Compliance Reviews and Investigations

“Compliance Review” and “Compliance Investigation” are interchangeable. They examine a motor carrier’s onsite or offsite operation (remotely) to determine whether it complies with the Federal Motor Carrier Safety Regulations, meets the safety fitness standard (49 CFR 385.5), and the Hazardous Material Regulations, if applicable. This action may be initiated due to the motor carrier’s safety performance records indicating a possible issue with their safety management controls, investigation of potential violations of safety regulations by either the motor carrier, their employees, and/or drivers, or investigation complaints. This will consist of examining the motor carrier’s transportation and safety records, including, but not limited to, special training requirements, controlled substance and alcohol program, commercial driver license records, financial responsibility, general regulations, driving of commercial motor vehicles, required parts and accessories for safe operation, hours of service, inspection, and maintenance of commercial motor vehicles, and transportation of hazardous materials.

The Compliance Reviews or Investigation may result in a safety rating being assigned to the motor carrier depending on the violations, found or not found, and the type of investigation being conducted. The Compliance Review or Investigation may also result in the initiation of an enforcement action against the motor carrier, drivers, and/or other motor carrier employees.

Types of Compliance Reviews and Investigations

Comprehensive – A comprehensive review or investigation is a complete review of all Federal Motor Carrier Safety Regulations that are applicable to the motor carrier. This type of review or investigation results in a safety rating assigned to the motor carrier.

Focused – A focused review or investigation is focused on the areas of the Federal Motor Carrier Safety Regulations that are identified on the motor carrier’s safety performance records as potential problem areas or a potential problem with certain drivers employed by the motor carrier. A review or investigation that begins as focused could switch to comprehensive based on violations found. A focused review may or may not result in a safety rating assigned to the motor carrier.

Who conducts the Compliance Review or Investigation in Oklahoma?

Safety Investigators with the Federal Motor Carrier Safety Administration or Oklahoma Highway Patrol State Troopers, who are certified by FMCSA, will conduct the Compliance Review or Investigation. FMCSA and OHP partner to ensure Oklahoma-based motor carriers comply with all applicable regulations and laws.

Where and when does the Compliance Review or Investigation take place?

The Compliance Review / Investigation will be conducted either onsite at the motor carrier’s principal place of business or offsite (remotely).

Onsite Compliance Reviews / Investigations are usually conducted at the motor carrier’s principal place of business, Monday through Friday, during business hours. The Safety Investigator assigned to conduct the Compliance Review / Investigation will attempt to contact the motor carrier’s owner, President / CEO, managing member, or authorized carrier representative to explain what initiated the investigation and what will be required of the carrier during the process. The Safety Investigator may set an appointment date, time, and location for the investigation to occur during this initial contact. All attempts are made to accommodate the motor carrier and not place an undue hardship on the carrier. However, due to the nature of some complaints or the action that prompted the investigation, the Safety Investigator may arrive unannounced in some instances.

Offsite Compliance Reviews / Investigations are conducted remotely utilizing a designated website to upload required documents or via email. The carrier will receive instructions from either FMCSA or one of our Safety Investigators to explain what documents and information are required and how to submit this information.

How is the motor carrier contacted?

The motor carrier could be contacted by enforcement personnel in several different ways, such as in person at the PPOB, by telephone, by email, by fax, or by mail (USPS, FedEx, or UPS). Once contacted, the motor carrier will be notified of the review or investigation's start date, time, and location.

How do I prepare for a Compliance Review or Investigation?

At the time of initial contact with the motor carrier, the investigator will provide instructions on preparing for the investigation. These instructions are usually contained in either a written letter or email so that the motor carrier can refer to the information as they prepare. The motor carrier must comply with all instructions provided, such as providing certain documents and/or information before the start of the investigation. 

Can the motor carrier refuse a Compliance Review or Investigation?

No, the motor carrier must provide FMCSA and certified OHP personnel access to inspect and copy all records of the motor carrier’s operation and/or inspect and examine equipment, lands, buildings, and other property upon demand. If the carrier refuses, enforcement action will be initiated to include, but not limited to, civil penalties and/or placed under an Out-of-Service order.

Safety Ratings

Safety ratings may or may not be assigned to the motor carrier based on the type of review or investigation. Comprehensive reviews or investigations will result in a safety rating. Focused reviews or investigations may result in a non-rated review or conditional rating. The motor carrier will not receive a satisfactory rating from a focused review. If a focused review indicates the motor carrier would be rated as unsatisfactory, the review or investigation will switch to comprehensive.

Ratings listed on the Compliance Review or Investigation report and provided during closeout are proposed ratings. The rating becomes final after 60 days for motor carriers of property and 45 days for motor carriers of passengers or hazardous materials. Other than satisfactory, the safety rating does not take effect until the final rating is issued on the 61st or 46th day, depending on the cargo hauled, as mentioned above. The satisfactory rating usually becomes final once the review or investigation report is uploaded and approved by FMCSA.

Satisfactory – This rating is only assigned to a motor carrier after a comprehensive review or investigation. This rating means the motor carrier has adequate safety management controls in place to meet the safety fitness standard as prescribed in 49 CFR 385.5. Safety management controls are adequate if they are appropriate for the motor carrier's size and type of operation.

Conditional - This rating could be assigned to a motor carrier after a comprehensive or focused review or investigation. This rating means the motor carrier does not have adequate safety management controls in place to meet the safety fitness standard as prescribed in 49 CFR 385.5.

Unsatisfactory – This rating is only assigned to a motor carrier after a comprehensive review or investigation. If the review or investigation begins as focused, it will switch to comprehensive in order to assess the motor carrier’s entire operation before assigning this rating. This rating means the motor carrier does not have adequate safety management controls in place to meet the safety fitness standard as prescribed in 49 CFR 385.5. If this rating becomes final, the motor carrier will be under a Federal Out-of-Service order until the safety rating is upgraded.    

Non-Rated review or investigation – This is noted after focused reviews or investigations that cannot determine, based on the areas examined, if the motor carrier has adequate safety management controls to meet the safety fitness standard as prescribed in 49 CFR 385.5. Due to the focused nature of the review or investigation, the motor carrier cannot be issued a safety rating. If the motor carrier has a previous safety rating assigned, a non-rated review or investigation will not change the safety rating already issued to the motor carrier.

Unrated carrier – An unrated motor carrier means that a safety rating has not been assigned to the motor carrier.

Can a motor carrier contest its proposed safety rating?

If the carrier believes an error was made when assigning its proposed safety rating, it may request an administrative review, which is explained in 49 CFR 385.15.

How does a motor carrier request an upgrade of their current or proposed Conditional or Unsatisfactory safety rating?

A motor carrier that has been issued a proposed or final rating of Conditional or Unsatisfactory may request an upgrade based on corrective action. The motor carrier must submit their written corrective action plan and evidence showing the plan has been implemented and has corrected the violation to the appropriate FMCSA Service Center. Oklahoma-based motor carriers must submit their corrective action plan and all documentation the carrier wishes FMCSA to consider to the FMCSA Service Center in Atlanta, GA. For more information, please refer to 49 CFR 395.17. If the motor carrier has also submitted a request for administrative review under 49 CFR 385.15, FMCSA will not consider the upgrade request until the administrative review request is resolved.

Reincarnated Carriers, also known as Chameleon Carriers, are prohibited.

Motor carriers may not register for a new USDOT number to avoid complying with an FMCSA order, avoid complying with statutory or regulatory requirements, avoid paying a civil penalty, avoid responding to an enforcement action, or avoid being linked with a negative compliance history to include masking or otherwise concealing regulatory non-compliance. Reincarnated is defined as motor carriers with common ownership, common management, common control, or common familial relationships. If a motor carrier is found to be reincarnated, the motor carrier’s USDOT registration will be suspended. For more information, please refer to 49 CFR 385.1001+ (Subpart L if you're referencing the printed regulation book).

Falsification, reproduction, or alteration of any certificate, reports, or required records is prohibited.

A motor carrier, its agents, officers, representatives, or employees shall not make, cause to make, or provide false information regarding any record, report, application, or certificate required by the Federal Motor Carrier Safety Regulations. The motor carrier, its agents, representatives, or employees found in violation could face civil and/or criminal actions.