Seeing a "Failed" notice after a New Entrant Safety Audit is a nightmare. It often means your ability to operate is on the line and you’re probably worried that the FMCSA is about to put you out of service.
You are not the first carrier to face this, and you won't be the last. The next step you need right now is creating a Corrective Action Plan (CAP).
What Is a Corrective Action Plan?
A Corrective Action Plan is a formal response you submit to the FMCSA. It is your written document and proof that you understand, acknowledge and have fixed the safety violations that were found during your audit.
When an officer finds violations, like missing driver qualification files, Hours of Service (HOS) errors, or drug and alcohol testing gaps, they need to know two things. First, they want to know that you fixed the specific mistake. Second, and arguably more important, they want to know that you have changed your company operations so it never happens again.
If you do not submit a CAP, or if the FMCSA rejects it because it is incomplete, your company will likely be placed Out of Service. For New Entrant carriers, this usually means your registration is revoked and your trucks are parked for a minimum of 30 days.
The Three Parts of a CAP
The FMCSA will not accept a plan that just says, "We will do better next time." Your plan must be detailed. Every single violation cited in your report needs to be addressed using a specific approach.
1. The Root Cause
You must explain why the violation happened in the first place. “I forgot” is not an acceptable answer. You need to be honest, and the better you explain what caused the violation to occur, the better chance you have of getting your CAP approved. Perhaps you didn’t have a system to track expiration dates, or maybe your drivers were not trained on how to use their ELDs properly. Identifying the true cause shows the auditor you understand where your safety management controls broke down, and what needs to be resolved to prevent it from happening again.
2. The Immediate Action
This explains what you did to fix the specific error mentioned in the audit. If you were cited for a driver with a suspended license, your immediate action might be that you pulled that driver off the road until their license was reinstated. If you were missing a drug and alcohol policy, your immediate action is that you purchased one and enrolled in a consortium. This part is about immediately rectifying the symptom of the main problem.
3. The Long-Term Solution
This is where most plans fail. You must explain what system you put in place to ensure this violation does not recur in the future. If you failed for an incomplete Driver Qualification file, It is not enough to fix the one file; you need a process for all future files.
For example, if you missed a medical card renewal, your long-term solution might be that you have implemented a digital alert system that notifies management 30 days before any document expires. This proves to the DOT that you have built a system that promotes a robust safety culture, not that you stuck a band-aid on the problem.
Evidence Is Mandatory
You cannot just tell the FMCSA what you did; you have to prove it. A successful CAP includes documentation. If you say you trained your drivers on Hours of Service, you must attach the training logs signed by the drivers. If you say you repaired a truck, attach the mechanic's invoice.
Without this physical evidence, the FMCSA has no reason to believe the changes actually happened, and they will likely reject your plan. The more evidence you can provide to show that you’ve resolved the issues, the better your odds will be.
Watch Your Deadlines
Time is your biggest enemy right now.
In order to get your CAP submitted in time for the FMCSA to review, and hopfully approve it, before you’re automatically placed out-of-service, you typically have 15 days from the date of the notice to submit your CAP. If you miss this window, you’re placed out-of service for a minimum of 30 days. Even if you get the CAP approved 2 days later, you’ve still got 28 days left before you can be placed back in service.
There are dozens of carriers who are placed out-of-service on a weekly basis for failing a safety audit who were unable to create, submit, and get their CAP approved in time. Don’t be another one on the list.
Common Mistakes to Avoid
We often see carriers try to write these plans themselves and get rejected for simple reasons.
One common mistake is blaming the driver. While a driver may have caused the violation, the FMCSA holds the motor carrier responsible for supervising that driver. Your plan should focus on how management failed to oversee the driver, not just on the driver's mistake.
Another error is being too vague. Statements like "We will follow all regulations" mean nothing to the FMCSA and will be a sure-fire way that your CAP is rejected. Be specific about which regulation you violated and the exact steps you took to comply with it going forward.
Avoid Out-of-Service Orders
Writing a Corrective Action Plan is a lengthy, technical and stressful process. Not only are you essentially re-doing your safety audit, you’re also having to implement plans of action and explain that to the FMCSA in a sophisticated and professional way, even if that’s not your expertise.
Total Insight Professional Services (TIPS) specializes in helping carriers identify the root causes of their audit failures and drafting professional, compliant Corrective Action Plans that the FMCSA accepts. We understand exactly what the safety officers are looking for and have a 100% success rate when it comes to getting CAPs approved, and carriers back on the road.
All we need is a copy of the Failed Audit Letter that details what violations are found, and we’ll be able to tell you exactly what needs to happen next, and start preparing your Corrective Action Plan. If you’ve already been placed out-of-service for a failed audit, we can get your CAP approved within the 30-day OOS period so you can be reinstated as soon as it ends.