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ez Explanations

Red-flag violations and acute/critical violations

RegSenseFederal Motor Carrier Safety Administration (FMCSA), DOTHazmat: HighwayCargo loading and securementEnforcement - DOTRoadside InspectionsezExplanationCell phones and texting - Motor CarrierElectronic logging device (ELD)Electronic logging device (ELD)Fines and penalties - Motor CarrierCMV drivingTransportationPassenger vehiclesHours of ServiceHours of ServiceViolations - HazmatDriver qualificationsDriver's record of duty statusPassenger carriersBusiness planning - Motor CarrierHazmatEnglishCommercial drivers license CDLBusiness planning - Motor CarrierPhysical exam - Motor CarrierFleet SafetyCompliance, Safety, Accountability CSACabotage - point to point transportationCompliance, Safety, Accountability CSABest ResultsHazmat Enforcement

When a motor carrier is audited by the Federal Motor Carrier Safety Administration (FMCSA), the investigator will look for certain acute and critical and “red flag” violations. If such violations are found, they could lead to some type of enforcement action under the FMCSA’s Compliance, Safety, Accountability (CSA). The violations are taken into consideration when assessing the Behavior Analysis and Safety Improvement Categories (BASICs).

Scope

All motor carriers are subject to enforcement action for committing what the Federal Motor Carrier Safety Administration (FMCSA) deems red-flag, acute, and critical violations.

Regulatory citations

Key definitions

  • Acute and critical violations: Violations committed by motor carriers.
  • Red flag violations: Violations committed by individual drivers.

Summary of requirements

Red-flag violations. During the course of a motor carrier investigation, the safety investigator will look at driver histories for egregious violations of the Federal Motor Carrier Safety Regulations. These violations are sometimes referred to as “red-flag violations” and are always investigated as part of a carrier investigation. If a red-flag violation is found, the investigator will look to see if the violation has been corrected. Any driver violations identified and addressed during carrier investigations that are not corrected may result in a Notice of Violation or Notice of Claim against the individual driver.

The following are the current red-flag violations, along with the Behavior Analysis and Safety Improvement Categories (BASICs) to which they correspond:

BASICSectionViolation Description
Driver Fitness383.21Operating a commercial motor vehicle (CMV) with more than one driver’s license.
Driver Fitness383.23(a)(2)Operating a CMV without a valid commercial driver’s license (CDL).
Driver Fitness383.51(a)Driving a CMV (CDL) while disqualified.
Driver Fitness383.51A-SINDriving a CMV while CDL is suspended for a safety-related or unknown reason and in the state of driver’s license issuance.
Driver Fitness383.51A-SOUTDriving a CMV while CDL is suspended for safety-related or unknown reason and outside the driver’s license state of issuance.
Driver Fitness 383.91(a)Operating a CMV with improper CDL group.
Driver Fitness391.11Unqualified driver.
Driver Fitness391.11(b)(5)Driver lacking valid license for type of vehicle being operated.
Driver Fitness391.11(b)(7)Driver disqualified from operating CMV.
Driver Fitness391.15(a)Driving a CMV while disqualified.
Driver Fitness391.15A-SINDriving a CMV while disqualified. Suspended for safety-related or unknown reason and in the state of driver’s license issuance.
Driver Fitness391.15A-SOUTDriving a CMV while disqualified. Suspended for a safety-related or unknown reason and outside the driver’s license state of issuance.
Controlled Substances/Alcohol392.4(a)Driver uses or is in possession of drugs.
Controlled Substances/Alcohol392.5(a)Possession/use/under influence of alcohol less than 4 hours prior to duty.
HOS Compliance395.13(d)Driving after being declared out-of-service (OOS).
Vehicle Maintenance396.9(c)(2)Operating an OOS vehicle.

Acute/critical violations in the SMS. Safety Measurement System (SMS) assessments in each BASIC consider both percentiles and acute and critical violations related to that BASIC. If a carrier is found with one or more acute and/or critical violations within the past 12 months during an investigation, the carrier will receive an alert symbol in the corresponding BASIC. This symbol denotes that the carrier may be prioritized for interventions or further monitoring. The details of the violation will be displayed on the SMS Website in the carrier’s investigation results related to that BASIC.

Acute and critical violations are recorded during Onsite and Offsite Investigations. These violations are defined in the current Safety Fitness Procedures ().

  • An acute violation, also known as a one-time occurrence violation, is triggered by noncompliance discovered during an investigation that is so severe that immediate corrective action is required. Examples of acute violations are using a disqualified driver and using a driver known to have tested positive for a controlled substance.
  • A critical violation, also known as a pattern of occurrence violation, is triggered by a pattern of noncompliance related to the carrier’s management or operational controls that is found during an investigation. A carrier must meet the following criteria for a critical violation to affect the BASIC prioritization status:
    • Violations are discovered in at least 10 percent of the carrier’s records checked during an investigation; and
    • Out of these records, a pattern of violations (i.e., more than one occurrence) is found.

Examples of critical violations are false reports of record of duty status and failing to maintain a driver qualification file on each driver employed.

A complete list of acute and critical violations can be found in 49 CFR 385 Appendix B.

['Driver qualifications', 'Commercial drivers license CDL', 'Hazmat', 'CMV driving', 'Physical exam - Motor Carrier', 'Hours of Service', 'Electronic logging device (ELD)', 'Cargo loading and securement', 'Passenger carriers', 'Enforcement - DOT', 'Business planning - Motor Carrier', 'Compliance, Safety, Accountability CSA', 'Hazmat: Highway']
['Passenger vehicles', "Driver's record of duty status", 'Cell phones and texting - Motor Carrier', 'Electronic logging device (ELD)', 'Hours of Service', 'Compliance, Safety, Accountability CSA', 'Violations - Hazmat', 'Roadside Inspections', 'Fines and penalties - Motor Carrier', 'Cabotage - point to point transportation', 'Hazmat Enforcement', 'Business planning - Motor Carrier']
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