Regulations and Legal Challenges in Truck Accident Litigation

According to the National Safety Council, 5,837 large trucks (meaning trucks with a gross vehicle weight rating greater than 10,000 pounds) were involved in fatal crashes in 2022.¹ Commercial trucking is undoubtedly a tough industry for drivers, but the difficulty of the work does not exempt them from their legal obligations to engage in safe trucking practices.

Truck accident litigation ensues when a truck driver or trucking company (also called a “carrier”) fails to follow safety laws pertaining to the industry. These cases are brought on behalf of individuals who were severely injured or even killed due to the truck driver’s or carrier’s negligent conduct.

These cases involve the complexities of the American tort system and trucking industry regulations. It is critical that a personal injury lawyer handling a trucking accident case understands the regulations—both those promulgated by the federal government and those issued by the state of New York—when building a case.

The legal challenges posed by truck accidents in New York City are not just a matter of legal doctrine. The investigation of these cases requires consistency, proactivity, and creativity on the part of the truck accident lawyer to avoid loss of physical evidence, obtain all relevant witness statements, and secure the correct documents held by regulatory bodies.

If you have been injured in a trucking accident, call the New York City commercial truck accident lawyers at Dansker & Aspromonte Associates. Our attorneys have significant experience litigating cases involving serious injuries or deaths caused by the negligent operation of semi-trucks. That experience has given our attorneys extensive knowledge of the regulations and relevant legal doctrines in these cases, and they know how to properly investigate your case to maximize the compensation you are owed under the law.

Understanding Trucking Regulations in New York City

In 2000, Congress established the Federal Motor Carrier Safety Administration (“FMCSA”) as a stand-alone agency within the Department of Transportation (“DOT”) under the Motor Carrier Safety Improvement Act of 1999.² The FMCSA’s primary mission is to reduce automotive crashes, injuries, and fatalities involving large trucks and buses.

The FMCSA promulgates a complex system of rules and regulations known as the Federal Motor Carrier Safety Regulations (“FMCSR”) to govern commercial truckers and the industries employing them. These rules and regulations apply to commercial motor vehicles that are performing interstate operations. The FMCSA regulates many specific aspects of commercial trucking, but the following are the most common:

1. Hours-of-Service Regulations are defined in the “Interstate Truck Driver’s Guide to Hours of Service” and governed by the federal regulatory code. Hours-of-service regulations set limits on when and how long professional drivers can operate to ensure they are awake and alert while driving, continuously working to reduce the possibility of driver fatigue.³
2. Vehicle Maintenance Regulations set forth the maintenance standards for commercial motor vehicles, including requirements for specific brake systems, lights of a specific color and number, and the prevention of other mechanical defects.⁴
3. Driver Qualifications are governed by the FMCSA’s regulations—and, as will be discussed, by state law. Specifically, the FMCSA mandates strict guidelines during the hiring process to ensure safety on America’s highways, placing compliance responsibilities on both the driver and the company employing him or her.⁵

But the FMCSA is not the only regulatory authority governing trucking accidents: the New York Department of Transportation (“NYDOT”) is also responsible for commercial motor vehicle safety after New York adopted a modified version of the Federal Motor Carrier Safety Regulations. NYDOT’s adoption of those regulations includes the following rules:

1. Weight Restrictions: NYDOT has adopted 49 C.F.R. § 391—which governs the minimum qualifications for drivers of commercial motor vehicles—but only applies it to drivers operating commercial motor vehicles that are either (1) at least 10,001 pounds and transporting hazardous materials, or (2) transporting hazardous materials requiring placarding under New York law.⁶
2. Cargo Securement: NYDOT adopted the federal rules for securing cargo by adopting the cargo securement standards set forth by the FMCSA under 49 C.F.R. §§ 393.100-393.136 (2024). These rules create general requirements for securing cargo, as well as more specific rules for securing specific types of cargo such as logs, automobiles, or metal coils.⁷
3. Commercial Driver’s License (“CDL”) Requirements: New York’s decision to adopt 49 C.F.R. § 391 means that every intrastate operator of a commercial truck or vehicle must obtain a CDL under New York state law.⁸

As a general rule, the FMCSR governs anyone driving a commercial truck or vehicle in interstate commerce. However, intrastate operations are automatically subject to only part of the FMCSR, the state’s CDL regulations, and any other regulations that the state has established. New York’s adoption of a modified version of the FMCSRs means that the FMCSR will generally govern intrastate operations in New York, but this is not true of every state.⁹

Proving Negligence in New York City Truck Accident Litigation

Making your case in a trucking matter will require you to prove fault on the part of either the owner/driver of the commercial vehicle or the owner/driver’s carrier or employer. In New York, the claim against an owner/driver of a commercial vehicle or his or her carrier or employer can be brought on a theory of either negligence or negligence per se. Further, a carrier can be held vicariously liable for the driver’s negligence, but it is also possible for the carrier to be held independently liable for its own actions. Each of these concepts will be explained further below.

Negligence vs. Negligence Per Se

Under the common law of New York, a negligence claim requires a plaintiff to show (1) that the defendant owed them a duty; (2) that the defendant breached that duty; (3) the plaintiff was injured; and (4) the defendant’s breach of their duty caused the plaintiff’s injury. A claim for negligence per se is a twist on the common law elements in that it establishes first that the defendant owed the plaintiff a duty, and second that the defendant breached that duty by violating a state statute.¹⁰

This distinction is very important under New York state law because New York law does not allow a claim of negligence per se based on the violation of a rule, regulation, or other provision of New York’s administrative code. Only the violation of a New York statute can constitute negligence per se. New York law considers the violation of a rule, regulation, or other provision of an administrative code as evidence of negligence. In the context of commercial truck accident cases in New York City, this means using the truck driver or carrier’s violations of the FMCSA or other New York rules or regulations as evidence that the driver and carrier were negligent. As such, a negligence action will be brought more frequently than a negligence per se action in New York City trucking accidents where the alleged negligent behavior is a violation of the FMCSRs.¹¹

Trucking Companies Can Be Either Vicariously or Independently Liable

Remember, these cases are not only about the commercial vehicle operator’s negligence; they are also about the carrier or employer’s negligence. To that end, the FMCSRs create a presumption of statutory employment that holds the motor carrier responsible for the negligent behavior of a truck driver operating a vehicle under the carrier’s control. Thus, carriers cannot claim drivers are independent contractors to avoid liability in these cases because “the public policy underlying the FMCSA regulations [is] to eliminate the practice by motor carriers of hiring uninsured independent truckers to avoid liability” to injured third parties.¹² In most circumstances, carriers are vicariously liable for the commercial operators they control.

Not only can carriers be held responsible for their drivers’ negligence, they can be held liable for their own negligence independent of the commercial vehicle’s operator. Negligence on the part of the carrier comes in many forms, including:

1. Negligent Hiring, Training, Retention, or Entrustment: The FMCSRs impose strict requirements on trucking companies when they hire drivers, and, sadly, many trucking companies decide not to follow these requirements due to pressures to remain competitive and a shortage of dependable drivers.¹³
2. Negligent Inspection, Maintenance, or Repair: If there is a mechanical failure contributing to the collision, then the carrier’s negligent inspection, maintenance, or repair of any of the truck’s complex systems may have caused the mechanical failure. 49 C.F.R. § 393 establishes the requirements for “Parts & Accessories for Safe Operation” and should be consulted when a particular component is suspected to have contributed to the collision.¹⁴
3. Encouraging or Ignoring Falsified Hours-of-Service Logs: 49 C.F.R. § 392.3 prohibits drivers from operating a truck when the driver’s ability to be alert is impaired by fatigue, illness, or anything else making it unsafe to drive. 49 C.F.R. § 395 lays down the law concerning hours-of-service and logbook regulations. These provisions should be consulted whenever there is concern that a commercial vehicle’s driver was operating it in an improper state of fatigue.¹⁵

The carrier can be held liable, as a party independent of the driver, for all of the aforementioned negligent actions whenever the carrier controls the wrecked commercial vehicle.¹⁶

Investigations: The Most Critical Component of Building a Strong Truck Accident Case in New York City

Begin the Investigation Immediately

New York City commercial truck accident lawyers must begin their investigation of the case almost immediately. A poor or slow investigation of the accident can be devastating to semi-truck accident cases because evidence can be lost due to a lack of adequate preservation or the defendant intentionally destroying it. An easy way to prevent the loss or destruction of evidence is to send a letter to the defendant requesting written assurance that the evidence will remain intact and in existence, but counsel may seek a temporary restraining order if necessary to preserve the evidence.¹⁷

Inspect the Vehicles

By preserving the vehicles involved in the accident, the truck accident injury lawyer will be able to review the vehicles’ general maintenance prior to the accident, use expert witnesses to determine the speed at which the vehicles were traveling on impact, and examine the vehicles’ exteriors to determine the exact location of impact. The commercial vehicle may contain the truck driver’s logbook (which may reveal hours-of-service violations), maintenance records showing a long-ignored mechanical problem, or prescription drug containers indicating a driver’s illness or substance abuse. And, of course, the attorney will need to have the truck inspected.¹⁸

Get Witness Statements

Beyond obtaining this physical evidence, the attorney will want to interview witnesses and obtain their statements to develop a detailed overview of the case, target weaknesses in the case, and work to counteract those weaknesses. The attorney will want to speak with eyewitnesses, first responders, emergency personnel, highway patrol officers, and tow truck drivers to get important information about what happened.¹⁹

Know the FMCSRs

Every carrier in the United States must have a Motor Carrier Number (“MC Number”)—also known as “operating authority”—to operate in the United States. Carriers must demonstrate adequate financial ability, the ability to serve the public, and compliance with the FMCSRs’ stringent safety requirements regarding both equipment and driver competence to obtain operating authority.²⁰

The MC Number identifies the type of trucking business in which the operator is engaged and the goods hauled by a specific carrier. Carriers with operating authority will also receive a “U.S. DOT Number,” which serves as a unique identifier when collecting and monitoring a company’s safety information acquired during audits, compliance reviews, crash investigations, and inspections.²¹

In order to obtain the MC Number and the U.S. DOT Number, the carrier must file an application known as Form MCSA-1. That application has a “Compliance Certifications” section in which the carrier certifies under oath that it:

1. “is willing and able … to comply with all pertinent statutory and regulatory requirements and regulations issued or administered by the U.S. DOT, including operation regulations, safety fitness requirements, motor vehicle safety standards and minimum financial responsibility and designation of process agent requirements;” and
2. “is willing and able to produce for review or inspection documents which are requested for the purpose of determining compliance with … the FMCSRs.”²²

A copy of a carrier’s application can be obtained through the FMCSA. That application can then be used to demonstrate that the company violated the certification it signed under oath.²³

An attorney can also order FMCSA safety information without a FOIA request and use a FOIA request to obtain other documents. The FMCSA safety information available without a FOIA request includes the safety ratings for specific motor carriers, carrier snapshots, and crash profiles. The attorney can use the U.S. DOT Number to FOIA request a company’s safety audits, compliance reviews, crash investigations, and inspections.²⁴

Conclusion

As discussed above, the legal complexities of a trucking accident case involve issues of tort law and the extensive regulatory systems of the federal government and New York State. Upon accepting a truck accident case, a personal injury lawyer in New York City should immediately begin the extensive process of investigating the accident and all of the circumstances leading up to it.

At Dansker & Aspromonte Associates, our attorneys have extensive knowledge of these legal issues and expansive experience investigating precisely these cases. Reach out to our firm if you or a loved one have been injured or killed in a truck accident. Our attorneys are here to consult with you regarding the compensation you are owed under the law.

1. National Safety Council, “Motor Vehicle Safety,” last accessed August 6, 2024.
2. 49 C.F.R. § 395 (2024); Litigating Truck Accident Cases § 2:17 (April 2024).
3. “Interstate Truck Driver’s Guide to Hours of Service,” FMCSA, last updated Thursday, April 28, 2022, https://www.fmcsa.dot.gov/regulations/hours-service/interstate-truck-drivers-guide-hours-service.
4. 49 C.F.R. §§ 393, 396 (2024).
5. 49 C.F.R. § 390.11 (2024) (charging trucking companies with requiring driver compliance with regulation, including in hiring); Litigating Truck Accident Cases § 2:6 (April 2024).
6. 17 NYCRR §§ 820.0-820.14.
7. 49 C.F.R. §§ 393.116-393.136 (2024).
8. 17 NYCRR § 820.3 (adopting 49 C.F.R. § 391); 49 C.F.R. § 391.11 (requiring a valid commercial motor vehicle operator’s license).
9. Litigating Truck Accident Cases § 17:34 (Apr. 2024).
10. Id.
11. Id.
12. Litigating Tuck Accident Cases § 7:2 (Apr. 2024).
13. L.J. v. Zhang, 212 N.Y.S.3d 789, 798-99 (2024).
14. 49 C.F.R. § 393 (2024); Litigating Truck Accident Cases § 2:2 (Apr. 2024).
15. Litigating Truck Accident Cases § 2:14 (Apr. 2024).
16. Id.
17. Id.
18. Id.
19. 49 U.S.C. § 31132(2) (2024) (defining “employee” as “an operator of a commercial motor vehicle (including an independent contractor when operating a commercial motor vehicle)”).
20. Luizzi v. Pro Transport, Inc., No. 02 CV 5388(CLP), 2013 WL 3968736, at *26 (E.D.N.Y. July 31, 2013).
21. Litigating Truck Accident Cases § 3:1 (Apr. 2024); Litigating Truck Accident Cases § 8:3 (Apr. 2024).
22. 49 C.F.R. § 365.117 (2024); Form MCSA-1 Application, Section M.
23. Litigating Truck Accident Cases § 8:3 (Apr. 2024).