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Department of Transportation Audit

McGriff helps client develop DOT audit plan

Business issue

A McGriff client received notice of an unexpected Department of Transportation (DOT) audit with only three days to prepare. Very concerned, they contacted their McGriff representative who brought in a consultant with the McGriff Risk Services team. In order to better understand the client’s business, the risk control consultant reviewed their Central Analysis Bureau report. It indicated the client was in an “alert” status due to unsafe driving, driver fitness, and vehicle maintenance, probable reasons for the DOT audit.

Action plan

The McGriff risk control consultant immediately made an appointment to visit the client. Spending the day with the client’s office manager, the consultant conducted a “mock” DOT audit covering driver qualification files, vehicle maintenance files, driver fitness, hours of service, and several other compliance topics. The client did not have a formal compliance plan or the required documentation. So the McGriff consultant reviewed DOT requirements and program templates and provided a documentation checklist for the audit.

With only three days to prepare, the DOT handed down an “unsatisfactory” rating, but allowed the client 60 days to correct the compliance issues. If they failed to do so, they would be prohibited from operating their vehicles in inter-and intrastate commerce.

Now more than ever, they needed their broker partner’s expertise and guidance.


The client submitted the required items to the DOT on time and was granted a “conditional” rating, which allowed them to continue operating their commercial vehicles. The McGriff risk control consultant developed a client solutions plan and continues to guide the client toward its next goal: a “satisfactory” rating from the DOT.

Disclaimer: Individual results will vary.

Insurance products and services offered through McGriff Insurance Services, LLC, a subsidiary of TIH Insurance Holdings, LCC, are not a deposit, not FDIC insured, not guaranteed by a bank, not insured by any federal government agency and may go down in value.

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