What Is a Compliance Review?
A compliance review (CR) is an in-depth examination conducted by FMCSA or a state agency partner. Investigators review your records across all relevant regulatory categories — driver qualification files, hours of service records, drug and alcohol testing programs, vehicle maintenance records, and accident registers. At the conclusion, FMCSA assigns a safety rating of Satisfactory, Conditional, or Unsatisfactory.
1. Elevated SMS BASIC Percentiles
Your SMS scores are the single biggest factor. FMCSA's intervention model is built around carriers whose BASIC percentiles exceed alert thresholds. If you are above the threshold in multiple BASICs, or significantly above it in even one, you are in the pool of candidates for a compliance review.
2. A Serious Crash or Fatality
Any crash involving a fatality, injury, or significant property damage can trigger an immediate compliance review, particularly if the crash receives attention from law enforcement, the media, or results in litigation. FMCSA takes fatal crashes extremely seriously and will often initiate a review within days.
3. A Complaint
Complaints filed against your company — by drivers, shippers, law enforcement, or the public — can trigger a review. FMCSA takes complaints seriously, particularly those involving hours of service violations, driver fitness issues, or cargo securement failures.
4. New Entrant Monitoring
If your authority is less than 18 months old, you are automatically enrolled in FMCSA's New Entrant Safety Assurance Program. This program includes a mandatory safety audit within your first 12 months of operation. Failure to pass results in a compliance review and potential revocation of authority.
5. Pattern of Roadside Violations
If your vehicles are being pulled out of service at a high rate during roadside inspections, or if your drivers are accumulating violations across multiple states, FMCSA's targeting algorithms will flag your operation for closer scrutiny.
6. Previous Conditional or Unsatisfactory Rating
If you have previously received a Conditional or Unsatisfactory rating and your corrective action plan was accepted, FMCSA may conduct a follow-up compliance review to verify that improvements were actually made and sustained.
What Happens During a Compliance Review?
Investigators will examine your records going back at least 12 months, and often further. They look at:
- Driver qualification files for every driver
- Hours of service records and ELD data
- Drug and alcohol testing records and consortium enrollment
- Vehicle maintenance records and inspection reports
- Accident register
- Hazardous materials records if applicable