Appendix B To Part 385—Explanation of Safety Rating Process
(a) Section 215 of the Motor Carrier Safety Act of 1984 (49 U.S.C. 31144) directed the Secretary of Transportation to establish a procedure to determine the safety fitness of owners and operators of commercial motor vehicles operating in interstate or foreign commerce. The Secretary, in turn, delegated this responsibility to the Federal Motor Carrier Safety Administration (FMCSA).
(b) As directed, FMCSA promulgated a safety fitness regulation, entitled “Safety Fitness Procedures,” which established a procedure to determine the safety fitness of motor carriers through the assignment of safety ratings and established a “safety fitness standard” which a motor carrier must meet to obtain a satisfactory safety rating.
(c) To meet the safety fitness standard, a motor carrier must demonstrate to the FMCSA that it has adequate safety management controls in place which function effectively to ensure acceptable compliance with the applicable safety requirements. A “safety fitness rating methodology” (SFRM) was developed by the FMCSA, which uses data from compliance reviews (CRs) and roadside inspections to rate motor carriers.
(d) The safety rating process developed by FMCSA is used to:
1. Evaluate safety fitness and assign one of three safety ratings (satisfactory, conditional or unsatisfactory) to motor carriers operating in interstate commerce. This process conforms to 49 CFR 385.5, Safety fitness standard, and §385.7, Factors to be considered in determining a safety rating.
2. Identify motor carriers needing improvement in their
compliance with the Federal Motor Carrier Safety Regulations (FMCSRs)
and applicable Hazardous Material Regulations (HMRs).
These are carriers rated unsatisfactory or conditional.
(e) The hazardous materials safety permit requirements of part 385, subpart E apply to intrastate motor carriers. Intrastate motor carriers that are subject to the hazardous materials safety permit requirements in subpart E will be rated using equivalent State requirements whenever the FMCSRs are referenced in this appendix.
(f) The safety rating will be determined by applying the SFRM equally to all
of a company’s motor carrier operations in commerce, including if applicable
its operations in
I. Source of Data for Rating Methodology
(a) The FMCSA's rating process is
built upon the operational tool known as the CR. This tool was developed to
assist Federal and State safety specialists in gathering pertinent motor carrier compliance
and accident information.
(b) The CR is an in-depth examination of a motor carrier's operations and is
used (1) to rate unrated motor carriers, (2) to conduct a follow-up
investigation on motor carriers rated unsatisfactory
or conditional as a result of a
previous review, (3) to investigate complaints, or (4) in response to a request
by a motor carrier to reevaluate its safety rating. Documents such as those
contained in driver qualification files, records of duty status, vehicle
maintenance records, and other records are thoroughly examined for compliance
with the FMCSRs
and HMRs.
Violations are cited on the CR document. Performance-based information, when
available, is utilized to evaluate the carrier's compliance with the vehicle
regulations. Recordable accident information is also collected.
II. Converting CR Information Into
a Safety Rating
(b) Acute regulations are those identified as such where noncompliance is so severe as to require immediate corrective actions by a motor carrier regardless of the overall safety posture of the motor carrier. An example of an acute regulation is §383.37(b), allowing, requiring, permitting, or authorizing an employee with more than one Commercial Driver's License (CDL) to operate a commercial motor vehicle. Noncompliance with §383.37(b) is usually discovered when the motor carrier's driver qualification file reflects that the motor carrier had knowledge of a driver with more than one CDL, and still permitted the driver to operate a commercial motor vehicle. If the motor carrier did not have such knowledge or could not reasonably be expected to have such knowledge, then a violation would not be cited.
(c) Critical regulations are those identified as such where noncompliance relates to management and/or operational controls. These are indicative of breakdowns in a carrier’s management controls. An example of a critical regulation is §395.3(a)(1), requiring or permitting a property-carrying commercial motor vehicle driver to drive more than 11 hours. [Change Notice]
(d) The list of the acute and critical regulations which are
used in determining safety
ratings is included at the end of this document.
(e) Noncompliance with acute regulations and patterns of
non-compliance with critical regulations are quantitatively linked to inadequate safety management
controls and usually higher than average accident rates. The FMCSA has used noncompliance with
acute regulations and patterns of noncompliance with critical regulations
since 1989 to determine motor carriers' adherence to the Safety fitness standard
in §385.5.
(f) The regulatory factors, evaluated on the basis of the
adequacy of the carrier’s safety management controls, are (1) Parts 387 and 390; (2) Parts 382, 383, and 391; (3) Parts 392 and 395; (4) Parts 393 and 396 when there are
less than three vehicle inspections in the last 12 months to evaluate; and
(5) Parts 397, 171, 177, and 180.
(g) For each instance of noncompliance with an acute
regulation or each pattern of
noncompliance with a critical regulation during the CR, one point will be
assessed. A pattern is more than one violation.
When a number of documents are reviewed, the number of violations required to meet a pattern is equal to at least
10 percent of those examined.
(h) However, each pattern of noncompliance with a critical
regulation relative to Part
395, Hours of Service of Drivers, will be assessed two points.
A. Vehicle Factor
(a) When a total of three
or more inspections are recorded in the
Motor Carrier Management Information System (MCMIS) during the twelve months prior to the CR or
performed at the time of the review, the Vehicle Factor (Parts 393 and
1. If a motor carrier has three or more roadside
vehicle inspections in the twelve months prior to the carrier review,
or three vehicles inspected at the time of the review, or a combination of
the two totaling three or more, and the vehicle OOS rate is 34 percent or greater, the initial factor rating
will be conditional. The
requirements of
2. If a carrier's vehicle OOS rate is less than 34 percent, the initial factor rating will be satisfactory. If noncompliance with an acute regulation or a pattern of noncompliance with a
critical regulation is discovered during the examination of Part 396 requirements, the factor rating
will be lowered to conditional. If the examination of
(b) Nearly two million vehicle inspections occur on the
roadside each year. This
vehicle inspection information is retained in the MCMIS and is integral to evaluating motor carriers' ability
to successfully maintain their vehicles, thus preventing them
from being placed OOS
during roadside inspections. Since many of the roadside inspections are targeted to visibly defective vehicles
and since there are a limited number of inspections for many
motor carriers, the use of that data is limited. Each CR will continue to have the requirements of
B. Accident Factor
(a) In addition to the five regulatory rating factors, a sixth factor is included in the process to address the accident history of the motor carrier. This factor is the recordable accident rate for the past 12 months. A recordable accident, consistent with the definition for “accident” in 49 CFR 390.5, means an occurrence involving a commercial motor vehicle on a highway in motor carrier operations in commerce or within Canada or Mexico (if the motor carrier also operates in the United States) that results in a fatality; in bodily injury to a person who, as a result of the injury, immediately receives medical treatment away from the scene of the accident; or in one or more motor vehicles incurring disabling damage that requires the motor vehicle to be transported away from the scene by a tow truck or other motor vehicle.
(b) Recordable accidents per million miles were computed for each
CR performed in Fiscal Years 1994, 1995 and 1996. The national average
for all carriers rated was 0.747, and .839 for carriers operating entirely
within the 100 air mile radius.
(c) Experience has shown that urban carriers, those
motor carriers operating primarily within a radius of less than 100
air miles (normally in urban areas) have a higher exposure to accident
situations because of their environment and normally have higher accident
rates.
(d) The recordable accident rate will be used to rate Factor
6, Accident. It will be used
only when a motor carrier incurs two or more
recordable accidents occurred within the 12 months prior to the CR. An urban
carrier (a carrier operating entirely within a radius of 100 air miles) with a recordable accident rate greater
than 1.7 will receive an unsatisfactory
rating for the accident factor. All
other carriers with a recordable accident rate greater than 1.5
will receive an unsatisfactory
factor rating. The rates are a result of
roughly doubling the national average accident rate for each type
of carrier rated in Fiscal Years 1994, 1995 and 1996.
(e) The FMCSA
will continue to consider preventability when a motor carrier contests a rating by presenting compelling
evidence that the recordable rate is not a fair means of evaluating
its accident factor. Preventability will be determined according to the following standard: “If a driver,
who exercises normal judgment and foresight could have foreseen the
possibility of the accident that in fact occurred, and avoided it by
taking steps within his/her control which would not have risked causing another
kind of mishap, the accident was preventable.”
C. Factor Ratings
(b) The following table shows the five regulatory factors,
parts of the FMCSRs and HMRs
associated with each factor, and the accident factor. Factor Ratings are
determined as follows:
Factors
Factor 1 General=
Factor 2 Driver=
Factor 3 Operational=
Factor 4 Vehicle=Parts 393 and 396
Factor 5 Haz. Mat.=Parts 397, 171, 177 and 180
Factor 6 Accident Factor=Recordable Rate
“Satisfactory”—if the acute and/or critical=0 points
“Conditional”—if the acute and/or critical=1 point
“Unsatisfactory”—if the acute and/or critical=2 or more points
III. Safety Rating
A. Rating Table
(a) The ratings for the six factors are then entered into a
rating table which establishes the motor carrier's safety rating.
(b) The FMCSA
has developed a computerized rating formula for assessing the information
obtained from the CR document and is using that formula in assigning a safety rating.
Motor Carrier Safety Rating Table
|
|
||
|
Unsatisfactory |
Conditional |
Overall Safety
rating |
|
0 |
2 or fewer |
Satisfactory |
|
0 |
more than 2 |
Conditional |
|
1 |
2 or fewer |
Conditional |
|
1 |
more than 2 |
Unsatisfactory |
|
2 or more |
0 or more |
Unsatisfactory |
B. Proposed Safety
Rating
(a) The proposed safety rating will appear on the CR. The following appropriate information
will appear after the last entry on the CR, MCS-151, Part B.
“Your proposed safety rating is SATISFACTORY.”
OR
“Your proposed safety rating is CONDITIONAL.” The proposed
safety rating will become the final safety rating 45 days after you receive
this notice.
OR
“Your proposed safety rating is UNSATISFACTORY.” The
proposed safety rating will
become the final safety rating 45 days after you receive this notice.
(b) Proposed safety ratings of conditional or unsatisfactory will list the deficiencies
discovered during the CR for which corrective actions must be taken.
(c) Proposed unsatisfactory
safety ratings will indicate that, if the unsatisfactory rating becomes final, the motor carrier will
be subject to the provision of §385.13,
which prohibits motor carriers rated unsatisfactory
from transporting hazardous materials requiring placarding
or more than 15 passengers, including the driver.
IV. Assignment of
Final Rating/Motor Carrier Notification
When the official rating is determined in Washington, D.C., the FMCSA notifies the motor carrier in writing of its safety rating as prescribed in §385.11. A proposed conditional safety rating (which is an improvement of an existing unsatisfactory rating) becomes effective as soon as the official safety rating from Washington, D.C. is issued, and the carrier may also avail itself of relief under the §385.15, Administrative Review and §385.17, Change to safety rating based on corrective actions.
V. Motor Carrier
Rights to a Change in the Safety Rating
Under §§385.15 and 385.17, motor carriers have the right
to petition for a review of their ratings if there are factual or procedural
disputes, and to request another review after corrective actions have been
taken. They are the procedural avenues a motor carrier which believes its
safety rating to be in error may exercise, and the means to request another
review after corrective action has been taken.
VI. Conclusion
(a) The FMCSA believes this “safety fitness rating
methodology” is a reasonable approach for assigning a safety rating which best
describes the current safety fitness posture of a motor carrier as required by
the safety fitness regulations (§385.9). This methodology has the capability to
incorporate regulatory changes as they occur.
(b) Improved compliance with the regulations leads to an improved rating, which in turn increases safety. This increased safety is our regulatory goal.
VII. List of Acute and Critical Regulations
§382.115(b) Failing to implement an alcohol and/or controlled substances testing program (foreign motor carrier) (acute).
§382.201 Using a driver known to have an alcohol
concentration of 0.04 or greater (acute).
§382.211
Using a driver who has refused
to submit to an alcohol or controlled substances test required under part 382
(acute).
§382.213(b)
Using a driver known to have
used a controlled substance (acute).
§382.215
Using a driver known to have
tested positive for a controlled substance (acute).
§382.301(a)
Using a driver before the motor carrier has received a negative pre-employment
controlled substance test result (critical).
§382.303(a)
Failing to conduct post accident testing on driver for alcohol (critical).
§382.303(b) Failing
to conduct post accident testing on driver for controlled substances
(critical).
§382.305
Failing to implement a random
controlled substances and/or an alcohol testing program (acute).
§382.305(b)(1)
Failing to conduct random alcohol testing at an annual rate of not less than
the applicable annual rate of the average number of driver positions (critical).
§382.305(b)(2) Failing to conduct random
controlled substances testing at an annual rate of not less than the applicable
annual rate of the average number of driver positions (critical).
§382.309(a)
Using a driver who has not undergone a return-to-duty alcohol test with a
result indicating an alcohol concentration of less than 0.02 (acute).
§382.309(b)
Using a driver who has not undergone a return-to-duty controlled substances
test with a result indicating a verified negative result for controlled
substances (acute).
§382.503 Allowing a
driver to perform safety sensitive function, after engaging in conduct
prohibited by subpart B, without being evaluated by substance abuse
professional, as required by §382.605 (critical).
§382.505(a)
Using a driver within 24 hours after being found to have an alcohol
concentration of 0.02 or greater but less than 0.04 (acute).
§382.605(c)(1)
Using a driver who has not undergone a return-to-duty alcohol test with a
result indicating an alcohol concentration of less than .02 or with verified
negative test result, after engaging in conduct prohibited by part 382 subpart
B (acute).
§382.605(c)(2)(ii)
Failing to subject a driver who has been identified as needing assistance to at
least six unannounced follow-up alcohol and/or controlled substance tests in
the first 12 months following the driver's return to duty (critical).
§383.23(a)
Operating a commercial motor vehicle without a valid commercial driver's
license (critical).
§383.37(a)
Knowingly allowing, requiring, permitting, or authorizing an employee with a
commercial driver's license which is suspended, revoked, or canceled by a state
or who is disqualified to operate a commercial motor vehicle (acute).
§383.37(b)
Knowingly allowing, requiring,
permitting, or authorizing an employee with more than one commercial driver's
license to operate a commercial motor vehicle (acute).
§383.51(a)
Knowingly allowing, requiring, permitting, or authorizing a driver to drive who
is disqualified to drive a commercial motor vehicle (acute).
§387.7(a)
Operating a motor vehicle without having in effect the required minimum levels
of financial responsibility coverage (acute).
§387.7(d)
Failing to maintain at
principal place of business required proof of financial responsibility
(critical).
§387.31(a)
Operating a passenger carrying vehicle without having in effect the required
minimum levels of financial responsibility (acute).
§387.31(d)
Failing to maintain at
principal place of business required proof of financial responsibility for
passenger carrying vehicles (critical).
§390.15(b)(2) Failing to maintain copies of all
accident reports required by State or other governmental entities or insurers
(critical).
§390.35
Making, or causing to make fraudulent or intentionally false statements or
records and/or reproducing fraudulent records (acute).
§391.11(b)(4) Using a physically unqualified
driver (acute).
§391.15(a)
Using a disqualified driver (acute).
§391.45(a)
Using a driver not medically examined and certified (critical).
§391.45(b)(1) Using a driver not medically
examined and certified during the preceding 24 months (critical).
§391.51(a)
Failing to maintain driver qualification file on each driver employed
(critical).
§391.51(b)(2) Failing to maintain inquiries into
driver's driving record in driver's qualification file (critical).
§391.51(b)(7) Failing to maintain medical examiner's
certificate in driver's qualification file (critical).
§392.2
Operating a motor vehicle not
in accordance with the laws, ordinances, and regulations of the jurisdiction in
which it is being operated (critical).
§392.4(b)
Requiring or permitting a
driver to drive while under the influence of, or in possession of, a narcotic
drug, amphetamine, or any other substance capable of rendering the driver
incapable of safely operating a motor vehicle (acute).
§392.5(b)(1) Requiring or permitting a driver to
drive a motor vehicle while under the influence of, or in possession of, an
intoxicating beverage (acute).
§392.5(b)(2) Requiring or permitting a driver
who shows evidence of having consumed an intoxicating beverage within 4 hours
to operate a motor vehicle (acute).
§392.6
Scheduling a run which would
necessitate the vehicle being operated at speeds in excess of those prescribed
(critical).
§392.9(a)(1) Requiring or permitting a driver to
drive without the vehicle's cargo being properly distributed and adequately
secured (critical).
§395.1(h)(1)(ii) Requiring or permitting a property- carrying commercial motor vehicle driver to drive after having been on duty 20 hours (Driving in Alaska) (critical).
§395.1(h)(1)(iii) Requiring or permitting a property- carrying commercial motor vehicle driver to drive after having been on duty more than 70 hours in 7 consecutive days (Driving in Alaska) (critical).
§395.1(h)(1)(iv) Requiring or permitting a property- carrying commercial motor vehicle driver to drive after having been on duty more than 80 hours in 8 consecutive days (Driving in Alaska) (critical).
§395.1(h)(2)(i)
Requiring or permitting a passenger- carrying commercial motor vehicle driver
to drive more than 15 hours (Driving in Alaska) (critical).
§395.1(h)(2)(ii)
Requiring or permitting a passenger- carrying commercial motor vehicle driver
to drive after having been on duty 20 hours (Driving in Alaska) (critical).
§395.1(h)(2)(iii)
Requiring or permitting a passenger- carrying commercial motor vehicle driver
to drive after having been on duty more than 70 hours in 7 consecutive days
(Driving in Alaska) (critical).
§395.1(h)(2)(iv) Requiring or permitting a passenger- carrying commercial motor vehicle driver to drive after having been on duty more than 80 hours in 8 consecutive days (Driving in Alaska) (critical).
§395.1(o) Requiring or permitting a property-carrying commercial motor vehicle driver to drive after having been on duty 16 consecutive hours (critical).
§395.3(a)(1)
Requiring or permitting a property-carrying commercial motor vehicle driver to
drive more than 11 hours (critical). [Change
Notice]
§395.3(b)(1)
Requiring or permitting a property-carrying commercial motor vehicle driver to drive
after having been on duty more than 60 hours in 7 consecutive days (critical).
§395.3(b)(2)
Requiring or permitting a property-carrying commercial motor vehicle driver to
drive after having been on duty more than 70 hours in 8 consecutive days
(critical).
§395.3(c)(1) Requiring or permitting a property-carrying commercial motor vehicle driver to restart a period of 7 consecutive days without taking an off-duty period of 34 or more consecutive hours (critical). [Change Notice]
§395.3(c)(2) Requiring or permitting a property-carrying commercial motor vehicle driver to restart a period of 8 consecutive days without taking an off-duty period of 34 or more consecutive hours (critical). [Change Notice]
§395.5(a)(1)
Requiring or permitting a passenger-carrying commercial motor vehicle driver to
drive more than 10 hours (critical).
§395.8(a)
Failing to require driver to make a record of duty status (critical).
§395.8(e)
False reports of records of
duty status (critical).
§395.8(i) Failing to require driver to
forward within 13 days of completion, the original of the record of duty status
(critical).
§395.8(k)(1) Failing to preserve driver's record
of duty status for 6 months (critical).
§395.8(k)(1) Failing to preserve driver's
records of duty status supporting documents for 6 months (critical).
§396.3(b)
Failing to keep minimum
records of inspection and vehicle maintenance (critical).
§396.9(c)(2) Requiring or permitting the
operation of a motor vehicle declared “out-of-service” before repairs were made
(acute).
§396.11(a)
Failing to require driver to prepare driver vehicle inspection report
(critical).
§396.11(c)
Failing to correct Out-of-Service defects listed by driver in a driver vehicle
inspection report before the vehicle is operated again (acute).
§396.17(a)
Using a commercial motor vehicle not periodically inspected (critical).
§396.17(g)
Failing to promptly repair
parts and accessories not meeting minimum periodic inspection standards (acute).
§397.5(a)
Failing to ensure a motor vehicle containing Division 1.1, 1.2, or 1.3
(explosive) material is attended at all times by its driver or a qualified
representative (acute).
§397.7(a)(1)
Parking a motor vehicle containing Division 1.1, 1.2, or 1.3 materials within 5
feet of traveled portion of highway or street (critical).
§397.7(b)
Parking a motor vehicle containing hazardous material(s) other than Division
1.1, 1.2, or 1.3 materials within 5 feet of traveled portion of highway or
street (critical).
§397.13(a)
Permitting a person to smoke or carry a lighted cigarette, cigar or pipe within
25 feet of a motor vehicle containing Class 1 materials, Class 5 materials, or
flammable materials classified as Division 2.1, Class 3, Divisions 4.1 and 4.2
(critical).
§397.19(a)
Failing to furnish driver of motor vehicle transporting Division 1.1, 1.2, or
1.3 (explosive) materials with a copy of the rules of part 397 and/or emergency response
instructions (critical).
§397.67(d)
Requiring
or permitting the operation of a motor vehicle containing explosives in Class
1, Divisions 1.1, 1.2, or 1.3 that is not accompanied by a written route plan
(critical).
§397.101(d) Requiring or permitting
the operation of a motor vehicle containing highway route-controlled quantity,
as defined in §173.403, of
radioactive materials that is not accompanied by a written route plan.
§171.15 Carrier
failing to give immediate telephone notice of an incident involving hazardous
materials (critical).
§171.16 Carrier
failing to make a written report of an incident involving hazardous materials
(critical).
§172.313(a) Accepting for transportation or transporting a package containing a poisonous-by-inhalation material that is not marked with the words “Inhalation Hazard” (acute).
§172.704(a)(4) Failing to provide security awareness training (critical).
§172.704(a)(5) Failing to provide in-depth security awareness training (critical).
§172.800(b) Transporting HM without a security plan (acute).
§172.800(b) Transporting HM without a security plan that conforms to Subpart I requirements (acute).
§172.800(b) Failure to adhere to a required security plan (acute).
§172.802(b) Failure to make copies of security plan available to hazmat employees (critical).
§173.24(b)(1) Accepting for transportation or transporting a package that has an identifiable release of a hazardous material to the environment (acute).
§173.421(a) Accepting for transportation or transporting a Class 7 (radioactive) material described, marked, and packaged as a limited quantity when the radiation level on the surface of the package exceeds 0.005mSv/hour (0.5 mrem/hour) (acute).
§173.431(a) Accepting for transportation or transporting in a Type A packaging a greater quantity of Class 7 (radioactive) material than authorized (acute).
§173.431(b) Accepting for transportation or transporting in a Type B packaging a greater quantity of Class 7 (radioactive) material than authorized (acute).
§173.441(a) Accepting for transportation or transporting a package containing Class 7 (radioactive) material with external radiation exceeding allowable limits (acute).
§173.442(b) Accepting for transportation or transporting a package containing Class 7 (radioactive) material when the temperature of the accessible external surface of the loaded package exceeds 50° C (122° F) in other than an exclusive use shipment, or 85° C (185° F) in an exclusive use shipment (acute).
§173.443(a) Accepting for transportation or transporting a package containing Class 7 (radioactive) material with removable contamination on the external surfaces of the package in excess of permissible limits (acute).
§177.800(c) Failing to
instruct a category of employees in hazardous materials regulations (critical).
§177.801 Accepting for transportation or transporting a forbidden material (acute).
§177.817(e) Failing to maintain proper accessibility of shipping papers (critical).
§177.823(a) Moving a transport vehicle containing hazardous material that is not properly marked or placarded (critical).
§177.835(a) Loading or unloading a Class 1 (explosive) material with the engine running (acute).
§177.835(c) Accepting for transportation or transporting Division 1.1, 1.2, or 1.3 (explosive) materials in a motor vehicle or combination of vehicles that is not permitted (acute).
§177.835(j) Transferring Division 1.1, 1.2, or 1.3 (explosive) materials between containers or motor vehicles when not permitted (acute).
§177.841(e)
Transporting a package bearing a poison label in the same transport vehicle
with material marked or known to be foodstuff, feed, or any edible material
intended for consumption by humans or animals unless an exception in §177.841(e)(i)
or (ii) is
met (acute).