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Compliance Reviews

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What Is a Compliance Review?

A compliance review is a comprehensive, on-site FMCSA examination of a motor carrier's operations — driver qualification files, hours-of-service compliance, vehicle maintenance, drug and alcohol testing, and other safety records — conducted to determine whether the carrier meets the federal safety fitness standard. Compliance reviews are governed by 49 CFR Part 385. Unlike a safety audit, a compliance review can result in the assignment of a formal safety rating and can lead directly to an enforcement action, civil penalty, or notice of claim.

What Triggers a Compliance Review

Trigger What It Means
SMS BASIC performance A carrier's Safety Measurement System scores stand out against similar carriers, prompting FMCSA to open an investigation.
Complaint investigation A formal complaint from a driver, shipper, or the public triggers a targeted or full review.
Crash investigation Involvement in a serious or fatal crash can prompt a post-crash compliance review.
Follow-up review Carriers previously rated conditional or unsatisfactory are commonly reviewed again to check for corrective action.
Program-required review Certain operations (e.g., some hazardous materials or passenger carriers) are subject to review on a recurring basis.

What Investigators Review

  • ✓ Driver qualification files and CDL status
  • ✓ Hours-of-service records and ELD data
  • ✓ Vehicle maintenance and inspection records
  • ✓ Drug and alcohol testing program records
  • ✓ Accident register and crash history
  • ✓ Financial responsibility and insurance filings
  • ✓ Hazardous materials handling procedures, where applicable

Safety Ratings and What They Mean

Rating What It Signals
Satisfactory The carrier has adequate safety management controls in place to meet the safety fitness standard.
Conditional The carrier lacks adequate controls, but violations found have not yet produced serious safety occurrences.
Unsatisfactory The carrier lacks adequate controls and violations have resulted in serious safety occurrences; can lead to an out-of-service order and loss of operating authority.

An unsatisfactory rating for a carrier hauling hazardous materials or passengers generally triggers a shorter timeline before the carrier must cease operations than for other carriers. Exact timelines and procedures are set out in 49 CFR Part 385.

49 CFR Part 385 — Safety Fitness Procedures (eCFR)

Frequently Asked

How long does a compliance review take?
It varies with fleet size and the scope of the issues involved. A small carrier with a narrow, complaint-driven review might be done in a day, while a larger carrier facing a full-scope review of multiple BASICs can take considerably longer.
Can I appeal a rating I disagree with?
Yes. FMCSA provides administrative processes to request a change to a safety rating or to challenge specific violation or crash data, including the DataQs system for disputing data used in FMCSA's records. Deadlines and procedures apply, so it's important to act promptly once a rating is issued.
Does a conditional rating shut down my operation?
Not by itself. A conditional rating is a warning sign, not an operating prohibition. An unsatisfactory rating is the one that can lead to an out-of-service order, so carriers rated conditional generally have an opportunity to correct problems before matters escalate.

Related Topics

CSA / SMS Safety Audits FMCSA Regulations Hazardous Materials Driver Qualification

This page is general information, not legal advice. Compliance review procedures, safety rating methodology, and enforcement timelines are set by FMCSA under 49 CFR Part 385 and subject to change — confirm current requirements at fmcsa.dot.gov or ecfr.gov before making compliance decisions.

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