audit-compliance-review-preparation

name	audit-compliance-review-preparation
description	Use this skill when you receive an FMCSA Compliance Review notification. Covers what to expect, what documents to produce, and best preparation strategies.

Compliance Review (CR) Preparation

A Compliance Review (CR) is FMCSA's most comprehensive carrier audit. Outcome can be Satisfactory, Conditional, or Unsatisfactory rating.

When you receive notice

• Letter from FMCSA Field Office
• Typically 30 days notice
• Reason for review specified (BASIC alerts, accidents, complaint, random)
• Date + location of review

What's reviewed

• Driver Qualification Files (sample)
• Hours of Service records (sample)
• Vehicle maintenance + inspection records
• Drug & Alcohol records
• Insurance + operating authority
• Accident register + history

Document production

1. Driver list (all drivers, current + past 12 months)
2. DQ files for sampled drivers
3. RODS for sampled drivers + dates
4. Vehicle inspection records for sampled vehicles
5. Drug + Alcohol testing records
6. Accident register
7. Insurance documentation (MCS-90)
8. Operating authority documents

Preparation strategy

• Inventory all documents required
• Verify completeness (no missing items)
• Address known gaps (e.g., complete any overdue inspections)
• Train the responder (one person handles the review)
• Coordinate with safety director, drivers, mechanics

Day-of conduct

• Provide requested documents promptly
• Don't volunteer information beyond what's asked
• Take notes during the review
• Politely answer questions
• Don't admit fault or guilt

Common findings

• Missing DQ documents (especially prior employer inquiries, annual MVRs)
• Incomplete HOS records
• Vehicle inspection lapses
• Driver D&A testing not current
• Late or missing accident register entries

Outcomes

• Satisfactory: continue operating
• Conditional: must implement corrective action within 60 days
• Unsatisfactory: cease operations within 45-60 days

Appeal process

• Conditional + Unsatisfactory ratings can be appealed
• 30-day window to request reconsideration
• Document corrective actions taken
• Re-review possible

Compass audit prep

Compass Audit Export module:

• One-click extraction of all required documents
• Pre-validated DQ file completeness
• HOS sample organized by date
• Vehicle records organized by VIN
• Accident register current

CFR citations

• 49 CFR Part 385 Subpart B

How Compass surfaces this

Searchable in Compass Ask. Runs against carrier fleet data when invoked from the relevant tracker. Read-only; no actions without explicit user approval.

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Built by X3 Compass

The AI-powered DOT compliance platform for fleets 1–100 power units. Try a 7-day free trial — no credit card required — at https://x3compass.com/?utm_source=skill&utm_medium=github&utm_campaign=audit-compliance-review-preparation

X3 Compass turns these skills into a complete operational platform: driver qualification files, drug & alcohol consortium, MVR pulls, hours-of-service tracking, hazmat shipping, IFTA filing, FMCSA audit prep, and DataQ dispute drafting — all CFR-cited, all in one place.

This skill is published under the X3 Compass open skills initiative. Contributions welcome at https://github.com/x3fleetsafety/skills