What to Expect at a Compliance Review

CTMA ConferenceJuly 2015

What Triggers a Roadside Inspection?

•Visible violations▫Equipment, license plates, permits,

HM markings or placards, traffic violations

•Some states use random number generators

•HM transportation

CSA Impact

•Roadside violations drive CSA Scores

•CSA Scores result in Basic Alerts

•Basic Alerts result in Compliance Investigations

What Triggers a Review?

•Motor Carrier Compliance Review ▫Focused, Comprehensive, or Off-Site

▫CSA Scores▫Crashes▫Complaints (internal or external)▫HM incidents▫High-Risk HM (Explosives, RAM, PIH)

•May be Scheduled or Unannounced

Preparing for a Review

• If not provided one, ask for a list of items the investigator will need to see during the review.

•Don’t manufacture documents!

•Have key personnel available during the review.

•Clear your calendar as much as possible.▫If a staff person is handling the review, check in

frequently.

During the Review• Try to relax!

• Don’t be offended if the investigator wants to interview staff personnel privately.

• Investigators realize you won’t have every piece of paper at your fingertips right when they walk in.

• Realize that investigators must do “due diligence” and investigate all possible violations, and not just accept you at your word.

HM Reviews•Be prepared for the investigator to:

▫Inspect the warehouse, loading dock, explosive magazines, etc.;

▫Walk around/climb on cargo tanks or other vehicles;

▫Inspect HM packages;

▫Take pictures.

It’s Just Paper

•Paper is an indicator of how your operations are managed▫How is vehicle maintenance tracked?▫How are driver qualifications monitored?▫How are cargo tank qualifications verified?

•If it’s not documented, it didn’t happen▫Criminal and civil liability

Who’s minding the store??

•Consider having a third party audit

•Outsider point of view

•DOT compliance often gets pushed aside for the urgent matters of the day

The best way to prepare for DOT…

•Have a corporate attitude to Run Legal

•Establish a system to regularly manage compliance in these three areas:

Vehicles, including cargo tanksDriversHM transportation

HM Training

•#1 Violation for PHMSA and FMCSA enforcement cases

•5 Categories of Training

•Must Certify that you have TRAINED and TESTED your HM Employees!

•Document, document, document

Function Specific Training•Personnel who:

▫Make and retain shipping papers

▫Fill, load, close, and mark/placard packages and/or vehicles

▫Manufacture or test packages (cargo tanks, IBCs)

▫Manage HM employees

Function Specific Training

•Special Permits

•Drivers – see 177.816 – CDLs are valid more than 3 years!

•Must be specific to what they do:▫Dock worker: Package Closure

Instructions, Special Permit, Segregation and Securement, Marking/Labeling/Placarding, etc.

Training Questions

•How often do I have to provide training to my HM employees?

•If I change my security plan, do I have to provide training to my employees under the plan?

•What is the one training category that can never be accepted from a previous employer?

Other Common Violations•Security Plans –

▫Incomplete – see 172.802▫No site-specific risk assessment

•Failing to report HM incidents – 171.15/16

•Cargo Tank maintenance▫Repairs by unregistered shops▫Improper/no tests/inspections

Shipping Paper Violations• Improper Sequence

• No Technical Name

• Information interspersed

• No/improper ER TX#

• No ERI, improperly maintained in vehicle

• Fail to retain

Shipping Paper Retention

•If using a permanent shipping paper in the trucks, are you maintaining a record?

•Shipper/Private Carrier : 2 years

•Must include date, UN#, proper shipping name, and quantity

Be careful out there!

David W. Ford404-327-7374

david.ford@dot.gov

HM Program ManagerSouthern Service Center

USDOT/FMCSA