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  • Show All What is the Motor Carrier Safety Measurement System (SMS)?

    • What is the Motor Carrier Safety Measurement System (SMS)?

      The Federal Motor Carrier Safety Administration's (FMCSA) Safety Measurement System (SMS) is an automated system that quantifies motor carrier on road safety performance by Behavioral Analysis and Safety Improvement Categories (BASICs). FMCSA uses the SMS results and serious violations in these BASICs to prioritize its enforcement resources. Carriers with relatively high on-road violation or crash rates that exceed a CSA intervention threshold, noted by a symbol on the SMS website, will be identified and prioritized for interventions such as warning letters and investigations. FMCSA will monitor these motor carriers’ safety performances for improvement.

      The SMS results displayed on the SMS website are not intended to imply any federal safety rating of the carrier pursuant to 49 USC 31144. Readers should not draw conclusions about a carrier's overall safety condition simply based on the data displayed in this system. Unless a motor carrier in the SMS has received an UNSATISFACTORY safety rating pursuant to 49 CFR Part 385, or has otherwise been ordered to discontinue operations by the FMCSA, it is authorized to operate on the nation's roadways.

      FMCSA highly recommends that all motor carriers periodically review the SMS and, when necessary, initiate a data correction request through DataQs, an electronic data correcting system. The DataQs system is available online at http://dataqs.fmcsa.dot.gov.

    • How is SMS used?

      The Federal Motor Carrier Safety Administration uses the Safety Measurement System (SMS) to:

      • Identify motor carriers for interventions, such as warning letters, investigations, or roadside inspections.
      • Determine the specific safety problems of the carrier to focus on during an intervention.
      • Monitor motor carrier non-compliance issues over time.
    • What are the Behavior Analysis and Safety Improvement Categories (BASICs)?

      SMS is organized into seven Behavior Analysis and Safety Improvement Categories (BASICs). The BASICs sort the carrier's safety information into specific categories. Through studies, the Agency quantified the relationship between the different categories, violations and crash risks, as well as statistical analysis and input from enforcement subject matter experts.

      The BASICs are defined as follows:

      • Unsafe Driving BASIC — Operation of commercial motor vehicles (CMVs) in a dangerous or careless manner. Example violations: speeding, reckless driving, improper lane change, and inattention. (FMCSR Parts 392 and 397)
      • Fatigued Driving (Hours-of-Service) BASIC — Operation of CMVs by drivers who are ill, fatigued, or in non-compliance with the Hours-of-Service (HOS) regulations. Example violations: exceeding HOS, maintaining an incomplete or inaccurate logbook, and operating a CMV while ill or fatigued. (FMCSR Parts 392 and 395)
      • Driver Fitness BASIC — Operation of CMVs by drivers who are unfit to operate a CMV due to lack of training, experience, or medical qualifications. Example violations: failing 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 and Alcohol BASIC — 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 or alcohol. (FMCSR Parts 382 and 392)
      • Vehicle Maintenance BASIC — Failure to properly maintain a CMV. Example violations: brakes, lights, and other mechanical defects, and failure to make required repairs. (FMCSR Parts 393 and 396)
      • Cargo-Related BASIC — Failure to properly prevent shifting loads, spilled or dropped cargo, and unsafe handling of hazardous materials on a CMV. Example violations: improper load securement, cargo retention, and hazardous material handling. (FMCSR Parts 392, 393, 397 and applicable DOT HM regulations)
      • Crash Indicator — SMS evaluates a motor carrier's crash history. Crash history is not specifically a behavior. Rather, it is a consequence of a behavior and may indicate a problem with the carrier that warrants intervention. It is based on information from State-reported crash reports and identifies histories or patterns of high crash involvement, including frequency and severity.
    • Where does SMS get its data from?

      SMS gets a monthly snapshot of data from the 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 (CMV) crashes; motor carrier registration/census data and results from Federal and State investigations conducted within the previous 12 months.

    • How often are SMS results updated?

      SMS results are updated monthly. A snapshot of the data is taken on the 3rd or 4th 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:

      Release Month Data Snapshot Date Approximate Release Date
      February 2012 Friday, 01/27/2012 Week of 02/06/2012
      March 2012 Friday, 02/24/2012 Week of 03/05/2012
      April 2012 Friday, 03/23/2012 Week of 04/02/2012
      May 2012 Friday, 04/27/2012 Week of 05/07/2012
      June 2012 Friday, 05/25/2012 Week of 06/04/2012
      July 2012 Friday, 06/22/2012 Week of 07/02/2012
    • How does SMS differ from SafeStat?

      The Safety Measurement System (SMS) quantifies the on-road safety performance of motor carriers to identify candidates for interventions and to monitor whether compliance problems are improving or worsening. SMS also uses investigation findings and provides alerts within each of seven Behavior Analysis and Safety Improvement Categories (BASICs) where a serious violation has been discovered. SMS replaced the Safety Status (SafeStat) measurement system as FMCSA's tool to prioritize motor carriers for potential intervention. The differences between the two systems are shown in the table below:

      SMS SafeStat
      Organized by seven Behavior Analysis and Safety Improvement Categories (BASICs) Organized in four broad categories known as Safety Evaluation Areas (SEAs)
      Identifies safety problems to determine who to investigate and where to focus the investigation Identified motor carriers for a compliance review
      Emphasizes on-road safety performance using all safety-based inspection violations Originated from roadside inspections and used only out-of-service and moving violations
      Violations are weighted based on relationship to crash risk Violations not weighted based on relationship to crash risk
  • Show All Why should motor carriers log in to SMS?

    • Why should a motor carrier log in to the SMS?

      Logging into the SMS provides additional functionality. Motor carriers that log in can view their Cargo-Related and Crash Indicator BASICs 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.

    • How do motor carriers log in to the SMS?

      Motor carriers can log in to the SMS by one of two ways: 1.) Entering their USDOT Number and USDOT Number PIN via the SMS login page, or 2.) Logging into the 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 USDOT Number 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 home page, as shown below:

      Screenshot of a section of the SMS Homepage that illustrates the two methods for Motor Carriers to log in: using USDOT number and Motor Carrier PIN Number or via the FMSCA Portal.

    • Will the general public be able to view motor carriers' SMS results?

      Yes. General public users can view SMS information for motor carriers, with the exception of the measurement and percentile results of the Cargo-Related and Crash Indicator BASICs. General public users can view the inspections, violations, and crashes that are used to calculate the BASIC measurements and percentile results. However, driver names and other carrier-specific details are available only to the individual carrier and enforcement staff.

  • Show All What is included in the Motor Carrier Overview?

    • What information is displayed on the Motor Carrier Overview?

      The major sections displayed in the 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 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.
    • How do I read the BASICs Overview?

      The BASICs Overview presents results categorized by each of the seven BASICs.

      The On-Road column lists the motor carrier's percentile for each BASIC. If the percentile is over the intervention threshold for the motor carrier, the percentile is presented with a gold outline around the percentile.

      The Investigation column displays the “Serious Violation Found” icon for a BASIC if a serious violation was cited within 12 months of the SMS results date. The icon will be present regardless of whether corrective actions have occurred.

      The BASICs Status column displays the symbol if either the On-road column's percentile is over the threshold or if the Investigation column displays the “Serious Violation Found” icon. This indicates that, based on the data,the motor carrier may be prioritized for further monitoring.

      Note that for general public users, the Cargo-Related and Crash Indicator BASICs display the message “Not Available.” Motor carriers that log in can view the Cargo-Related and Crash Indicator BASICs, but only for their own USDOT Number. Within the BASICs details pages, inspection and violation listings are available to all users, regardless of 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 FMCSA's list of Serious Violations.

      BASIC Overview Panel

      Screenshot of the 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.”

    • What is a “percentile”?

      The SMS calculates a measure for each 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.

    • What are the intervention thresholds for each BASIC?

      The intervention threshold percentiles for motor carriers are organized by BASIC and are set based on the BASIC's relationship to crash risk. The intervention thresholds are as follows:

      Intervention Thresholds by Motor Carrier Type
      BASIC General Placardable
      Hazardous Materials (HM) Threshold
      Passenger Carrier
      Unsafe Driving ≥65% ≥60% ≥50%
      Fatigued Driving (Hours-of-Service) 65% 60% 50%
      Driver Fitness 80% 75% 65%
      Controlled Substances and Alcohol 80% 75% 65%
      Vehicle Maintenance 80% 75% 65%
      Cargo-Related 80% 75% 65%
      Crash Indicator 65% 60% 50%
    • What does it mean when a motor carrier does not have a percentile assigned within a BASIC?

      Not having a percentile associated with a BASIC under the On-road Performance column may be a result of one of the following:

      1. No Violations/No Crashes — The motor carrier has no violations or crashes within that BASIC
      2. "Insufficient Data" — The motor carrier does not have enough inspections to be assessed in a BASIC.
      3. "Inconclusive" — The motor carrier has the enough inspections to potentially be assessed in the BASIC, but has a lack of violations to indicate a recent pattern of safety problems in a BASIC.

      The following table outlines the different values displayed within the On-road Performance column for each BASIC:

      On-road Performance Column Information:
      BASIC Values Displayed
      Unsafe Driving
      • “No Violations” — No inspections with a violation in this BASIC cited
      • “Inconclusive” — Less than 3 inspections with a violation in the BASIC or violations are older than 12 months
      • Display Percentile
      Controlled Substances and Alcohol
      • “No Violations” — No inspections with a violation in this BASIC cited
      • “Inconclusive” — When violations are older than 12 months
      • Display Percentile
      Crash Indicator
      • “No Crashes” — When no crashes are listed for the motor carrier
      • “Inconclusive” — One crash or all crashes older than 12 months
      • Display Percentile
      Fatigued Driving (Hours-of-Service)
      • “Insufficient Data” — Not enough driver inspections to be assessed (0 to 2 inspections)
      • “No Violations” — Enough driver inspections (3+ inspections) but no violations in this BASIC cited
      • “Inconclusive” — Enough inspections (+3 driver inspections) but either (1) not enough inspections with BASIC-related violations (1 to 2 inspections with violations) or (2) no violation cited within the previous 12 months and the latest driver inspection did not include violation in the BASIC
      • Display Percentile
      Driver Fitness
      • “Insufficient Data” — Not enough driver inspections to be assessed (0 to 4 inspections)
      • “No Violations” — Enough driver inspections (5+ inspections) but no violations in this BASIC cited
      • “Inconclusive” — Enough inspections (+5 driver inspections) but either (1) not enough inspections with BASIC-related violations (1 to 4 inspections with violations) or (2) no violation cited within the previous 12 months and the latest driver inspection did not include violation in the BASIC
      • Display Percentile
      Vehicle Maintenance and Cargo-Related
      • “Insufficient Data” — Not enough vehicle inspections to be assessed (0 to 4 inspections)
      • “No Violations” — Enough vehicle inspections (5+ inspections) but no violations cited in the BASIC
      • “Inconclusive” — Enough inspections (+5 vehicle inspections) but either (1) not enough inspections with BASIC-related violations (1 to 4 inspections with violations) or (2) no violation cited within the previous 12 months and the latest vehicle inspection did not include violation in the BASIC
      • Display Percentile

      Review the SMS Methodology document for additional details and examples of measurement calculations and percentile determinations.

    • What is included in the Summary of Activities?

      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 SMS results for the motor carrier.

      The Total Inspections count consists of all roadside inspections (Levels I through VI).

      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 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 Hazardous Materials (HM) Inspection count consists of all Level I through VI inspections where hazardous material is present. The HM OOS rate is calculated as the number of HM inspections with at least one HM OOS violation divided by the total number of HM inspections.

      The Total Crashes count consists of all FMCSA reportable crashes. The number of crashes that required at least one vehicle to be towed from the scene due to disabling damage is presented, as well as the number of crashes that resulted in an injury or fatality to a person involved in the crash.

    • What is included in the Recent Investigations?

      The Recent Investigations list the five most recent investigations conducted by FMCSA or its State Partners. The listing is not limited to the 24-month timeframe that is used to calculate the SMS results for the motor carrier.

    • What is included in the Carrier Registration Information?

      The Carrier Registration Information contains a summary of the registration information provided by the motor carrier to FMCSA. This information is current as of the 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 period.

      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.

  • Show All What is included in the BASICs details sections?

    • What is included in the BASICs details of the SMS?

      Each BASIC's details page, except where noted, consists of five parts:

      1. BASIC Overall Status: A symbol, based on the data, indicates that FMCSA may prioritize a motor carrier for further monitoring, and the reason (roadside and/or investigation results).
      2. 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.
      3. 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.
      4. 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 listed.
      5. 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.
    • How is a carrier's BASIC Overall Status determined?

      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 the symbol if either the on-road performance's percentile is over the threshold or the investigation results show the discovery of a serious violation. This indicates that, based on the data, the motor carrier may be prioritized for further monitoring, which can include a warning letter, investigation, and identification for roadside inspection.

    • How is a violation's severity weight determined?

      All inspection violations that pertain to a 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 (OOS) 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 SMS severity weights are subject to change, so please refer to the SMS Methodology and SMS Methodology Appendix A Violations List for further information.

    • Which violations found during inspections are included in each BASIC?

      Inspection violations corresponding to each BASIC are found in the SMS Methodology document, Tables 1 through 6 within Appendix A.

    • How long are violations/crashes on my SMS results?

      Any violation or crash that occurred within the previous 24 months of performance data is considered when determining the 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.

    • Do inspections that find no violations count in the SMS?

      Yes. All roadside safety inspection findings count in the SMS, regardless of whether or not the safety inspection report contains violations. A “clean inspection” results when a relevant roadside inspection resulted in no violations for a particular BASIC. Safety inspections with no violations can improve a carrier's SMS evaluation. For example, when a carrier has no BASIC violations related to the Fatigued Driving (Hours-of-Service), Driver Fitness, and/or Controlled Substances and Alcohol BASICs from a Driver Inspection (Level I, II, III or VI), this “clean inspection” will lower the associated BASIC measure. Similarly, when a carrier has no BASIC violations related to the Vehicle Maintenance and/or Cargo-Related BASICs from a Vehicle Inspection (Level I, II, V or VI), this “clean inspection” will lower the associated BASIC measure. The North American Standard Driver/Vehicle Inspection Levels are explained on this FMCSA web page: North American Standard Driver/Vehicle Inspection Levels.

      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 screen to determine if a vehicle or driver warrants closer examination. A pre-inspection screen 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 screen, then a safety inspection report will not be generated. If a driver feels that a safety inspection has been conducted, FMCSA encourages the driver or carrier to ask for a copy of the report to document the safety inspection.

    • What are safety event groups and how are they used?

      One of the ways the 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 have been involved.

      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 industry segment.

      For a detailed description and examples of the safety event groups by for each BASIC, please refer to the SMS Methodology document.

    • Why does SMS use segmentation and how does it work?

      The SMS uses segmentation within the Unsafe Driving and Crash Indicator 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 (vehicles).
      • Straight Segment — Straight trucks/other vehicles constituting more than 30 percent of the total power units (vehicles).

      The segmentation of motor carriers means that companies that 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.

    • What is a power unit (PU) and how does SMS use this information?

      Power units (PUs) are recorded in the motor carrier registration data (MCS-150) on file. Power units may include vehicle types such as trucks, tractors, hazardous-material tank trucks, motor coaches, and school buses.

      The number of power units 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 BASICs. SMS calculates the average number of PUs for each carrier by using (i) the carrier's current number of PUs, plus (ii) the number of PUs the carrier had 6 months ago, plus (iii) the number of PUs the carrier had 18 months ago divided by 3.

      Please refer to the SMS Methodology document for additional information and an example of the average PU calculation.

    • What are the serious violations?

      FMCSA includes investigation findings (e.g., what FMCSA or State Partners find during a motor carrier investigation) when assessing BASIC performance. The Investigation Results Details tab provided in the SMS 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 non-compliance 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.

    • What crashes are included in SMS?

      All FMCSA-reportable crashes, regardless of the determination of fault or accountability, are included in the SMS. A crash is reported to FMCSA if it involves the following:

      • Any truck having a gross vehicle weight rating (GVWR) of more than 10,000 pounds or a gross combination weight rating (GCWR) over 10,000 pounds used on public highways; OR
      • Any motor vehicle designed to transport more than eight people, including the driver; OR
      • Any vehicle displaying a hazardous materials placard (regardless of weight). A vehicle discovered to be transporting hazardous materials without a required placard should also be included.

      AND

      • 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.
    • Why are all crashes used regardless of fault?

      The Carrier Safety Measurement System (CSMS ) Crash Indicator considers a carrier's accident involvement, regardless of responsibility or fault. 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 regardless of fault or preventability 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, " The Crash Indicator measure/percentile represents carrier accident involvement only and is not intended as a means to assess fault." 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.

  • Show All What are interventions?

    • What are targeted roadside inspections?

      FMCSA provides roadside inspectors with data that identifies a carrier's specific compliance problems, by BASIC, based on the motor carrier's SMS results. Targeted roadside inspections occur at permanent and temporary roadside inspection locations.

    • What is a warning letter?

      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 BASIC(s) that exceed the FMCSA's intervention threshold relative to the motor carrier's safety event grouping and outlines possible consequences of continued compliance problems. View a sample warning letter here.

    • What should a motor carrier do after receiving a warning letter?

      Carriers do not need to respond in writing to FMCSA after receiving a warning letter. FMCSA does encourage motor carriers to log in to SMS to examine their data, focusing their attention first on the BASICs that are over or near the intervention threshold. Carriers should consider doing all of the following:

      • Ensure accuracy of data. Ensure that all the data listed is accurate and belongs to their US 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 determine their next steps.
      • 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?"
      • Periodically review SMS data. Review SMS data monthly to monitor progress.
    • What are investigations?

      FMCSA provides safety investigators with data that identifies a carrier's specific compliance problems, by BASIC, based on the motor carrier's SMS results. Potential investigations include the following:

      Focused Compliance Review — The Focused Compliance Review (CR) takes place at the motor carrier's place of business. It enables FMCSA and State enforcement personnel to focus on safety problems demonstrated by the motor carrier without spending time and resources reviewing areas of the motor carrier's operations where no safety problems have been identified. It involves reviewing records, interviewing personnel, analyzing practices, and identifying violations and taking appropriate follow-on action only on BASICs requiring investigation.

      The Focused CR narrows the safety investigator's focus from the full CR concept of determining an overall assessment of a motor carrier's entire operation towards addressing demonstrated roadside safety deficiencies identified by the SMS, as well as addressing serious violations documented during previous investigations.

      Compliance Review — The Compliance Review takes place at the carrier's place of business. It is used when the carrier exhibits broad, persistent, and potentially complex safety problems identified through the SMS, worsening multiple BASICs (three or more), or a fatal crash or a non-frivolous complaint. Compliance Reviews focus on a motor carrier's safety management practices, operational performance, and regulatory compliance.

    • What are possible follow-on actions?

      The following items are possible follow-on actions from 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) — A NOC is issued in cases where the regulatory violations are severe enough to warrant assessment and issuance of civil penalties.
      • Operations Out-of-Service (OOS) Order — An order issued by FMCSA requiring the carrier to cease all motor vehicle operations.
  • Show All What can a motor carrier do to improve?

    • What can a motor carrier do to improve?

      1. Ensure compliance by being knowledgeable of the Federal Motor Carrier Safety Regulations and the Hazardous Materials Regulations, if applicable.
      2. Understand how your safety management contributes to your safety problems.
      3. Check and update your MCS—150 carrier registration information whenever there is a change to your company's profile and at least every two years, as is required by regulation.
      4. Review your inspection and crash reports data and request corrections as needed.
      5. Educate yourself and your employees on the regulations and industry best practices.
      1. Ensure compliance. Take action to address trends and patterns that you find.

        Learn more about the safety regulations your company has violated by reviewing the regulations and the corresponding areas in the Federal Motor Carrier Safety Regulations (FMCSRs):

        • Unsafe DrivingFMCSR Parts 392 and 397
        • Fatigued Driving (Hours-of-Service) — FMCSR Parts 392 and 395
        • Driver Fitness — FMCSR Parts 383 and 391
        • Controlled Substances and Alcohol — FMCSR Parts 382 and 392
        • Vehicle Maintenance — FMCSR Parts 393 and 396
        • Cargo-Related — FMCSR Parts 392, 393, and 397 and applicable DOT HM regulations

        Review FMCSA's educational and technical assistance document, A Motor Carrier's Guide to Improving Highway Safety. This document contains useful information for both drivers and carriers.

        NOTE: Please do not use this guide as a substitute for the Federal Motor Carrier Safety Regulations (FMCSRs). You should consult the FMCSRs, which are updated quarterly online.

      2. Understand how your safety management contributes to your safety problems. Systematically assess your company's safety management practices and make improvements where necessary.

        It is important for you to consider how safety will be achieved within your organization. Putting this in place begins with developing processes that incorporate safety into every aspect of your operation. Whether you are just starting out, or you have an established company, you should have safety-minded business practices. These will help make sure that you follow federal regulations. Having these in place can save lives and reduce injuries. They can also improve your company's bottom line by saving time and money on paying fines and responding to regulatory compliance issues. They can also reduce the financial cost of crashes.

        To help identify areas that are causing your safety breakdowns, ask yourself these questions:

        POLICIES AND PROCEDURES — Operational rules and processes for a motor carrier and its employees.

        1. Do you have policies and/or procedures in place for all areas of safety—especially those FMCSA has noted as weaknesses?
          • Are your policies and procedures clearly defined for all the safety management processes noted below: roles and responsibilities; qualifications and hiring; training and communication; monitoring and tracking; and meaningful action?
          • Are they updated to match the current environment and align with regulations or other company policies?
          • Are they realistic? If implemented as stated, would they achieve intended goals?
          • Are they documented? How are they communicated?

        ROLES AND RESPONSIBILITIES — Expectations and assignment of duties for a motor carrier and its employees.

        1. Are the roles and responsibilities of employees in your company clearly defined?
        2. Are the roles and responsibilities effective as defined?
          • Are they complete? Do they cover all policies and procedures?
          • Are they updated to match the current environment and align with policies and procedures?
          • Are they realistic? As defined, will they achieve intended goals? Are they documented? How are they communicated?

        QUALIFICATIONS AND HIRING — Finding and qualifying people for the defined roles and responsibilities.

        Hiring

        1. Are your job descriptions well written? Do the job listings have adequate visibility? Are you getting enough applicants?
        2. Do the wrong people apply for the job because the job description does not match the real job?

        Qualifications

        1. C.   Have you hired employees who are not qualified for the position due to
          • lack of background investigation, or
          • lack of, or poor understanding of, the skills, knowledge, and abilities needed for the job?

        TRAINING AND COMMUNICATION — Ongoing process to ensure that a motor carrier and its employees have the proper skills and knowledge to complete their jobs.

        Training

        1. Do you have training in place?
        2. Is your training adequate and effective?
          • Have you conducted a comprehensive assessment of training needs?
          • Does your training method and approach match content?
          • Are your participants evaluated to see if they understand training material?
          • Was anything (or enough) done to support training in the field?

        Communication

        1. C.   Are you communicating effectively with your employees?
        2. D.   Are there consistent and open channels of communication within your organization?
        3. E.   Do your communication methods match the needs of the situation? Frequency? Understandable format? Language?

        MONITORING AND TRACKING — Ensuring that a motor carrier and its employees are in compliance with policies and procedures and roles and responsibilities.

        1. Do you have a process for monitoring and tracking your employees?
        2. Are you monitoring and tracking frequently enough?
        3. Are you documenting any behavior monitoring adequately?
        4. Is the right behavior being tracked?

        MEANINGFUL ACTION — Providing positive reinforcement for, or aiming at improving or correcting, employee behavior.

        1. Are you able to effectively assess the monitoring and tracking data and select the appropriate meaningful action?
        2. Are you implementing refresher training when appropriate?
        3. Are you implementing a disciplinary process when appropriate?
        4. Are you implementing an incentive reward and recognition program
        5. Are you implementing improvements to safety management processes when monitoring and tracking data points to a safety management process breakdown?
      3. Check and update your MCS-150 carrier registration information.
        1. Review your motor carrier information including address, email address, number of power units and drivers, and vehicle miles traveled (VMT). Ensure that VMT reflects the previous calendar year and is accurate.
        2. Update your motor carrier registration information (MCS—150) if any data needs to be corrected.
      4. Review your inspection and crash reports data and request corrections as needed.
        1. Review your reports through the SMS Website.
        2. Do all of the inspection and crash reports belong to your company? Is any of the data included in these reports incorrect? Remember that all safety-based violations count, not just out-of-service violations.
        3. If you feel any of the data is erroneous, request corrections through FMCSA's DataQs system. The DataQs program allows motor carriers and drivers to request a data review of information that resides in FMCSA databases.
      5. Educate yourself and your employees!
        1. Safety Improvement Resources (SIRs)
        2. Visit the Compliance, Safety, Accountability (CSA) Website to learn more about CSA.
        3. Subscribe to the RSS feed or email list to stay connected on the latest CSA news and information.
        4. Educate your drivers!
          1. Hand out the Driver Fact Sheet (PDF, 399 KB). This factsheet tells drivers what they need to know about CSA and what they can do to prepare for the change.
          2. Review with drivers FMCSA's CMV Web-Based Driving Tips. This website was developed to raise the consciousness of CMV drivers about common driving errors and to provide valuable driving tips through an easily accessible tool: the Internet. Fleet safety managers can also use this website for their driver training programs. These tips offer preventive measures that drivers can take to help avoid crashes.
          3. Fleet safety managers can also leverage the Safety Improvement Resources (SIRs) available within the SMS. SIRs is a compilation of articles, reports, and other tools designed to assist motor carriers with improving their current safety management practices. SIRs are searchable by resource number, BASIC, or safety management practice (SMP).
    • What are the Safety Improvement Resources and how can they be used?

      The Safety Improvement Resources (SIRs) is a compilation of articles, reports, and other tools designed to assist motor carriers with improving their current safety management practices. SIRs are searchable by resource number, BASIC, or safety management practice (SMP).

    • How can a carrier improve in the Unsafe Driving BASIC?

      The Unsafe Driving BASIC includes operation of CMVs in a dangerous or careless manner. Example violations: speeding, reckless driving, improper lane change, and inattention. (FMCSR Parts 392 and 397). The following resources can assist motor carriers in ways by which to improve the Unsafe Driving BASIC measure:

    • How can a carrier improve in the Fatigued Driving (HOS) BASIC?

      The Fatigued Driving (HOS) BASIC includes operation of CMVs by drivers who are ill, fatigued, or in non-compliance with the Hours-of-Service (HOS) regulations. Example violations: exceeding HOS, maintaining an incomplete or inaccurate logbook, and operating a CMV while ill or fatigued. (FMCSR Parts 392 and 395). The following resources can assist motor carriers in ways by which to improve the Fatigued Driving (HOS) BASIC measure:

    • How can a carrier improve in the Driver Fitness BASIC?

      The Driver Fitness BASIC includes operation of CMVs by drivers who are unfit to operate a CMV due to lack of training, experience, or medical qualifications. Example violations: failing to have a valid and appropriate commercial driver's license and being medically unqualified to operate a CMV. (FMCSR Parts 383 and 391). The following resources can assist motor carriers in ways by which to improve the Driver Fitness BASIC measure:

    • How can a carrier improve in the Controlled Substances and Alcohol BASIC?

      The Controlled Substances and Alcohol BASIC includes 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 or alcohol. (FMCSR Parts 382 and 392). The following resources can assist motor carriers in ways by which to improve the Controlled Substances and Alcohol BASIC measure:

    • How can a carrier improve in the Vehicle Maintenance BASIC?

      The Vehicle Maintenance BASIC includes failure to properly maintain a CMV. Example violations: brakes, lights, and other mechanical defects, and failure to make required repairs. (FMCSR Parts 393 and 396). The following resources can assist motor carriers in ways by which to improve the Vehicle Maintenance BASIC measure:

    • How can a carrier improve in the Cargo-Related BASIC?

      The Cargo-Related BASIC includes failure to properly prevent shifting loads, spilled or dropped cargo, and unsafe handling of hazardous materials on a CMV. Example violations: improper load securement, cargo retention, and hazardous material handling. (FMCSR Parts 392, 393, 397 and applicable DOT HM regulations). The following resources can assist motor carriers in ways by which to improve the Cargo-Related BASIC measure:

    • How can a carrier improve in the Crash Indicator BASIC?

      The following resources, Crash Countermeasures, can assist motor carriers in ways by which to improve the Crash Indicator BASIC measure:

      Motor Carrier Management Related:

      Driver Related:

      Vehicle Related:

  • Show All How do I correct erroneous data in SMS?

    • How do I correct erroneous data in SMS?

      If you feel any of the data is erroneous, corrections can be requested through the DataQs process, by which you may submit a request for a data correction review. Through this process, data concerns are automatically forwarded to the appropriate office for resolution. Any user, including motor carriers, drivers, and the general public, can submit a request for a data correction review using the DataQs system.

    • What is FMCSA's DataQs System and how can I access it?

      The DataQs system is an electronic means of filing concerns about Federal and State data released to the public by the Federal Motor Carrier Safety Administration (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 (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 Correction 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 RDRs:

      • Attach document(s) that support the RDR.
      • Be specific and detailed in your narrative.
      • Any owner operator with a valid lease agreement submitting an RDR should include the lease agreement.
      • Ensure contact information is accurate and updated.
      • Check the status frequently (additional information may be requested).

      Please Note: Carrier registration information (e.g., name, address, or power unit data) can be modified by updating the MCS-150 form.

  • Show All Other FMCSA Resources