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DOT Safety & Compliance Services
What type of Audits is a Carrier able to encounter?
A New Entrant Safety Audit is a review of a carrier’s records designed to verify that a carrier has basic safety management controls in place to ensure compliance with applicable FMCSRs and HMRs. The Safety Audit will be conducted, usually within the first 12 months of operation, by an FMCSA- or State-certified auditor at the carrier’s place of business, an agreed upon location, or electronically, by submitting relevant documents online or via fax.
Each carrier issuing an operating authority will remain in an enhanced safety monitoring. FMCSA will conduct a Comprehensive Compliance Review (CR). During the CR, FMCSA reviews all motor carrier, driver, and vehicle requirements for the carrier’s entire operation, including commercial-zone and long-haul operations, to ensure proper safety management controls are in place before granting the motor carrier standard operating authority. The carrier must receive a Satisfactory rating to receive standard operating authority. The areas a Safety Auditor may review include, but are not limited to: (See the Safety Audit Evaluation Criteria in Appendix A to Part 385).
Requesting a Review or Change of Safety Rating (Focused Review Audit). Administrative Review of Safety Rating:
A motor carrier may request that FMCSA perform an administrative review of a proposed or final safety rating. The process and the time limits are described in 49 CFR 385.15. Request to Change a Safety Rating: A motor carrier may request a change to a proposed or final safety rating based upon corrective actions it has taken. The process and the time limits are described in 49 CFR 385.17.
It's important to understand how Crashes Affect Carrier Safety Interventions by FMCSA. All reportable crashes over the last 24 months are listed in FMCSA’s Safety Measurement System (SMS). All reportable crashes are used to calculate a Crash Indicator measure and percentile. SMS weights crashes based on severity. In the case of the Crash Indicator measure and percentile, the carrier’s crash rates are being compared to other similar carriers’ crash rates. A high Crash Indicator percentile suggests that a further examination of crash cause(s) may be needed, and if correctable, the motor carrier should make changes to address the problem(s) (Safety Investigations mostly triggered when fatalities occur).
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What is CSA—and how does it affect me?
CSA stands for Compliance, Safety, Accountability. It is the safety compliance and enforcement program of the Federal Motor Carrier Safety Administration (FMCSA) that holds motor carriers and drivers accountable for their role in safety. CSA affects motor carriers, including owner-operators, by identifying those with safety problems to prioritize them for interventions such as warning letters and investigations. CSA affects drivers because their safety performance and compliance impact their safety records and, while working for a carrier, will impact their carrier’s safety record.
What are Safety Ratings—and how does it affect me?
A safety rating is an evaluation of a motor carrier’s compliance with the safety fitness standard; the process is described in 49 CFR 385, Appendix B. FMCSA may issue one of three safety ratings (Satisfactory, Conditional, Unsatisfactory) after a Rated Investigation (compliance review). Not all investigations result in a safety rating. A compliance review may be conducted to investigate potential violations of safety regulations or complaints about motor carriers, among other reasons.
Final safety ratings are publicly available through the SAFER Website, and may be used by shippers and consumers to make decisions about which motor carriers to hire. FMCSA does not issue safety ratings to drivers, only to motor carriers.
Safety Ratings
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Satisfactory safety rating means that a motor carrier has functional and adequate safety management controls to meet the safety fitness standard prescribed in 49 CFR 385.5. Safety management controls are adequate if they are appropriate for the size and type of operation of the carrier.
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Conditional safety rating means a motor carrier does not have adequate safety management controls in place to ensure compliance with the safety fitness standard that could result in occurrences listed in 49 CFR 385.5 (a) through (k).
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Unsatisfactory safety rating means a motor carrier does not have adequate safety management controls in place to ensure compliance with the safety fitness standard, which has resulted in occurrences listed in 49 CFR 385.5.
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Unrated means that a safety rating has not been assigned to the motor carrier by the FMCSA.
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