CSA SMS Methodology includes new violations to trigger alert status

Aligns violations with acute and critical list used during an audit

Posted December 19, 2016

The Federal Motor Carrier Safety Administration (FMCSA) updated its Compliance, Safety, Accountability (CSA) Safety Measurement System (SMS) Methodology list of acute and critical violations. The acute and critical violations are those found during a motor carrier’s investigation that result in an alert status in the SMS system. This alert status is the same symbol (triangle with an exclamation point) when a BASIC (Behavior Analysis and Safety Improvement Category) exceeds a predetermined threshold.

The list was updated to reflect violations currently appearing “Appendix B to Part 385—Explanation of safety rating process.” Below are the additions to the SMS Methodology list:

Violation

Violation Description

BASIC

Violation Type

395.8(a)(1)

Failing to require a driver to prepare a record of duty status using appropriate method

HOS Compliance

Critical Violation

395.8(a)(2)(ii)

Failure to require a driver to submit record of duty status in a timely manner

HOS Compliance

Critical Violation

395.8(e)(1)

Making, or permitting a driver to make, a false report regarding duty status

HOS Compliance

Critical Violation

395.8(e)(2)

Disabling, deactivating, disengaging, jamming, or otherwise blocking or degrading a signal transmission or reception; tampering with an automatic on-board recording device or ELD; or permitting or requiring another person to engage in such activity

HOS Compliance

Acute Violation

395.11(b)

Failing to require a driver to submit supporting documents

HOS Compliance

Critical Violation

395.11(c)

Failing to retain types of supporting documents as required by §395.11(c)

HOS Compliance

Critical Violation

395.11(e)

Failing to retain supporting documents in a manner that permits the effective matching of the documents to the driver's record of duty status

HOS Compliance

Critical Violation

395.11(f)

Altering, defacing, destroying, mutilating, or obscuring a supporting document

HOS Compliance

Critical Violation

395.30(f)

Failing to retain ELD information

HOS Compliance

Acute Violation

396.11(a)(3)

Failing to correct Out-of-Service defects listed by driver in a driver vehicle inspection report before the vehicle is operated again

Vehicle Maintenance

Acute Violation


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