Mock Audits: How They Can Help Your Company

SAPAA blog

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.


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.

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.

Are you an employer and still have questions regarding employment screening?

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About DISA Global Solutions

Founded in 1986, DISA is the industry-leading provider of employee screening and compliance services. Headquartered in Houston, with more than 35 offices throughout the U.S. and Canada, DISA’s comprehensive scope of services includes drug and alcohol testing, background check, occupational health, and transportation compliance. DISA assists employers in making informed staffing decisions while building a culture of safety in their workplace.

DISA Global Solutions aims to provide accurate and informative content for educational purposes only and does not constitute legal advice. The reader retains full responsibility for the use of the information contained herein. Always consult with a professional or legal expert.