A policy-driven methodology allows the Federal Motor Carrier Safety Administration (FMCSA) and its state partners to apply appropriate interventions when carriers are targeted for warnings and corrective action. Depending upon the severity of the Behavior Analysis and Safety Improvement Category (BASIC) alerts, a variety of interventions may be employed to improve carrier safety.

Early Carrier Contact

• Carrier Warning Letters – Carriers who have triggered a BASIC alert will receive a letter warning them of the violation and outlining the potential consequences if the issue is not remedied. The letter will detail how a carrier can review their safety data and provide contact information should they need assistance.

• Carrier Review of Safety Data and Measurement – Carriers are encouraged by the FMCSA to review their BASICs scores, inspection reports, and violations, if any, to identify areas where additional safety training may be needed, as well as to ensure that the data is accurate. If a carrier identifies any erroneous data or reports, they are encouraged to contact the FMCSA.

• Targeted Roadside Inspections – Roadside inspectors now have greater access to carrier data, allowing them to target those carriers whose BASICs scores indicate poor safety performance. These inspections may occur at any roadside inspection location where SMS data is available to law enforcement personnel

Carrier Investigation

• Carrier Offsite Investigation – A carrier targeted for offsite investigation must supply records, such as drug testing records, Hours of Service logs, and toll receipts to the FMCSA or their state partners, so that the underlying issues of their safety violations may be identified and addressed.

• Carrier Onsite Focused Investigation – An investigation of this type occurs when a carrier triggers one or two BASICs alerts. An investigator will report to the carrier’s location and perform an evaluation of the safety issues at play. The intent is to identify the underlying issues and rectify them in an effort to improve highway safety.

• Carrier Onsite Comprehensive Investigation – When a carrier presents significant safety issues and triggers frequent BASICs alerts, triggers three or more BASICs, is the target of complaints, or is involved in a fatal crash, the FMCSA or their state partners will conduct a thorough investigation at the carrier’s location to identify the cause of their poor safety performance and determine if the carrier may continue to operate.

Follow-on

• Cooperative Safety Plan – If a carrier is flagged for poor safety performance, they may cooperate with the FMSCA to develop a plan, which will address the root causes of their poor safety scores. This is a safety improvement plan that is voluntarily implemented by the carrier.

• Notice of Violation – When a carrier violates highway safety regulations, they may receive a formal notice of safety alerts, and they are required to respond. A Notice of Violation may also be triggered when the nature of the violation can be immediately corrected and the carrier demonstrates a high level of cooperation with the FMCSA.

• Notice of Claim – Where a carrier is in severe violation of highway safety regulations, a Notice of Claim is issued and the carrier may be assessed civil penalties.

• Operations Out-of-Service Order – In cases of extreme negligence on the part of the carrier, an Operations Out-of-Service Order may be issued, preventing the carrier from operating its fleet.