Audit compliance review preparation

Skill x3fleetsafety/skills/skills/audit-compliance-review-preparation

Open-source Agent Skills for DOT / FMCSA compliance. Drop in any AI coding agent (Claude Code, Cursor, Cowork) so it knows trucking regulations like a fleet safety pro.

Install

npx -y skills add x3fleetsafety/skills --skill audit-compliance-review-preparation

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Use this skill when you receive an FMCSA Compliance Review notification. Covers what to expect, what documents to produce, and best preparation strategies.

SKILL.md

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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

Driver list (all drivers, current + past 12 months)
DQ files for sampled drivers
RODS for sampled drivers + dates
Vehicle inspection records for sampled vehicles
Drug + Alcohol testing records
Accident register
Insurance documentation (MCS-90)
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.

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