FMCSA will monitor your safety performance and compliance through its Safety Management System (SMS). If you do not improve, they may investigate your company further.

A motor carrier is considered high-risk based on many sources of information, how recent this information is, and more… and the FMCSA wants to understand why.

The FMCSA has three categories of intervention when dealing with a potentially high-risk carrier: Early Contact, Investigation, and Follow-On. 

Learn more: BEST AUDIT GUIDE IN TRUCKING INDUSTRY

BASICs are Behavior Analysis and Safety Improvement Categories (BASICs) and were established because they are strong indicators of future crash risk and exceeding them can put you on FMCSA’s priority lists which can later result in fines and violations.

The seven Behavior Analysis and Safety Improvement Categories are:

1. Unsafe Driving – Examples: speeding, texting while driving, not wearing seatbelts.
2. Crash Indicator (not public) – A pattern of reportable crashes.
3. Hours-of-Service (HOS) Compliance – Examples: driving beyond 11 hours, incomplete RODS.
4. Vehicle Maintenance – Examples: brake defects, lighting issues, load securement failures.
5. Controlled Substances/Alcohol – Examples: drug/alcohol use or possession.
6. Hazardous Materials (HM) Compliance (not public) – Examples: improper placarding or leaking containers.
7. Driver Fitness – Examples: no valid CDL, medically unqualified drivers.

A Conditional safety rating means FMCSA found safety management controls that need improvement. Even if you can still operate, a conditional rating can impact broker relationships, load opportunities, insurance pricing, and recruiting, because many partners treat it as a higher risk indicator.

Carriers typically have a limited window after receiving the rating letter to submit corrective action and request an upgrade before the rating fully takes effect. Many carriers plan around the common 60-day timeframe referenced for rating changes to become effective, so acting immediately is critical.

CNS will prepare and represent you through an audit. If you already had an audit, we can represent you through a safety rating upgrade and help with associated fines as well.

Specifically, our DOT Compliance team is available to help with any type of audit, including:

Yes. CNS helps carriers identify compliance gaps, correct violations, improve CSA scores, and implement corrective actions designed to reduce out-of-service risk.

DOT auditors are essential for ensuring public safety and maintaining industry standards by enforcing critical transportation regulations. Their rigorous training and mandatory certification process, overseen by the Federal Motor Carrier Safety Administration (FMCSA), are specifically designed to ensure they have the expertise needed to perform their duties fairly and accurately. 

Their training follows a highly structured and mandatory certification process for all personnel who conduct safety audits, investigations, and inspections. This ensures a standardized, methodical approach based on an extensive manual called the Electronic Field Operations Training Manual (eFOTM). 

Yes. You can challenge an FMCSA Notice of Claim (NOC), but you must act quickly and follow strict federal procedures. Most carriers have 30 days from the date of the NOC to respond. Missing this deadline can result in automatic penalties and loss of appeal rights.

An NOC is issued by the Federal Motor Carrier Safety Administration after an investigation or audit identifies alleged violations. Carriers are not required to automatically pay—they have several response options.

A Corrective Action Plan (CAP) is a written plan that explains what problems were found, what actions you took to fix them, and what systems you will implement to prevent repeat violations. A strong CAP includes policies, training, monitoring/auditing steps, and proof documents that match the violations cited in your audit.

Commonly cited problem areas include:

• Driver Qualification Files: missing annual MVRs, missing driver violation lists, missing annual reviews

• Hours of Service: missing supporting documents (BOLs, fuel/scale receipts, lodging), inconsistent logs, weak monitoring/corrective actions

• Drug & Alcohol: missing pre-employment test results, missing reasonable suspicion documentation, incorrect random pool setup

• Maintenance: incomplete annual inspections, weak DVIR processes, poor repair tracking, and operating equipment with unresolved out-of-service conditions