• The FMCSA conducts CRs to assess carriers’ safety management controls.

A compliance review is an in-depth examination of a motor carrier’s operations to determine whether the carrier meets the Federal Motor Carrier Safety Administration’s (FMCSA’s) safety fitness standard as described in 385.5. Those that meet the standard are granted a “satisfactory” safety rating. Safety ratings are only issued after a compliance review, not after other types of enforcement actions.

To meet the safety fitness standard, a motor carrier must demonstrate it has adequate “safety management controls” in place, which function effectively to ensure acceptable compliance with the Federal Motor Carrier Safety Regulations. Safety management controls are the systems, policies, programs, practices, and procedures used by a motor carrier to ensure compliance with applicable safety and hazardous materials regulations, which ensure the safe movement of products and passengers through the transportation system, and to reduce the risk of highway accidents and hazardous materials incidents resulting in fatalities, injuries, and property damage. (385.3) The Federal Motor Carrier Safety Regulations (FMCSRs) do not generally specify which safety management controls a carrier must have in place for each compliance topic. Rather, the FMCSA leaves it up to each motor carrier to decide which controls are best to achieve the goal at hand.

Compliance reviews are used:

1. To rate unrated motor carriers,
2. To conduct a follow-up investigation on motor carriers rated unsatisfactory or conditional as a result of a previous review,
3. To investigate legitimate (non-frivolous) complaints,
4. In response to a request by a motor carrier to reevaluate its safety rating, or
5. To assess motor carriers deemed to be high risk.

Motor carriers are usually given at least 48 hours advance notice before a compliance review, not including weekends or federal holidays. In that 48-hour time frame, the carrier is expected to produce all documentation requested by the FMCSA. (390.29) Records that need to be produced include:

• Proof of financial responsibility,
• Driver qualification files (including all required forms),
• Drug and alcohol testing records (if applicable),
• Records of duty status (logs) and supporting documents,
• Driver vehicle inspection reports and maintenance records,
• Hazardous materials records (if applicable), and
• An accident register and copies of all required accident reports.

Auditors will also review roadside inspection results and other data already accessible to the FMCSA.

The compliance review and safety rating process is governed under Part 385. Carriers that are not domiciled in North America but that intend to operate in the United States should refer to Part 385, Subparts H and I.