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Safety & Compliance
> DOT Compliance Checklist
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The
following check list is designed to assist you in preparing
for a DOT safety compliance review. It does not cover
every item that an auditor could note as being a violation.
This list is intended to help you prepare for the majority
of the major, frequently violated regulations.
Part
382 (Controlled substance and alcohol testing)
- Compliance program in place that includes pre-employment,
random, post accident, reasonable cause testing (in
addition, return to duty and followup testing, if
company allows "last chance"
- No
safety sensitive functions performed until negative
pre-employment results are received.
- Random
list must include all eligible employees
- Must
test at 50% annually for controlled substances,
10% for alcohol
- Awareness
training for all supervisors for "reasonable
cause" testing
- Written policy and information packet for each driver
and receipt in file
- Inquiry for three years' testing history sent to
previous employers (within 30 days of hire)
- Quarterly statistical summaries on hand for past
two years
Part
383 (Commercial driver license)
- CDL required for drivers of vehicles over 26,000
GVWR, placarded vehicles and vehicles rated to carry
more than 15 passengers
- All licenses must be valid (note expiration dates)
- All drivers must have proper class of license
- All drivers must have air brake restriction removed
if air brakes are used
- All drivers must have proper endorsements (doubles/triples,
hazardous materials, cargo tank, passenger)
Part
387 (Financial responsibility)
- Make sure proper liability coverage is in place
for type of carrier and type of cargo
- Make sure a form MCS 90 is available for review
Part
390 (General)
- Employee training on regulations
- Accident register
- Vehicle marking
Part
391 (Driver qualification)
- Every driver of vehicles rated over 10,000 must
have a qualification file. File must include:
- Application
for employment
- Inquiries
to previous employers
- Medical
certificate (valid; check for expiration date)
- Motor
vehicle driving record
- Certificate
of violations and annual review of driving record
- Road
test certification (or equivalent, CDL)
Part
392 (Driving of commercial motor vehicles)
- Make sure your company safety policy addresses the
following, and that employees are adhering:
- Ill
or fatigued operators
-
Drug and alcohol prohibitions
- Speed
limits
- Equipment
inspection
- Safe
loading
-
Railroad crossings
Part
395 (Hours of service of drivers)
- Record of duty status (daily log) required of every
driver who operates vehicle rated over 10,000 lb.
- Logs must be maintained for six months
- Drivers are exempt if they stay within 100 mile
radius, go off duty within 12 consecutive hours and
return to the starting place
- Check for violations of the 11, 14 and 60/70 hour
driving rules
- Keep
all logs and supporting documents for six months
Part
396 (Inspection, repair and maintenance)
- Company must have a policy for systematic inspection,
repair and maintenance; lube intervals must be followed
- All drivers must perform pre-trip safety check
- All drivers must perform written post trip safety
check and prepare written vehicle inspection report
- Vehicle inspection reports must be maintained for
90 days
- Company must perform periodic (annual) inspection
on every vehicle rated over 10,000 lb at least every
12 months.
- Original of inspection kept in office, copy in vehicle
- Mechanics must be "qualified" to work
on brakes
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Safety & Compliance