Source: http://ai.fmcsa.dot.gov/sms/InfoCenter/Default.aspx
Timestamp: 2013-12-19 20:04:40
Document Index: 298752180

Matched Legal Cases: ['art 385', 'arts 392', 'arts 392', 'arts 383', 'arts\n382', 'arts 392', 'art 397', 'arts 171', 'arts 392', 'arts 392', 'arts 392', 'arts 383', 'arts\n382', 'arts 392', 'art 397', 'arts 171']

SMS Information Center
What is the Motor Carrier Safety Measurement System (SMS)?
Why should motor carriers log in to SMS?
What is included in the BASICs details sections?
What crashes are included in SMS?
How do I correct erroneous data in SMS?
Other FMCSA Resources
December 2012 SMS Methodology Changes
Contact a local FMCSA
or submit a question via
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What are the Behavior Analysis and Safety Improvement Categories (BASICs)? Which
violations correspond to which BASIC?
The Federal Motor Carrier Safety Administration's (FMCSA) SMS is an automated system
that quantifies the on-road safety performance of motor carriers so that FMCSA can
identify unsafe carriers, prioritize them for intervention, and monitor if a motor
carrier's safety and compliance problem is improving.
The SMS is not a Safety Fitness Determination nor is it a safety rating pursuant
to 49 CFR Part 385; also, it does not represent FMCSA's final determination about
the safety of the carrier. Use of the SMS for purposes other than those identified
above may produce unintended results and inaccurate conclusions.
FMCSA highly recommends that all motor carriers periodically review the SMS and,
when necessary, initiate a Request for Data Review through DataQs, an electronic
data correcting system. The DataQs system
is available online at http://dataqs.fmcsa.dot.gov
Identify motor carriers for interventions, such as warning letters, investigations,
or roadside inspections.
The Safety Measurement System (SMS) is organized into seven BASICs, which represent
behaviors that can lead to crashes. The BASICs were developed based on information
from a number of studies that quantify the associations between violations and crash
risk, as well as statistical analysis and input from enforcement subject matter
Unsafe Driving — Operation of commercial motor vehicles (CMVs) by drivers
in a dangerous or careless manner. Example Violations: Speeding, reckless driving,
improper lane change, and inattention. (FMCSR Parts 392 and 397) Hours-of-Service (HOS) Compliance — Operation of CMVs by drivers who are
ill, fatigued, or in noncompliance with the HOS regulations. This BASIC includes
violations of regulations pertaining to logbooks as they relate to HOS requirements
and the management of CMV driver fatigue. Example Violations: HOS, logbook, and
operating a CMV while ill or fatigued. (FMCSR Parts 392 and 395) Driver Fitness Operation of CMVs by drivers who are unfit to operate a CMV
due to lack of training, experience, or medical qualifications. Example Violations:
Failure to have a valid and appropriate commercial driver's license and being medically
unqualified to operate a CMV. (FMCSR Parts 383 and 391) Controlled Substances/Alcohol — Operation of CMVs by drivers who are impaired
due to alcohol, illegal drugs, and misuse of prescription or over-the-counter medications.
Example Violations: Use or possession of controlled substances/alcohol. (FMCSR Parts
382 and 392) Vehicle Maintenance — Failure to properly maintain a CMV and prevent shifting
loads. Example Violations: Brakes, lights, and other mechanical defects, improper
load securement, and failure to make required repairs. (FMCSR Parts 392, 393, and 396) Hazardous Materials (HM) Compliance — Unsafe handling of hazardous materials
(HM) on a CMV. Example violations: leaking containers, improper placarding, improperly
packaged HM. (FMCSR Part 397 and U.S. DOT HM Regulations Parts 171, 172, 173, 177, 178, 179 & 180)
Crash Indicator — Histories or patterns of high crash involvement, including
frequency and severity. It is based on information from State-reported crashes.
SMS gets a monthly snapshot of data from the Federal Motor Carrier Safety Administration
(FMCSA) national database, the Motor Carrier Management Information System (MCMIS).
SMS pulls the previous 24 months of roadside inspection data from MCMIS and State-reported
commercial motor vehicle crashes and motor carrier registration/Census data and
results from Federal and State investigations conducted within the previous 12 months.
SMS results are updated monthly. A snapshot of the data is taken on the third or
last Friday of each month and then it takes approximately 10 days to process and
validate the data. Once validated, the results are uploaded to the SMS Website.
The table below lists a tentative schedule for future releases of SMS results:
Data Snapshot Date
Week of 03/03/2014
Will the general public be able to view motor carriers' Safety Measurement System (SMS) results?
Logging into the SMS provides additional functionality. Motor carriers that log
in can view their Hazardous Materials Compliance and Crash Indicator Behavior Analysis
and Safety Improvement Category (BASIC) measurements and assigned percentiles. In
addition to the publicly available BASICs, logged-in users can also view additional
detailed information on roadside inspections and crashes that are not available
to the general public, such as driver names and other carrier-specific details.
Motor carriers can log in to the SMS in one of two ways: 1.) Entering their U.S.
DOT Number and U.S. DOT PIN via the SMS login page, or 2.) Logging into the Federal
Motor Carrier Safety Administration (FMCSA) Portal and selecting the SMS link. You
will then enter the SMS as a logged-in user.
If you do not know your PIN, click here and follow the link for requesting your U.S. DOT PIN. (Note: Entering
the Docket Number PIN will not allow login.)
Access to the SMS login page and to the FMCSA Portal is available from the SMS homepage, as copied below:
Yes. General public users can view SMS information for motor carriers, with the
exception of the measurement and percentile results of the Hazardous Materials (HM)
Compliance and Crash Indicator Behavior Analysis and Safety Improvement Categories
(BASICs). General public users can view the inspections, violations, and crashes
that are used to calculate the BASIC measurements and percentile ranks. However,
driver names and other carrier-specific details are available only to the individual
carrier and enforcement staff.
How do I read the Behavior Analysis and Safety Improvement Categories (BASICs) Overview?
What is included in the Recent Investigations?
The major sections displayed in the Safety Measurement System (SMS) for the selected
motor carrier include the following:
The BASICs Overview — Provides the on-road results, investigation results,
and overall performance of each BASIC.
Summary of Activities — Provides a summary of roadside inspections and crashes
for the 24-month timeframe that the SMS results are based upon.
Recent Investigations — Provides a listing of the five most recent investigations
performed on the motor carrier.
Data Downloads — Allows download of the data on inspections, violations,
and crashes that are used in the motor carrier's SMS results. Data can be pulled
for a specific Behavior Analysis and Safety Improvement Category (BASIC) or for
all BASICs in either Microsoft Excel or XML format.
Carrier Registration Information — Provides the motor carrier's registration
information that was current when the SMS results were determined.
The BASICs Overview categorizes the results for each of the seven BASICs.
The On-road column lists the motor carrier's percentile for each BASIC. If the percentile
is over the established Intervention Threshold for the motor carrier, the percentile
is presented with a symbol.
The Investigation column displays the “Serious Violation Found” icon for a BASIC
if a Serious Violation was cited within 12 months of the Safety Measurement System
(SMS) results date. The icon will be present regardless of whether corrective actions
have occurred. Select this link to view the list of Serious Violations.
The BASICs Status column displays a symbol, if either the On-road column's percentile
is over the established threshold or if the Investigation column displays the “Serious
Violation Found” icon. This indicates that the BASIC is in a status and that the
motor carrier may be prioritized for an investigation and a roadside inspection
Note that for general public users, the Hazardous Materials (HM) Compliance and
Crash Indicator BASICs display the message “Not Public.” Motor carriers that log
in to the SMS can view the Hazardous Materials (HM) Compliance and Crash Indicator
BASICs, but only for their own U.S. DOT Number. Within the BASICs details pages,
inspection and violation listings are available to all users, regardless of their
logged-in status, but the measure, percentile, and other specifics of these two
BASICs are available only to logged-in motor carriers.
Also, the Crash Indicator BASIC displays “Not Applicable” under the Investigation
column because there are no violations associated with the Crash Indicator BASIC
on the Federal Motor Carrier Safety Administration's list of Serious Violations.
BASIC Overview Panel
The details of each BASIC can be accessed by clicking on the BASIC's tab within
the BASICs Overview. Note that a motor carrier's past performance can be accessed
by selecting History.
To learn more about how to interpret the on-road and investigation columns click
on the “What Does This Mean?” button.
The Safety Measurement System (SMS) calculates a measure for each Behavior Analysis
and Safety Improvement Category (BASIC) as described in the SMS Methodology document. The measure is then used to assign a ranking,
or percentile, for each motor carrier that has information that could be compared
against other similar carriers. This percentile ranking allows the safety behavior
of a carrier to be compared with the safety behavior of carriers with similar operations
and numbers of safety events.
The percentile is computed on a 0-100 scale, with 100 indicating the worst performance
and 0 indicating the best performance. The carrier in the group with the highest
measure will be at the 100th percentile, while the carrier with the lowest measure
in the group will be at the 0 percentile. All other carriers in the group will be
between these two numbers based on their compliance records.
Interventions are selected based on the following factors: number of Behavior Analysis
and Safety Improvement Categories (BASICs) percentiles above the threshold (Note:
a high BASIC percentile indicates high noncompliance), a symbol due to Serious Violations,
commodity hauled (e.g., passengers, Hazardous Material (HM)), intervention history,
and time since last intervention. A complaint or fatal crash could also trigger
The Intervention Thresholds for carriers are organized by BASIC and are set based
on a given BASIC's relationship to crash risk. The Federal Motor Carrier Safety
Administration’s analysis has shown that the strongest relationship to crash risk
is found with high percentiles in the Unsafe Driving, Hours-of-Service (HOS) Compliance
and Crash Indicator BASICs. Therefore, these higher risk BASICs have a lower threshold
for interventions than the other BASICs. Currently, the Intervention Thresholds
Unsafe Driving, HOS Compliance, Crash Indicator
Driver Fitness, Controlled Substances/Alcohol, Vehicle Maintenance
The Summary of Activities presents the number of roadside inspections and crashes
that have occurred during the 24-month timeframe that is used to calculate the Safety
Measurement System results for the motor carrier.
The Total Inspections count consists of all roadside inspections (Levels I through
The Driver Inspection count consists of all Level I, II, III, and VI inspections.
The driver OOS rate is calculated as the number of driver inspections with at least
one driver OOS violation divided by the total number of driver inspections.
The Vehicle Inspection count consists of all Level I, II, V, and VI inspections.
The vehicle out-of-service (OOS) rate is calculated as the number of vehicle inspections
with at least one vehicle OOS violation divided by the total number of vehicle inspections.
The Placardable Hazardous Materials (HM) Inspection count consists of all vehicle
inspections, Level I, II, V, and VI, where placardable quantities of HM are present.
The HM OOS rate is calculated as the number of placardable HM vehicle inspections
with at least one HM OOS violation divided by the total number of placardable HM
The Total Crashes count consists of all the Federal Motor Carrier Safety Administration
-reportable crashes. The number of crashes that resulted in an injury or fatality
to a person involved in the crash is presented as well as the number that required
at least one vehicle to be towed from the scene due to disabling damage where there
were no injuries or fatalities.
The Recent Investigations list the five most recent investigations conducted by
the Federal Motor Carrier Safety Administration or its State Partners. The listing
is not limited to the 24-month timeframe that is used to calculate the Safety Measurement
System results for the motor carrier.
The Carrier Registration Information contains a summary of the registration information
provided by the motor carrier to the Federal Motor Carrier Administration (FMCSA).
This information is current as of the Safety Measurement System (SMS) data snapshot
date. If a motor carrier updates its registration information after the SMS data
snapshot date, the changes will be reflected in the next monthly SMS results.
The most up-to-date registration information for a motor carrier can be obtained
from FMCSA's SAFER system at http://safer.fmcsa.dot.gov
The date of the last update to the registration information is also listed. Motor
carriers are required to update this data at least every two years. A message is
displayed if the registration data has not been updated within the two-year requirement
Instructions for updating motor carrier registration information are displayed by
selecting the Update Registration Information button.
Selecting the View Carrier Registration Details button will display additional details
of the motor carrier's registration information, including contact information,
operation classification, and type of cargo carried.
What is included in the Behavior Analysis and Safety Improvement Categories' (BASICs)
details of the Safety Measurement System (SMS)?
How is a carrier's Behavior Analysis and Safety Improvement Category (BASIC) Overall
Status determined?
Which violations found during inspections are included in each Behavior Analysis
and Safety Improvement Category (BASIC)?
Do inspections that find no violations count in the Safety Measurement System (SMS)?
What is a Power Unit (PU) and how does the Safety Measurement System (SMS) use this
What are the Serious Violations?
BASIC Overall Status: A symbol, based on the data, indicates that the Federal
Motor Carrier Safety Administration may prioritize a motor carrier for further monitoring,
and the reason (roadside and/or investigation results).
Data Center: Provides a means to download the roadside and investigation
data that SMS uses. Users can download data in Excel (XLS) or XML format for the
selected BASIC or for all BASICs.
On-road Performance Detail tab: Provides the SMS measure, assigned percentile,
and supporting information for the selected BASIC. This includes a summary listing
of violations and their violation weights, and a listing of the relevant inspections
for the BASIC. The full inspection report can also be accessed from this section.
Investigation Results Detail tab: Identifies whether a Serious Violation
was discovered during the previous 12 months from the SMS data snapshot date. If
a Serious Violation was discovered, the violation and the date it was cited are
Performance Tools tab: Presents a series of graphs that can assist a motor
carrier in determining its performance under the selected BASIC. Two graphs are
provided: one lists the relevant inspections versus the inspections with a violation
in the selected BASIC by month for the 24-month period of the SMS results, and the
second graph presents the SMS results for the entire safety event group in the selected
BASIC. The graph presents the measure on the vertical axis and the percentile on
the horizontal axis for the safety event group.
Each BASIC's Overall Status is determined by the results of the motor carrier's
on-road performance over the previous 24 months and the investigation results over
the previous 12 months. Overall Status will display a symbol if either the on-road
performance's percentile is over the established threshold or the investigation
results show the discovery of a Serious Violation. This indicates that the BASIC
is and the motor carrier may be prioritized for an intervention, which can include
a warning letter, investigation, and identification for a roadside inspection.
All inspection violations that pertain to a Behavior Analysis and Safety Improvement
Category (BASIC) are assigned violation weights that reflect their association with
crash occurrence and crash consequences. The violation weight helps differentiate
the levels of crash risk associated with the various violations attributed to each
BASIC. Violation weight is assigned on a 1¿10 scale, where 1 represents the lowest
crash risk and 10 represents the highest crash risk relative to the other violations
in the BASIC. Also, an additional weight of 2 is applied to violations that result
in out-of-service orders.
Crashes are assigned severity weights according to their impact. Greater weight
is attributed to crashes involving injuries, fatalities, and/or the release of hazardous
materials than to crashes only resulting in a vehicle tow-away.
Because the weights reflect the relative importance of each violation within each
particular BASIC, they cannot be compared meaningfully across the various BASICs.
The Safety Measurement System (SMS) severity weights are subject to change, so please
refer to the SMS Methodology
Methodology Appendix A Violations List for further information.
Inspection violations corresponding to each BASIC are found in the Safety Measurement System Methodology document, Tables 1 through 6 within
Any violation or crash that occurred within the previous 24 months of performance
data is considered when determining the Behavior Analysis and Safety Improvement
Category (BASIC) measure. However, inspections, violations, and crashes are time
weighted when they are included in the SMS calculations. Events that have occurred
within 6 months of the SMS run date receive the highest time weight, events greater
than 6 months but less than or equal to 12 months are assigned less time weight,
and events that occurred greater than 12 months from the SMS run date are assigned
the smallest time weight. Details are explained in the
SMS Methodology document.
Yes. All roadside safety inspection findings count in the SMS, regardless of whether
or not the safety inspection report contains violations. Roughly one-third of the
3.5 million inspections that are uploaded to the Federal Motor Carrier Safety Administration's
database each year have zero violations. Safety inspections without regulatory
violations serve to improve a motor carrier's evaluation in the SMS.
Carriers and drivers should be aware that not every law enforcement stop is a safety
inspection; law enforcement may stop a vehicle to conduct a pre-inspection screening
to determine if a vehicle or driver warrants closer examination. A pre-inspection
screening may take many forms and may include, but not necessarily be limited to,
a cursory check of the vehicle. These cursory checks are commonly confused with
a complete safety inspection. If a law enforcement officer conducts only a pre-inspection
screening, then a safety inspection report will not be generated. If a driver thinks
that a safety inspection has been conducted, FMCSA encourages the driver or motor
carrier to ask for a copy of the report to document the safety inspection.
One of the ways the Safety Measurement System (SMS) accounts for the differences
between carriers and their operations is to place carriers in safety event groups
based on the number of safety events (e.g., inspections, crashes) in which the carriers
Safety event groups enable SMS to deal with the widely diverse motor carrier population,
while ensuring that similarly situated carriers are treated with the same standards.
Safety event groups do not compare carriers by the commodities they haul or their
For a detailed description and examples of the safety event groups for each Behavior
Analysis and Safety Improvement Category, please refer to theSMS
The SMS uses segmentation within the Unsafe Driving and Crash Indicator Behavior
Analysis and Safety Improvement Categories (BASICs) to account for carrier differences
by placing the carrier population into two groups based on the types of vehicles
operated. Carriers are grouped by the following two vehicle types/operations:
Combo Segment — Combination trucks/motor coach buses constituting 70 percent or
more of the total Power Units (PUs) (vehicles).
Straight Segment — Straight trucks/other vehicles constituting more than 30 percent
of the total PUs (vehicles).
The segmentation of motor carriers means that companies who have fundamentally different
types of vehicles/operations are not compared to each other.
For a detailed description and examples of the safety event groupings by and for
each BASIC, please refer to the SMS Methodology document.
PUs are recorded in the motor carrier registration data (MCS-150)
on file. PUs may include vehicle types such as trucks, tractors, hazardous material
tank trucks, motor coaches, and school buses.
The number of PUs a carrier has is used in part to account for each motor carrier's
level of on-road exposure when calculating the Unsafe Driving and Crash Indicator
Behavior Analysis and Safety Improvement Categories (BASICs). SMS calculates the
average number of PUs for each carrier by using (1) the carrier's current number
of PUs, plus (2) the number of PUs the carrier had 6 months ago, plus (3) the number
of PUs the carrier had 18 months ago divided by 3. The average PUs numbers along
with annual Vehicle Miles Traveled information are used as a measure of exposure
to estimate the number of PUs operated over a 24-month time period when traffic
enforcement violations (used in the Unsafe Driving BASIC measure) or reportable
crashes (used in the Crash Indicator) could have occurred. Due to the potentially
significant changes in exposure of individual carriers over the course of 24 months
(via downsizing, mergers, etc.), an average number of PUs provides a more
accurate estimate of vehicle exposure for carriers that have updated their MCS-150
motor carrier registration information.
Please refer to the SMS Methodology document for additional information and an example of the
average PU calculation.
The Federal Motor Carrier Safety Administration (FMCSA) includes investigation findings
(e.g., what FMCSA or State Partners find during a motor carrier investigation) when
assessing Behavior Analysis and Safety Improvement Category (BASIC) performance.
The Investigation Results Details tab provided in the Safety Measurement System
Website displays a “Serious Violation Found” icon when an investigation conducted
within the previous 12 months resulted in the discovery of a Serious Violation within
a BASIC. Serious Violations include those that are determined as follows:
Those violations where noncompliance is so severe that they require immediate corrective
action by a motor carrier, regardless of its overall safety posture (e.g., failing
to implement an alcohol and/or controlled substance testing program).
Or, those violations which relate directly to the carrier's management and/or operational
controls and are indicative of breakdowns in a carrier's management controls (pattern
of violations, e.g., false reports of records of duty status).
The “Serious Violation Found” icon will be displayed in the carrier's Investigation
Results for the BASIC for 12 months following the date of the investigation. Select
this link to view the list of Serious Violations.
All the Federal Motor Carrier Safety Administration (FMCSA)-reportable crashes,
without any determination as to responsibility, are included in the SMS. A crash
is reported to FMCSA if it involves the following:
Any truck having a gross vehicle weight rating of more than 10,000 pounds or a gross
combination weight rating over 10,000 pounds used on public highways; OR
Any motor vehicle designed to transport more than eight people, including the driver;
Any vehicle displaying a Hazardous Materials (HM) placard (regardless of weight).
A vehicle discovered to be transporting HM without a required placard should also
That vehicle is involved in a crash while operating on a roadway customarily open
to the public, which results in any of the following:
A fatality: any person(s) killed in or outside of any vehicle (truck, bus,
car, etc.) involved in the crash or who dies within 30 days of the crash as a result
of an injury sustained in the crash; OR
An injury: any person(s) injured as a result of the crash who immediately
receives medical treatment away from the crash scene; OR
A tow-away: any motor vehicle (truck, bus, car, etc.) disabled as a result
of the crash and transported away from the scene by a tow truck or other vehicle.
The Carrier Safety Measurement System (CSMS) Crash Indicator considers a carrier's
accident involvement, without any determination as to responsibility. State-reported
crash data are used to calculate the Crash Indicator measure of relative crash involvement.
State-reported crash data does not have information regarding fault. The CSMS algorithm,
by design, ranks carriers in comparison to other carriers. All carriers are treated
the same way. In the case of the Crash Indicator measure the carrier's crash rates
are being compared to other carriers' crash rates without any determination as to
responsibility of individual crashes. Therefore, there is no relative disadvantage
to any particular carrier. To eliminate misinterpretation, a caveat is placed wherever
CSMS Crash Indicator-related values are shown. The caveat states, "A motor carrier’s
crash assessment (Crash Indicator BASIC measure and percentile) and the list of
crashes below represent a motor carrier’s involvement in 24 months of reportable crashes without any determination as to responsibility" When
a Crash Indicator percentile is relatively high, it suggests that a further examination
of causes is needed, and if correctable, action should be taken by the motor carrier.
CSMS calculations are applied uniformly to all carriers and are adjusted for exposure.
For a more detailed explanation of the calculation of the Crash Indicator and its
components, please refer to the SMS Methodology document.
What should a motor carrier do after receiving a warning letter?
The Federal Motor Carrier Safety Administration provides roadside inspectors with
data that identifies a carrier's specific compliance problems, by Behavior Analysis
and Safety Improvement Category, based on the motor carrier's Safety Measurement
System results. Targeted roadside inspections occur at permanent and temporary roadside
inspection locations.
The warning letter provides motor carriers with early notification of potential
safety performance issues. Warning letters are based on roadside performance results
collected during the previous 24 months. The warning letter is sent to the motor
carrier's principal place of business and specifically identifies Behavior Analysis
and Safety Improvement Categories that exceed the Federal Motor Carrier Safety Administration's
Intervention Threshold relative to the motor carrier's safety event grouping and
outlines possible consequences of continued compliance problems. View a sample warning
Carriers do not need to respond in writing to the Federal Motor Carrier Safety Administration
(FMCSA) after receiving a warning letter. FMCSA does encourage motor carriers to
log in to the Safety Measurement System (SMS) to examine their data, focusing their
attention first on the Behavior Analysis and Safety Improvement Categories that
are over or near the Intervention Threshold. Carriers should consider doing all
Ensure accuracy of data. Ensure that all the data listed is accurate and
belongs to their U.S. DOT Number. If data is incorrect, they can submit a data correction
review request through the DataQs system.
Examine violation types. Examine the summary of the violations that they
are receiving and notice which violations occur most frequently, and those with
the highest severity weights. These are two data points that should help carriers
Conduct detailed data analysis. Download violation data into an Excel spreadsheet
for further analysis. Sort the data by driver, date, location of inspection, vehicle,
vehicle type, and violation. Analyze the data for any trends to determine the root
cause(s) of any safety problem(s) and review with management team.
Address identified safety issues. . Develop and execute strategies to improve
compliance with safety regulations to prevent more intensive interventions. FMCSA
has developed tools and resources that may assist motor carriers with this process.
These tools may be found at Section VI "What can a motor carrier do to improve?" and on the “How to Improve
Percentile Rank.” Periodically review SMS data. Review SMS data monthly to monitor progress.
The Federal Motor Carrier Safety Administration provides Safety Investigators with
and Safety Improvement Category (BASIC), based on the motor carrier's Safety Measurement
System (SMS) results. Potential investigations include the following:
Onsite Focused Investigation – The purpose of this intervention is to evaluate
the safety problems identified through the SMS and their root causes. An Onsite
Focused Investigation may be selected when safety problems in two or fewer BASICs
exist. Onsite Focused Investigations target specific problem areas (for example,
maintenance records), while Onsite Comprehensive Investigations address all aspects
of the carrier's operation.
Onsite Comprehensive Investigation – This intervention is similar to a compliance
review and takes place at the carrier's place of business. It is used when the carrier
exhibits broad and complex safety problems through BASICs continually exceeding
the threshold, worsening BASICs (three or more), or a fatal crash or complaint.
The following items are possible follow-on actions from the Federal Motor Carrier
Safety Administration’s (FMCSA) investigations:
Notice of Violation (NOV) – The NOV is a formal notice of noncompliance that
requires a response from the carrier. It is used when the regulatory violations
discovered are severe enough to warrant formal action but not a civil penalty (e.g.,
fine). It is also used in cases where the violation is immediately correctable and
the level of, or desire for, cooperation is high. To avoid further intervention,
including fines, the carrier must provide evidence of corrective action or initiate
a successful challenge to the violation
Notice of Claim (NOC) – An NOC is issued in cases where the regulatory violations
are severe enough to warrant assessment and issuance of civil penalties.
Operations Out-of-Service Order – An order issued by FMCSA requiring the
carrier to cease all motor vehicle operations.
How can a carrier improve in the Unsafe Driving Behavior Analysis and Safety Improvement
How can a carrier improve in the Hours-of-Service (HOS) Compliance Behavior Analysis
How can a carrier improve in the Crash Indicator Behavior Analysis and Safety Improvement
How can a carrier improve in the Driver Fitness Behavior Analysis and Safety Improvement
How can a carrier improve in the Controlled Substances/Alcohol Behavior Analysis
How can a carrier improve in the Vehicle Maintenance Behavior Analysis and Safety Improvement Category (BASIC)? How can a carrier improve in the Hazardous Materials (HM) Compliance Behavior Analysis
What are the Safety Improvement Resources (SIRs) and how can they be used?
Driving — FMCSR Parts 392 and 397
If you think any of the data is erroneous, request corrections through FMCSA's DataQs system. The DataQsprogram allows motor carriers and drivers to request a data review of information that resides in FMCSA databases.
The Unsafe Driving BASIC includes operation of commercial motor vehicles (CMVs)
in a dangerous or careless manner. Example violations include speeding, reckless
driving, improper lane change, and inattention (Federal Motor Carrier Safety Regulation
Parts 392 and 397). The following Federal Motor Carrier Safety Administration (FMCSA)
resources can help motor carriers improve their Unsafe Driving BASIC measure:
FMCSA created a tool, the Safety Management Cycle (SMC). The SMC helps carriers determine their organizational breakdowns that are causing the carriers' safety violations The SMC has its own webpage located here: https://csa.fmcsa.dot.gov/About/SMC_Overview.aspx. Carriers can download an overview of the SMC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_002_SMC_Overview.pdf and download a list of safety improvement practices that help resolve typical carrier process breakdowns related to the Unsafe Driving BASIC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_019_UnsafeDriv_SMC.pdf.
The HOS Compliance BASIC includes operation of commercial motor vehicles (CMVs)
by drivers who are ill, fatigued, or in noncompliance with the HOS regulations.
This BASIC includes violations of regulations pertaining to records of duty status
Example violations include exceeding HOS, maintaining incomplete or inaccurate RODS,
and operating a CMV while ill or fatigued. (Federal Motor Carrier Safety Regulation
Parts 392 and 395). The following resources can assist motor carriers in ways by which
to improve the HOS Compliance BASIC measure:
The Federal Motor Carrier Safety Administration’s (FMCSA) HOS Logbook Examples
FMCSA HOS Frequently Asked Questions
Interstate Trucker’s Guide to HOS
Interstate Passenger Carrier’s Guide to HOS
FMCSA's Education & Technical Assistance Program's A Motor Carrier's Guide to Improving Highway Safety, pages 89-96.
FMCSA created a tool, the Safety Management Cycle (SMC). The SMC helps carriers determine their organizational breakdowns that are causing the carriers' safety violations The SMC has its own webpage located here: https://csa.fmcsa.dot.gov/About/SMC_Overview.aspx. Carriers can download an overview of the SMC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_002_SMC_Overview.pdf and download a list of safety improvement practices that help resolve typical carrier process breakdowns related to the HOS Compliance BASIC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_13_004_HOS_Compl_SMC.pdf.
The following crash countermeasure resources can assist motor carriers in ways by
which to improve the Crash Indicator BASIC measure:
Preventing Passenger Carrying Commercial Motor Vehicle Crashes and On-Board Injuries
Caused by Passenger Behavior
FMCSA created a tool, the Safety Management Cycle (SMC). The SMC helps carriers determine their organizational breakdowns that are causing the carriers' safety violations The SMC has its own webpage located here: https://csa.fmcsa.dot.gov/About/SMC_Overview.aspx. Carriers can download an overview of the SMC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_002_SMC_Overview.pdf and download a list of safety improvement practices that help resolve typical carrier process breakdowns related to the Crash Indicator BASIC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_018_CrashIndic_SMC.pdf.
The Driver Fitness BASIC includes operation of commercial motor vehicles (CMVs)
by drivers who are unfit to operate a CMV due to lack of training, experience, or
medical qualifications. Example violations include failing to have a valid and appropriate
Commercial Driver's License and being medically unqualified to operate a CMV (Federal
Motor Carrier Safety Regulation Parts 383 and 391). The following resources can assist motor carriers in ways by which
to improve the Driver Fitness BASIC measure:
FMCSA's Safety
FMCSA's CDL
Program for further information
FMCSA created a tool, the Safety Management Cycle (SMC). The SMC helps carriers determine their organizational breakdowns that are causing the carriers' safety violations The SMC has its own webpage located here: https://csa.fmcsa.dot.gov/About/SMC_Overview.aspx. Carriers can download an overview of the SMC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_002_SMC_Overview.pdf and download a list of safety improvement practices that help resolve typical carrier process breakdowns related to the Driver Fitness BASIC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_021_Fitness_SMC.pdf.
The Controlled Substances/Alcohol BASIC includes operation of commercial motor vehicles
by drivers who are impaired due to alcohol, illegal drugs, and misuse of prescription
or over-the-counter medications. Example violations include use or possession of
controlled substances or alcohol (Federal Motor Carrier Safety Regulation Parts
382 and 392). The following Federal Motor Carrier Safety Administration (FMCSA)
resources can assist motor carriers in ways by which to improve the Controlled Substances/Alcohol
FMCSA created a tool, the Safety Management Cycle (SMC). The SMC helps carriers determine their organizational breakdowns that are causing the carriers' safety violations The SMC has its own webpage located here: https://csa.fmcsa.dot.gov/About/SMC_Overview.aspx. Carriers can download an overview of the SMC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_002_SMC_Overview.pdf and download a list of safety improvement practices that help resolve typical carrier process breakdowns related to the Controlled Substance and Alcohol BASIC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_022_Sub_Alc_SMC.pdf.
How can a carrier improve in the Vehicle Maintenance Behavior Analysis and Safety Improvement Category (BASIC)? The Vehicle Maintenance BASIC addresses the requirements within the Federal Motor
Carrier Safety Regulations (FMCSRs), specifically 49 CFR Parts 392, 393 and 396,
to properly maintain a commercial motor vehicle (CMV) and to prevent shifting loads,
spilled or dropped cargo, and overloading of a CMV. The following resources can
help motor carriers improve their Vehicle Maintenance BASIC measure:
FMCSA created a tool, the Safety Management Cycle (SMC). The SMC helps carriers determine their organizational breakdowns that are causing the carriers' safety violations The SMC has its own webpage located here: https://csa.fmcsa.dot.gov/About/SMC_Overview.aspx. Carriers can download an overview of the SMC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_002_SMC_Overview.pdf and download a list of safety improvement practices that help resolve typical carrier process breakdowns related to the Vehicle Maintenance BASIC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_13_007_VM_Cargo_SMC.pdf and https://csa.fmcsa.dot.gov/Documents/FMC_CSA_13_005_VM_Inspect-Repair_SMC.pdf.
How can a carrier improve in the Hazardous Materials (HM) Compliance Behavior Analysis
The HM Compliance BASIC includes unsafe handling of HM on a commercial motor vehicle
(CMV). Example violations: leaking containers, improper placarding, improperly packaged
HM. (FMCSR Part 397 and U.S. Department of Transportation HM regulations Parts 171, 172,
173, 177, 178, 179 & 180). The following resources can help motor carriers improve
their HM Compliance BASIC measure:
Federal Motor Carrier Safety Administration's Education & Technical Assistance Program's
A Motor Carrier's Guide
to Improving Highway Safety, 111-118 (HM)
FMCSA created a tool, the Safety Management Cycle (SMC). The SMC helps carriers determine their organizational breakdowns that are causing the carriers' safety violations The SMC has its own webpage located here: https://csa.fmcsa.dot.gov/About/SMC_Overview.aspx. Carriers can download an overview of the SMC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_12_002_SMC_Overview.pdf and download a list of safety improvement practices that help resolve typical carrier process breakdowns related to the HM Compliance BASIC here: https://csa.fmcsa.dot.gov/Documents/FMC_CSA_13_006_HM_Compliance_SMC.pdf.
The SIRs are a compilation
of articles, reports, and other tools designed to assist motor carriers with improving
their current Safety Management Practices (SMPs). SIRs are unavailable at this time.
What is the Federal Motor Carrier Safety Administration’s (FMCSA) DataQs System
The Federal Motor Carrier Safety Administration (FMCSA) has
developed a specific mechanism to facilitate data reviews. Requests for data reviews
(RDRs) can be made through the DataQs system, an electronic filing system that
motor carriers, drivers, and the public use. The first step is to register
either at the DataQs website (https://dataqs.fmcsa.dot.gov/), or via the FMCSA Portal.
Instructions for filing an RDR are provided, and include simple forms and the
submission of information such as the report number, date, and time of the
event, State, explanation, and supporting documentation, if needed. Once filed,
the RDR and all relevant documentation are routed to the organization
responsible for the data, and electronic correspondence is used to communicate
with the requestor. The DataQs website is open to the public and offers an
online help function to walk users through the process.
Note: A carrier can modify registration information (e.g., name, address, or
Power Unit data) by updating the MCS-150
form. What is the Federal Motor Carrier Safety Administration’s (FMCSA) DataQs System
The DataQs system is an electronic means
of filing concerns about Federal and State data released to the public by the FMCSA.
DataQs is the best way to get the data
correction request process initiated, as all changes to data must be made at the
source (i.e., the Agency that enters the data).
A motor carrier, driver, or other stakeholder can register for DataQs via the FMCSA Portal
or through the DataQs system directly.
Requests for data corrections require simple forms to be filled in with information
from the relevant report, such as the report number, date and time of event, State,
and an explanation for why the data should be changed. Documentation to support
the Request for Data Review (RDR) may also be submitted to the system. All information
is routed to the organization responsible for the data. Electronic correspondence
is used to communicate with the requestor when additional information is needed.
DataQs is open to the public and the
website provides an online help function to walk users through the process.
Here are some tips to assist you in filing DataQs
Any owner-operator with a valid lease agreement submitting an RDR should include
Please note: A carrier can modify its registration information (e.g., name,
address, or Power Unit data) by updating the MCS-150 form.
Where can a motor carrier get more information?
There are several websites where a motor carrier can find additional information
on the Federal Motor Carrier Safety Administration (FMCSA) and Compliance, Safety,
Accountability (CSA). Specific links are highlighted below:
A Motor Carrier's
CSA Resources Page
CSA FAQs CSA General Factsheet (PDF,
608 KB) CSA Industry Briefing PowerPoint Slides (PPT, 4.9 MB)
System Factsheet (PDF, 587 KB)
CSA Carrier Safety Measurement System Methodology (PDF, 2.4 MB)
SMS Violation Severity By BASIC - SMS Methodology, Appendix A (XLSX, 70KB)
CSA Information for Drivers CSA Just the Facts (PDF,
CSA Driver Factsheet (PDF, 399 KB)
CSA for CMV Drivers, a Presentation (PPT, 5.3 MB) CSA Driver
Safety Enforcement — What Carriers Need to Know (PDF, 105 KB)
Were there additional changes included in December that were not included in the Safety Measurement System Preview?
Why was the old Cargo-Related Behavior Analysis and Safety Improvement Category
(BASIC) changed to the Hazardous Materials (HM) Compliance BASIC?
How did the Federal Motor Carrier Safety Administration (FMCSA) come up with this
new Hazardous Materials (HM) criteria solution?
What changed in the conversion of the Cargo-Related Behavior Analysis and Safety
Improvement Category (BASIC) to the Hazardous Materials (HM) Compliance BASIC?
How is the Federal Motor Carrier Safety Administration (FMCSA) implementing
the Hazardous Materials (HM) Compliance Behavior Analysis and Safety Improvement
Why was the Vehicle Maintenance Behavior Analysis and Safety Improvement Category
(BASIC) changed?
new solution for the Vehicle Maintenance Behavior Analysis and Safety Improvement
How was the Vehicle Maintenance Behavior Analysis and Safety Improvement Category
How does the Federal Motor Carrier Safety Administration (FMCSA) plan to implement
the Vehicle Maintenance Behavior Analysis and Safety Improvement Category (BASIC)?
What is the revised terminology used in the Safety Measurement System?
Why did the Federal Motor Carrier Safety Administration (FMCSA) change the criteria
for who qualifies as a passenger carrier?
How did the Federal Motor Carrier Safety Administration (FMCSA) determine the new
definition of passenger carrier?
What are the revised criteria for which carriers are considered passenger carriers in the Safety Measurement System (SMS)?
Why did the Federal Motor Carrier Safety Administration revise the criteria for which carriers are considered Hazardous Materials (HM) carriers?
How did the Federal Motor Carrier Safety Administration (FMCSA) determine the revised
criteria for who is considered a Hazardous Materials (HM) carrier?
What are the new criteria for which carriers are considered Hazardous Materials
(HM) carriers?
Why did the Federal Motor Carrier Safety Administration make changes to Intermodal
Equipment Provider (IEP) violations?
How did the Federal Motor Carrier Safety Administration (FMCSA) come up with the
solution for aligning the Safety Measurement System with Intermodal Equipment Provider
(IEP) regulations?
What are the changes to Intermodal Equipment Provider (IEP) violations?
Are vehicle violations found during Level III driver-only inspections used in the
Safety Measurement System (SMS)?
How did the Federal Motor Carrier Safety Administration (FMCSA) approach this situation
where vehicle violations are found during a Level III inspection (Driver-Only) and
how they will be used in the Safety Measurement System (SMS)?
How will the Federal Motor Carrier Safety Administration (FMCSA) approach vehicle
violations derived from driver-only inspections and driver violations derived from
vehicle-only inspections in the future?
Can a driver violation found during a Level V vehicle-only inspection (Vehicle Only) be used in the Safety Measurement System (SMS)?
How has FMCSA improved speeding violations? FMCSA has aligned speeding violations to be consistent with current speedometer regulations (49 CFR 393.82) that require speedometers to be accurate within 5 mph by removing 1 to 5 mph speeding violations. FMCSA will also lower the severity weight for speeding violations that do not designate MPH range above the speed limit to 1 for violations. These changes apply to the prior 24 months of data used by SMS and all SMS data moving forward.
Yes, there were four additional changes: Removing the 1-5 miles per hour speeding violation from the past 24 months of data;
Lowering the severity weight for the generic speeding violation (392.2S) to 1 from 5 (retroactive from January 1, 2011);
Lowering of paper form and manner violations to a severity weight of 1 to be consistent with the same violations for electronic logbook violations; and Changing the name of the Fatigued Driving (Hours-of-Service (HOS)) Behavior Analysis and Safety Improvement Category (BASIC) to the HOS Compliance BASIC. Why was the old Cargo-Related Behavior Analysis and Safety Improvement Category
HM can greatly exacerbate the consequences of crashes and cargo spills. Because
the old Cargo-Related BASIC included HM violations and load securement violations,
some HM safety issues could have been masked.
FMCSA consulted subject matter experts to identify and apply severity weightings
to the 239 HM violations contained in the old Cargo-Related Behavior Analysis and
Safety Improvement Category (BASIC) and the 112 additional HM safety-based violations
attributable to the motor carrier. The Agency then conducted effectiveness testing
to compare the old Cargo-Related BASIC with a new BASIC containing only the HM violations
to determine which better identified carriers with a high risk of HM safety problems.
The analysis found that the new BASIC identified carriers with more future violations
and with higher violation rates than the old Cargo-Related BASIC.
Concerns were raised that some HM safety
issues could be masked due to the inclusion of both HM and load securement
violations in the Cargo-Related BASIC. The Federal Motor Carrier Safety Administration implemented the HM
Compliance BASIC to specifically address motor carriers that do not comply with
Federal safety regulations related to properly packaging and transporting
hazardous cargo, or accurately identifying and communicating hazardous cargo in
the event of a crash or spill. The HM Compliance BASIC identifies carriers with
higher HM violation rates (33.8% versus 29.1%) and HM out-of-service rates
(5.4% vs. 4.0%) than the Cargo-Related BASIC.
carriers and law enforcement personnel can view data in this new safety
category as of December 2012.
Moving cargo/load securement violations into the Vehicle Maintenance
BASIC offers three important benefits. By moving load securement violations to
the Vehicle Maintenance BASIC and recalibrating the severity weights, FMCSA has
mitigated the known flatbed bias created by information system limitations;
ensured that the carriers with actual load securement violations are identified;
and strengthened the Vehicle Maintenance BASIC by improving the identification
of carriers with the highest future crash rates for FMCSA interventions.
While cargo/load securement violations comprised 82%
of violations in the Cargo-Related BASIC, they comprise just 4% of violations
when included in the Vehicle Maintenance BASIC. FMCSA compared the “flatbed
bias” of the previous Cargo-Related BASIC with that of the new Vehicle
Maintenance BASIC, which incorporates the cargo/load securement violations. Before the
enhancements, the Safety Measurement System identified carriers with
Cargo-Related BASIC percentiles of 80 and higher—the worst 20% of carriers
assessed in the Cargo-Related BASIC—for interventions. In
an unbiased system using the 80th percentile as the Intervention Threshold, it
would be expected that approximately 20% of the tracked carriers would be at or
above the 80th percentile. The analysis determined that the previous Cargo-Related
BASIC identified 54% of a sample of known flatbed carriers at or above the
Intervention Threshold in the Cargo-Related BASIC. The
54% determined from the analysis of the sample of tracked flatbed carriers
suggested a bias against flatbed operators. Under the new Vehicle Maintenance BASIC, 23% of
these carriers were identified as at or above the Intervention Threshold, thus
eliminating any bias. How was the Vehicle Maintenance Behavior Analysis and Safety Improvement Category
The Federal Motor Carrier Safety Administration moved the cargo/load securement
violations from the old Cargo-Related BASIC to the Vehicle Maintenance BASIC.
FMCSA will prioritize its workload using, among other things, the modified Vehicle
Maintenance BASIC. This BASIC will remain public.
(FMCSA) gave motor carriers a preview of the revised terminology as well as the
crash breakout for eight months. FMCSA encouraged feedback on the terms before
they were released publicly in December. Additionally, the crashes category is broken out from the previous "crashes
with fatalities and injuries" into two separate categories: “crashes with
fatalities” and “crashes with injuries.” The table below outlines the terms that are used for each Behavior Analysis and Safety Improvement Category (BASIC). On-road Performance Column Information: BASIC Current Values Displayed Unsafe Driving Display Percentile
< 3 inspections with violations – Less than 3 inspections with a violation in the
Controlled Substances and Alcohol Display Percentile
0% – Enough driver inspections (3+ inspections), but no violations in this BASIC
< 3 inspections with violations – Enough inspections (+3 driver inspections), but
not enough inspections with BASIC-related violations (1 to 2 inspections with violations)
No violations within 1 year – Enough inspections, but no violation cited within
the past 12 months and the latest driver inspection did not include a violation
0% – Enough driver inspections (5+ inspections), but no violations in this BASIC
< 5 inspections with violations – Enough inspections (+5 driver inspections), but
not enough inspections with BASIC-related violations (1 to 4 inspections with violations)
0% – Enough vehicle inspections (5+ inspections), but no violations cited in the
< 5 vehicle inspections – Not enough vehicle inspections to be assessed (0 to 4
< 5 inspections with violations – Enough inspections (+5 vehicle inspections), but
the past 12 months and the latest vehicle inspection did not include a violation
No HM placardable vehicle inspections – Carrier does not have any relevant HM placardable
Motor carriers subject to the passenger carrier threshold in the Safety Measurement
System (SMS) are held to a significantly higher standard than non-passenger carriers.
Due to the importance of ensuring safe passenger transportation, enforcement stakeholders
support an updated definition of passenger carrier within the SMS to more accurately
identify passenger carriers subject to most of FMCSA’s regulatory authority.
FMCSA analyzed carriers with passenger carrier authority.
The updated definition adds 5,700 carriers. It also removes 4,200 carriers.
With safety as our number one priority, the Federal Motor Carrier Safety Administration (FMCSA) clarified the definition of passenger carrier within the SMS as follows:
Add all for-hire carriers with 9-15 passenger capacity vehicles and private carriers with 16-plus passenger capacity vehicles, as these firms are under FMCSA’s authority.
Remove all carriers with only 1-8 capacity vehicles and private carriers with 1-15 passenger capacity vehicles (effectively removing many limousines, vans, taxis, etc.), as these firms are generally outside most of FMCSA’s authority.
Remove carriers where less than 2% of their respective fleets are passenger vehicles.
the criteria for identifying carriers subject to the placardable HM thresholds
was changed to include any carrier with HM activity (i.e., a placarded HM inspection,
review, or permit) in the past two years. Previous criteria were based only on the
“HM commodities hauled” information provided by carriers in the requisite
MCS-150 registration form. Feedback on this change was that certain carriers
identified under these new criteria rarely hauled or were mistakenly identified
as hauling placardable amounts of HM in the inspection forms. Therefore, this
criteria was changed in December to more accurately reflect HM carriers subject
to the more stringent Intervention Threshold.
FMCSA conducted an analysis to determine how many
carriers would be subject to the HM Intervention Threshold if the Agency changed
the inspection criteria to require the observation of recent inspections and a
certain percentage of inspections where the carrier was designated as hauling
placardable quantities of HM. FMCSA determined that tightening HM placardable
inspection criteria would still cover 94% of the placardable HM inspections in
The Federal Motor Carrier Safety Administration’s criteria
for HM carriers has been modified in order to focus intervention resources on
those carriers involved in the majority of placardable HM transport. The new
inspection-based criteria include the following:
At least two HM placardable vehicle inspections within the past 24 months, with one inspection occurring within the past 12 months;
At least 5% of total inspections as HM placardable vehicle inspections
The previous version of the Safety Measurement System (SMS) did not
include any roadside violations associated with an IEP trailer distinct from
the motor carrier. While violations that should be found during the pre-trip
inspection are the motor carrier’s responsibility, other violations would not
be noticeable to the driver and should be attributed to the IEP. This distinction is now applied in the SMS.
FMCSA uses data from the 3.5 million roadside bus and
truck inspections conducted across the country each year to inform decisions
about safety. FMCSA evaluated roadside inspection data to confirm that there
are data present to discriminate between IEP and carrier/driver responsibility
for certain violations related to the condition of the intermodal trailer.
FMCSA collects information from inspection reports that indicate, based on an
enforcement officer’s observation, whether the IEP provided space for a
pre-trip inspection and whether the driver performed a pre-trip inspection. FMCSA applied this
rule to the past 24 months of roadside inspections, resulting in an increase of
approximately 22,000 violations included in the SMS Vehicle Maintenance Behavior
Analysis and Safety Improvement Category. A list of IEP violations can be found
at https://csa.fmcsa.dot.gov/Documents/IEP_Attributable_Violations.xlsx.
The Safety Measurement System was updated so that the
Vehicle Maintenance Behavior Analysis and Safety Improvement Category includes
the subset of violations that (1) can be discovered and addressed as part of
the driver’s pre-trip inspection on the intermodal equipment and (2) that meet
the above criteria where the driver could have or should have conducted a
pre-trip inspection on the intermodal equipment. The Federal Motor Carrier
Safety Administration worked collaboratively with enforcement and industry to identify the
violations. Here is a link to the current list of IEP that
can be attributed to the driver’s and carrier’s record: Violation #
Violation Description IEP Attributable violations as of 12/1/12 393.126
Fail to ensure intermodal container secured
393.126(b)
393.126B
Damaged/missing tiedown/securement device
393.126(c)(2)
393.126C2
All corners of chassis not secured
393.126(c)(3)
393.126C3
Front and rear of container not secured independently
393.201(a)
393.201A
Frame cracked / loose / sagging / broken
393.201(c)
393.201C
Frame rail flange improperly bent/cut/notched
393.205A
Wheel / rim cracked or broken
393.205(b)
393.205B
Stud/bolt holes elongated on wheels
393.205(c)
393.205C
Wheel fasteners loose and/or missing
Required lamp not powered by vehicle electricity
393.25(b)
393.25B
Lamps are not visible as required
393.25E
Lamp not steady burning
393.25F
Requirements for reflectors
Improper or no wiring protection as required
393.55E
ABS - malfunctioning lamps towed CMV manufactured on or after 3/1/1998, manufactured
before 3/1/2009
393.75A
393.75A1
393.75A2
393.75A3
393.75(a)(4)
393.75A4
Tire — cut exposing ply and/or belt material
393.75C
393.75(f)
393.75F
Tire — load weight rating/under inflated
393.70B1II
Defective / Improper fifth wheel assembly upper half
393.45DCPC
Brake Connections with Constrictions - Connection to Power Unit
396.5A-HNLOW
Hubs - No visible or measurable lubricant showing in the hub - outer wheel
393.42A-BM
Brake - Missing required brake.
393.42A-BMAW
Brake - All wheels not equipped with brakes as required.
393.42A-BM-TSA
Brake - Missing on a trailer steering axle.
Previously, the SMS included Level III driver-only inspections in the Vehicle Maintenance
Behavior Analysis and Safety Improvement Category (BASIC) only when vehicle violations
were noted on the inspection. Industry and enforcement were concerned that many
vehicle violations fell outside the scope of the inspection and could have biased
the Vehicle Maintenance BASIC data.
FMCSA uses data from the 3.5 million roadside inspections
conducted across the country each year to inform decisions about safety. FMCSA
evaluated the extent to which inspectors are citing vehicle violations during
driver-only inspections to confirm that this problem merits the attention that
stakeholders have demanded. Approximately 139,000 violations, or 2.6% of all
vehicle violations that were used in the previous version of SMS were vehicle
violations cited during a driver-only inspection. While very few driver
violations are ever documented in vehicle-only inspections, this change was
made to ensure that only violations within the scope of a particular type of
inspection are included in the SMS. All violations from roadside inspections will continue to be on a
carrier’s inspection report, however, only violations that fall within the
scope of the specific inspections being performed are used in the SMS. Most
basically, this means FMCSA is aligning violations that are in the SMS with
Commercial Vehicle Safety Alliance inspection levels by eliminating vehicle
violations derived from driver-only
inspections and driver violations from vehicle-only inspections. This will
ensure the accuracy of our information by allowing our experts to better focus
their inspections, either on vehicle-only inspections or driver-only inspections.
FMCSA removed vehicle violations found during driver-only inspections and driver
violations found during vehicle-only inspections to bring the Safety Measurement
System into alignment with existing Commercial Vehicle Safety Alliance policies
regarding inspection levels.
No, when SMS the Federal Motor Carrier Safety Administration implements the new
changes to the SMS, driver violations found during Level V vehicle-only (vehicle)
inspections will are no longer being used in the SMS by SMS.
FMCSA has aligned speeding violations to be consistent with current speedometer regulations (49 CFR 393.82) that require speedometers to be accurate within 5 mph by removing 1 to 5 mph speeding violations. FMCSA will also lower the severity weight for speeding violations that do not designate MPH range above the speed limit to 1 for violations. These changes apply to the prior 24 months of data used by SMS and all SMS data moving forward.
FMCSA made two changes to the Fatigue (HOS) Driving BASIC. The name of this BASIC is changing to the HOS Compliance BASIC. This BASIC continues to have a strong association with future crash risk. This action is being taken to reflect that the BASIC includes hours of service recordkeeping requirements that, by themselves, do not necessarily indicate fatigued driving or driving in excess of allowable hours. The second change is that FMCSA will equally weight paper and electronic logbook violations in SMS for consistency purposes.