When a Compliance Review happens
A Compliance Review (CR) under 49 CFR §385.13 is FMCSA's structured, deeper safety audit. It can be triggered by: elevated BASIC scores in CSA (especially HOS Compliance, Vehicle Maintenance, or Driver Fitness above the alert threshold), high crash frequency relative to fleet size, complaint-driven referrals, or random scheduled review.
CRs typically happen 18 months to 5 years into operation. Unlike new-entrant audits, the result is a published Safety Rating: Satisfactory, Conditional, or Unsatisfactory.
What the auditor checks
The CR examines the same seven document categories as a new-entrant audit but in deeper detail. Driver qualification files are sampled (typically 20% of drivers); hours-of-service records are pulled for a structured sample period; vehicle inspection records are matched against roadside inspection history; and the accident register is cross-referenced with state DMV crash reports.
Auditors also conduct a documented interview with the carrier's safety director (or owner-operator). Common interview 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 specific compliance gaps must be cured within 60 days; the rating publishes on SAFER and brokers / shippers see it. Unsatisfactory triggers an "Out of Service" order - the carrier may not operate until the rating is upgraded.
Carriers operating with Conditional or Unsatisfactory ratings see immediate broker tendering loss. Most large brokers refuse to load a Conditional carrier; an Unsatisfactory carrier is effectively shut down.