What Triggers an FMCSA Compliance Review, and How Is a Safety Rating Assigned?

A compliance review is FMCSA's examination of a motor carrier's operations, such as hours of service, maintenance and inspection, driver qualification, CDL requirements, financial responsibility, accidents, hazardous materials and other safety records, to decide whether the carrier meets the safety fitness standard (49 CFR 385.3). It is the review that leads to a safety rating. A new entrant safety audit is different: safety audits do not result in safety ratings (49 CFR 385.3), as covered in FMCSA safety audit drug and alcohol violations.

What triggers a compliance review. Under 49 CFR 385.3, a compliance review may be conducted:

• In response to a carrier's request to change its safety rating
• To investigate potential violations of safety regulations
• To investigate complaints or other evidence of safety violations

A compliance review may also result in an enforcement action (49 CFR 385.3).

The standard. To meet the safety fitness standard, a carrier shows adequate safety management controls that function effectively to reduce risks tied to CDL violations, financial responsibility, unqualified drivers, improper driving, unsafe vehicles, accident registers, fatigued drivers, inspection and maintenance, hazardous materials rules, and accidents and incidents (49 CFR 385.5). Drug and alcohol program controls are part of this picture, as outlined in DOT drug and alcohol compliance employer requirements.

How the rating is assigned. After a compliance review, FMCSA applies the factors in 49 CFR 385.7 through the Safety Fitness Rating Methodology in Appendix B of Part 385 (49 CFR 385.9(a)). Factors include the adequacy of safety management controls, the frequency and severity of violations, roadside inspection and out-of-service results, and accident frequency and rate per million miles (49 CFR 385.7).

The three ratings (49 CFR 385.3).

• Satisfactory: adequate safety management controls are in place and functioning.
• Conditional: controls are not adequate, which could result in the occurrences listed in 385.5.
• Unsatisfactory: controls are not adequate, which has resulted in those occurrences.

A carrier with no assigned rating is "unrated."

Notice and timing. A rating is issued within 30 days after the review (49 CFR 385.9(b)). A satisfactory rating, or one that improves an unsatisfactory rating, is final on the notice date. Other ratings are proposed and become final after 45 days for placardable hazmat and passenger carriers, or 60 days for others (49 CFR 385.11). A carrier with a final unsatisfactory rating is generally prohibited from operating a CMV (49 CFR 385.13).

Responding to a rating. A carrier may request administrative review of a proposed or final rating within 90 days. After a proposed unsatisfactory rating, the request should go in within 15 days so a decision can issue before the prohibition takes effect (49 CFR 385.15). A carrier that has corrected the deficiencies behind a proposed or final conditional or unsatisfactory rating may request a rating change at any time (49 CFR 385.17(a)). Programs for disclosing drug and alcohol problems are discussed in FMCSA voluntary self-identification.