When a Compliance Review happens
A Compliance Review (CR), defined in 49 CFR §385.3, is FMCSA's examination of a carrier's operations to determine whether it meets the safety fitness standard. FMCSA uses the Safety Measurement System (SMS) to prioritize carriers for interventions, so a review can follow elevated BASIC data (such as HOS Compliance, Vehicle Maintenance, or Driver Fitness above the intervention threshold) or crashes. A CR may also be conducted to investigate complaints or suspected violations, or in response to a request to change a safety rating.
Unlike new-entrant audits, the result is a published Safety Rating: Satisfactory, Conditional, or Unsatisfactory.
What the auditor checks
The CR covers the same record areas as a new-entrant audit but in deeper detail, and the safety rating is based on six factors in 49 CFR Part 385, Appendix B: general (Parts 387 and 390), driver (Parts 382, 383, 391), operational (Parts 392 and 395), vehicle (Parts 393 and 396 plus out-of-service rate), hazardous materials, and the recordable accident rate. Driver qualification files and hours-of-service records are sampled, and vehicle records are reviewed alongside roadside inspection history.
Investigators may also interview the carrier's safety director (or owner-operator). Typical topics: how is the safety program structured, what training do new drivers receive, how are post-accident drug tests handled, and how does the company communicate HOS expectations.
Outcomes
Satisfactory means the carrier may continue operating without restriction. Conditional means the carrier lacks adequate safety management controls but may keep operating; the rating is public on SAFER. A proposed Unsatisfactory rating becomes final, and the carrier is prohibited from operating, on the 46th day after the notice for passenger and placardable hazmat carriers and on the 61st day for all others (49 CFR §385.13(a)); FMCSA may allow up to 60 more days for other carriers making a good-faith effort.
Safety ratings are public on SAFER (safer.fmcsa.dot.gov), and many brokers and shippers check them before tendering freight. A carrier with a Conditional or Unsatisfactory rating may request an upgrade at any time by submitting evidence of corrective action under §385.17; FMCSA reviews Unsatisfactory-rated requests within 30 days (passenger/hazmat) or 45 days (others).