Compliance review Safety ratings Satisfactory: Conditional: Unsatisfactory: Safety fitness standard (Section 385.5

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1 Cmpliance review A cmpliance review is an n-site examinatin f the mtr carrier's recrds and peratins by a unifrmed member f the Clrad State Patrl, t determine whether the carrier meets the safety fitness standard. Upn cmpletin f the review, a mtr carrier will receive a safety rating. The rating will reflect the carrier s cmpliance with the Federal Mtr Carrier Safety Regulatins and the Hazardus Materials Regulatins as adpted by the Clrad State Patrl. A cmpliance review is cnducted t investigate ptential safety vilatins, t investigate cmplaints, r is in respnse t a carrier's request fr a change in safety rating. The results f the cmpliance review may result in the initiatin f an enfrcement actin. Safety ratings The safety ratings are: Satisfactry: A mtr carrier has in place and functining adequate safety management cntrls t meet the safety fitness standard prescribed in Sectin Safety management cntrls are adequate if they are apprpriate fr the size and type f peratin f the particular mtr carrier. Cnditinal: A mtr carrier des nt have adequate safety management cntrls in place t ensure cmpliance with the safety fitness standard that culd result in the ccurrences listed in Sectin 385.5(a) thrugh (h). Unsatisfactry: A mtr carrier des nt have adequate safety management cntrls in place t ensure cmpliance with the safety fitness standards which has resulted in ccurrences listed in Sectin 385.5(a) thrugh (h). The mtr carrier will receive written ntice f the safety rating. Safety fitness standard (Sectin 385.5) The safety rating is based n the degree f cmpliance with the safety fitness standard fr mtr carriers. T meet the safety fitness standard, the mtr carrier shall demnstrate that it has adequate safety management cntrls in place that functin effectively t ensure acceptable cmpliance with applicable with the regulatins.

2 Cmpliance review Guidelines The fllwing is a list f regulatins that the cmpliance fficer will review t see if the carrier is cmplying. Insurance Interstate: Part Intrastate: Part / CRS Interstate ( ) Cpy f MCS 90 ( ) Prper insurance amunt (387.9) Yes ( ) N ( ) MCS 150 (DOT applicatin) Yes ( ) N ( ) Updated every 24 mnths Yes ( ) N ( ) Intrastate ( ) Cpy f valid insurance ( ) Accident Register / Past 365 days: Part Reprtable accidents Yes ( ) N ( ) Cpy f accident register Yes ( ) N ( ) Mtr carriers must maintain an accident register cntaining specific infrmatin fr each accident. The infrmatin t be included fr each accident is as fllws: Date f accident, City f twn in which r mst near where the accident ccurred and the state in which the accident ccurred, Driver name, Number f injuries, Number f fatalities, and Whether hazardus materials, ther than fuel spilled frm the fuel tanks f vehicles invlved in the accident, were released. Cpies f all accident reprts required by state r ther gvernmental entities r insurers must als be retained. DOT Markings: Part vehicles defined as cmmercial mtr vehicles accrding t and perating in cmmerce must display prescribed identificatin infrmatin. Is the Cmmercial Vehicle prperly marked? Yes ( ) N ( ) DOT # Yes ( ) N ( ) Carrier name Yes ( ) N ( ) Driver Qualificatin Files: Part Carrier maintains D.Q file(s) Yes ( ) N ( ) A mtr carrier is required t maintain a driver's qualificatin (DQ) file fr each driver it emplys. The fllwing dcuments are t be included in a DQ file fr each regularly emplyed driver: Applicatin fr emplyment ( ), Mtr vehicle recrd (MVR) frm states ( ), Previus emplyer infrmatin ( ), Rad test frm and certificate ( (g)), r license r certificate accepted in lieu f rad test ( ), Medical exam certificate, riginal r a cpy ( (g)), Any letter granting a waiver f a physical disqualificatin, Annual mtr vehicle recrd ( ), Annual review f driving recrd ( ), and Annual list f vilatins ( ),

3 Recrds f Duty Status: Part 395 Carrier using Lgs (Part 395.8) Yes ( ) N ( ) Part 395.8, states that except fr a private mtr carrier f passengers (nnbusiness), every mtr carrier shall require every driver used by the mtr carrier t recrd his/her duty status. The driver's recrd f duty status, cmmnly knwn as the driver's lg, is the dcument used by the driver t recrd his/her time. Carrier claiming 100 air mile radius exemptin 395.1(e) Yes ( ) N ( ) A driver is nt required t create a standard lg (395.8) if all the fllwing criteria are met: The driver perates within a 100 air mile radius f the nrmal wrk reprting lcatin; The driver (except a driver salespersn) returns t the wrk reprting lcatin and is released frm wrk within 12 cnsecutive hurs; A prperty-carrying cmmercial mtr vehicle driver has at least 10 cnsecutive hurs ff duty separating each 12 hurs n duty, and des nt exceed 11 hurs maximum driving time fllwing 10 cnsecutive hurs ff duty; A passenger-carrying cmmercial mtr vehicle driver has at least 8 cnsecutive hurs ff duty separating each 12 hurs n duty, and des nt exceed 10 hurs maximum driving time fllwing 8 cnsecutive hurs ff duty; and The mtr carrier maintains time recrds fr 6 mnths shwing: The time the driver reprts fr duty each day, The time the driver is released frm duty each day, Ttal number f hurs n duty each day, and Ttal time n duty fr the preceding 7 days fr drivers used fr the first time r intermittently. Time recrds must als be maintained fr days in which the driver des nt wrk. Drivers are nt required t have cpies f the time recrds (time card) in their pssessin. A driver can crss a state line and still cme under the 100 air mile radius exemptin, if the five criteria listed abve are met. A 100 air mile radius driver is nt exempt frm the 60 hur/7 day r 70-hur/8 day limit. 100 air miles are equivalent t statute miles. DOT Markings: Part vehicles defined as cmmercial mtr vehicles accrding t and perating in cmmerce must display prescribed identificatin infrmatin. Is the Cmmercial Vehicle prperly marked? Yes ( ) N ( ) DOT # Yes ( ) N ( ) Carrier name Yes ( ) N ( )

4 Drugs & Alchl: Part 382 Carrier implemented a drug & alchl testing prgram Yes ( ) N ( ) This part applies t every persn and t all emplyers f such persns wh perate a cmmercial mtr vehicle in cmmerce in any State, and is subject t the cmmercial driver's license requirements f part 383 Tests Required Pre-emplyment testing Pst-accident testing Randm testing Reasnable suspicin testing Return-t-duty testing Fllw-up testing Additinal Part 382 requirements Each emplyer shall ensure that all alchl r cntrlled substances testing cnducted under this part cmplies with the prcedures set frth in part 40 f the FMCSR. Psitive Tested Driver s Has the carrier had any driver s test psitive fr drugs r alchl? Yes ( ) N ( ) Is the carrier using a psitive tested driver? Yes ( ) N ( ) Has the carrier prvided psitive test driver with required SAP Inf. Part Yes ( ) N ( ) Semi- Annual Reprt: Part (c)(6)(iii) Recrd retentin: Semi-annual labratry statistical summaries f urinalysis required by (a). * Nte: N summary if the emplyer has fewer than five aggregate tests. Drug Request frm Previus Emplyers f Drivers (CDL driver s nly): Part 40.25(b) Yu must request the infrmatin listed in this paragraph (b) frm DOT-regulated emplyers wh have emplyed the emplyee during any perid during the tw years befre the date f the emplyee's applicatin r transfer: (b)(1) Alchl tests with a result f 0.04 r higher alchl cncentratin; (b)(2) Verified psitive drug tests; (b)(3) Refusals t be tested (including verified adulterated r substituted drug test results); (b)(4) Other vilatins f DOT agency drug and alchl testing regulatins; and (b)(5) With respect t any emplyee wh vilated a DOT drug and alchl regulatin, dcumentatin f the emplyee's successful cmpletin f DOT return-t-duty

5 Training fr Supervisrs Regarding Reasnable Suspicin Testing: Part Yes ( ) N ( ) Each emplyer shall ensure that all persns designated t supervise drivers receive at least 60 minutes f training n alchl misuse and receive at least an additinal 60 minutes f training n cntrlled substances use. The training will be used by the supervisrs t determine whether reasnable suspicin exists t require a driver t underg testing under Prmulgatin f a Written Drug and Alchl Plicy: Part Yes ( ) N ( ) Mtr carriers are required t have written materials and a plicy utlining their alchl and drug prgram. These materials must be prvided t each driver and written ntice f the availability f these materials must be prvided t unin representatives. These materials must be distributed prir t the start f alchl and drug testing. Each driver must sign a receipt that he/she has received a cpy f the materials. Inspectin and Maintenance: Part 396 The carrier is required by t "...systematically inspect, repair, and maintain, r cause t be systematically inspected, repaired, and maintained, all vehicles subject t its cntrl fr 30 days r mre. " Des the carrier have a maintenance prgram? Yes ( ) N ( ) Des the carrier maintain maintenance files fr each vehicle? Yes ( ) N ( ) Des the file cntain all required Infrmatin. (Year, make, mdel, serial number and tire size) Yes ( ) N ( ) Des the carrier have a means t indicate the nature and the due date f the varius inspectin and maintenance peratins t be perfrmed? Yes ( ) N ( ) Are repairs nted? Yes ( ) N ( ) All recrds shall be retained where the vehicle is hused r maintained. Recrds shall be retained fr 1 year, and fr 6 mnths after the vehicle leaves the mtr carrier's cntrl. Perid Inspectin: Part The regulatins require that cmmercial mtr vehicles perated in cmmerce pass an inspectin annually. The inspectin must cmply with federal standards r cmpatible state standards. If there is n prf f inspectin, the carrier may nt place it in service. Current inspectin Yes ( ) N ( ) Inspectrs Qualificatins: Annual Part / Brake Part Des the carrier use an utside inspectr fr annual inspectins? Yes ( ) N ( ) Des the carrier maintain inspectins qualificatins? Yes ( ) N ( )

6 Driver Vehicle Inspectin Reprts (DVIRs): Part The inspectin requirements f Part 396 include a written vehicle inspectin reprt ( ) t be prepared and signed by the driver at the cmpletin f each day's wrk n each vehicle perated. Des the carrier prepare D.V.I.R s? Yes ( ) N ( ) Are defects nted and repairs crrected? Yes ( ) N ( ) Reviewing driver s signature? (Part ) Yes ( ) N ( ) Past Radside Inspectins: Part The driver shall deliver the reprt t the mtr carrier upn arrival at the next terminal r facility. If the driver is nt scheduled t arrive at a terminal r facility within 24 hurs, he/she shall immediately mail the reprt t the carrier. A mtr carrier fficial is t certify n the frm that vilatins have been crrected and mail the cmpleted frm t the address shwn. This must be dne within 15 days fllwing the date f the inspectin. Mtr Carrier Retentin f Reprt the mtr carrier must retain a cpy f the cmpleted frm at its principal place f business, r where the vehicle is hused, fr 12 mnths. Carrier maintains radside inspectins fr the past 12 mnths? Yes ( ) N ( )

7 Hazardus Material Check List fr Cmpliance Review Hazardus Material Regulatins 1. Hazardus Material permits: SubChapter A Federal RSPA: Part (b) / State PUC CRS Placarding Required SubChapter C: Part YES ( ) NO ( ) 3. Shipper OF Hazardus Material 4. Carrier OF Hazardus Material 5. Bulk r Nnbulk SubChapter C: Part171.8 *** DEFINITIONS*** 6. Material f Trade SubChapter C: Part If claimed, the carrier is exempt frm the hazardus material regulatins 7. Shipping Papers: SubChapter C: Parts t , (a) *NOT PROPER* Emergency phne number: (a) & (a)(2) Prper prduct descriptin: (a)(1) Certificatin: & (b) Signature: (a) Retentin f Shipping Paper: (e) Shipping papers must be retained fr the fllwing: Hazardus waste, 3 yrs. All ther hazardus material, 375 days

8 8. Hazmat Training fr All Emplyees: SubChapter C: Part (c) & (c) (c) Respnsibility fr training. A carrier may nt transprt a hazardus material by mtr vehicle unless each f its hazmat emplyees invlved in that transprtatin is trained as required by this part and subpart H f part 172 f this subchapter (c) Initial and recurrent training (1) Initial training. A new hazmat emplyee r a hazmat emplyee wh changes jb functins may perfrm thse functins prir t the cmpletin f training prvided (c)(1)(i) The emplyee perfrms thse functins under the direct supervisin f a prperly trained and knwledgeable hazmat emplyee; and (c)(1)(ii) The training is cmpleted within 90 days after emplyment r a change in jb functin. 9. Hazardus Material training: SubChapter C: Part (a) Hazmat emplyee training must include the fllwing: (a)(1) General awareness/familiarizatin training. Each hazmat emplyee shall be able t recgnize and identify hazardus materials (a)(2) Functin-specific training. (i) Each hazmat emplyee shall be prvided functinspecific training which are specifically applicable t the functins the emplyee perfrms. (a)(3) Safety training. Each hazmat emplyee shall receive safety training cncerning Emergency respnse infrmatin, Measures t prtect the emplyee frm the hazards assciated with hazardus materials t which they may be expsed in the wrk place, including specific measures the hazmat emplyer has implemented t prtect emplyees frm expsure; and Methds and prcedures fr aviding accidents, such as the prper prcedures fr handling packages cntaining hazardus materials. 10. Hazmat Training fr Driver: SubChapter C: Part In additin t the training requirements f , n carrier may transprt, r cause t be transprted, a hazardus material unless each hazmat emplyee wh will perate a mtr vehicle has been trained in the applicable requirements f 49 CFR parts 390 thrugh 397 and the prcedures necessary fr the safe peratin f that mtr vehicle. Driver training shall include: (a)(1) Pre-trip safety inspectin; (a)(2) Use f vehicle cntrls and equipment (a)(3) Operatin f vehicle (a)(4) Prcedures fr maneuvering tunnels, bridges, and railrad crssings (a)(5) Requirements pertaining t attendance f vehicles, parking, smking, ruting, and incident reprting (a)(6) Lading and unlading f materials, including (a)(6)(i) Cmpatibility and segregatin f carg in a mixed lad;(a)(6)(ii) Package handling methds; and a)(6)(iii) Lad securement. The training required by paragraphs (a) and (b) f this sectin may be satisfied by cmpliance with the current requirements fr a Cmmercial Driver's License (CDL) with a tank vehicle r hazardus materials endrsement.

9 11. Recrds f Training fr Emplyees: SubChapter C: Part (d) A recrd f current training, inclusive f the preceding three years, must be created and retained by each hazmat emplyer fr each hazmat emplyee fr as lng as that emplyee is emplyed by the emplyer as a hazmat emplyee and fr 90 days there after. The recrd must include: (d)(1) The hazmat emplyee's name; (d)(2) The mst recent training cmpletin date f the hazmat emplyee's training; (d)(3) A descriptin, cpy, r the lcatin f the training materials used t meet the requirements in paragraph (a) f this sectin; (d)(4) The name and address f the persn prviding the training; and (d)(5) Certificatin that the hazmat emplyee has been trained and tested, as required by this subpart. 12. Recrds f Training fr Drivers: SubChapter C: Part (d) Training required by must cnfrm t the requirements f f this subchapter with respect t frequency and recrdkeeping. 13. Fllw up Training (nce every 3 years): SubChapter C: Part (c)(2) YES ( ) NO( ) (c)(2) Recurrent training. A hazmat emplyee shall receive the training required by this subpart at least nce every three years. (c)(3) Relevant Training. Relevant training received frm a previus emplyer r ther surce may be used t satisfy the requirements f this subpart prvided a current recrd f training is btained frm hazmat emplyees' previus emplyer. (c)(4) Cmpliance. Each hazmat emplyer is respnsible fr cmpliance with the requirements f this subchapter regardless f whether the training required by this subpart has been cmpleted. 14. Hazmat Emplyee SECURITY AWARENESS TRAINING: SubChapter C: Part (a)(4) (a)(4) Security awareness training. N later than the date f the first scheduled recurrent training after March 25, 2003, and in n case later than March 24, 2006, each hazmat emplyee must receive training that prvides an awareness f security risks assciated with hazardus materials transprtatin and methds designed t enhance transprtatin security. This training must als include a cmpnent cvering hw t recgnize and respnd t pssible security threats. After March 25, 2003, new hazmat emplyees must receive the security awareness training required by this paragraph within 90 days after emplyment. 15. Des Cmpany Have Security Plan: SubChapter C: Part (a)(5)

10 16. In-depth Security Training: SubChapter C: Part (a)(5) In additin t the abve security awareness training ( (a)4), hazmat emplyees f emplyers that are required t have a security plan must receive in-depth security training n the security plan and its implementatin. In-depth security training must include: cmpany security bjectives, specific security prcedures, emplyee respnsibilities, actins t take in the event f a security breach, and Organizatinal security structure. 17. Tank Retest Intervals Dates: SubChapter C: Part Test and inspectin markings. Each carg tank successfully cmpleting the test and inspectin requirements cntained in must be marked as specified in this sectin. Each carg tank must be durably and legibly marked, in English, with the date (mnth and year) and the type f test r inspectin perfrmed, subject t the fllwing prvisins: (b)(1) The date must be readily identifiable with the applicable test r inspectin. (b)(2) The markings must be in letters and numbers at least 32 mm (1.25 inches) high, near the specificatin plate r anywhere n the frnt head. (b)(3) The type f test r inspectin may be abbreviated as fllws: (b)(3)(i) V fr external visual inspectin and test; (b)(3)(ii) I fr internal visual inspectin; (b)(3)(iii) P fr pressure test; (b)(3)(iv) L fr lining inspectin; (b)(3)(v) T fr thickness test; and (b)(3)(vi) K fr leakage test fr a carg tank tested under , except (h)(2); and (b)(3)(vii) K-EPA27 fr a carg tank tested under (h)(2) after Octber 1, Fr a carg tank mtr vehicle cmpsed f multiple carg tanks cnstructed t the same specificatin, which are tested and inspected at the same time, ne set f test and inspectin markings may be used t satisfy the requirements f this sectin. Fr a carg tank mtr vehicle cmpsed f multiple carg tanks cnstructed t different specificatins, which are tested and inspected at different intervals, the test and inspectin markings must appear in the rder f the carg tank's crrespnding lcatin, frm frnt t rear. Website - A cmplete Educatinal and Technical Assistance package entitled " A MOTOR CARRIER'S GUIDE TO IMPROVING HIGHWAY SAFETY" is available free n the FMCSA website t assist yu in cmplying with the safety regulatins. It cntains many frms and dcuments useful fr imprving the safety f yur peratins. Fr additinal infrmatin check the fllwing website: Clrad State Patrl Mtr Carrier Safety (303) Clrad State Patrl Hazardus Material Sectin (303) Clrad Prt f Entry (303) Federal Mtr Carrier Safety Administratin (720) Clrad Mtr Carrier Assciatin / CMCA (303)