The Operational factor: what auditors check

What records does the auditor check for this factor?

• Records of duty status / ELD data for each driver
• Supporting documents that corroborate the records of duty status (Part 395)
• Evidence that drivers operated in accordance with driving-of-CMV rules (Part 392)
• ELD records retained as required (§ 395.30(f))

Common failures on the Operational factor

• Requiring or permitting a driver to exceed the 11-hour / 14-hour / 60-70-hour limits (§ 395.3, § 395.5)
• Failing to require drivers to prepare a record of duty status (§ 395.8(a)) — an automatic-failure item at the 51%-of-records threshold
• Making or permitting a false record of duty status (§ 395.8(e))
• Operating a vehicle not in accordance with applicable laws (§ 392.2)

How is the Operational factor scored?

Points for Operational come from acute and critical violations of Parts 392 and 395. Part 395 (hours of service) is the single largest source of critical regulations on the acute/critical list.

Acute and critical violations under the Operational factor

This factor is scored from 31 acute/critical regulations on the official list in 49 CFR Appendix B to Part 385, including 1 that can automatically fail the audit under 49 CFR 385.321.

• § 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)(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 without taking an off-duty period of at least 10 consecutive hours prior to driving (critical)