A mock DOT audit is a simulation used to test a trucking company’s compliance with the FMCSA/ DOT regulations. The audit typically consists of a review of your company policies and procedures and a review of DOT recordkeeping.
Mock audits can help a motor carrier ( trucking company or bus company) identify and correct deficiencies in their fleet safety and DOT compliance programs before their DOT safety rating is placed at risk.
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Mock DOT Audit Objectives
Here are the objectives that we try to accomplish with all mock DOT audits:
-Identify deficiencies in a transportation company’s programs and practices
-Assess the effectiveness of these programs and practices
-Evaluate the conformity of company policies, procedures, and practices with DOT regulations
-Identify and recommend improvements to the company’s management and organization
The basic question that we’re trying to help you answer is : Are you prepared for a DOT audit? Check out our DOT compliance checklist to see if you are!
Do you need an FMCSA Mock audit?
Maybe. They’re usually pretty valuable exercises and can help show you opportunities for improvement in your fleet safety and DOT compliance programs.
They do cost money (sometimes a good deal of money), but they’re a hell of a lot cheaper and less stressful than if the FMCSA or one of their state DOT inspection partners comes to visit with you.
It’s critical that you’re committed to the process!
If you’re not willing to share information with the DOT compliance consultant or DOT compliance company that you’re paying to conduct your mock FMCSA audit, then you’re likely to be disappointed with the results.
If you have a couple of CSA BASIC alerts, are struggling with roadside inspection violations or you’re not sure about the shape of your DOT recordkeeping, then you should probably consider investing in a compliance auditing service.
Mock DOT Audit Checklist
If you don’t want to spend money on this process, you can take the DIY route with this handy:
Mock DOT Audit Checklist
Free Quick Mock Audit Service
Not sure if you need a full mock audit or just want a little friendly advice? Let us help for free!
No strings attached, outside of being signed up for our email list. (we promise not to spam you!)
If you simply click the link and input your info, we’ll review your CSA information and provide you with some actionable advice to help you prevent or prepare for a potential DOT audit.
This is done by actual DOT compliance experts, so please give us a day to get your results back to you!
What to Expect During a Mock DOT Audit
A mock DOT audit can be conducted in a variety of ways, but typically includes the following steps:
- -Review company policies, procedures, and practices to identify if they are in compliance with DOT regulations
- -Develop a comprehensive list of deficiencies (including a thorough review of your CSA BASIC violations and roadside inspection history)
- -Train carrier personnel on how to correct deficiencies
- -Evaluate the effectiveness of the mock DOT audit and make recommendations for further improvement
Beginning in 2023, the FMCSA is changing how it prioritizes carriers for DOT audits and other interventions. Check out this article on the upcoming FMCSA CSA changes to learn more!
How Our DOT Mock Audit works
When conducting a mock DOT audit for our clients, we would review the following compliance areas (just like in actual dot audits):
Your FMCSA CSA information, including your CSA BASIC scores, roadside inspection history and safety rating.
Driver Qualification Files (including reviews of driver file items like motor vehicle records, pre-employment drug tests, etc.)
Vehicle Maintenance Files (i.e. repair and maintenance records, DOT Annual Inspection, etc.)
Hours of Service/ELD Compliance (A review of your ELD monitoring and corrective actions taken)
Drug and Alcohol Testing Program (Including your Drug and Alcohol Clearinghouse Compliance)
Your recent crashes (including corrective driver training, your accident register and related documents)
During a mock DOT audit, we would basically act as though we were a DOT inspector conducting an actual DOT compliance review. But, you won’t face the dreaded Unsatisfactory or Conditional safety rating and have to submit a DOT Corrective Action Plan (CAP) when we’re finished!
There are 5 simple steps:
1) We will evaluate your safety management scores and roadside inspection info to determine the most likely targets for a an investigation. These are usually drivers/vehicles who were most recently involved in a roadside inspection with a violation.
2) Next, we will request that you send us different pieces of information (driver qualification files, vehicle maintenance files, etc.).
3) Our team of DOT compliance experts will review all of the submitted compliance information to help identify areas for improvement.
4) Then, we will develop and share a review report that will outline our findings and our suggested corrective actions.
5) We will review this report with you and discuss your next action steps for success.
Prevent DOT Audits by avoiding these 5 Deadly DOT Violations!
How much does a Mock DOT audit cost?
Like so many other things, it depends.
Many DOT compliance companies will charge hundreds or even thousands of dollars to complete a mock compliance review for you. Usually, this is done on an hourly basis with most companies as the depth of the audit will vary.
We would charge your a flat rate of $25 per driver to audit your operations. (Remember, typical DOT audits don’t involve reviewing all of your driver or vehicle files. It’s usually a sampling of your driver pool and fleet).
If you’re one of our My Safety Manager members, this is included in our monthly trucking compliance services as we try to have our clients be “audit ready” at all times.
In fact, one of the first projects that we complete when we start working with a new client is a complete review of your current level of compliance. A large part of that involves auditing your driver qualification files and vehicle maintenance files as we upload them into our system.
We would identify missing DOT compliance documents. If it’s something that we couldn’t do (like ordering and reviewing a driver’s annual MVR), we would simply ask that you send it over to us.
When is the best time to do a Mock DOT audit?
The best time to do a mock audit is anytime that you suspect that there may be a serious gap in your safety or compliance programs.
We think that everyone has a certain “degree of audit risk” with the FMCSA or their state DOT partners. Some are at a much greater exposure to having a compliance review than others.
A trucking company that has 2 BASIC alerts above 90% for more than 2 months, for instance can almost guarentee that a DOT audit is right around the corner.
A carrier may have a pretty good CSA scores, but has a large number of crashes (1.5 crashes or more per 1,000,000 miles is considered “high”). They would also have a higher chance of being audited by the DOT.
A carrier with no BASIC alerts has a lower exposure for a compliance review, but it’s not 0.
Sometimes it’s just a random selection, especially as State DOT inspectors have already hit all of their larger target carriers during the last 18 months.
Mock DOT Audit: Frequently Asked Questions
1. What is a Mock DOT Audit?
A Mock DOT Audit is a simulated version of a real FMCSA compliance review. It’s designed to help trucking companies identify violations, missing documents, and weak safety controls before the FMCSA does. The goal is to fix issues early and avoid fines, downgraded ratings, or out-of-service orders.
2. Why should I conduct a Mock DOT Audit?
Running a Mock DOT Audit gives you a clear picture of how your company would perform in an actual FMCSA audit. It helps you find gaps in driver qualification files, hours-of-service logs, maintenance records, and drug and alcohol program compliance—before an investigator does.
3. How often should a Mock DOT Audit be performed?
Most experts recommend conducting a Mock DOT Audit at least once a year or whenever your company experiences rapid growth, new management, or a recent violation trend. Regular audits keep your safety management controls sharp and your documentation up to date.
4. What areas does a Mock DOT Audit review?
A Mock DOT Audit typically reviews driver qualification files, hours-of-service compliance, vehicle maintenance records, accident registers, controlled substance testing programs, and company policies. The process mirrors what FMCSA investigators look for during a compliance review.
5. Who can perform a Mock DOT Audit?
A Mock DOT Audit can be performed internally by your safety department or externally by a DOT compliance consultant like My Safety Manager. Using a third-party expert ensures an unbiased review and professional guidance on correcting violations and building sustainable compliance systems.
6. What happens after a Mock DOT Audit?
After the audit, you’ll receive a detailed report highlighting violations, missing documents, and at-risk areas. The next step is creating and implementing a corrective action plan to resolve deficiencies and strengthen your overall safety and compliance program.
7. Can a Mock DOT Audit improve my FMCSA safety rating?
Yes. While the audit itself doesn’t directly change your rating, the corrective actions that follow can help prevent future violations, reduce CSA scores, and show due diligence if you ever face an official FMCSA compliance review or conditional rating.
Regulatory References
These are the core FMCSA regulations and official programs that define what gets reviewed in a mock DOT audit and in an actual compliance review.
- 49 CFR Part 385 — Safety Fitness Procedures (Compliance Reviews & Safety Ratings)
- 49 CFR Part 390 — Federal Motor Carrier Safety Regulations; General
- 49 CFR Part 391 — Qualifications of Drivers / Driver Qualification Files
- 49 CFR Part 395 — Hours of Service of Drivers (RODS/ELD compliance)
- 49 CFR Part 396 — Inspection, Repair, and Maintenance (DVIRs & annual inspections)
- 49 CFR Part 382 — Controlled Substances and Alcohol Use and Testing (incl. Clearinghouse Subpart G)
- 49 CFR Part 40 — DOT Drug & Alcohol Testing Procedures (MRO/SAP/RTD rules)
- FMCSA Compliance, Safety, Accountability (CSA) / Safety Measurement System (SMS)
Next Success Steps
Now that you know what to expect from a mock DOT audit, are you ready to take the next step?
At My Safety Manager, we love helping companies ensure that they are compliant with the DOT regulations! Our DOT audit services/ Mock audit services are second to none!
We will preform a DOT mock audit of your operations and provide you with a comprehensive report of any issues discovered at the conclusion of our review. Even better, we can do this 100% virtually via phone/Zoom and email!
We try to make the process as easy and non-invasive as possible…
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