Preparing for an FMCSA compliance review
A compliance review, which FMCSA now calls an investigation, is a look at your records to decide whether your safety controls work. It can end with a safety rating, a warning or fines. Most of what gets carriers in trouble is paperwork they could have had ready. Here's what triggers one, what the investigator asks for and how to get your files in order.
Key takeaways
- FMCSA runs three kinds of investigation: offsite (documents reviewed remotely, no rating), onsite focused and onsite comprehensive.
- Common triggers are CSA scores over the intervention threshold, a non-frivolous complaint, a serious crash, or your own request to change a rating.
- Investigators check six areas: general, driver, operational (HOS), vehicle, hazmat and your accident rate.
- One acute violation, or a pattern of a critical one (more than one and at least 10% of records checked), counts against you. Hours of service patterns count double.
What a compliance review is
Everything below was checked against the official sources at the bottom of this page on November 4, 2026. 49 CFR 385.3 defines a compliance review as an examination of your operation (hours of service, maintenance and inspection, driver qualification, CDL rules, insurance, accidents, hazmat) to decide whether you meet the safety fitness standard. FMCSA's CSA program now uses three types of investigation:
- Offsite: the investigator asks for copies of documents and reviews them remotely. It doesn't produce a safety rating, but violations can still bring penalties, and it can be turned into an onsite investigation.
- Onsite focused: the investigator comes to your place of business and looks at specific problem areas. It can leave you unrated or end with a Conditional or Unsatisfactory rating, but never Satisfactory.
- Onsite comprehensive: a review of your whole safety operation under all the Appendix B factors of Part 385. This is the one that can give you any rating.
A compliance review is not the new entrant safety audit. The audit, usually after at least 3 months of operation in your first 18 months, checks basic safety management controls and is partly educational (49 CFR 385.307). See safety ratings explained for what a rating means.
What triggers one
- CSA scores: FMCSA uses SMS data to pick carriers for intervention. A warning letter usually comes first; an investigation follows if the problems continue. See CSA scores explained.
- Complaints: FMCSA's investigator manual says a carrier with a non-frivolous complaint requires an investigation.
- Serious crashes: the same manual requires an onsite investigation after a crash with three or more deaths, and crashes feed your Crash Indicator score.
- Your own request: asking FMCSA to upgrade a Conditional or Unsatisfactory rating (49 CFR 385.17) leads to a review of your corrective action.
Fixing wrong inspection or crash records in DataQs keeps your scores accurate, which lowers the chance of being picked.
The records investigators ask for
- General: proof of insurance (MCS-90 or surety bond) at your principal place of business (49 CFR 387.7(d)) and an MCS-150 updated every 24 months (390.19). See keeping your MC active.
- Driver: a complete driver qualification file for every driver: application, MVRs, road test or equivalent, annual MVR review, medical certificate and the National Registry check (391.51). Use our DQ file checklist.
- Drug and alcohol (CDL drivers): a testing program with random testing, a pre-employment Clearinghouse query and an annual query for each driver (Part 382). See the drug and alcohol checklist.
- Hours of service: logs or ELD data plus supporting documents such as bills of lading, dispatch records, fuel and toll receipts and payroll records. Drivers must turn them in within 13 days, and you don't need more than 8 per driver per day (395.11).
- Vehicle: maintenance and repair records for each truck, DVIRs, and an annual inspection for each vehicle within the past 12 months (396.3, 396.11, 396.17).
- Accidents: your accident register and copies of required accident reports (390.15).
How long to keep each record
| Record | Keep it | Rule |
|---|---|---|
| Driver qualification file | While the driver works for you, plus 3 years | 49 CFR 391.51(c) |
| Logs (RODS or ELD) and supporting documents | 6 months | 49 CFR 395.8(k) |
| Maintenance and repair records | 1 year, and 6 months after the truck leaves your control | 49 CFR 396.3(c) |
| Driver vehicle inspection reports (DVIR) | 3 months | 49 CFR 396.11 |
| Annual inspection report | 14 months | 49 CFR 396.21(b) |
| Accident register and accident reports | 3 years after each accident | 49 CFR 390.15(b) |
| Drug and alcohol: positives, refusals, alcohol 0.02 or higher | 5 years | 49 CFR 382.401(b) |
| Drug and alcohol: negative and canceled results | 1 year | 49 CFR 382.401(b) |
| Clearinghouse query records | 3 years | 49 CFR 382.701 |
Acute and critical violations
Appendix B of Part 385 scores what the investigator finds. An acute violation is so serious it needs immediate correction, and one is enough to count. A critical violation points to weak management controls and counts when it's a pattern: more than one, and at least 10% of the records checked. Each counts 1 point, and an hours of service pattern counts 2. Examples from the appendix:
- Acute: no drug and alcohol testing program or no random testing, using a driver who refused a test, no required insurance, false records, using a disqualified or medically unqualified driver, driving a vehicle placed out of service.
- Critical: missing DQ files, MVR checks or medical certificates, driving over 11 hours, no logs, false logs, no maintenance records, no DVIRs, no periodic inspection, no proof of insurance on file, missing accident reports.
Results can include a Notice of Violation (you show corrective action or contest it), a Notice of Claim with civil penalties, a voluntary Cooperative Safety Plan, and a safety rating after an onsite review. FMCSA says a penalty may be reduced when you make the recommended corrections.
Get ready before anyone calls
- Keep one folder per driver and one per truck, and check them against the table above every quarter.
- Pull your SMS scores monthly and fix data errors in DataQs.
- Keep supporting documents with each trip so log checks can be matched.
- Answer an investigator's document request by the date given, and fix anything wrong right away; corrective action matters for the outcome.
Want help? Fleetorica's safety audit prep and compliance setup services set up your files, and dispatch is a simple percentage of each load, quoted for your truck. Call (747) 210-0227.
- 49 CFR 385.3: Definitions (compliance review, safety audit)
- 49 CFR 385.307: New entrant safety audit
- 49 CFR Part 385, Appendix B: Safety rating methodology
- CSA: Interventions (investigation types and outcomes)
- CSA Safety Planner: Investigations
- FMCSA: Electronic Field Operations Training Manual v9.9 (Jan 2026)
- 49 CFR 391.51: Driver qualification files
- 49 CFR 395.8: Records of duty status
- 49 CFR 395.11: Supporting documents
- 49 CFR 382.401: Drug and alcohol record retention
- 49 CFR 382.701: Clearinghouse queries
- 49 CFR 396.3: Inspection, repair and maintenance
- 49 CFR 396.11: Driver vehicle inspection reports
- 49 CFR 396.17 and 396.21: Periodic inspection
- 49 CFR 390.15: Accident register
- 49 CFR 387.7: Proof of financial responsibility
This page is general information, not legal or tax advice. Rules change; confirm with FMCSA, the IRS or your state before you file.
Questions carriers ask
What is the difference between a safety audit and a compliance review?
The new entrant safety audit checks basic safety controls during your first 18 months and is partly educational. A compliance review (investigation) checks whether you meet the safety fitness standard and, if onsite and comprehensive, can give you a Satisfactory, Conditional or Unsatisfactory rating.
Does an offsite investigation affect my safety rating?
No. FMCSA says offsite investigations are non-ratable. Violations found can still lead to penalties, and the investigation can be converted to an onsite one.
How long do I keep logs and supporting documents?
At least 6 months (49 CFR 395.8(k)). Driver qualification files are kept for the driver's employment plus 3 years, and the accident register for 3 years after each accident.
What counts as a pattern of violations?
More than one violation of the same critical rule, found in at least 10% of the records examined (Part 385, Appendix B).