What Happens if You Fail a DOT Audit? How to Prepare and Minimize the Risks

Each operating authority will undergo a DOT audit at some point in time. These audits are nothing to fear if you run a trustworthy company and keep good records of vehicles and drivers within your fleet. Still, what happens if you fail a DOT audit? 

The Federal Motor Carrier Authority Online Filings website provides a trucking company compliance checklist to help you through the process. Below, the team goes over what you might need for a DOT safety audit, the reasons you might fail, and what to do if you’ve fallen short of the mark.

What is a DOT Audit?

You’re more likely to fail a DOT audit if you’re unfamiliar with its intricacies. Since every carrier will undergo an audit at some point, knowing what to expect might just help you pass your next one.

Currently, the Department of Transport audits every new carrier within the first year after entering the industry. The audits also occur after an accident or if your company achieves a low CSA score, which measures compliance, safety, and accountability.

A DOT safety audit examines a carrier’s records to ensure they operate as safely as possible and comply with both FMCSA safety regulations and hazmat regulations.

Some of the areas of examination include the following:

• Evidence of drug or alcohol abuse
• Full compliance with all safety regulations and state laws
• Company safety, including appropriate service hours and qualified drivers
• Recent fleet safety rating

Also, an auditor may opt for a ride-along to assess the performance of any driver.

Compiling Information for a DOT Safety Audit

For peace of mind, many carriers choose to work with a consulting firm to compile the information required for a DOT safety audit. Since the agency handles all the details, it’s a great way to avoid violations, which would occur if you failed to provide any of the necessary information. 

A consulting firm also helps you keep track of information along the way so that you don’t have to scramble to find anything when the DOT flags you for an audit. For example, some information you need on file will include the following:

• A list of all vehicles, including VINs and cab registration
• Driver information, including hire dates and full government names
• Proof of DOT physicals for all drivers
• Drug testing records for all drivers
• Logbooks listing recorded service hours
• Current medical certificates

Reasons You May Fail a DOT Safety Audit

Of course, there are a handful of reasons why a company may fail a DOT audit, including the following:

Neglected Vehicles

All operating vehicles should have proof of regular maintenance and an annual inspection. Neglecting repairs or safety problems could deem the vehicle inoperable and fail the audit.

Driver Infractions

Unsafe drivers pose a risk to other drivers, pedestrians, and structures. Drivers who demonstrate that they are not physically and mentally strong enough for the job could fail a DOT audit. Brokers could also face trouble if any drivers are operating without a valid commercial license. 

Drug and Alcohol Abuse

Those who regularly consume drugs and alcohol cannot operate a vehicle safely, so random drug testing aims to identify underlying problems for transport drivers. Evidence of abuse or the failure to submit a drug test could result in a failed DOT audit.

When You Fail a DOT Audit

So, what happens if you fail a DOT audit? Firstly, you won’t know that you’ve failed until a little later when you receive the results within 45 days. The letter will include details about what you need to do to form a Corrective Action Plan.

When you put together a CAP after an audit failure, you will need to carefully explain what actions you plan to take to fix the issues at hand. If you don’t submit a CAP within the time indicated by your letter, you could lose your operating authority and face civil penalties.

However, your DOT audit failure notification letter should make it easy to form your Corrective Action Plan since it lists the violations and suggests how to remedy each problem. 

Stay In Good Standing With a Successful DOT Safety Audit

At some point, the authorities will flag every entity for a DOT safety audit. Whether it is after a traffic accident or because they’re a new entry, it’s only a matter of time. Failing a DOT safety audit could mean receiving an out-of-service order and paying steep fines, so taking steps to succeed in the audit could save you a headache.

What happens if you fail a DOT audit for a second time? Federal Motor Carrier Authority Online Filings can answer this question and others, as well as help you form an action plan after failing your DOT safety audit. Get expert help today via our online chat feature, email, or the convenient online contact form!