules)?
5. Are drivers required to complete recaps of their records of duty status?
6. Does the carrier adhere to a disciplinary policy for noncompliance with hours-of-service regulations (documented)
7. Are dispatchers aware of drivers’ hours-of-service prior to and during the trip?
Additional Comments: No written hiring criteria for drivers, 23 is minimum age, company uses existing physical but does not verify it is valid. A few drivers talked to stated that dispatchers will ask drivers to haul a load knowing the driver will be in violation.
Safety Management Responsibility & Accountability
1. Does the company have a published safety policy signed by a member of top management and posted? (Should be signed by top management; policy should be posted.)
2. Doestheprospecthaveaqualifiedpersonassigned tooverseesafety performance?
3. Does the safety employee attend classes and/or seminars for FMCSA compliance/safetyprograms? (Traffic safety workshops or similar programs.)
4. Is the top management support of safety activities clearly in evidence?
Additional Comments: The company has hired a safety director to try and get eh company in compliance with DOT and OSHA. It appears that senior management does not fully support and embrace safety or DOT compliance.
Safety Communication Yes No
1. Are safety awards or other forms of incentives given to deserving drivers for safety achievements?
2. Does prospect use any of the following in safety communication program? If yes, which ones? ___ Driver of the Month Program ___ Driver of the Year Program x Bulletin Board Safety Displays Contests
x__ Posters Payroll Stuffers ___ Others
3. Are safety meetings being conducted?
4. Do all drivers attend, at least annually, a driver safety meeting?
Additional Comments: There is not incentive program in place Safety meeting are conducted monthly but no system in place to track drivers that were not present to ensure all receive the material.
Accident Investigation & Recordkeeping
1. Is there an accident investigation procedure? (Written accident investigation call-in form)
2. Are accidents investigated within 24-hours?
3. Is a follow-up made to ensure that causes of accidents are correctly identified, and that corrective action is taken? (Documented counseling, retraining, discipline of driver)
4. Are accident repeaters identified and required to attend remedial safety training?
5. Do upper management members receive and review all accident reports?
6. Are cameras, with instruction in use, provided in each vehicle for accident documentation purposes?
7. Does prospect conduct loss trend analysis study at least annually?
8. Is a DOT Accident Register maintained?
9. Are separate files kept on all accidents?
Yes No NA
Additional Comments: Accident files are maintained but there is no written policy that dictates who will investigate accidents, the process, reports, or how the findings with be used.
Drugs and Alcohol
1. Does the prospect have a written substance abuse policy?
2. Is the substance abuse policy reviewed annually and updated as necessary to reflect current laws and regulations at the federal state, local and case law level?
3. Is the company complying with the FMCSA mandated drug and alcohol testing regulations?
4. Is post-accident drug/alcohol testing conducted as prescribed by the FMCSA regulations?
5. Do drivers receive and sign for the drug policy?
6. Does the company provide a resource for employees to seek help for substance abuse?
7. Are supervisors trained in drug and alcohol-use detection (reasonable suspicion)?
Yes No NA
Additional Comments:
Fleet Management - General Information Yes No NA
1. Does the motor carrier have a written disciplinary action policy?
2. Can the carrier produce a recent copy of the Federal Motor Carrier Safety Regulations?
3. Is there one manager familiar with FMCSR?
4. Does the prospect review its motor carrier profile on a periodic basis (at least annually)?
5. Does the prospect use the motor carrier profile to identify drivers with multiple out-of-service violations?
6. Does the prospect have a written policy concerning passengers?
7. Does the prospect have a policy for monitoring speed (governors)?
8. Does the prospect have a policy to reduce vehicle speed for drivers with multiple violations?
Additional Comments: The company should implement written programs to ensure all employees are aware of policies and there is a consistent approach to mentoring and discipling drivers.
SMS Results
Focus Descriptive comments
Safety/compliance review ? (results/rating ?)
OOS rates for Drivers
As of October 30, the Safer system web site does indicate a rating as NOT RATED
6.3% as compared to the national average of 5.51% based on driver 58 inspections
OOS rates for Vehicles 16.7% as compared to the national average of 20.72% based on 58 vehicle inspections.
OOS rates for Haz Mat 0.0% as compared to the national average of 4.5% based on no vehicle inspections.
Comment on accident rates 6 crashes listed in last 24 months
Comment on type of Driver violations:
Comment on type of Vehicle violation:
Additional Comments:
There are 4 speeding violations this year, a couple OOS violations for logs not being current
The most violations are from inoperable lamps, Tires, and brake hose chaffing
CONCLUSIONS and RISK IMPROVEMENT OPPORTUNITIES
➢ New Hires – There is no formal written procedure for hiring criteria that dictates age, experience, criminal history, or driving history requirements. There is also no written program for on-boarding a new employee.
- Recommend developing a written policy with hiring requirements for all employee types; develop training plan for each job type. This includes DOT and OSHA training requirements. Recommend pulling Pre-Employment Screening Programs ( PSP) reports on all prospective drivers.
➢ Driver Qualifications – 49 CFR part 391 dictates what documents must be included in a driver folder.
- Recommend utilizing a checklist so that all required documents are in the folder to ensure compliance with FMCSA regulations. Drivers should not be allowed to work until all documents have been completed.
➢ Safety Policy – There is no written safety policy for the company or complete safety manual.
- Recommend developing a complete safety manual and policy that contains all necessary elements-based DOT requirements. This will provide a foundation that will enable employees to work in a safe environment.
➢ Safety Communication – Monthly safety classes are being conducted on various topics but there is not process in place to ensure all employee receive the training.
- Recommend developing a process to provide the training to employees that miss the scheduled class. This can be a summary, outline, power point, or video of the training. It is recommended that a short test be administered to ensure understanding of material.
➢ Accident Procedures – There are no written procedures in place on how to respond in the event of an incident or accident.
- Recommend having a written procedure in place on what to do, who to call, and what not to do when an accident occurs. Provide training for all employees on the procedures.
➢ Vehicle Maintenance – There is no formal written preventive maintenance program for company trucks or expectations for owner operators.
- Develop a PM schedule and require owner operators to maintain their equipment in accordance with manufacturer recommendations at a minimum.
- Require Owner Operators to file monthly maintenance report and be subject to non-dispatch if it isn’t turned in on time.
➢ Driver Training – There is no training program that complies with DOT or OSHA regulations, was told that drivers are using respirators with no medical exam or proper fit test.
- Develop a DOT training program that complies with FMCSA regulations for new hires and ongoing monthly training
- Develop an OSHA training program that complies with OSHA 1910 standards based on associated hazards drivers are exposed to.
OVERALL IMPRESSION
The foundation of the company is present and recent strides to improve safety and DOT compliance have been taken with the hiring of a safety director and fleet specialist. It appears that operations are still the primary focus and safety is secondary. This is causing the risk level of the company stay very high. The company is currently subject to a DOT audit due to SMS data scores being elevated in two categories. There is no OSHA compliance in place making the company susceptible to fines if OSHA were to inspect due to an injury or employee report. A focus on getting the necessary policies and procedures in place should be made to decrease the risk level.
Compliance Review Checklist used for DOT Audit portion
o Office Records
o Drug and alcohol Company Policy and testing records
o Site specific security plan with assessment (Drivers should sign and update annually)
o Driver Qualification Files which include the following requirements found in the Code of Federal Regulations, Sections 382.401, 40.333 and 391.53:
o Application for employment
o Fair Credit Reporting Statement
o Request for check of driving record (every year)
o Request for Information – Previous employers
o Request and consent from previous employers on Drug and Alcohol testing
o Driver’s safety performance history
o Road Test (performed by certified CDL holder)
o Medical Examination Report (Every 2 years) or waiver (if applicable)
o Driver’s Certificate of Violations / Annual COV
o Annual review of driving record
o Driver’s certification of driver’s license
o Driver’s receipt – driver’s handbook
o Driver’s receipt – drug and alcohol policy
o Drug Test – Pre-Employment and random
o Copy of current driver license
o Copy of current medical card
o Hazardous Materials (Hazmat) endorsement and test (if applicable)
o Driver’s mandatory notification of violations (out of state violations)
o Inquiries to State Agencies
o Company Policies
o Alcohol and Substance abuse policies
o Driver’s Handbook and policy
o Driver’s handbook, Towing and Recovery policy (if applicable)
o Company’s security plan
o False Logs Policy
o List of active employees and their hire date
o Proof of Insurance (MSC-90)
o Driver Logs or time cards for past 6 months
o Driver’s vehicle inspection records (DVIR) for past 6 months
o Vehicle Maintenance files showing vehicle identification, maintenance schedule and photos, Unit Number, tire size, Vin Number, Make, Model and Year
o Vehicle Annual Inspections – 14 months or 2 reports from last inspection
o Cargo tank records including manufacturer’s certificate of origin (“birth certificate”), tank test and inspection paperwork
o Hazmat driver training records and program
o USDOT Hazmat Registration (http://hazmat.dot.gov/regs/register/register.htm)
o Driver’s log or time sheets for the 100 mile exemption
o Paperwork for annual vehicle inspections.
o Keep duplicates of everything required to be in vehicle in the office!
o Accident Register – maintain for at least 3 years from date of accident
o Hazmat Companies Information (if applicable). Make sure all certifications and recertifications are current.
o Federal Hazardous Registration
o HM-126 Training test and certificate (driver’s and office personnel) every 2 years
o HM-232 Driver security training and certificate and re-certification every 2 years
o Vehicle – visual, annual tank test records
o Quarterly Drug and Alcohol Consortium Test Results
o Propane Companies – All Hazmat Information Plus:
o HM225A Training for each driver
o Monthly hose inspections (minimum 12 months)
o Vehicle – visual, annual tank test records
o Unique hose identification numbers on all hoses
o Remote shut off testing at 150 feet away every morning
o DOT certificate of compliance for each bobtail and pipe drawing
o Inside Vehicle
o Proper Shipping papers with emergency response information
o Emergency response telephone number
o Hazmat registration
o Driver’s daily vehicle inspection report (DVIR)
o Driver’s daily log book (DDL) or eLog access
o Vehicle Registration & Proof of Insurance
o Proof of For-Hire authority, if applicable
o Proof of annual vehicle inspection (windshield sticker)
o 10 BC fire extinguisher
o Spare fuses
o Bi-Directional reflective triangles
o On the Vehicle
o USDOT Number Company name, city and state on doors (large enough to read 50’ away)
o Legible placards on all four sides of the vehicle
o Correct Markings (ID Numbers)
o On the cargo tank, up to date testing marks.
o Specification Plate if you haul gasoline.
o In the Driver’s Possession (Wallet)
o A current CDL with appropriate endorsements
o Current medical certificate
o Trip information including:
o Trip Number
o Shipping Documents
o Bills of Lading
o Hours of Service Logs
o Daily Inspection Reports (Signed)
o Emergency contact names and phone numbers
o HOS Visor Card