DOT Audit Preparation & Corrective Action Plans
So you have received notice that your company will be audited. As the saying goes…”the best time to prepare for something was 20 years ago, but the second best time to prepare is today”. That wise phrase still holds true for DOT Audits. While we would always prefer to work with motor carriers before their operations begin, we understand that is not always possible. There are a lot of complexities that come with the business of operating Commercial Motor Vehicles and unfortunately there is not a “one size fits all” method of handling compliance issues. The good news is that our company has helped several motor carriers prepare for and pass their audits (even some of the companies that contacted us at the last minute). If your company has received notice of an upcoming audit and you need help…contact us immediately. Below is information on a couple of types of audits and Corrective Action Plans.
New Entrant Audit
Motor carriers must undergo a Safety Audit within the first 12 months of their operations to complete the New Entrant Program.
A Safety Audit is a review of a motor carrier’s records designed to verify that a carrier has basic safety management controls in place to ensure compliance with applicable Federal Motor Carrier Safety Regulations (FMCSRs), Hazardous Materials Regulations (HMRs), and related record-keeping requirements.
An onsite comprehensive investigation takes place at the carrier’s place of business. It is employed when the carrier exhibits broad and complex safety problems, or in response to national program goals.
Corrective Action Plan
If you are reading this section, there is a good chance that your company did not fair well during an audit. As tempting as it may be, don’t put the For Sale sign on your trucks or business just yet. We have worked with companies to get educate them and get them back into compliance. A motor carrier must then file a Corrective Action Plan. The Corrective Action Plan (CAP) must be submitted within 15 days from the date of written notice that the new entrant failed the safety audit to ensure the FMCSA has sufficient time to review the CAP. Failure to submit the CAP within the 15 day time period may prevent the FMCSA from issuing a decision before the revocations and out‐of‐service orders in section 385.325 take effect.