Unsafe Driving BASIC

• Unsafe driving is defined by FMCSA as operating a commercial motor vehicle in a “dangerous or careless manner.”

It has long been known that unsafe driving practices are a major contributor to commercial motor vehicle (CMV) accidents. Reckless driving, speeding, failing to yield the right-of-way, and other violations are closely related to a driver’s risk of getting into a crash. Unsafe driving practices are thought to dramatically increase a driver’s risk of being involved in a crash.

The Federal Motor Carrier Safety Administration (FMCSA) defines unsafe driving as operating a commercial motor vehicle in a “dangerous or careless manner,” comprising over 40 distinct violations. Among them:

• Speeding or reckless driving,
• Improper lane changes,
• Inattention, texting, or using a hand-held cell phone,
• Using a radar detector,
• Operating a bus unsafely, and
• Smoking within 25 feet of a hazmat vehicle.

Performance on unsafe driving is measured using violations of certain Federal Motor Carrier Safety Regulations and state traffic control laws recorded on roadside inspection reports.

Controlled Substances and Alcohol BASIC

• Drug and/or alcohol impairment dramatically increases the risk of a crash.

An impaired driver is an unsafe driver. Because drug and/or alcohol impairment dramatically increases the risk of a crash, the Federal Motor Carrier Safety Administration (FMCSA) assigns great weight to violations related to drug or alcohol use or possession.

The FMCSA defines a drug/alcohol Behavior Analysis and Safety Improvement Category (BASIC) violation as the operation of commercial motor vehicles by drivers cited in roadside inspections for impairment due to alcohol, illegal drugs, and/or misuse of prescription or over-the-counter medications. The violations include:

• Violating an out-of-service order relating to alcohol use under 392.5(a) or (b);
• Using or being in possession of drugs; and
• Possessing, using, or being under the influence of alcohol while on duty or driving.

Performance on the drugs and alcohol BASIC is measured using violations of certain Federal Motor Carrier Safety Regulations recorded on roadside inspection reports.

Hours-of-Service (HOS) Compliance BASIC

• Drivers and carriers must comply with HOS regulations.
• A fatigued driver is at risk of causing a crash.

An overly tired driver can be a danger to the public. That’s why the Federal Motor Carrier Safety Administration (FMCSA) takes fatigued driving and the hours-of-service rules seriously under the Compliance, Safety, Accountability (CSA) program.

The Hours of Service (HOS) Compliance Behavior Analysis and Safety Improvement Category (BASIC) is used to measure driver and carrier performance related to driving while ill, fatigued, or in violation of the hours-of-service regulations. Among the violations under this BASIC:

• Failing to complete or retain logs or use a required electronic logging device (ELD);
• Violating the HOS limits;
• Failing to include all required items on the log; and
• Violating an HOS-related out-of-service order.

Performance is measured using violations of certain Federal Motor Carrier Safety Regulations and state traffic control laws recorded on roadside inspection reports.

Driver Fitness BASIC

• Drivers who lack training, experience, or medical qualifications may be in violation of the driver fitness BASIC.

A driver’s training, experience, and physical fitness to drive a commercial motor vehicle (CMV) has a lot to do with how safely the person can operate that vehicle. That’s why the Compliance, Safety, Accountability (CSA) program initiative grades carriers and drivers on driver fitness.

The Federal Motor Carrier Safety Administration (FMCSA) defines driver fitness as operation of commercial motor vehicles by drivers who are unfit to operate a CMV due to lack of training, experience, or medical qualifications. Among the violations under this Behavior Analysis and Safety Improvement Category (BASIC):

• Failing to train hazmat employees;
• Failing to notify employer of convictions;
• Failing to have proper endorsement(s);
• Failing to have a valid medical certificate; and
• Driving while disqualified.

Performance on driver fitness is measured using violations of certain Federal Motor Carrier Safety Regulations recorded on roadside inspection reports.

Vehicle Maintenance BASIC

• Vehicle defects and cargo securement failures are some violations under the vehicle maintenance BASIC.

Vehicle maintenance is a critical component of any motor carrier’s safety program, and it’s vital to driver safety on the road. Under the Compliance, Safety, Accountability (CSA) program, improper vehicle maintenance or cargo securement could have a hefty impact on a company and its drivers.

The Vehicle Maintenance Behavior Analysis and Safety Improvement Category (BASIC) is used to measure driver and carrier performance related to vehicle failures, incidents, or cargo securement failures due to improper or inadequate maintenance or securement. Among the violations under this BASIC:

• Defective brakes, lights, and other mechanical components;
• Failure to make required repairs;
• Failure to inspect the vehicle or prepare inspection reports;
• Failing to properly secure the load; and
• Operating an out-of-service vehicle.

Performance on vehicle maintenance is measured using violations of certain Federal Motor Carrier Safety Regulations recorded on roadside inspection reports during vehicle inspections.

Hazardous Materials Compliance BASIC

• CMV drivers must handle hazardous materials safely and properly to comply with the Hazardous Materials BASIC.

The safe and proper handling of hazardous materials (HM) is a critical step in the safe operation of commercial vehicles. Its importance grows under the Compliance, Safety, Accountability (CSA) program.

The HM Compliance Behavior Analysis and Safety Improvement Category (BASIC) is used to measure driver and carrier performance related to unsafe or non-compliant handling of hazardous materials. Among the violations under this BASIC:

• No or improper markings on a hazmat load;
• Failing to have proper hazmat documentation;
• Failing to properly secure a hazmat load;
• Hazmat package integrity violations; and
• Hazmat routing violations.

Performance on the HM Compliance BASIC is measured using violations of certain Federal Motor Carrier Safety Regulations or Hazardous Materials Regulations recorded on roadside inspection reports resulting from vehicle inspections where a placardable amount of hazardous materials is being transported.

Crash Indicator BASIC

• The Crash Indicator BASIC measures the consequence of a behavior and may indicate a problem that warrants intervention.

Although six of the seven Behavior Analysis and Safety Improvement Categories (BASICs) are used to measure a carrier or driver’s behaviors, the Crash Indicator BASIC is not specifically a behavior. Rather, it is the consequence of behavior and may indicate a problem that warrants intervention.

The Crash Indicator BASIC is a measure of a carrier or driver’s relative tendency to be involved in commercial motor vehicle crashes. Unlike the other BASICs, there are no specific regulations or violations associated with the Crash Indicator BASIC.

Performance on the Crash Indicator BASIC is measured using relevant state-reported crash data and carrier size. It’s important to note that all crashes in the Safety Measurement System (SMS) will affect a carrier or driver’s score in the Crash Indicator BASIC — the grading process does not take into consideration whether a crash was preventable or not UNLESS the carrier or driver has successfully contested the preventability of a crash using the DataQs system. As the agency writes on its website:

“The structure of the ... SMS is such that the motor carrier’s role in the crash (i.e. preventability) is not automatically determined or considered. In fact, recordable crash reports that States submit to the Federal Motor Carrier Safety Administration (FMCSA) [do] not include the motor carrier’s role in the crash. Consequently, motor carriers are identified for possible intervention based on recordable crashes without consideration of the motor carrier’s role. Why does FMCSA take this approach? This approach is taken because data analysis has historically shown that motor carriers who are involved in crashes, regardless of the motor carrier’s role, are likely to be involved in more future crashes than carriers who are not. Put simply, past crashes are a good predictor of future crashes.”

Crashes used for this measure include only reportable crashes. Reportable crashes are those that result in one or more:

• Fatalities,
• Injuries requiring immediate medical treatment away from the scene, or
• Vehicles being towed from the scene.

How does the SMS measure safety performance?

• Using different weights, the SMS stores carrier and driver violation and crash data across seven categories, also known as BASICs.
• Carriers and drivers are ranked in percentages in relation to peers.
• Some violations and crashes count more heavily than others.

The Safety Measurement System (SMS) takes a carrier’s or driver’s violation data and compares it to a list of over 1,000 specific regulation violations across seven categories. The categories are known as the Behavior Analysis and Safety Improvement Categories (BASICs) and include:

• Unsafe Driving,
• Hours-of-Service (HOS) Compliance,
• Driver Fitness,
• Controlled Substances (drugs) and Alcohol,
• Vehicle Maintenance,
• Hazardous Materials (HM) Compliance, and
• Crash Indicator.

The crash indicator contains crash history, so it’s not based on any specific violations but rather is a consequence of a failure in the other BASICs.

After a carrier or driver’s violations and/or crashes are classified into the BASICs, the violations or details of the crash are assigned different weights, that is, some violations or crashes will count more heavily than others. This weighting is based on such factors as:

• How long ago the violation or crash took place,
• The relative severity of the violation or crash, and
• Whether the driver or vehicle was placed out of service.

The weighted scores in each BASIC become the measure for that BASIC, a raw number indicating that carrier’s or driver’s performance on the BASIC.

Finally, the BASIC measure is used to assign a percentile rank, from 0% to 100%, which grades the carrier or driver in relation to peers. This is the Compliance, Safety, Accountability (CSA) BASIC score, and it allows the evaluation phase to begin, in which poor safety performers can be spotted and singled out for intervention or other enforcement actions.

What are data sufficiency standards?

• Three criteria must be met before a percentile can be assigned to a motor carrier.
• Once ranked, data evaluation shows how a carrier measures against peers.

A certain minimum amount of data is required before a percentile rank will be assigned to a driver or motor carrier. The following tables summarize the data required for each Behavior Analysis and Safety Improvement Category (BASIC) before a percentile rank will be assigned.

All three criteria below, where applicable, must be met before a percentile can be assigned to a motor carrier:

Where can a carrier see its CSA data?

• Carriers and others can visit specific websites to access CSA program data.

There is both a public and private view the Safety Measurement System (SMS).

The public view of the SMS can be accessed at: http://ai.fmcsa.dot.gov/SMS. The public view shows violation summary and details of individual inspections and crashes without driver information.

The carrier (private) view if the SMS can only be accessed through the carrier's FMCSA portal account. To protect data and make access more secure, A&I and SMS require multifactor authentication for the private view. Access requires both a Login.gov and FMCSA portal account. Users will no longer enter a Portal user ID and passwords or a U.S. DOT Number and PIN.

The carrier view provides details on drivers involved in safety events Through the Carrier SMS, users also have access to detailed reports containing the raw data used to calculate the measures and percentiles. This allows carriers to review their data and take action when necessary to improve their performance.

Who can access the data?

• Certain CSA program data in the SMS is public.
• Access to driver and carrier data and scores is more limited.

The public (including shippers, brokers, insurers, etc.) can access certain Compliance, Safety, Accountability (CSA) program data for any carrier with a U.S. Department of Transportation (DOT) number. For bus companies and other passenger carriers, that data includes Behavior Analysis and Safety Improvement Category (BASIC) scores and alerts. For property carriers, scores and alerts are not available publicly. For all carriers, data concerning the Crash Indicator and HM Compliance scores are not available to the public.

The Federal Motor Carrier Safety Administration (FMCSA) and law enforcement personnel have access to all driver and carrier data and scores.

Motor carriers have access to the Carrier Safety Measurement System (SMS) but not the Driver SMS. Carriers of course have access to the public view described above, but must log in to the CSA website with a password and personal identification number (PIN) to access other data. This includes scores and alerts for all seven BASICs, as well as more details for each inspection report. Even though Driver SMS data is not available to carriers, the raw data collected on drivers and used in the Driver SMS is available through the Driver Pre-Employment Screening Program (PSP). Note that carriers have to get permission from drivers during the hiring process before accessing PSP data.

Drivers can access the same CSA data as available to the public, but do NOT have access to either the complete Carrier SMS nor the Driver SMS results. Drivers have access to personal crash and roadside enforcement data through the Driver PSP.

What are the intervention thresholds?

• BASICs percentages are used to determine when the FMCSA will intervene with carriers.
• Passenger carriers are subject to the strictest thresholds, followed by hazmat carriers.

The following are the motor carrier intervention thresholds used in the Carrier Safety Measurement System (CSMS). Because drivers are only investigated during a carrier investigation, there are no separate intervention thresholds for drivers. Note that the thresholds are subject to change. Also, carriers whose Behavior Analysis and Safety Improvement Category (BASIC) percentiles are below the intervention threshold are monitored in terms of safety performance but will not necessarily receive any contact from the Federal Motor Carrier Safety Administration (FMCSA).

Passenger carriers. The Safety Measurement System (SMS) classifies a carrier as a “passenger carrier” if it is for-hire and operates 9- to 15-passenger-capacity vehicles or private carriers with 16-plus-passenger-capacity vehicles. Excluded are:

• Carriers with only 1- to 8-passenger-capacity vehicles and private carriers with 1- to 15-passenger-capacity vehicles (effectively removing many limousines, vans, taxis, etc.), as these firms are generally outside most of FMCSA's authority; and
• Carriers where less than 2 percent of the respective fleets are passenger vehicles.

Hazmat carriers. In order to be considered a hazardous materials (HM) carrier in the SMS, a motor carrier must have had:

• At least two HM placardable vehicle inspections within the past 24 months,
• At least one HM placardable vehicle inspection occurring within the past 12 months, and
• At least 5 percent of total inspections being HM placardable vehicle inspections.

Motor carriers cannot be given a safety rating (satisfactory/conditional/unsatisfactory) nor ordered to stop operating commercial vehicles in interstate commerce based solely on their SMS scores. The current regulations in Part 385 require that carriers be rated based only on a compliance review, i.e., a full-blown audit.

Categories of CSA interventions

• The CSA program now uses more than audits to enforce regulations.
• Interventions fall into one of three categories.

The Federal Motor Carrier Safety Administration (FMCSA) has a wide array of enforcement tools that can be used to intervene with a carrier and/or its drivers when a safety problem is discovered. Before the Compliance, Safety, Accountability (CSA) program, the agency relied heavily on in-depth audits to enforce its regulations.

Under the CSA program, this “sledgehammer” still exists, but the FMCSA has added a whole box of other tools, including warning letters, targeted roadside inspections, cooperative safety plans, and others. These tools allow the agency to strategically address safety concerns, rather than using a one-size-fits-all compliance review.

Interventions can be triggered by:

• One or more deficient Behavior Analysis and Safety Improvement Categories (BASICs),
• A high crash rate,
• A complaint, or
• A fatal crash.

The interventions are progressive, increasing in severity and interaction with motor carriers and their drivers, although it’s important to note that interventions do not have to be used in order. An unsafe carrier may be subject to a comprehensive on-site audit, for example, without ever having received a warning letter. The selection of a particular intervention can be influenced by safety performance, whether hazardous materials or passengers are involved, intervention history, and the discretion of the investigator.

The FMCSA’s goal is to use the interventions to reach a larger segment of the motor carrier industry than is possible with full-blown compliance reviews, and to change unsafe behavior early.

The FMCSA places the interventions into three categories:

1. Early Contact — These interventions are used as a first step after safety problems are discovered. The FMCSA and its state partners can use these “rapid-response” interventions to quickly address a safety problem before it can result in a crash.
2. Investigations — On-site or off-site investigations are used to address persistent or worsening safety problems, or after a fatal crash or complaint.
3. Follow-On — These interventions are the last steps in the intervention process, used when other efforts have failed and/or for the most unsafe carriers. If the follow-up interventions are unsuccessful at getting a carrier to improve its performance, the FMCSA may resort to forcing the carrier to stop commercial motor vehicle (CMV) operations entirely.

Driver interventions

Although individual drivers can be subject to intervention, the FMCSA is limiting its driver interventions at this time. Under the CSA program, the agency uses the Safety Measurement System (SMS) to identify “high profile” drivers with overall poor safety histories, who work for carriers that have been identified as requiring a CSA investigation. If the investigation results verify the driver violation(s), the FMCSA can take an enforcement action against that driver, such as a Notice of Violation or a Notice of Claim.

Types of CSA interventions

• The CSA program can intervene with drivers and carriers in several ways, including warning letters, off-site investigations, cooperative safety plans, and more.

The following is a summary of the interventions that exist under the Compliance, Safety, Accountability (CSA) program.

Early contact

Warning Letters

A warning letter is sent to a motor carrier when its safety performance data exceeds the Safety Measurement System (SMS) threshold for intervention in one or more Behavior Analysis and Safety Improvement Categories (BASICs), i.e., when the carrier has one or more “Alerts” shown in the SMS. The letter notifies the carrier that its performance data shows that the carrier is not fully complying with all applicable Federal Motor Carrier Safety Administration (FMCSA) safety regulations. The warning letter lists the BASICs where the carrier’s performance indicates safety issues and encourages the carrier to look at its SMS data online. Unless specifically stated in the letter, the FMCSA does not require a written response to these warning letters, although a response may help show that the carrier is making a good-faith effort to comply. Motor carriers that receive warning letters should review their safety data and develop and execute strategies that will make the carrier’s operation compliant with the safety regulations. Continued poor performance will lead to more intensive interventions. Motor carriers with significant safety problems will not necessarily receive a warning letter as the first type of intervention.

Targeted Roadside Inspections

The warning letter also triggers targeted roadside inspections. The same information on deficient BASICs described in the warning letter is reflected in the software used by roadside inspectors. This enables them to monitor the status of those safety problems with the motor carrier and confirm the existence of problems or the correction. This also helps improve the overall effectiveness of roadside inspections.

Investigations

Off-Site Investigations

An off-site investigation allows the FMCSA and its state partners to evaluate safety problems without the cost of sending enforcement officials to a motor carrier’s place of business. It involves requests for documentation from the carrier and third-parties and constitutes a desktop review of available information to determine the nature and extent of identified safety problems. The off-site investigation is triggered by persistent safety problems or those severe enough to warrant investigation.

Focused On-Site Investigations

The focused on-site investigation takes place at the motor carrier’s place of business and is used when the carrier exhibits a persistent safety problem in one area. It enables the FMCSA and its state partners to focus on an identified safety problem without spending time and resources where no other safety problems have been identified. It involves reviewing records, interviewing personnel, analyzing practices, and identifying corrective actions. The focused on-site investigation could be triggered by a continuing deficient or worsening BASIC or a fatal crash or complaint.

Comprehensive On-Site Investigations

The comprehensive on-site investigation also takes place at the motor carrier’s place of business. It is used when a carrier exhibits broad and complex safety problems through multiple deficient BASICs, and is similar to a compliance review. The comprehensive on-site investigation could be triggered by continuing deficient or worsening multiple BASICs or a fatal crash or complaint.

Follow-On

Cooperative Safety Plans

The cooperative safety plan could be triggered after investigation reveals safety problems which the motor carrier expresses a willingness to fix. It is used to support safety improvements before the levying of fines. A cooperative safety plan is a structured plan developed and implemented voluntarily by the motor carrier. The plan would be the motor carrier’s action plan to address safety problems. The FMCSA would monitor the carrier’s safety performance and increase intervention if performance does not improve.

Notices of Violation

The purpose of the notice of violation is to increase a motor carrier’s awareness of enforcement intent on the part of the FMCSA. It could be useful where the violation is immediately correctable. It would notify the carrier of specific regulatory violations, and the motor carrier would then have to provide evidence of corrective action, or successfully challenge the identified safety violations. A notice of violation provides a motor carrier with motivation to change unsafe behavior to avoid a fine.

Notices of Claim

The purpose of the notice of claim is to deter severe or persistent unsafe behavior. It is issued as a formal document and served on the violator to compel compliance. The notice of claim would be triggered by evidence of a severe regulatory violation or history of violations, sufficient to justify assessment of penalties.

Settlement Agreements

The purpose of the settlement agreement is to contractually bind the motor carrier to take actions to improve safety. The motor carrier is given the opportunity to enter into the settlement agreement to avoid fines or suspension of operations. The settlement agreement identifies the consequences to the motor carrier if it does not take the agreed-upon action and return to compliance. The agreement would allow the carrier to avoid significant penalties by committing to major safety improvements, for example, with the understanding that failure to comply with the terms of the settlement agreement would result in the immediate imposition of the maximum penalty that would otherwise have been levied.

Unfit Suspension

An unfit suspension involves placing a motor carrier out of business. Currently, this process is regulated under 49 CFR Part 385, and can only be used after a compliance review. The FMCSA will only be able to declare carriers “unfit” under the CSA program after the Part 385 rules are changed.

Does CSA affect a motor carrier’s safety rating?

• While a goal, it will likely be several years before the CSA program is able to help with changes needed for the FMCSA safety rating process.

One major piece of the original Compliance, Safety, Accountability (CSA) program puzzle is still missing: an update to the Federal Motor Carrier Safety Administration’s (FMCSA’s) Safety Fitness Procedures in 49 CFR Part 385. Those rules contain procedures for the FMCSA to rate motor carriers (i.e., determine the carrier’s “safety fitness”) and take action when those ratings are poor. A carrier that is audited and given an “unsatisfactory” safety rating may be prohibited from operating commercial motor vehicles. The rules governing this process currently state that the FMCSA must first conduct an on-site compliance review before rating a carrier.

With the CSA program, the agency had hoped to be able to rate carriers and drivers every month based on safety data alone (i.e., crash, inspection, and violation history) rather than the standard compliance review. For example, a motor carrier might be rated as unfit if it “fails” two or more Behavior Analysis and Safety Improvement Categories (BASICs). This would allow the agency to rate a larger number of carriers and drivers than is currently possible. To reach that objective, the FMCSA would first have to complete its overhaul of the Safety Measurement System (SMS) and then change the rules in Part 385, which means it will likely be several years before the current safety rating process changes.

How do you calculate the Driver Fitness BASIC Measure?

• The first step in determining a CSA (Compliance, Safety, Accountability) BASIC (Behavior Analysis and Safety Improvement Category) Score is to look at the BASIC Measure formula.
• More recent safety events have a greater capacity to impact a motor carrier's Driver Fitness BASIC Measure.
• The number of inspections (exposure) is factored into the formula.

The Driver Fitness BASIC is calculated as the sum of the severity and time weighted applicable violations divided by the number of time weighted relevant (driver) inspections.

Basic Measure = Total of time and severity weighted applicable violations ÷ Total time weighted relevant inspections

In order to fully understand the formula, the individual components must be defined and explained.

Applicable violation

An applicable violation is any violation recorded in any Driver Inspection (Level 1, 2, 3, or 6) that matches the Fedearl Motor Carrier Safety Regulations (FMCSRs) listed for Driver Fitness BASIC during the past 24 months. The Safety Measurement System (SMS) only uses each violation cite once per inspection in cases of multiple counts of the same violation.

See Driver Fitness BASIC Severity Table

Relevant inspection

A relevant inspection is any Driver Inspection (Level 1, 2, 3, or 6), including those that do not result in a violation in the BASIC.

Severity score

When a violation enters a BASIC in the SMS for scoring, a “value” is assigned to each. The value for each safety-related violation will be determined by its association with crash causation. It is given a severity weight of 1 to 10, and 2 points are added if the event involved being placed out of service. The sum of all violation severity weights from any one inspection for one BASIC is capped at a maximum of 30. The severity weights of violations outside of the BASIC during the same roadside inspection do not count towards the violation cap.

Time weight

After the violations from the roadside inspection are assigned a BASIC based on severity (i.e., likelihood to factor into an accident), all safety events are assigned a time weight. The time weight of an event decreases with time, resulting in more recent events having a greater impact on an entity’s BASIC than events from the more distant past.

Events occurring:

• In the past 6 months are time-weighted at 3;
• In the past 7 to 12 months are given a time weight of 2; and
• More than 12 months ago but within 24 months are time-weighted at 1.

Events older than 24 months are assumed irrelevant and no longer used.

In order to arrive at a violation’s time and severity weighted value, you take the severity score for a BASIC from a specific roadside inspection and multiply it by 1, 2, or 3 based on when it occurred.

Normalization using relevant inspections

The total of the time weighted relevant inspections are used to account for each carrier’s level of exposure when calculating the Driver Fitness BASIC Measure. This number is divided into the total time weighted applicable violations.

For example, suppose a carrier had six relevant inspections in the past six months. You multiply the total relevant inspections for the time period by the time weight (6 inspections x 3 time weight = 18). It had four inspections after six months, but within twelve months. Again, multiply the total relevant inspections for the time period by the time weight (4x2=8). Finally, the carrier had just one relevant inspection older than twelve months, but within the 24 months. You once again multiply the total relevant inspections for the time period by the time weight (1x1=1). You then add the 18, 8, and 1 to arrive at 27 for the total time weighted relevant inspections.

What are the final steps to determine the Driver Fitness BASIC Score?

• Following the BASIC (Behavior Analysis and Safety Improvement Category) Measure calculation, data sufficiency standards are applied to ensure there is enough data.
• After the data sufficiency steps are completed and carriers are compared against their peers, a percentile ranking is assigned.
• The percentile ranking in comparison to the carrier's peers is the Compliance, Safety, Accountability (CSA) Driver Fitness BASIC Score used to determine whether an intervention is necessary.

Once the Driver Fitness BASIC Measure is calculated, the Safety Measurement System (SMS) employs data sufficiency standards to ensure that there are enough inspections to produce meaningful measures of safety for carriers. In instances where the safety performance of a carrier can potentially lead to CSA interventions or a detrimental Safety Fitness Determination, additional data sufficiency tests are employed. These tests ensure that a carrier has a “critical mass” of poor performance data or a pattern of violations before adverse action is taken.

Step 1

For the Driver Fitness BASIC, the first step in data sufficiency requires the Federal Motor Carrier Safety Administration (FMCSA) to remove carriers with:

• Less than five relevant driver inspections, or
• No inspections resulting in at least one violation in that BASIC.

Step 2

Motor carriers are ranked in safety event groups.Grouping motor carriers in safety event groups (i.e., peers) allows the SMS to handle the widely diverse motor carrier population, while ensuring that similarly situated carriers are treated with the same standards.

The following table lists the groups for the Driver Fitness BASIC:

Step 3

Yet another data sufficiency is employed. Carriers that meet both of the following criteria are eliminated:

• No recorded violations in the past 12 months, and
• No violation in the BASIC recorded during the latest relevant inspection.

Step 4

Those carriers that remain after the second data sufficiency step have been assigned a BASIC Score. Carriers with percentiles above a certain set threshold will be identified for potential CSA interventions.

How do you calculate the Controlled Substances and Alcohol BASIC Measure?

• The first step in determining a CSA (Compliance, Safety, Accountability) BASIC (Behavior Analysis and Safety Improvement Category) Score is to look at the BASIC Measure formula.
• More recent safety events have a greater capacity to impact a motor carrier's Controlled Substance and Alcohol BASIC Measure.
• The number of inspections (exposure) is factored into the formula.

The BASIC Measure for the Controlled Substances and Alcohol BASIC is calculated as the sum of the severity and time weighted applicable violations divided by the carrier’s total time weight of relevant inspections.

Basic Measure = Total of time and severity weighted applicable violations ÷ Total time weight of relevant inspections

In order to fully understand the formula, the individual components must be defined and explained.

Applicable violation

An applicable violation is any violation recorded in any Driver Inspection (Level 1, 2, 3, or 6) that matches the Federal Motor Carrier Safety Regulations (FMCSRs) listed for Controlled Substances and Alcohol BASIC during the past 24 months.. The Safety Measurement System (SMS) only uses each violation cite once per inspection in cases of multiple counts of the same violation.

See Controlled Substances and Alcohol BASIC Severity Table

Relevant inspection

A relevant inspection is any Driver Inspection (Level 1, 2, 3, or 6), including those that do not result in a violation in the BASIC.

Severity score

When a BASIC violation is entered into the SMS for scoring, a “value” is assigned to each. The value for each safety-related violation will be determined by its association with crash causation. It is given a severity weight of 1 to 10. The sum of all violation severity weights from any one inspection for one BASIC is capped at a maximum of 30.

Out-of-service (OOS) weights are not assigned for Controlled Substances and Alcohol violations, as most violations in this category already are considered OOS violations.

Time weight

After the violations from the roadside inspection are assigned a value based on severity (i.e., likelihood to factor into an accident), all safety events are assigned a time weight. The time weight of an event decreases with time, resulting in more recent events having a greater impact on an entity’s BASIC than events from the more distant past.

Events occurring:

• In the past 6 months are time-weighted at 3;
• In the past 7 to 12 months are given a time weight of 2; and
• More than 12 months ago but within 24 months are time-weighted at 1.

Events older than 24 months are assumed irrelevant and no longer used.

In order to arrive at a violation’s time and severity weighted value, you take the severity score for a BASIC from a specific roadside inspection and multiply it by 1, 2, or 3 based on when it occurred.

Normalization using relevant inspections

The total of the time weighted relevant inspections are used to account for each carrier’s level of exposure when calculating the Controlled Substances and Alcohol BASIC Measure. This number is divided into the total time weighted applicable violations.

For example, suppose a carrier had six relevant inspections in the past six months. You multiply the total relevant inspections for the time period by the time weight (6 inspections x 3 time weight = 18). It had four inspections after six months, but within twelve months. Again, multiply the total relevant inspections for the time period by the time weight (4x2=8). Finally, the carrier had just one relevant inspection older than twelve months, but within the 24 months. You once again multiply the total relevant inspections for the time period by the time weight (1x1=1). You then add the 18, 8, and 1 to arrive at 27 for the total time weighted relevant inspections.

What are the final steps to determine the Controlled Substances and Alcohol BASIC Score?

• Following the BASIC (Behavior Analysis and Safety Improvement Category) Measure calculation, data sufficiency standards are applied to ensure there is enough data.
• After the data sufficiency steps are completed and carriers are compared against their peers, a percentile ranking is assigned.
• The percentile ranking in comparison to the carrier's peers is the CSA (Compliance, Safety, Accountability) Controlled Substances and Alcohol BASIC Score used to determine whether an intervention is necessary.

Once the Controlled Substances and Alcohol BASIC Measure is calculated, the Safety Measurement System (SMS) employs data sufficiency standards to ensure that there are enough inspections to produce meaningful measures of safety for carriers. In instances where the safety performance of a carrier can potentially lead to CSA interventions or a detrimental Safety Fitness Determination, additional data sufficiency tests are employed. These tests ensure that a carrier has a “critical mass” of poor performance data or a pattern of violations before adverse action is taken.

Step 1

For the Controlled Substances and Alcohol BASIC, the SMS removes carriers with no violations in this BASIC.

Step 2

Motor carriers are ranked in safety event groups. Grouping motor carriers in safety event groups (i.e., peers) allows the SMS to handle the widely diverse motor carrier population, while ensuring that similarly situated carriers are treated with the same standards.

The following table lists the groups for the Controlled Substances and Alcohol BASIC:

Step 3

Yet another data sufficiency is employed. Carriers whose violations are older than 12 months are removed from the pool.

Step 4

Those carriers that remain after the second data sufficiency step have been assigned a BASIC Score. Carriers with percentiles above a certain set threshold will be identified for potential CSA interventions.

How do you calculate the Hours-of-Service Compliance BASIC Measure?

• The first step in determining a CSA BASIC (Behavior Analysis and Safety Improvement Category) Score is to look at the BASIC Measure formula.
• More recent safety events have a greater capacity to impact a motor carrier’s HOS Compliance BASIC Measure.
• The number of inspections (exposure) is factored into the formula.
  

The Hours-of-Service (HOS) Compliance BASIC Measure is calculated as the sum of the severity and time weighted applicable violations divided by the number of time weighted relevant (driver) inspections.

Basic Measure = Total of time and severity weighted applicable violations ÷ Number of time weighted relevant inspections

In order to fully understand the formula, the individual components must be defined and explained.

Applicable violation

An applicable violation is any violation recorded in any Driver Inspection (Level 1, 2, 3, or 6) that matches the FMCSRs listed for HOS Compliance BASIC during the past 24 months. The Safety Measurement System (SMS) only uses each violation cite once per inspection in cases of multiple counts of the same violation.

See Hours-of-Service Compliance BASIC Severity Table

Relevant inspection

A relevant inspection is any Driver Inspection (Level 1, 2, 3, or 6), including those that do not result in a violation in the BASIC.

Severity score

When a violation enters a BASIC in the SMS for scoring, a “value” is assigned to each. The value for each safety-related violation will be determined by its level of crash risk in relationship to other violations in this BASIC. It is given a severity weight of 1 to 10, and 2 points are added if the event involved being placed out of service. The sum of all violation severity weights from any one inspection for one BASIC is capped at a maximum of 30. The severity weights of violations outside of the BASIC during the same roadside inspection do not count towards the violation cap.

Time weight

After the violations from the roadside inspection are assigned a BASIC based on severity (i.e., likelihood to factor into an accident), all safety events are assigned a time weight. The time weight of an event decreases with time, resulting in more recent events having a greater impact on an entity’s BASIC than events from the more distant past.

Events occurring:

• In the past 6 months are time-weighted at 3;
• In the past 7 to 12 months are given a time weight of 2; and
• More than 12 months ago but within 24 months are time-weighted at 1.

Events older than 24 months are assumed irrelevant and no longer used.

In order to arrive at a violation’s time and severity weighted value, you take the severity score for a BASIC from a specific roadside inspection and multiply it by 1, 2, or 3 based on when it occurred.

Normalization using relevant inspections

The total of the time weighted relevant inspections is used to account for each carrier’s level of exposure when calculating the HOS Compliance BASIC Measure. This number is divided into the total time weighted applicable violations.

For example, suppose a carrier had six relevant inspections in the past six months. You multiply the total relevant inspections for the time period by the time weight (6 inspections x 3 time weight = 18). It had four inspections after six months, but within twelve months. Again, multiply the total relevant inspections for the time period by the time weight (4x2=8). Finally, the carrier had just one relevant inspection older than twelve months, but within the 24 months. You once again multiply the total relevant inspections for the time period by the time weight (1x1=1). You then add the 18, 8, and 1 to arrive at 27 for the total time weighted relevant inspections.

What are the final steps to determine the Hours-of-Service Compliance BASIC Score?

• Following the BASIC (Behavior Analysis and Safety Improvement Category) Measure calculation, data sufficiency standards are applied to ensure there is enough data.
• After the data sufficiency steps are completed and carriers are compared against their peers, a percentile ranking is assigned.
• The percentile ranking in comparison to the carrier's peers is the CSA (Compliance, Safety, Accountability) Hours-of-Service (HOS) Compliance BASIC Score used to determine whether an intervention is necessary.

Once the HOS Compliance BASIC Measure is calculated, the Safety Measurement System (SMS) employs data sufficiency standards to ensure that there are enough inspections to produce meaningful measures of safety for carriers. In instances where the safety performance of a carrier can potentially lead to CSA interventions or a detrimental Safety Fitness Determination, additional data sufficiency tests are employed. These tests ensure that a carrier has a “critical mass” of poor performance data or a pattern of violations before adverse action is taken.

Step 1

For the HOS Compliance BASIC, the first step in data sufficiency requires the Federal Motor Carrier Safety Administration (FMCSA) to remove carriers with:

• Less than three relevant driver inspections, or
• No inspections resulting in at least one violation in the BASIC.

Step 2

Motor carriers are ranked in safety event groups. Grouping motor carriers in safety event groups (i.e., peers) allows the SMS to handle the widely diverse motor carrier population, while ensuring that similarly situated carriers are treated with the same standards.

The following table lists the groups for the HOS Compliance BASIC:

Step 3

Yet another data sufficiency is employed. Carriers that meet both of the following criteria are eliminated:

• No recorded violations in the past 12 months, and
• No violation in the BASIC recorded during the latest relevant inspection.

Step 4

Those carriers that remain after the second data sufficiency step have been assigned a BASIC Score. Carriers with percentiles above a certain set threshold will be identified for potential CSA interventions.

How do you calculate the Unsafe Driving BASIC Measure?

• The first step in determining a CSA (Compliance, Safety, Accountability) BASIC Behavior Analysis and Safety Improvement Category) Score is to look at the BASIC Measure formula.

The Unsafe Driving BASIC Measure is calculated as the sum of the severity and time weighted applicable violations divided by average Power Units (PUs) times the utilization factor.

Basic Measure = Total of time and severity weighted applicable violations ∕ Average PUs x Utilization Factor

In order to fully understand the formula, the individual components must be defined and explained.

Applicable violation

Applicable violation is defined as any violation recorded in any Driver Inspection (Level 1, 2, 3, or 6) that matches the Federal Motor Carrier Safety Regulations (FMCSRs ) and Hazardous Materials Regulations (HMR) citations listed for Unsafe Driving during the past 24 months.

In cases of multiple counts of the same violation, the the Safety Measurement System (SMS) only uses each violation cite once per inspection. (Note: Some roadside inspections are performed following a traffic enforcement stop for a moving violation. Violations reported during such stops do not always result in the issuance of a citation/ticket to the driver, but are used in the SMS whether or not a citation/ticket is issued.)

See Unsafe Driving BASIC Severity Table

Relevant inspection

The Unsafe Driving BASIC does not use this term since other data elements (power units (PUs), vehicle miles traveled (VMT)) are used as the normalizer in the CSA Methodology.

Severity score

When BASIC violations are entered into the CSMS for scoring, a “value” is assigned to each. The value for each safety-related violation will be determined by its association with crash causation. It is given a severity weight of 1 to 10. The sum of all violation severity weights from any one inspection for one BASIC is capped at a maximum of 30. The severity weights of violations outside of the BASIC during the same roadside inspection do not count towards the violation cap.

Normalization using PUs/VMT

Carriers are normalized using a Utilization Factor that uses the average PUs and VMT based on the Motor Carrier’s Census Data.

Average PUs is used to account for each carrier’s level of exposure. The number of commercial motor vehicles includes the number of owned, term-leased, and trip-leased power units (trucks, tractors, hazardous-material tank trucks, motor coaches, and school buses) contained in the Census Data.

The primary sources of PU information in the Census are Forms MCS-150 and MCS-151. Carriers are required to update their MCS-150 information biennially. The average PUs for each carrier is calculated using:

1. The carrier’s current number of PUs,
2. The number of PUs the carrier had in the middle of the first time period (i.e., 18 months ago), and
3. Rhe number of PUs the carrier had in the middle of the second time period (i.e., 6 months ago).

Average PU = PU current + PU 6 months ago + PU 18 months ago ÷ 3

The Utilization Factor is calculated in three steps:

1. Find out your carrier’s segment based on your MCS-150 and enforcement's MCS-151 (completed as a part of an investigation).
   1. Combo. This includes combination trucks and/or motorcoaches constituting 70 percent or more of your power units, or
   2. Straight. Straight trucks or other vehicles constituting more than 30 percent of your power units.
2. Calculate VMT per average PU. Look at your VMT based on your MCS-150 Census Data. Divide VMT data by average PUs.
3. Using the information in steps 1 and 2, use the following tables to calculate your utilization factor.

What are the final steps to determine the Unsafe Driving BASIC Score?

• Following the BASIC (Behavior Analysis and Safety Improvement Category) Measure calculation, data sufficiency standards are applied to ensure there is enough data.
• After the data sufficiency steps are completed and carriers are compared against their peers, a percentile ranking is assigned.
• The percentile ranking in comparison to the carrier's peers is the CSA (Compliance, Safety, Accountability) Unsafe Driving BASIC Score used to determine whether an intervention is necessary.

Once the Unsafe Driving BASIC Measure is calculated, the Safety Measurement System (SMS) employs data sufficiency standards to ensure that there are enough inspections to produce meaningful measures of safety for carriers. In instances where the safety performance of a carrier can potentially lead to CSA interventions or a detrimental Safety Fitness Determination, additional data sufficiency tests are employed. These tests ensure that a carrier has a “critical mass” of poor performance data or a pattern of violations before adverse action is taken.

Step 1

All carriers with less than three inspections involving a violation of the Unsafe Driving BASIC are removed from the carrier list. The remaining carriers are placed into one of five safety event group categories.

Grouping motor carriers in safety event groups (i.e., peers) allows the SMS to handle the widely diverse motor carrier population, while ensuring that similarly situated carriers are treated with the same standards.

Based on carrier segment (combo or straight), the table below places carriers in groupings based on the number of inspections involving a violation of the Unsafe Driving BASIC.

Within each group above, the SMS ranks all the carriers’ BASIC Measures in ascending order. Percentile ranking allows the safety behavior of an entity to be compared with the safety behavior of its peers. Within each peer group, a percentile is computed on a 0-100 scale with 100 indicating the worst performance.

Step 2

Yet another data sufficiency is employed. Carriers whose violations are older than 12 months are removed from the pool, while the carriers that remain keep their previously assigned percentile ranking.

Step 3

Those carriers that remain after the second data sufficiency step will keep their assigned percentile ranking. This is their Unsafe Driving BASIC Score. Carriers with percentiles above a certain set threshold will be identified for potential CSA interventions.

How do you calculate the Vehicle Maintenance BASIC Measure?

• The first step in determining a CSA BASIC (Behavior Analysis and Safety Improvement Category) Score is to look at the BASIC Measure formula.
• More recent safety events have a greater capacity to impact a motor carrier's the Vehicle Maintenance Compliance BASIC Measure.
• The number of inspections (exposure) is factored into the formula.

The BASIC Measure for the Vehicle Maintenance BASIC is calculated as the sum of the severity and time weighted applicable violations divided by the number of time weighted relevant inspections.

Basic Measure = Total of time and severity weighted applicable violations ÷ Total time weighted relevant inspections

In order to fully understand the formula, the individual components must be defined and explained.

Applicable violation

An applicable violation is any violation recorded in any Vehicle Inspection (Level 1, 2, 5, or 6) that matches the Federal Motor Carrier Safety Regulations (FMCSRs) listed for Vehicle Maintenance BASIC during the past 24 months. The Safety Measurement System (SMS) only uses each violation cite once per inspection in cases of multiple counts of the same violation.

See Vehicle Maintenance BASIC Severity Table

Relevant inspection

A relevant inspection is any Vehicle Inspection (Level 1, 2, 5, or 6), including those that do not result in a violation in the BASIC.

Severity score

When a violation enters a BASIC in the SMS for scoring, a “value” is assigned to each. The value for each safety-related violation will be determined by its association with crash causation. It is given a severity weight of 1 to 10, and 2 points are added if the event involved being placed out of service. The sum of all violation severity weights from any one inspection for one BASIC is capped at a maximum of 30.

Time weight

After the violations from the roadside inspection are assigned a BASIC based on severity (i.e., likelihood to factor into an accident), all safety events are assigned a time weight. The time weight of an event decreases with time, resulting in more recent events having a greater impact on an entity’s BASIC than events from the more distant past.

Events occurring:

• In the past 6 months are time-weighted at 3;
• In the past 7 to 12 months are given a time weight of 2; and
• More than 12 months ago but within 24 months are time-weighted at 1.

Events older than 24 months are assumed irrelevant and no longer used.

In order to arrive at a violation’s time and severity weighted value, you take the severity score for a BASIC from a specific roadside inspection and multiply it by 1, 2, or 3 based on when it occurred.

Normalization using relevant inspections

The total of the time weighted relevant inspections is used to account for each carrier’s level of exposure when calculating the Vehicle Maintenance BASIC Measure. This number is divided into the total time weighted applicable violations.

For example, suppose a carrier had six relevant inspections in the past six months. You multiply the total relevant inspections for the time period by the time weight (6 inspections x 3 time weight = 18). It had four inspections after six months, but within twelve months. Again, multiply the total relevant inspections for the time period by the time weight (4x2=8). Finally, the carrier had just one relevant inspection older than twelve months, but within the 24 months. You once again multiply the total relevant inspections for the time period by the time weight (1x1=1). You then add the 18, 8, and 1 to arrive at 27 for the total time weighted relevant inspections.

What are the final steps to determine the Vehicle Maintenance BASIC Score?

• Following the BASIC (Behavior Analysis and Safety Improvement Category) Measure calculation, data sufficiency standards are applied to ensure there is enough data.
• After the data sufficiency steps are completed and carriers are compared against their peers, a percentile ranking is assigned.
• The percentile ranking in comparison to the carrier's peers is the CSA (Compliance, Safety, Accountability) Vehicle Maintenance BASIC Score used to determine whether an intervention is necessary.

Once the Vehicle Maintenance Measure is calculated, the Safety Measurement System (SMS) employs data sufficiency standards to ensure that there are enough inspections to produce meaningful measures of safety for carriers. In instances where the safety performance of a carrier can potentially lead to CSA interventions or a detrimental Safety Fitness Determination, additional data sufficiency tests are employed. These tests ensure that a carrier has a “critical mass” of poor performance data or a pattern of violations before adverse action is taken.

Step 1

For the Vehicle Maintenance BASIC, the Fedearl Motor Carrier Safety Administration (FMCSA) removes carriers with:

• Less than five relevant inspections, or
• No inspections resulting in at least one violation in the BASIC.

Step 2

Motor carriers are ranked in safety event groups. Grouping motor carriers in safety event groups (i.e., peers) allows the SMS to handle the widely diverse motor carrier population, while ensuring that similarly situated carriers are treated with the same standards.

The following table lists the peer groups for the Vehicle Maintenance BASIC:

Within each group above, the SMS ranks all the carriers’ BASIC Measures in ascending order. Percentile ranking allows the safety behavior of an entity to be compared with the safety behavior of its peers. Within each peer group, a percentile is computed on a 0-100 scale for each entity that receives a non-zero measure, with 100 indicating the worst performance.

For the remaining carriers with five or more relevant inspections resulting in a BASIC, they are assigned a percentile ranking. The carrier’s percentile ranking is their BASIC Score.

Step 3

Yet another data sufficiency is employed. Carriers that meet both of the following criteria are eliminated:

• Violations in the BASIC are older than twelve months, and
• No violation in the BASIC was recorded during the latest relevant inspection.

Step 4

Those carriers that remain after the second data sufficiency step have been assigned a BASIC Score. Carriers with percentiles above a certain set threshold will be identified for potential CSA interventions.

How do you calculate the Hazardous Materials (HM) Compliance BASIC Measure?

• The first step in determining a CSA BASIC (Behavior Analysis and Safety Improvement Category) Score is to look at the BASIC Measure formula.
• More recent safety events have a greater capacity to impact a motor carrier's Hazmat Compliance BASIC Measure.
• The number of inspections (exposure) is factored into the formula.

The BASIC Measure for the HM Compliance BASIC is calculated as the sum of the severity and time weighted applicable violations divided by the number of time weighted relevant inspections.

Basic Measure = Total of time and severity weighted applicable violations ÷ Total time weighted relevant inspections

In order to fully understand the formula, the individual components must be defined and explained.

Applicable violation

An applicable violation is any violation recorded in any Vehicle Inspection (Level 1, 2, 5, or 6) where placardable quantities of HM are being transported, that matches the Federal Motor Carrier Safety Regulations (FMCSRs) and Hazardous Materials Regulations (HMR) listed for HM Compliance BASIC during the past 24 months. The Safety Measurement System (SMS) only uses each violation cite once per inspection in cases of multiple counts of the same violation.

See HM Compliance BASIC Severity Table

Relevant inspection

A relevant inspection is any Vehicle Inspection (Level 1, 2, 5, or 6), where placardable quantities of HM are being transported, including those that do not result in a violation in the BASIC.

Severity score

When a violation enters a BASIC in the SMS for scoring, a “value” is assigned to each. The value for each safety-related violation will be determined by its association with crash causation. It is given a severity weight of 1 to 10, and 2 points are added if the event involved being placed out of service. The sum of all violation severity weights from any one inspection for one BASIC is capped at a maximum of 30.

Time weight

After the violations from the roadside inspection are assigned a BASIC based on severity (i.e., likelihood to factor into an accident), all safety events are assigned a time weight. The time weight of an event decreases with time, resulting in more recent events having a greater impact on an entity’s BASIC than events from the more distant past.

Events occurring:

• In the past 6 months are time-weighted at 3;
• In the past 7 to 12 months are given a time weight of 2; and
• More than 12 months ago but within 24 months are time-weighted at 1.

Events older than 24 months are assumed irrelevant and no longer used.

In order to arrive at a violation’s time and severity weighted value, you take the severity score for a BASIC from a specific roadside inspection and multiply it by 1, 2, or 3 based on when it occurred.

Normalization using relevant inspections

The total of the time weighted relevant inspections is used to account for each carrier’s level of exposure when calculating the HM Compliance BASIC Measure. This number is divided into the total time weighted applicable violations.

For example, suppose a carrier had six relevant inspections in the past six months. You multiply the total relevant inspections for the time period by the time weight (6 inspections x 3 time weight = 18). It had four inspections after six months, but within twelve months. Again, multiply the total relevant inspections for the time period by the time weight (4x2=8). Finally, the carrier had just one relevant inspection older than twelve months, but within the 24 months. You once again multiply the total relevant inspections for the time period by the time weight (1x1=1). You then add the 18, 8, and 1 to arrive at 27 for the total time weighted relevant inspections.

What are the final steps to determine the Hazardous Materials (HM) Compliance BASIC Score?

• Following the BASIC (Behavior Analysis and Safety Improvement Category) Measure calculation, data sufficiency standards are applied to ensure there is enough data.
• After the data sufficiency steps are completed and carriers are compared against their peers, a percentile ranking is assigned.
• The percentile ranking in comparison to the carrier's peers is the CSA (Compliance, Safety, Accountability) Hazmat Compliance (HM) BASIC Score used to determine whether an intervention is necessary.

Once the HM Compliance Measure is calculated, the Safety Measurement System (SMS) employs data sufficiency standards to ensure that there are enough inspections to produce meaningful measures of safety for carriers. In instances where the safety performance of a carrier can potentially lead to CSA interventions or a detrimental Safety Fitness Determination, additional data sufficiency tests are employed. These tests ensure that a carrier has a “critical mass” of poor performance data or a pattern of violations before adverse action is taken.

Step 1

For the HM Compliance BASIC, the Federal Motor Carrier Safety Administration (FMCSA) removes carriers with:

• Less than five relevant inspections, or
• No inspections resulting in at least one violation in the BASIC.

Step 2

Motor carriersd are ranked in safety event groups. Grouping motor carriers in safety event groups (i.e., peers) allows the SMS to handle the widely diverse motor carrier population, while ensuring that similarly situated carriers are treated with the same standards.

The following table lists the peer groups for the HM Compliance BASIC:

Step 3

Yet another data sufficiency is employed. Carriers that meet both of the following criteria are eliminated:

• Violations in the BASIC are older than twelve months, and
• No violation in the BASIC was recorded during the latest relevant inspection.

Step 4

Those carriers that remain after the second data sufficiency step have been assigned a BASIC Score. Carriers with percentiles above a certain set threshold will be identified for potential CSA interventions.

How do you calculate the Crash Indicator BASIC Measure?

The Crash Indicator BASIC (Behavior Analysis and Safety Improvement Category) Measure is calculated as the sum of the severity and time weighted applicable crashes divided by the average number of PUs times the Utilization Factor.

Crash Indicator Measure = Total of time and severity weighted applicable crashes ÷ Average PUs x Utilization Factor

In order to fully understand the formula, the individual components must be defined and explained.

Severity weight

More emphasis is placed on crashes with more severe consequences. For example, a crash involving an injury or fatality is weighted more heavily than a crash where only a tow-away occurred. A hazmat release also increases the weighting of a crash. The table below illustrates this:

Time weight

All crashes are assigned a time weight of 1, 2, or 3. The time weight of an event decreases with time, resulting in more recent events having a greater impact on an entity’s BASIC Score than events from the more distant past.

Accidents recorded:

• In the past 6 months are time-weighted at 3;
• Over six months and up to 12 months are time-weight at 2; and
• More than 12 months ago but within 24 months are time-weighted at 1.

Events older than 24 months are assumed irrelevant and no longer used.

Normalization using PUs/VMT

Carriers are normalized using a Utilization Factor that uses the average Power Units (PUs) and Vehicle Miles Traveled (VMT) based on the Motor Carrier’s Census Data.

Average PUs is used to account for each carrier’s level of exposure. The number of commercial motor vehicles includes the number of owned, term-leased, and trip-leased power units (trucks, tractors, hazardous-material tank trucks, motor coaches, and school buses) contained in the Census Data.

The primary sources of power unit information in the Census are Forms MCS-150 and MCS-151. Carriers are required to update their MCS-150 information biennially. The average PUs for each carrier is calculated using:

1. The carrier’s current number of PUs,
2. The number of PUs the carrier had in the middle of the first time period (i.e., 18 months ago), and
3. The number of PUs the carrier had in the middle of the second time period (i.e., 6 months ago).

Average PU = PU current + PU 6 months ago + PU 18 months ago ÷ 3

The Utilization Factor is calculated in three steps:

1. Find out your carrier’s segment based on your MCS-150 and enforcement's MCS-151 (completed as a part of an investigation).
   1. Combo. This includes combination trucks and/or motorcoaches constituting 70 percent or more of your power units, or
   2. Straight. Straight trucks or other vehicles constituting more than 30 percent of your power units.
2. Calculate VMT per average PU. Look at your VMT based on your MCS-150 Census Data. Divide VMT data by average PUs.
3. Using the information in steps 1 and 2, use the following tables to calculate your utilization factor.

What are the final steps to determine the Crash Indicator BASIC Score?

• Following the BASIC (Behavior Analysis and Safety Improvement Category) Measure calculation, data sufficiency standards are applied to ensure there is enough data.
• After the data sufficiency steps are completed and carriers are compared against their peers, a percentile ranking is assigned.
• The percentile ranking in comparison to the carrier's peers is the Crash Indicator BASIC Score used to determine whether an intervention is necessary.

Based on the Crash Indicator BASIC Measure, the Safety Measurement Sysdtem (SMS) applies data sufficiency standards and safety event groups. These tests ensure that a carrier has a “critical mass” of poor performance data before adverse action is taken.

Step 1

If the carrier does not have two or more crashes, it is eliminated from the process. Carriers with two or more accidents are placed in one of ten safety event groups.

Step 2

Motor carriers are ranked in safety event group. Grouping motor carriers in safety event groups (i.e., peers) allows the SMS to handle the widely diverse motor carrier population, while ensuring that similarly situated carriers are treated with the same standards.

Carriers are placed in the appropriate safety event group based on the segment and number of crashes.

Within each group above, the SMS ranks all the carriers’ BASIC Measures in ascending order. Percentile ranking allows the safety behavior of an entity to be compared with the safety behavior of its peers. Within each peer group, a percentile is computed on a 0-100 scale with 100 indicating the worst performance.

Step 3

To further apply data sufficiency, carriers that did not have a crash recorded in the past twelve months are removed and the remaining retain the previously assigned percentile.

Step 4

Those carriers that remain after the second data sufficiency step will keep their assigned a percentile ranking, which is their Crash Indicator BASIC Score. Carriers with percentiles above a certain set threshold will be identified for potential CSA interventions.

DataQs

• Motor carriers can file concerns about federal and state data released to the public by the FMCSA using the DataQs system.
• From there, concerns are forwarded to the appropriate state office for resolution.
• The state’s resolution on challenged data is final.

The DataQs system is an electronic means for filing concerns about federal and state data released to the public by the Federal Motor Carrier Safety Administration (FMCSA) on the Carrier Safety Measurement System (CSMS).

All users are required to register with the DataQs system. However, before registering for DataQs, users must have an account with Login.gov. Login.gov uses identity verification and two-factor authentication to keep federal databases secure. If registrants do not already have a Login.gov account, they must complete the process to create one. A Login.gov account is also necessary for access to an FMCSA Portal account.

To register and create a DataQs account, individuals must select their role under the Create an Account tab on the DataQs homepage. Roles include motor carrier/owner-operator, driver, FMCSA & State Partner, or Public/Industry. Once the role has been designated, users must follow the instructions on the following screens.

Driver and Public/Industry will be taken to the DataQs Registration screen.

Motor Carriers and FMCSA/State Users will be taken to the FMCSA Portal to register or login, and access DataQs for the first time.

For access to DataQs through the FMCSA Portal, individuals must request the role from their profile area. Steps include:

1. Log in to the Portal
2. Click Account Management in the top navigation and select My Profile
3. Click Portal Roles/USDOT# tab
4. On this tab:
   • Select a DOT number from the list on the left
   • Select DataQs Secure Access from the available roles box
   • Click Add Roles button
   • Type in a reason for requesting the role
   • Click Update Profile
5. Wait for the company official to approve the request. If the one registering is the company official, log out and back into the Portal to see the DataQs link under Available FMCSA Systems.

Once an account is created, data concerns can be filed with the FMCSA and automatically forwarded to the appropriate state office for resolution. The system also allows filers to monitor the status of each filing. Any challenges to data provided by state agencies must be resolved by the appropriate state agency.

When initially challenging the data, motor carriers should be prepared to prove their case and upload documents right away rather than wait for the state to respond through DataQs by asking for proof. For example, if the truck and driver on a report are not the company’s, and it appears to be an owner-operator still using the company’s DOT number, the carrier may want to explain the circumstances and upload a copy of the lease termination as proof. In other cases that the truck is not owned by the company, it will also be asked to prove it. Consider attaching a copy of the company’s list of vehicle plate numbers or unit numbers.

Once a state office decides on the validity of a challenge, FMCSA considers that decision as the final resolution of the challenge. The case is closed. FMCSA cannot change state records without state consent.

Adjudicated citations

• With adequate documentation, drivers and/or carriers can have a dismissed roadside inspection violation removed from the CSA program database.

Motor carriers and drivers can request the removal of dismissed roadside violations from the Compliance, Safety, Accountability (CSA) program database. For any violation received during a roadside inspection, if the driver is found “not guilty” or the violation is dismissed without a fine or punitive court costs, the Federal Motor Carrier Safety Administration (FMCSA) will remove the violation from the CSA scoring system if the driver or carrier submits a successful DataQs challenge. Violations for which drivers are convicted on a lesser charge will not be removed from the CSA program database, but will have a note attached indicating “resulted in conviction of a different charge” and the severity will be reduced to 1.

To have a dismissed violation removed, drivers and/or carriers will need to submit adequate documentation, which can include scanned copies of certified documentation from the appropriate court or administrative body or a direct web link to the judgment results on an official court or agency website.

Crash Preventability Determination Program

• Motor carriers and drivers can use the DataQs system to argue that a crash was not preventable.
• A crash is eligible to be listed as non-preventable if it matches one of the scenarios on FMCSA’s list.
• DataQs decisions may change the public display on the SMS website.

Motor carriers and drivers can challenge the preventability of certain crashes to have the event removed from Safety Measurement System (SMS) calculations.

The Federal Motor Carrier Safety Administration’s (FMCSA’s) Crash Preventability Determination Program has identified several crash types as non-preventable. Commercial motor vehicle crashes meeting the criteria.

Motor carriers and drivers must use the online DataQs system to argue that the crash was not preventable.

Qualifying crashes

The FMCSA has provided a list of scenarios that are defined as non-preventable.

The list of accepted crash types is as follows:

1. CMV was struck in the rear by a motorist.
2. CMV was struck on the side at the rear by a motorist.
3. CMV was struck while legally stopped at a traffic control device or parked, including while the vehicle was unattended.
4. CMV was struck because another motorist was driving in the wrong direction.
5. CMV was struck because another motorist was making a U-turn or illegal turn.
6. CMV was struck because another motorist did not stop or slow in traffic.
7. CMV was struck because another motorist failed to stop at a traffic control device.
8. CMV was struck because another individual was under the influence (or related violation, such as operating while intoxicated), according to the legal standard of the jurisdiction where the crash occurred.
9. CMV was struck because another motorist experienced a medical issue which contributed to the crash.
10. CMV was struck because another motorist fell asleep.
11. CMV was struck because another motorist was distracted (e.g., cellphone, GPS, passengers, other).
12. CMV was struck by cargo or equipment from another vehicle, or debris (e.g., fallen rock, fallen trees, unidentifiable items in the road).
13. CMV crash was a result of an infrastructure failure.
14. CMV struck an animal.
15. CMV crash involving a suicide death or suicide attempt.
16. CMV was struck on the side by a motorist operating in the same direction as CMV.*
17. CMV was struck because another motorist was entering the roadway from a private driveway or parking lot.*
18. CMV was struck because another motorist lost control of the vehicle.*
19. CMV was involved in a crash with a non-motorist.
20. CMV was involved in a crash type that seldom occurs and does not meet another eligible crash type (e.g., being struck by an airplane, skydiver, or a deceased driver in another vehicle).
21. Any other type of crash, not listed above, where a CMV was involved and a video demonstrates the sequence of events of the crash.*

*To be eligible for review, crashes falling into these four categories must have occurred on or after December 1, 2024.

No crashes occurring more than five years ago are eligible for review, no matter the type.

Individuals submitting Requests for Data Review (RDRs) through DataQs for eligible crashes should include supporting documents, photos, or videos to support claims. If a submitter receives a determination that the crash was preventable or undecided, or if the RDR is closed for failure to submit additional requested documents, the RDR may be re-opened once. FMCSA will make a determination within 60 days of the submission.

DataQs decisions

If a crash is deemed non-preventable, the FMCSA will:

• Continue to list the “not preventable” crash on the public SMS website. However, the crash will appear in a separate table from all other crashes titled “Reviewed - Not Preventable Crashes.”
• Remove the crash from the carrier's "crash indicator" score in the SMS, reducing the chance the carrier will be targeted with enforcement action.
• Add a note to the Pre-Employment Screening Program (PSP) to indicate that the crash was not preventable, reducing the odds that the driver involved would not be hired due to the person’s crash history.

If FMCSA decides a crash was preventable, the public display of the SMS will include a notation that reads, “Reviewed - Preventable: FMCSA reviewed this crash and determined that is was Preventable.” These crashes will be included in the Crash Indicator Behavior Analysis and Safety Improvement Category (BASIC). Preventable crashes include those with evidence that the driver and/or carrier was legally prohibited from operating the vehicle at the time of the crash.

See Accident Investigation