motor fleet safety basics: training for the safety supervisor unit 3: dot/osha recordkeeping issues...

Motor Fleet Safety Basics:Training for the Safety Supervisor

Unit 3: DOT/OSHA Recordkeeping Issues and Requirements

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Unit 3 Objectives• Identify the government agencies and regulations that

are relevant to your job as a fleet safety supervisor

• Identify record-keeping requirements for the sections of the Canadian Provincial, Federal, Workers’ Compensation, and USDOT requirements discussed in class

• Audit sample hours of service logbooks and identify required supporting documentation

• Identify errors and/or violations in driver qualification files

• Correctly complete an Accident Register

© 2013 North American Transportation Management Institute - CA

3

Federal Agencies that Regulate Motor Carriers

• Transport Canada• Human Resources and Skills Development Canada (HRSDC)• Canada Labour Code (CLC) Part II Employment Equity Canada• Natural Resources Canada• Citizenship and Immigration Canada (CIC)• US Department of Transportation

• Federal Motor Carrier Safety Administration (FMCSA)


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Federal & Provincial Status in Canada

• Canada consists of ten provinces and three territories. The major difference between a Canadian province and a Canadian territory:

• Canadian Province is a creation of the Constitution Act.• Canadian Territory is created by federal law.

• The federal government has more direct control over the territories, while provincial governments have many more competencies and rights.


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Highway Traffic Safety ActNational Safety Code

• Standard 1 - Single Driver License Compact• Standard 2 - Knowledge and Performance Tests (Drivers)• Standard 3 - Driver Examiner Training Program • Standard 4 - Classified Driver Licensing System - May 1998• Standard 5 - Self Certification Standards and Procedures • Standard 6 - Medical Standards for Drivers• Standard 7 - Carrier and Driver Profiles - November 2002• Standard 8 - Short Term Suspension


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National Safety Code - Continued• Standard 9 - Hours of Service

• Standard 10 - Cargo Securement -September 2004

• Standard 11 - Commercial Vehicle Maintenance and Inspection (PMVI) Standards – December 2006

• Standard 12 - CVSA On-Road Inspections

• Standard 13 - Trip Inspection• Part I General Requirements May 2005• Part II Schedules• Schedule 1 Truck, Tractor Trailer December 2003• Schedule 2 Bus May 2004• Schedule 3 Motor Coach (Daily) May 2005• Schedule 4 Motor Coach (30 Days or 12000km) May 2005

• Standard 14 - Safety Rating - September 2002

• Standard 15 - Facility Audits - December 2003

• Standard 16 - First Aid Training


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Canada Labour CodeEmployer’s Annual Hazardous Occurrence Report• Every employer shall, not later than March 1 in each year, submit to the

Minister a written report setting out the number of accidents, occupational diseases and other hazardous occurrences of which the employer is aware affecting any employee in the course of employment during the 12 month period ending on December 31 of the preceding year.

Retention of Reports and Records• Every employer shall keep a copy of the annual report, as well as

documentation of each incident for 10 years following submission of the report


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II-8 Other Hazardous Occurrences“Other hazardous occurrences” are any other situations where events have occurred that resulted in:

• An explosion;• Damage to a boiler or pressure vessel that results in fire or rupture of the

boiler or pressure vessel: or• Damage to an elevating device that renders it unusable, or a free fall of

an elevating device;• An electric shock, toxic atmosphere or oxygen deficient atmosphere that

caused an employee to lose consciousness;• The implementation of rescue, revival or other similar emergency

procedures; or• A fire.


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USDOT RegulationsFederal Motor Carrier Safety Regulations (FMCSR)

• Part 395 - Hours of Service of Drivers

• Part 391 - Qualifications of Drivers

• Part 382 - Controlled Substances and Alcohol Testing

• Part 383 - Commercial Drivers License

• Part 396 - Inspection, Repair & Maintenance


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Canada Labour Code & TDG• Under the Canadian Labour Code employers need to train their

employees related to their Safety.

• For Transportation, Transportation of Dangerous Goods (TDG) is one of the most important certifications required by all employees that work with carriers working with transportation of Dangerous Goods


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Provincial Informationhttp://www.infratrans.qov.ab.ca/

Alberta Infrastructure and Transportation

http://www.gov.bc.ca/bvprd/bc/channel.do?action=ministry&channellD=8394&navld=NAV_ID_province

British Columbia Ministry of Transportation

http://www.gov.mb.ca/tgs/portal.html

Manitoba Transportation

http://www.gnb.ca/O113/index-e.asp

New Brunswick Transportation

http://www.tw.gov.nl.ca/

Newfoundland and Labrador Transportation and Works

http://www.gov.nt.ca/Transportation/index.html

Northwest Territories Department of Transportation

http://www.gov.ns.ca/tran/

Nova Scotia Transportation and Public Works

http://www.gov.nu.ca/Nunavut/

Nunavut Department of Community and Government Services

http://www.mto.gov.on.ca/

Ontario Ministry of Transportation

http://www.gov.pe.ca/tpw/index.php3

PEI Transportation and Public Works

http://www.highways.gov.sk.ca/

Saskatchewan Highways and Transportation

http://www.mtg.gouv.qc.ca/en/

Transports Quebec

http://www.hpw.gov.yk.ca/

Yukon Highways and Public Works


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Record-Keeping MatrixIssues and

Type of Record Guidelines Common Errors

USDOT Hours of Service Enforcement

Hours of service rules enforced through log audits:

• 11-hour rule

• 14-hour rule

• 60/7-hour rule

• 70/8-hour rule

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HOS ComparisonHOURS OF SERVICE RULES

2003 RuleProperty-Carrying CMV Drivers

Compliance Date 1/1/2004

2005 RuleProperty-Carrying CMV Drivers

Compliance On & After 10/01/05

May drive a maximum of 11 hours after 10 consecutive hours off duty. NO CHANGE

May not drive beyond the 14th hour after coming on duty, following 10 consecutive hours off duty. NO CHANGE

May not drive after 60/70 hours on duty in 7/8 consecutive days.

– A driver may restart a 7/8 consecutive day period after taking 34 or more

consecutive hours off duty.

NO CHANGE

Commercial Motor Vehicle (CMV) drivers using a sleeper berth must take 10 hours off duty, but may split sleeper-berth time into two periods provided

neither is less than 2 hours.

CMV drivers using the sleeper berth provision must take at least 8 consecutive hours in the sleeper berth, plus 2

consecutive hours either in the sleeper berth, off duty, or any combination of the two.

Passenger-carrying carriers/drivers are not subject to the new hours-of-service rules.These operations must continue to comply with the hours-of-service limitations specified in 49 CFR 395.5.

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Sleeper Berth ExceptionDrivers may split on-duty time by using sleeper berth periods, but must do so by accumulating the equivalent of 10 consecutive hours off-duty by taking 2 periods of rest in the sleeper berth, provided:

1. CMV drivers using the sleeper berth provision must take at least 8 consecutive hours in the sleeper berth, plus 2 consecutive hours either in the sleeper berth, off duty, or any combination of the two.

2. Driving time in the period immediately before and after each rest period when added together does not exceed 11 hours; and

3. The on-duty time in the period immediately before and after each rest period when added together does not exceed 14 hours.

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Sleeper Berth Example

Violation prior to 10/1/2005?

Violation after 10/1/2005?

What Time did it occur? 8:00 p.m.

No

Yes

16-Hour Exception For Property-Carrying DriversDrivers may extend the 14-hour on-duty period by 2 additional hours IF THEY:

• Are released from duty at the normal work reporting location for the previous 5 duty tours; AND

• Return to their normal work reporting location and are released from duty within 16 hours; AND

• Have not used this exception in the previous 7 days, except following a 34-hour restart of a 7/8-day period.

• Total hours driving may not exceed 11 hours.

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New HOS Rules

• Dual compliance dates of February 27, 2012 and July 1, 2013.

• May drive 11 hours, following 10 hours off-duty.

• May not drive beyond the 14th hour after coming on-duty, following 10 hours off-duty.

• May drive only if 8 hours or less have passed since the end of the driver's last off-duty period of at least 30 minutes.

• May not drive after 60/70 hours on-duty in 7/8 consecutive days.

• May restart a 7/8 consecutive day period after taking 34 or more consecutive hours off-duty;

The restart must include two periods between 1 a.m.- 5 a.m. home terminal time.May only be used once per week.

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10 HOURS OFF DUTY

11 HOURS DRIVING

Effective 7/1/2013 30 minute break

2012 11-Hour RuleExplanation

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10 HOURS OFF DUTY

11 HOURS DRIVING 9 HOURS DRIVING

Effective 7/1/2013 30 minute break

2012 11-Hour RuleExample

11-Hour Rule - Example 1

VIOLATION: START: YES 6:30 p.m.

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VIOLATION: NO

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VIOLATION: START: YES2:00 p.m. and 10:00 p.m

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Applying the 70/8 Rule

1. On the morning of Saturday the 6th, how many hours did the driver have available?

2. On the morning of Tuesday the 9th, how many hours did the driver have available?

3. On the morning of Friday the 12th, how many hours does the driver have available?

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DATE DAYTOTAL HOURS ON

DUTY AND DRIVING

1 MON 12

2 TUE 14

3 WED 15

4 THU 10

5 FRI 14

6 SAT 10

7 SUN 0

8 MON 9

9 TUE 12

10 WED 11

11 THU 0

12 FRI ?

Duty Status Record Requirements

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100-Mile Radius Exemption

Requirements:

• Time records must show start and finish times

• No more than 12 consecutive hours

• No more than 11 hours driving time

• 10 hours off between periods

X

Normal WorkReportingLocation

100 miles

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How Logs Are Falsified

Drive 14 hours

Many hours on-duty

Many drop-offs and side trips

A number of short trips

Hours spent in yard work

One driver makes many trips in one day

What Actually Happens What Is Logged

Log shows 11 hours driving

Hours shown as off-duty or as less than actual

Trips not shown on log

Log shows off-duty entire day

Hours shown as off-duty or as less than actual

Two separate driver logs submitted for same day

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• Lease inspection reports• Charges for demurrage and

other accessorial services• Pick-up orders • Temperature control records or

other in-trip record or inspections, etc.

• GPS records

• Mileage report• Daily trip sheet reports• Road-side inspection reports• Leased operator statements to the

motor carrier• Ports of entry inspections• C.O.D receipts • Special permits for over-weight /

over-length / over-height loads• Unloading stop-off reports

• Bills of lading• Delivery receipts• Fuel receipts• Meal receipts• Motel and lodging records• Dispatch records• Accident reports• Daily vehicle inspection reports• Payroll records• Lease agreements• Time worked reports• Per diem payments

Supporting Evidence

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Canadian Hours of Service



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The Big changes to the HOS Rules are:

1. Increase minimum daily off-duty time by 25% (8hrs to 10hrs)

2. Reduce daily on-duty time by 13% (16 hrs to 14 hrs)

3. Reduce daily driving time by 18% (16 hrs to 13 hrs)

4. Eliminate the “4 Hour Sleep Reduction”(once-a-week)

5. Restrict driver’s work shift to 16 hours (Tour of Duty)

6. Requirement for driver to elect a cycle (no more switching)

7. Standards for sleeper berths (split times, design, construction)


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The Big changes to the HOS Rules are:8. Mandatory 24-hour off-duty period in 14 days (regardless of on-

duty accumulation)

9. Allowing drivers to use a CMV for personal use (75km

restriction)

10. Shared responsibility for compliance (carrier, driver, dispatch,

shipper, consultant)

11. New powers for enforcement officers - “out-of-service” orders –

up to 72 hours


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Comparison Old vs. New HOS

Old Regulations Regulations - 2007

15 Hours On Duty 14 Hours On Duty

13 Hours Driving 13 Hours Driving

8 Hours Off Duty/Sleeper 10 Hours Off Duty/Sleeper

3 cycles 60/7, 70/8, 120/14 2 Cycles 70/7, 120/14No Switching

No Cycle Reset 2 Cycle Resets 36 & 72


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Canadian Hours of Service• Every Log sheet must contain the following information:

• Driver’s complete name PRINTED• Proper name and complete address of Carrier Principal Place of

Business• Complete Home Terminal Address if different than principal Place of

Business• Signature of driver• Co-driver’s name printed if driving team• License plate or unit # of truck (Quebec requires plate #)• License plate or unit # trailer (s) (Quebec requires plate #)• Date in full Month, Day and Year• Elected Cycle


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Canadian Hours of Service• Starting odometer • Total distance driven by you for the day• Total distance driven for the day (Team)• The time spent in each duty status for the day (graph grid)• The total time spent in each duty status during the day (daily

re-cap)• Location of each change of duty status. Closest city or town

and province or state abbreviation• Personal use of CMV Starting and ending Odometer• Daily Deferral Day 1 or 2 • A hand written log must be made in duplicate


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1. Off Duty

2. Sleeper Berth

3. Driving

4. On Duty (not driving)

Midnight

Midnight

1 2 3 4 5 6 7 8 9 10 12 Noon 1 2 3 4 5 6 7 8 911 10 11

1 2 3 4 5 6 7 8 9 10

12 Noon

1 2 3 4 5 6 7 8 911 10 11

DUTY STATUS

REMARKS

Use Local Time Standard at Home TerminalTotal Hours

Total Hours

Daily Deferral Day # ___________ Name of co-driver: ___________________________________________________

Shipper Name: _________________________________

Commodity: _________________________________ B/L #: _________________________________

Personal Use Odometer start:___________ end: ___________

Name and Signature Driver (Certified True and Correct) Print:_______________________ Sign: _______________________________

Motor Carrier:____________________

Home Terminal Address:___________________

Truck plate/unit # ___________________ Trailer plate/unit __________________

Trailer plate/unit # ___________________ Trailer plate/unit __________________

Cycle (1) 70/7 ______ Cycle (2) 120/14______

Day ______ Month __________ Year _______

Odometer finish: _______________ km / mileOdometer start: ______________ km / mile

Total mileage: _____________ km / mile

Principle Place of Business:__________________


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Canadian Hours of Service

• In Canada you are permitted to:• Drive for 13 hours in a “day”• Be on duty for 14 hours in a “day”• Must take 10 hours in the sleeper berth or off duty every “day”

(8 must be consecutive and the other 2 in increments of 30min or more)

• Work shift is limited to 16 hours in a day


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Understanding the 14 and 16 hour rules

• Maximum On-duty time in a “day” is 14 hours

• Maximum length of work shift in a “day” is 16 hours.

• Although maximum on duty time in a “Day” is 14 hours; drivers can extend their “work shift” to 16 hours only by taking off-duty breaks which are greater than or equal to 30 minutes up to 2 hours maximum. In essence you can stop the on duty clock.


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Understanding the 14 & 16 hour rules• Drivers: At the start of the “day”, a driver should count 16 hours forward.

This is the time that the driver must go off duty.

• E.g.: If a driver starts the work shift at 2 a.m., that driver must finish the work shift no later than 6 p.m.

• During this 16 hour period drivers are restricted to:• 13 hours driving and a maximum of • 14 hours on duty, but: • Driver can take 2 hours off duty to make the total shift 16 hours as

long as the 2 hours are taken in increments of 30 minutes or more.

• Less than 30 minutes off-duty will not “stop the clock”


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Understanding the 14 & 16 hour rules

•Work Shift ≤ 16 hours •Driving time ≤ 13 hours•No driving after 14 hours on-duty

Shift Reset End

8 consecutive hours off duty, prior to midnight. 8 consecutive hours off duty rolls over to

next day

100

13

1

“DAY”


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Daily Deferral• You may defer the 2 other hours of off duty to the following day certain

conditions apply:• The off duty time deferred is not part of the mandatory 8 consecutive

hours of off duty time;• The total off duty time taken in the 2 days is at least 20 hours• The off duty time deferred is added to the 8 consecutive hours of off duty

time taken in the 2nd day.• The total driving time in the 2 days does not exceed 26 hours; and• There is a declaration in the “Remarks’ section of the daily log that states

that the driver is deferring off-duty time under this section and that clearly indicates whether the driver is driving under day one or day two of that time.


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8

0

115

Day 1

Remarks: Daily deferral taken Day 1

Remarks: Daily deferral made up Day 2

Day 20

12

11

1

Work Shift Day 1

13 Hours Driving time (13)

14 Hours On Duty (13+1)

16 Hours Elapsed time (14)

8 Hours consecutive Off

Work Shift Day 2

13 Hours Driving Time (13)

14 Hours On Duty (7+1+6=14)

16 Hours Elapsed time (16)

10 Hours consecutive Off 8+2 day 1

61

25

2

8

131

8+2 = 10


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Split Sleeper Berth Provision

• Drivers may split their “sleeper berth” time if their vehicle is fitted with a sleeper berth

• A sleeper berth must meet prescribed standards specified in Schedule 1

• Driver cannot stretch across the seats and call it a sleeper berth.

• It must be constructed as a sleeper with a mattress


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Split Sleeper Berth ProvisionFor single drivers splitting their sleeper berth time:

• they can only use 2 time periods, neither of which can be less than 2 hours; and

• The total of those 2 periods must be 10 hours; and• The off duty time is spent in the sleeper berth; and• The total of the driving time in the periods immediately before

and after each sleeper berth period does not exceed 13 hours; and

• The elapsed time in the periods immediately before and after each of the periods of off-duty time does not include any driving after the 16th hour after the driver comes on duty.


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Split Sleeper Berth Provision Continued• None of the daily off-duty time can be deferred to the next day

• The total of the on duty time in the periods immediately before and after each of the periods of off-duty time does not include any driving time after the 14th hour

• The 16th hour is calculated by excluding any period spent in the sleeper berth that is 2 hours or more in duration and that when added to a subsequent period in the sleeper berth totals at least 10 hours


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Split Sleeper Berth Provision Continued• Team drivers who split their sleeper berth time must follow

different guidelines.

• Sleeper berth minimum for teams is: 4 hours

• Total Sleeper berth period for teams is: 8 hours

• They must still take an additional 2 hours off duty to meet the 10 hour off duty daily requirement


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Sleeper Berth (Single Driver)3 + 7 = 10 hours

• Driving < 13

• No Driving after 14 hours On-Duty

• No Driving after 16th hour since last sleeper period

Off-duty ≥ 10

Driving ≤ 13

No driving after 14 hours On-duty


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Sleeper Berth (Team Driver)4 + 4 = 8 hours

• Driving < 13

• No Driving after 14 hours On-Duty

• No Driving after 16th hour since last sleeper period

2

8

2

12


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The Cycles

• Only two cycles • A driver must elect one and show which cycle on log book

• Cycle 1: 70 hours/7 days,

• Cycle 2: 120 hours/14 days and driver must take 24 consecutive hours off-duty prior to 70th hour

• Cycle switching only allowed after completing required off-duty period• Cycle 1: 36 hours• Cycle 2: 72 hours


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Mandatory 24 Hours Off Duty

• Regardless of which cycle a driver is on they must take a Mandatory 24 hours off duty every 14 days.

• In other words they must take the 14th day off duty if they have been on duty for 13 days.


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Local Drivers• Are exempt from completing a log book if the following apply:

• Operates CMV within 160 km radius of their home terminal and

• Returns to home terminal each day to begin an 8 hour off-duty period; and

• Carrier maintains accurate and legible records for each day indicating;

• hour at which each duty status begins & ends:

• total hours spent in each status;

• elected cycle; and

• records kept for 6 months; and

• not subject to an HOS permit


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On-duty Status Records


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Personal Use of a CMV• A driver may use a CMV for personal use provided they follow

these guidelines:

• CMV is unloaded

• Not towing a trailer (bobtail)

• Not under direction of the carrier (bobtail to pick up an empty would be driving)

• Maximum of 75 km/day

• Odometer readings are recorded

• Driver is not subject of an OOS declaration


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Previous 14 days• Regardless of your cycle you must keep a copy of the previous 14

days logs with you at all times.

• Must also carry supporting documents for current trip (document or information recorded or stored by any means required by a director or inspector to assess compliance with these Regulations.)


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Canadian Hours of Service• If you have a sleeper berth you may split your 10 hours however

certain conditions apply as follows for single drivers only:• Total sleeper berth time for both periods must amount to a minimum of 10

hours• There can be no more than 2 periods counted towards the 10 hours• In order to count towards your 10 hours a period can be no less than 2

hours• Total driving time on both sides of the counted sleeper berth period

cannot exceed 13 hours. • You cannot use the daily deferral option


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13-Hour Rule -Example 1

VIOLATION: START: No

10

.5

13

.5

24


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13-Hour Rule -Example 2

VIOLATION: START: Yes 10:30pm

9

0

14

.5

24


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14 – 16 Hour Rule -Example 1

VIOLATION: START: Yes 10:30pm

.5

8

12.5

3

24


65

14 – 16 Hour Rule -Example 2

VIOLATION: NO

10

0

13

1

24


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USDOT Requirements and Recommended Best PracticesDriver Qualification File supplemental records:

• Employee record card

• Notice to drivers/certificate of compliance

• I-9 immigration form

• SIN starts with 9

Inquiries to Past Employers - 391.23

• Past drug & alcohol testing results requirement changed from 2 years to 3 years

• Within 30 days, employer must investigate driver’s employment record for previous 3 years

• Previous employers must respond within 30 days

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Carriers must maintain records on investigation into safety performance history of a new or prospective driver

Limited access to those involved in hiring

Can only be used in hiring process

Driver Investigation History File - 391.53

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Driver Investigation History File - Cont’d• File must include:

• Driver’s written authorization to seek information on alcohol/controlled substances history• Copy of responses received for investigations from previous employers

• History info must be retained for as long as you employ the driver and 3 years thereafter

• File must be available to FMCSA or authorized state officials or authorized third party

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Acceptable Road Test Equivalents

• Valid commercial driver’s license, if State administered prior road test (except doubles/triples trailer or tank endorsement)

• Road test certificate issued to driver within previous 3 years

In place of a road test, carrier may accept:

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Part 382 Testing Requirements

• Pre-employment (drugs only)

• Post-accident

• Random

• Reasonable suspicion

• Return to duty

• Follow-up

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Pre-Employment Testing Requirements

• Test prior to performing safety sensitive functions

• Negative report from MRO must be received

• Exemption available by obtaining test results from previous employer:• if driver was in a random pool within past 30 days

AND• if driver was: tested in previous 6 months

ORin a random program for the past year

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Post-Accident Testing RequirementsRequired as soon as possible after:

• Fatality, OR

• Bodily injury AND the driver receives a citation for a moving violation, OR

• Disabling damage requiring tow away AND driver receives a citation for a moving traffic violation

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Post-Accident Testing RequirementsAlcohol:• Test within 2 hours of accident

• After 8 hours, cease test attempts

Drugs:• After 32 hours, cease test attempts

• If no test administered, document why

• Federal or State test results may be used

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Situations Requiring Accident Register Entries

• A fatality

• Bodily injury to a person who immediately receives medical treatment away from scene

• One or more vehicles incurs disabling damage and must be towed away

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Required Accident Register Information• Date of accident

• City or town in which (or most near) accident occurred

• State in which accident occurred

• Driver name

• Number of injuries and fatalities

• Whether hazardous materials were released

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Inspection and Maintenance Recordkeeping Problems

Driver’s Daily Inspection Report Mistakes• Sometimes drivers skip those items that require getting under the truck or behind

the wheels• Power unit - service brakes, suspension, wheels/rims/lugs, brakes• Towed unit - suspension, tires, brakes

Mechanic’s Annual Inspection Record• Steering linkage

• Frame members

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Inspection Criteria Schedule


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Record of Annual Inspection Cab Card


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CVSA Inspection Criteria


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Summary of US & CDN Record-Keeping Time Frame Requirements

Drivers' Logs

Vehicle Inspection Reports

Annual Inspection Report

Maintenance Records

Positive D&A Tests

Negative D&A Tests

Driver Qualification Files (post employment)

6 months Same3 Months Same (if defect noted 2 yrs)

14 months 2 years1 Year 2 years5 Years Same

1 Year Same

3 Years 7 Years (post

employment)

Record Duration

US Canada

motor fleet safety basics: training for the safety supervisor unit 3: dot/osha recordkeeping issues...

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