Industry Insights

Mock Audits: How They Can Help Your Company

Building and developing your company’s drug testing policy is just the beginning of meeting and maintaining compliance standards. Once your company policy exists, it’s your duty to ensure that your drug testing policy and practices meet legislative, regulatory, and industry standards in support of public safety and employee’s workplace rights. Failing to meet requirements or erroneous policies can result in costly fines and penalties, which supports the value of making mock audits a business priority for your compliance program.

Compliance programs can be expensive, time-consuming, and flat out confusing, but with the help of a mock audit, you have the opportunity to fix most problems or inaccuracies before you’re surprised by a formal audit. 

What Is a Mock Audit?

A mock audit essentially is an internal assessment that mirrors the tenets of a formal audit to prevent risks, fines, and fees. When conducting a mock audit, the customer will mirror the entire process of a formal audit. This allows your staff to become familiar with audit protocols, which can vary depending on the industry requirements.

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Mock audits can be very beneficial for customers to help create and maintain a drug testing policy that meets compliance requirements.

  • Limit Risk and Exposure- Although a mock audit is a business expense, its greatest value is to identify, correct, and deter costly mistakes.
  • Issues Identification and Remediation- If anything is wrong with your drug testing policy, you’ll have the chance to impose corrective actions through sound remediations plans without repercussions.
  • Pursue Optimal Performance– A mock audit allows you to enhance your current policy, for optimal performance. Sometimes policies meet the bare minimum and to better deter greater risks, a mock audit will let you know areas that you can go above and beyond, instead of just meeting basic expectations.

How to Prepare

Preparation is key for a successful audit, and there’s no better way to be prepared then to stay prepared for scrutiny. Mock audits are the obvious solution.

  • Awareness- It’s important to know exactly what the auditing agency expects before the auditing process launches. Identifying problems through a mock audit allows you to reach out to the agency to ask questions and then adjust your program to meet their specifications.
  • Accuracy- Make use of your auditing tools and resources, such as training, electronic record management software, and system generated statistical reporting to ensure accuracy among your records and your TPA’s records before it gets caught during an audit.
  • Accessibility- Your records should remain easily available in the case of a TPA change or statistical reporting requirement(s). It’s important to always maintain a trail of your records in the event that those records are not appropriately attained by other parties. Documentation also helps explain any irregularities in your programs data or the cause of any inaccessible documents.

What DISA Can Do for You

DISA offers comprehensive auditing services to ensure that your drug testing policy meets industry standards and helps prevent costly mistakes. Each of our services can be catered to specific DOT modes such as the FMCSA, PHMSA, FTA, and FAA. Additionally, our professionals can also assist you with recommendations if your company is non-DOT.

As your trusted advisor, DISA will identify and drive additional services when they’re needed. Our audit services include:

  • DOT agency-specific mock audits, including the notice of potential future DOT findings
  • Safety assessments
  • Record-keeping guidance
  • Recommendations

During an audit, DISA will evaluate compliance in the following areas, depending upon variations due to DOT agency requirements:

  • Policy, standard operating procedures, and compliance personnel
  • Audit and monitoring standards
  • Recordkeeping and reporting (including security and retention periods) including
    • Personnel work, performance, accident, and medical records
    • Maintenance records

Once completed DISA will deliver a comprehensive, agency-specific report to your company that details deficiencies and the priority in which they should be addressed to ensure regulatory compliance.

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About DISA Global Solutions

For more than 30 years, DISA has been a provider of workplace safety and compliance services. DISA helps companies make more informed staffing decisions by offering a broad array of industry-leading methodologies to make employee screening faster and more accurate. For more information about DISA call 1-800-752-6432 or email